HOUSE ETHICS MANUAL
DECEMBER 2022 PRINT
i
Find the most current version of the House Ethics Manual
online at https://ethics.house.gov/house-ethics-manual.
This Print supersedes all prior print editions.
The Gifts and Travel sections of the House Ethics Manual were
updated on December 31, 2020, and September 19, 2022.
The Financial Disclosure instructions are updated annually.
Find the most current guidance, including salary thresholds
and outside employment requirements, online at
https://ethics.house.gov/nancial-disclosure.
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When in Doubt, Call the Committee
Ethicsquestionsarefact-specic,meaningthataslightchangeinfactscould
change the outcome of the guidance you receive. When in doubt, please call the
Committee. Our Ofce of Advice and Education is here to help you. Following
guidance provided by the Committee can protect you from future investigations.
1
Ourphonenumberis202-225-7103,andouremailaddressisethicscommittee@mail.
house.gov.
Other Important Contact Information
TheCommitteeisoneofanumberofentitiesthatoverseesactionsyoumay
wish to take. These sections reference the Committee on House Administration,
theFederalElectionCommission(FEC),theDepartmentofState,andtheOfceof
InterparliamentaryAffairs. The Committeedoes notreview thesecurity oftravel
destinations;however,theOfceofHouseSecurityisavailabletoassistwithsecurity
concerns.
Should you need to contact an ofce other than theCommittee, here is the
contactinformation.
• CommitteeonHouseAdministration
DemocraticStaff:202-225-2061
RepublicanStaff:202-225-8281
• FEC’sOfceofCongressionalAffairs
Fec.gov,202-694-1006
• Department of State, Interagency Working Group on U.S.-Government
SponsoredInternationalExchangesandTraining
202-632-9306
• OfceofInterparliamentaryAffairs
202-226-1766
• OfceofHouseSecurity
202-226-2044
1
CommitteeRule3(k)-(l).
iii
Contents
Chapter 1. GENERAL ETHICAL STANDARDS .................................................................1
Overview ...............................................................................................................................1
General Ethical Standards ...............................................................................................2
Violations of Ethical Standards ......................................................................................3
History of the Committee .................................................................................................4
Committee Procedures ......................................................................................................8
Conduct Reecting Creditably on the House ............................................................12
The Spirit and the Letter of the Rules ........................................................................16
Refraining From Legislative Activity After Conviction..........................................17
Code of Ethics for Government Service ......................................................................19
Rules of Members, Ofcers, Supervisors, and Committees ....................................20
Advisory Opinions ............................................................................................................20
Chapter 2. GIFTS ....................................................................................................................23
Why Have Limitations on Gifts? ...................................................................................23
What is a Gift? ...................................................................................................................25
How to Value a Gift? ........................................................................................................25
Who is Subject to the Gift Rule? ...................................................................................26
Source of a Gift .................................................................................................................28
Recipient of a Gift ............................................................................................................29
Do Not Ask for a Gift ........................................................................................................29
No Bribes, Illegal Gratuities, or Thank You Gifts.....................................................30
Impermissible Gifts ..........................................................................................................34
DeclinetheGift..............................................................................................................34
ReturnGifttoDonor......................................................................................................34
PayFairMarketValue..................................................................................................34
PerishableorUnreturnableGifts..................................................................................35
General Gift Rule Provisions .........................................................................................35
Exceptions to the Gift Rule for Permissible Gifts ....................................................36
GiftsofNominalValue..................................................................................................36
GiftsWorthLessThan$50............................................................................................37
GiftsfromRelatives.......................................................................................................39
GiftsBasedonPersonalFriendship..............................................................................40
GiftsfromotherMembers,Ofcers,orEmployees......................................................43
GiftsofPersonalHospitality.........................................................................................44
GiftsfromFederal,State,orLocalGovernments........................................................45
GiftsfromForeignGovernmentsandInternationalOrganizations...........................47
HomeStateProducts.....................................................................................................51
FreeAttendanceatEvents............................................................................................52
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HOUSE ETHICS MANUAL
BusinessMeetings.........................................................................................................67
InformationalMaterials................................................................................................67
CommemorativeItems...................................................................................................68
GiftsfromOutsideBusinessandOtherActivities.......................................................69
BenetsfromPreviousEmployers................................................................................71
LegalExpenses...............................................................................................................72
HonoraryDegrees..........................................................................................................78
PublicServiceAwards...................................................................................................78
WidelyAvailableOpportunitiesandBenets..............................................................80
Loans...............................................................................................................................81
Awards,Prizes,andRafes...........................................................................................82
CampaignContributions...............................................................................................83
BequestsandInheritances............................................................................................84
ArtworkandOtherGiftsofUnusualNatureonLoantotheHouse...........................84
GeneralWaiver..............................................................................................................85
SpecialOccasionGiftWaiver........................................................................................86
Expressly Prohibited Gifts ............................................................................................86
CharitableContributionsfromLobbyistsandForeignAgentsifYouSolicited.........86
LobbyistandForeignAgentContributionstoLegalExpenseFunds.........................87
LobbyistandForeignAgentContributionstoEntitiesYouControlorMaintain......87
ContributionsfromLobbyistsforOfcialEvents.........................................................87
Financial Disclosure Reporting for Gifts ...................................................................88
Commonly-Used Gift Rule Exceptions ........................................................................89
Chapter 3. TRAVEL ................................................................................................................91
Prohibition on Solicitation ............................................................................................91
Additional Requirements and Fees ..............................................................................91
Ofcially-Connected Travel Paid for by a
Private Source Ethics Committee Travel Regulations ............................................91
EthicsCommitteePre-Approval....................................................................................91
Post-TravelDisclosure...................................................................................................93
TravelRelatedtoOfcialResponsibilities...................................................................94
LengthofTravel.............................................................................................................95
PrivateSponsorsinGeneral..........................................................................................97
PrivateSponsorswithLobbyists/ForeignAgents........................................................98
AdditionalSponsors.......................................................................................................99
InvolvementofUnitedStatesGovernmentsorForeignGovernments.....................100
LocationsofandEventsduringTravel.......................................................................100
AcceptableTravelExpenses........................................................................................101
AccompanyingRelatives..............................................................................................103
ChangesatPersonalExpense.....................................................................................104
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Contents
StackingTrips..............................................................................................................105
TravelforMembersandStaffLeavingOfce.............................................................106
Ofcial Travel ................................................................................................................. 106
GeneralProvisions.......................................................................................................106
NoPrivateSubsidyofOfcialTravel..........................................................................107
OfcialTravelUsingCampaignFunds......................................................................108
OfcialTravelUsingPersonalFunds.........................................................................108
Travel for Political Purposes ...................................................................................... 108
Mixed-Purpose Travel .................................................................................................. 109
Travel for Personal Purposes ..................................................................................... 110
TravelPaidforbyRelatives........................................................................................110
TravelOfferedontheBasisofPersonalFriendship..................................................111
LodgingandMealsunderPersonalHospitality.........................................................111
TravelforProfessionalDevelopmentOpportunitiesorFellowships.........................112
TraveltoAttendCharityFundraisers........................................................................113
TraveltoAcceptHonoraryDegrees............................................................................114
TravelRelatedtoOutsideActivities...........................................................................114
Business Site Visits ...................................................................................................... 116
Point A to Point A Travel ............................................................................................. 117
Travel Paid for by Federal, State, or Local Governments ................................... 118
Travel Allowed by Other Gift Rule Exceptions ...................................................... 119
LocalTransportationforWidely-AttendedEventsandCharityFundraisers..........119
Widely-AvailableOpportunities..................................................................................120
Lessthan$50...............................................................................................................120
Travel Paid for by a Foreign Government .............................................................. 120
GeneralProvisions.......................................................................................................120
TravelunderFGDA.....................................................................................................121
TravelunderMECEA..................................................................................................124
Travel on Non-Commercial Aircraft ......................................................................... 124
ReimbursementforTravelonNon-CommercialAircraft..........................................125
GiftsofTravelonNon-CommercialAircraft..............................................................126
HonestLeadershipandOpenGovernmentActProhibitions .................................. 129
Miscellaneous Considerations .................................................................................... 130
UseofGovernmentRate..............................................................................................130
FrequentFlierMilesEarnedThroughOfcialTravel...............................................130
Chapter 4. CAMPAIGN ACTIVITY ................................................................................... 131
Overview ......................................................................................................................... 131
General Prohibition Against Using Ofcial Resources for
Campaign or Political Purposes ................................................................................ 133
LawsandRulesonProperUseofOfcialResources.................................................135
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HOUSE ETHICS MANUAL
LimitedCampaign-RelatedActivitiesThatMayTakePlaceina
CongressionalOfce.....................................................................................................142
Campaign Work by House Employees Outside the
Congressional Ofce and on Their Own Time ........................................................ 145
WhatIsanEmployee’s“OwnTime”?..........................................................................145
NeedToComplyWithLawsandRulesApplicabletoHouseEmployees
WhileDoingCampaignWork.....................................................................................147
CandidacyofaHouseEmployeeforElectiveOfce...................................................152
Campaign Contributions and Contributors ............................................................ 153
SolicitingCampaignandPoliticalContributions.......................................................153
ReceiptandAcceptanceofContributions...................................................................158
ProhibitionAgainstLinkingOfcialActionstoPartisanor
PoliticalConsiderations...............................................................................................160
Proper Use of Campaign Funds and Resources ..................................................... 161
UseforBonaFideCampaignorPoliticalPurposes...................................................163
NoPersonalUseofCampaignFundsorResources,andthe
RelatedVericationRequirement...............................................................................172
UseofCampaignFundsorResourcesforOfcialHousePurposes..........................182
Other Applicable Laws, Rules, and Standards of Conduct ................................. 188
LawsandRulesonCampaignLetterhead..................................................................188
GiftRuleProvisionsApplicabletoCampaignActivity..............................................190
MemberInvolvementWithanIndependentRedistrictingFund..............................191
OtherProvisionsoftheFederalCriminalCodeApplicableto
CampaignActivity.......................................................................................................192
Chapter 5. OUTSIDE EMPLOYMENT AND INCOME ................................................. 195
Overview .......................................................................................................................... 195
Laws, Rules, and Standards of Conduct Governing the
Outside Employment of Members and All Staff ..................................................... 195
ProhibitionAgainstUseofOne’sPositionWiththeHouseforPersonalGain........196
RulesonReceiptofHonoraria.....................................................................................198
GiftRuleApplicabilitytoCompensationand
OtherThingsofValueReceivedFromanOutsideEmployer....................................206
ProhibitionAgainstUseofCongressionalOfceResources......................................207
PracticeofLaw.............................................................................................................207
ProhibitionAgainstRepresentingOthersBeforeAgenciesorinCourtCasesin
WhichtheGovernmentIsaPartyorHasanInterest...............................................208
ContractingWiththeFederalGovernment................................................................210
DualFederalGovernmentEmployment.....................................................................212
HoldingLocalOfce.....................................................................................................213
ProhibitionAgainstReceivingCompensationfromaForeignGovernment.............215
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Contents
AdditionalConsiderationsApplicabletoStaffOutsideEmployment.......................216
NegotiatingforFutureEmployment...........................................................................217
Background on the Restrictions on Outside Employment and Income ........... 221
Restrictions on Outside Employment Applicable to
Members and Senior Staff ........................................................................................... 223
WhoIsa“SeniorStaff”PersonforPurposesoftheRestrictionson
OutsideEmploymentandOutsideEarnedIncomeLimitations?..............................223
ProhibitionAgainstReceiptofCompensationforthe
PracticeofLaworOtherProfessions,andRelatedProhibitions..............................224
ProhibitionAgainstServingforCompensationasanOfceror
BoardMemberofAnyOrganization...........................................................................231
RequirementforPriorCommitteeApprovalofCompensationforTeaching............232
RequirementforCommitteeApprovalofPublishingContracts,and
ProhibitionAgainstReceiptofAnyAdvancePaymentofRoyalties.........................233
The Outside Earned Income Limitation Applicable to
Members and Senior Staff .......................................................................................... 237
AmountoftheAnnualLimitation...............................................................................237
Administration and Enforcement of the Outside Employment and
Outside Earned Income Limitations, and Impact of the Limitations .............. 241
AdministrationandEnforcement................................................................................241
ImpactoftheLimitations............................................................................................241
Member Voting and Other Ofcial Activities on Matters of
Personal Interest ........................................................................................................... 242
GeneralRequirementThatMembersVoteonQuestionsBeforetheHouse............242
VotingandOtherActivitiesonMattersofPersonalInterest....................................243
Certication of No Financial Interest in Fiscal Legislation ............................... 246
Post-Employment Restrictions .................................................................................. 248
ApplicabilityoftheRestrictions..................................................................................248
ScopeoftheRestrictions..............................................................................................249
Exceptions.....................................................................................................................251
Penalties.......................................................................................................................251
Employment Considerations for Spouses of Members and Staff ...................... 252
Chapter 6. FINANCIAL DISCLOSURE ........................................................................... 257
Overview .......................................................................................................................... 257
Statutes and Rules Governing Disclosure of Financial Interests .................... 258
Policies Underlying Disclosure .................................................................................. 259
Specic Disclosure Requirements ............................................................................. 262
WhoMustFile..............................................................................................................262
SpouseandDependentInformation............................................................................263
Income..........................................................................................................................264
viii
HOUSE ETHICS MANUAL
GENERAL ETHICAL STANDARDS
GIFTS
TRAVEL
CAMPAIGN ACTIVITY
OUTSIDE EMPLOYMENT AND INCOME
FINANCIAL DISCLOSURE
STAFF RIGHTS AND DUTIES
CASEWORK
OFFICIAL ALLOWANCE
OFFICIAL AND OUTSIDE ORGANIZATIONS
APPENDICES
Transactions.................................................................................................................266
Liabilities......................................................................................................................267
Gifts..............................................................................................................................268
TravelReimbursements...............................................................................................269
Positions........................................................................................................................270
Agreements...................................................................................................................270
CompensationinExcessof$5,000PaidbyOneSource.............................................271
Trusts............................................................................................................................271
Termination Reports .................................................................................................... 272
Filing Deadlines, Committee Review, and Amendments ..................................... 273
Retention of and Public Access to Reports ............................................................. 274
Failure To File or Filing False Disclosure Statements ........................................ 274
Chapter 7. STAFF RIGHTS AND DUTIES .................................................................... 277
Overview .......................................................................................................................... 277
Discrimination ............................................................................................................... 278
HouseRules..................................................................................................................278
CongressionalAccountabilityActof1995..................................................................279
FairLaborStandards...................................................................................................281
Nepotism .......................................................................................................................... 281
Illegal Hiring and Firing Practices ........................................................................... 283
SalaryKickbacks..........................................................................................................284
General Employment and Compensation Provisions ........................................... 286
PersonalStaff...............................................................................................................286
CommitteeStaff...........................................................................................................287
AllStaff.........................................................................................................................287
Annual Ethics Training Requirement ...................................................................... 292
Lump Sum Payments .................................................................................................... 292
Volunteers, Interns, Fellows, and Detailees ........................................................... 294
Denitions....................................................................................................................294
InternshipandFellowshipPrograms.........................................................................295
Volunteers.....................................................................................................................297
Detailees.......................................................................................................................301
Consultants ..................................................................................................................... 302
Lobbying.......................................................................................................................303
AcceptableGifts............................................................................................................304
CondentialFinancialDisclosure...............................................................................305
Chapter 8. CASEWORK ...................................................................................................... 307
Overview .......................................................................................................................... 307
Off-the-Record (Ex parte) Communications ............................................................ 308
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Contents
Judicially Imposed Limits ........................................................................................... 310
Congressional Standards ............................................................................................. 313
AssistingSupporters....................................................................................................316
AssistingNon-Constituents.........................................................................................317
GovernmentProcurementandGrants........................................................................317
CommunicatingWithCourts.......................................................................................318
ContactingOtherGovernments..................................................................................319
InterveningWithNongovernmentalParties..............................................................320
CondentialityofRecords............................................................................................321
PersonalFinancialInterests.......................................................................................321
Gifts and Compensation for Casework .................................................................... 322
Recommendations for Government Employment ................................................. 323
“CompetitiveService”PositionsWiththeFederalGovernment...............................324
“Political”PositionsWiththeFederalGovernment...................................................325
PostalService...............................................................................................................326
MilitaryServicesandAcademies................................................................................326
StateGovernmentsandthePrivateSector................................................................326
Letterhead....................................................................................................................327
MiscellaneousConsiderations.....................................................................................328
Chapter 9. OFFICIAL ALLOWANCES ............................................................................ 331
Overview .......................................................................................................................... 331
Members’ Representational Allowance .................................................................... 331
Unofcial Ofce Accounts ........................................................................................... 334
Ofcial Travel ................................................................................................................. 337
False Claims and Fraud ............................................................................................... 339
The Frank ........................................................................................................................ 340
CommissiononCongressionalMailingStandards(TheFrankingCommission).....340
“DearColleague”Letters.............................................................................................341
Chapter 10. OFFICIAL AND OUTSIDE ORGANIZATIONS ....................................... 343
Overview .......................................................................................................................... 343
Ofcial Support Organizations .................................................................................. 343
CongressionalMemberOrganizations........................................................................344
CongressionalStaffOrganizations..............................................................................344
InformalMemberandStaffOrganizations................................................................345
Private Entities With Shared Goals .......................................................................... 345
Member Advisory Groups ............................................................................................ 347
Conferences and Town Hall Meetings ...................................................................... 348
ApplicabilityofHouseRule24toEventsSponsoredbyaHouseOfce...................349
Involvement With Outside Activities and Entities ................................................ 352
x
EventsWithOutsideEntities.....................................................................................353
CongressionalArtCompetition...................................................................................354
ExpressionsorSymbolsofOfcialSponsorship.........................................................354
SolicitationofFundsFromoronBehalfofOutsideOrganizations..........................355
SupportforCommercialEnterprises..........................................................................357
UnofcialRepresentationalActivities........................................................................358
MailingListsandOutsideOrganizations...................................................................360
xi
Appendices
CodeofEthicsforGovernmentService(72Stat.,Part2,B12,H.Con.Res.175,
85thCong.(July11,1958))....................................................................................363
Comm.onStandardsofOfcialConduct,AdvisoryOpinionNo.1,Communicating
withExecutiveandIndependentFederalAgencies(Jan.26,1970)...................364
Comm.onStandardsofOfcialConduct,AdvisoryOpinionNo.2,Members’
RepresentationalAllowance(July11,1973).........................................................367
SelectComm.onEthics,AdvisoryOpinionNo.6,AcceptanceofIn-KindServices
forOfcialPurposes(May9,1977).......................................................................369
SelectComm.onEthics,AdvisoryOpinionNo.13,GeneralInterpretationofHouse
Rule25,LimitationsonMembers’OutsideEarnedIncome(Oct.1978).............372
Comm.onStandardsofOfcialConduct,AdvisoryOpinionNo.5,Appealson
BehalfofPrivateOrganizations(April4,1979)...................................................380
Comm.onStandardsofOfcialConduct,AdvisoryOpinionNo.6,Fundsfora
TownHallMeeting(Sept.14,1982)......................................................................383
Comm.onStandardsofOfcialConduct,AdvisoryMemorandumonPolicy
RegardingAmendmentstoFinancialDisclosureStatements(Apr.23,1986)...386
Comm.onStandardsofOfcialConduct,AdvisoryMemorandumonGiftRule
ProvisionsApplicabletoLoans(May23,1997)....................................................388
Comm.onStandardsofOfcialConduct,AdvisoryMemorandumonOutsideEarned
IncomeRestrictionsonMembersandSeniorStaff(Feb.23,1998).....................392
RegulationsfortheAcceptanceofDecorationsandGiftsfromForeignGovernments
(2020)......................................................................................................................396
RevisedLegalExpenseFundRegulations(December20,2011)...................................403
Comm.onStandardsofOfcialConduct,LetterRegardingIntern,Volunteer,
andFellowPrograms(June29,1990)...................................................................414
JointGuidanceoftheComm.onEthicsandtheComm.onHouseAdministration
RegardingRedistricting(September10,2021).....................................................419
OutsidePositionRegulations(December11,2019)........................................................422
GENERAL ETHICAL STANDARDS
GIFTS
TRAVEL
CAMPAIGN ACTIVITY
OUTSIDE EMPLOYMENT AND INCOME
FINANCIAL DISCLOSURE
STAFF RIGHTS AND DUTIES
CASEWORK
OFFICIAL ALLOWANCE
OFFICIAL AND OUTSIDE ORGANIZATIONS
APPENDICES
1
GENERAL ETHICAL STANDARDS
Overview
Members,ofcers,andemployeesoftheHouseshould:
• Conductthemselves atall timesina mannerthat reectscreditably onthe
House;
• AbidebythespiritaswellastheletteroftheHouserules;and
• Adhere to the broad ethical standards expressed in the Code of Ethics for
GovernmentService.
Theyshouldnotinanywayusetheirofceforprivategain.Norshouldthey
attempttocircumventanyHouseruleorstandardofconduct.
Employees must observe any additional rules, regulations, standards, or
practicesestablishedbytheiremployingMembers.
TheCommitteeonStandardsofOfcialConducturgesMembers,ofcers,and
employeesoftheHousetocallortowritetheCommitteewithanyquestionsregarding
theproprietyofanycurrentorproposedconduct.TheCommittee’sOfceofAdvice
andEducationwillprovidecondential,informaladviceoverthetelephone,andthe
Committeewillprovidecondential,formalwrittenopinionstoanyMember,ofcer,
oremployeewithaquestionwithinitsjurisdiction.
2 HOUSEETHICSMANUAL
General Ethical Standards
Governmentisatrust,andtheofcersofthegovernmentaretrustees;
and both the trust and the trusteesarecreatedfor the benet of the
people.
Henry Clay
1
That “public ofce is a public trust” has long been a guiding principle of
government.
2
To uphold this trust, Congress has bound itself to abide by certain
standards of conduct, expressed in the Code of Ofcial Conduct (House Rule 23)
3
andtheCodeofEthicsforGovernmentService.
4
ThesecodesprovidethatMembers,
ofcers, and employees are to conduct themselves in a manner that will reect
creditablyontheHouse,workearnestlyandthoughtfullyfortheirsalary,andthat
they maynotseek to prot by virtue of theirpublic ofce, allow themselves to be
improperlyinuenced,ordiscriminateunfairlybythedispensingofspecialfavors.
Thischapterdiscussestheoverarchingprinciplesthatinformbothcodes,thepenalties
forviolatingtheir provisions,andthehistory andproceduresofthe Committeeon
StandardsofOfcialConduct.
Appropriate standards of conduct enhance the legislative process and build
citizencondence.“Ethicsrules,ifreasonablydraftedandreliablyenforced,increase
thelikelihoodthatlegislators(andotherofcials)willmakedecisionsandpolicieson
thebasisofthemeritsofissues,ratherthanonthebasisoffactors(suchaspersonal
gain) that should be irrelevant.”
5
Members, ofcers, and employees should, at a
minimum,familiarizethemselveswiththeCodeofOfcialConductandtheCodeof
EthicsforGovernmentService.TheCodeofOfcialConductandtheCodeofEthics
for Government Service not only state aspirational goals for public ofcials, but
1
Speech at Ashland, Kentucky, March 1829. Henry Clay was Speaker of the House of
Representativesduring1811-1814,1815-1820,and1823-1825.
2
CodeofEthicsforGovernmentService¶10,H.Con.Res.175,72Stat.,pt.2,B12(adopted
July 11, 1958) (contained in the appendices to this Manual). This creed, the motto of the Grover
Cleveland administration, has been voiced by such notables as Edmund Burke (Reections on the
Revolution in France (1790)),CharlesSumner(speech,U.S.Senate(May31,1872)),aswellasHenry
Clay(seenote1,supra).
3
HouserulesareformallyreferencedbyRomannumerals.Foreaseofreading,thismanual
usesthemorefamiliarArabicnumeralsthroughout.AllcitationsaretotheHouserulesforthe110
th
Congress,unlessspecicallystatedotherwise.
4
Seenote2,supra.
5
Congressional Ethics Reform: Hearings Before the Bipartisan Task Force on Ethics, U.S.
House of Representatives,101
st
Cong.,1
st
Sess.113(1989)(statementofDennisF.Thompson,Alfred
North Whitehead Professor of Political Philosophy in the Kennedy School of Government and the
DepartmentofGovernment,HarvardUniversity,andDirectoroftheHarvardUniversityProgramin
EthicsandtheProfessions).
General Ethical Standards3
violationsofprovisionscontainedthereinmayalsoprovidethebasisfordisciplinary
actioninaccordancewithHouserules.
Violations of Ethical Standards
Violations of ethical standards may lead to various penalties. The U.S.
ConstitutionauthorizeseachHouseofCongresstopunishitsMembersfordisorderly
behaviorand,withtheconcurrenceoftwothirds,toexpelaMember.
6
TheHousemay
alsopunishaMemberbycensure,reprimand,condemnation,reductionofseniority,
ne,orothersanctiondeterminedtobeappropriate.
7
A House rule specically authorizes the Standards Committee to enforce
standards of conduct for Members, ofcers, and employees; to investigate alleged
violationsofanylaw,rule,orregulationpertainingtoofcialconduct;andtomake
recommendations to the House for further action.
8
Committee rules reect the
Committee’sauthoritytoissuelettersofreprovalandtotakeotheradministrative
action.
9
HouserulesfurtherprovidethateitherwithapprovaloftheHouseorbyan
afrmativevoteoftwo-thirdsofitsMembers,theCommitteemayreportsubstantial
evidenceofviolationbyaMember,ofcer,oremployeetotheappropriatefederalor
stateauthorities.
10
Some standards of conduct derive from criminal law. Violations of these
standardsmayleadtoaneorimprisonment,orboth.Insomeinstances,suchas
conversionofgovernmentfundsorpropertytoone’sownuseorfalseclaimsconcerning
expensesorallowances,theDepartmentofJusticemayseekrestitution.
Among the sanctions that the Committee may recommend be imposed upon
aMemberinadisciplinarymatteristhe“[d]enialorlimitationofanyright,power,
privilege,orimmunityoftheMemberifundertheConstitutiontheHousemayimpose
suchdenialorlimitation.”
11
TheCommitteemayalsorecommendsanctionsbeimposed
bytheHouseagainstanofceroremployeeoftheHouse.Suchsanctionscouldinclude
6
U.S.Const.,art.I,§5,cl.2.
7
See generallyJointComm.onCongressionalOperations,HouseofRepresentativesExclusion,
Censure,andExpulsionCasesfrom1789to1973,93dCong.,1
st
Sess.(Comm.Print1973);Committee
Rule24(e).
8
SeeHouseRule10,cl.1(q);HouseRule11,cl.3.
9
SeeComm.Rule24(d)and(e)(6).
10
See House Rule 11, cl. 3(a)(3); Committee Rule 28. See also 5 U.S.C. app. 4 § 104(b),
authorizingtheCommitteetorefertotheAttorneyGeneral–withoutseekingapprovaloftheHouse–
individualswhohavewillfullyfailedtoleorfalsiedinformationrequiredtobereportedonFinancial
DisclosureStatements.
11
SeeComm.Rule24(e)(5).
4 HOUSEETHICSMANUAL
dismissalfromemployment,reprimand,ne,orotherappropriatesanction.
12
Chargesof unethicalconduct canbe evaluatedonly ona case-by-casebasis.
AstheCommitteehasnoted, “itwasfor theverypurpose ofevaluatingparticular
situations against existing standards, and of weeding out baseless charges from
legitimateones,thatthiscommitteewascreated.”
13
History of the Committee
TherstrecordedinstanceoftheHouseofRepresentativesattemptingtotake
disciplinaryaction against aMember occurred in1798. OnJanuary 30,Matthew
Lyon(ofVermont)spatuponRogerGriswold(ofConnecticut)duringavote.Aletter
ofapologywassent;nevertheless,theCommitteeoftheWholeheardtheevidenceand
recommendedexpulsion.Thevotefelltwoshortofthetwo-thirdsmajoritynecessary
toexpelaMember.
14
From 1798 until 1967, the House undertook disciplinary action against
Membersover40times,withnostandardizedapproach.Theoffensesrangedfrom
duelingtoinsertingobscenematerialintheCongressional Record.Somecaseswere
handleddirectly onthe Houseoorwithout Committeeaction, othersthrough the
creationofselectinvestigatingcommittees.Inatleastonecase,theaccusedMember
wasnotallowedtospeakonhisownbehalfortopresentanydefense.
15
Therewere
evenattemptstopunishformerMemberswhohadresigned.
16
Beginning in the late 1940s, Senators Wayne Morse and Paul Douglas and
Representative Charles Bennett advocated the enactment of an ofcial code of
conduct. In 1958, the Code of Ethics for Government Service wasapproved.
17
In
1964,followingthe investigationofBobby Baker, Secretaryto the Majorityin the
Senate,theSenatecreatedaSelectCommitteeonStandardsofConduct.
Duringthe89
th
Congress,twodifferentactionspromptedthecreationofthe
HouseCommitteeonStandardsofOfcialConduct.In1965,theJointCommittee
on the Organization of Congress held hearings in which considerable testimony
12
SeeComm.Rule24(f).
13
House Comm. on Standards of Ofcial Conduct, In the Matter of a Complaint Against
Representative Robert L.F. Sikes,H.Rep.94‑1364,94
th
Cong.,2dSess.8(1976).
14
IIA.Hinds,Hinds’ Precedents of the House of Representatives of the United States,§§1642-
1643(1907).
15
Id.at§1256(IntheMatterofRepresentativeJoshuaR.Giddings).
16
Id.at§§1239(IntheMatterofRepresentativeJohnT.Deweese),1273(IntheMatterof
RepresentativeBenjaminF.Whittemore).
17
Seenote2,supra.
General Ethical Standards5
addressedtheethicalconductofMembers,theneedforcodesofconductandnancial
disclosureregulations,andtheneedforanethicscommittee.Initsnalreport,the
JointCommittee’srecommendationsincludedthecreationofaHouseCommitteeon
StandardsandConduct.
18
The other action involved an investigation by the Special Subcommittee on
Contractsof theCommittee on HouseAdministration intothe expendituresof the
CommitteeonEducationandLaborandtheconductofitschairman,Representative
AdamClaytonPowell,Jr.,ofNewYork.TheSubcommittee’sreportconcludedthat
the chairman and certain employees had deceived House authorities as to travel
expenses and also noted strong evidence that the chairman had directed certain
illegal salary payments to his wife.
19
No formal action was taken during the 89
th
CongressagainstRepresentativePowell.Inthe90
th
and91
st
Congresses,however,he
wasremovedfromhischairmanship,deniedhisseniority,andned,
20
andanattempt
wasmadetoexcludehim.
21
Against this backdrop, a Select Committee on Standards and Conduct was
establishedintheclosingdaysofthe89
th
Congress.TheSelectCommittee’sauthority
was limited to (1) recommending additional rules or regulations to ensure that
Members,ofcers,andemployeesoftheHouseadheretoproperstandardsofconduct
inthedischargeoftheirofcialduties;and(2)reportingviolationsofanylawtothe
properfederalandstateauthorities.
22
The Select Committee’s term was limited.
23
On April 13, 1967, the House
established the Committee on Standards of Ofcial Conduct, to be composed of
six members of the majority party and six members of the minority party. The
Committeewasdirectedtorecommendsuchchangesinlaws,rules,andregulations
asnecessarytoestablishandtoenforcestandardsofofcialconductforMembers,
ofcers,andemployees.
24
Oneyearlater,theHouseRuleswereamendedtoinclude
a Code of Conduct (currently codied as House Rule 23) and an annual nancial
18
JointComm.ontheOrganizationofCongress,Final Report pursuant to S. Con. Res. 2,S.
Rep.1414,89
th
Cong.,2dSess.48(1966).
19
H. Rep.2349,89
th
Cong.,2dSess.6-7(1966).
20
SeeH.Rep.27,90
th
Cong.,1
st
Sess.(1967);H.Res.2,91
st
Cong.,1
st
Sess.,115Cong. Rec..
H21(Jan.3,1969).
21
113Cong. Rec.26-27(Mar.1,1967).
22
H.R.1013;seealsoHouseComm.onRules,CreatingaSelectCommitteeonStandardsand
Conduct,ReporttoAccompany H.r. 1013,H. Rep.2012,89
th
Cong.,2dSess.(1966).
23
See generally House Select Comm. on Standards of Ofcial Conduct, Report Under the
Authority of H.R. 1013,H. Rep.2338,89
th
Cong.,2dSess.(1966).
24
H.Res.418,90
th
Cong.,1
st
Sess.(1967).
6 HOUSEETHICSMANUAL
disclosurerequirement(currentlycodiedasHouseRule26).
25
Atthesametime,the
Committeewasmadeapermanentstandingcommitteewithauthoritytoinvestigate
allegedviolationsoftheCodeofConductandtoissueadvisoryopinionsinterpreting
itsprovisions.
26
FouradhocgroupshaveinuencedtheCommittee’swork:(1)TheCommission
onAdministrativeReview(generallyknownasthe“ObeyCommission”);(2)theSelect
Committee on Ethics; (3)the Bipartisan Task Force on Ethics; and (4) the Ethics
ReformTaskForce.Theworkofeachgroupissummarizedbelow.
The Obey Commission was established in July 1976 (95
th
Congress), in the
aftermath of Watergate, and directed to make recommendations to the House
concerningethicalpractices,nancialaccountability,andadministrativeoperations
oftheHouse.TheserecommendationsweresetforthinareportentitledFinancial
Ethics
27
andaresolution,H.Res.287.TheHouse’sadoption,onMarch2,1977,of
H.Res.287changedtheHouserulesgoverningnancialdisclosure,outsideearned
income,acceptanceofgifts,unofcialofceaccounts,frankingprivileges,andtravel.
TheCommissionalsorecommendedthecreationofaselectcommitteewithlegislative
jurisdictionovertheseareas.
BasedontheObeyCommission’srecommendation,theHouseestablishedthe
SelectCommitteeonEthicsinMarch1977toprovideguidelinesandinterpretations
concerning House rules currently codied as House Rules 23, 24, 25, and 26, and
to report legislation. The Select Committee and the Committee on Standards of
OfcialConduct operatedsimultaneously,with differentjurisdictions. During the
twoyearsoftheSelectCommittee’sexistence,itissued13formalAdvisoryOpinions
interpretingthenewHouserulesandrecommendedthattheHouserulespertaining
tonancialdisclosureandfranking(currentHouseRules24and26)beenactedinto
law,whichoccurredin1978.
28
WhentheSelectCommitteecompleteditstask,itissued
a Final Report,
29
anditsrecordsandmaterialsweretransferredtotheCommitteeon
StandardsofOfcialConducttoassistthelatterinrenderingadvisoryopinionsand
interpretingHouserulesrelatingtonancialethicsandstandardsofconduct.
On February 2, 1989, the Speaker and the Republican Leader of the 101
st
CongressappointedaBipartisanTaskForceonEthicstoconductacomprehensive
reviewofHouseethicsrulesandregulations.Co-chairedbyRepresentativesVicFazio
25
H.Res.1099,90
th
Cong.,2dSess.(1968).
26
Id.
27
H. Doc.95‑73,95
th
Cong.,1
st
Sess.(1977).
28
See EthicsinGovernmentActof1978,nowcodied,asamended,at5U.S.C.app.4§§101-
111and39U.S.C.§§3210-3220.
29
H. Rep.95‑1837,95
th
Cong.,2dSess.(1979).
General Ethical Standards7
andLynnMartin,theTaskForcelookedanewattherulesconcerninggifts,honoraria,
outsideearnedincome,nancialdisclosure,andtheuseofofcialresources,aswell
asconsideredissuesrelatingtoethicscommitteeproceduresandthecompensation
ofMembers andother seniorgovernment ofcials. Afterfour publichearings and
muchinternalstudy,theTaskForceissuedareport
30
andabill,H.R.3660.Thisbill
becametheEthicsReformActof1989,Pub.L.101-194,signedintolawonNovember
30,1989,andamendedwithtechnicalcorrectionsbyPub.L.101-280onMay4,1990.
The Ethics Reform Act enacted a total ban on honoraria, revisions to the
outside earned income limits, new post-employment restrictions, changes to the
gift and travel limits, and nancial disclosure revisions. The Ethics Reform Act
alsocontained several provisionsaffecting the Committeeon Standards ofOfcial
Conduct. In 1990, an Ofce of Advice and Education was established within the
Committee to provide condential advice to Members, ofcers, and employees. A
statute of limitations of three terms was enacted for investigations of alleged
violations. In 1991, the Committee’s membershipincreased from12 to14, andit
adoptedproceduresensuringthatthesamemembersdonotbothrecommendcharges
andsitinjudgmentofthosecharges.
In February 1997, following the resolution of a Committee investigation of
the Speaker of the House,
31
the House of Representatives established the Ethics
ReformTaskForce,chairedbyRepresentativesRobertL.LivingstonandBenjamin
L. Cardin.The task force was directed to reviewprocedures governing the ethics
processandtorecommendappropriatereforms.OnSeptember18,1997,theHouse
adopted the recommendations of the Ethics ReformTask Force with amendments
(H.R. 168). The recommended changes to the Houseethics rules proposedby the
EthicsReformTaskForceweredesignedto“improvethetrustandcondencethat
theMembers,andtheAmericanpeople,haveintheHousestandardsprocess.”The
recommendations adopted by the House included a requirement that Standards
Committee staff be nonpartisan, professional, and available as a resource to all
MembersoftheCommittee.OtherrecommendationsadoptedbytheHouseincluded
reducingthesizeoftheCommitteefrom14to10Members,expandingdueprocess
forrespondents,andestablishinga poolof20members (10fromeachparty) tobe
availabletoserveonaninvestigativesubcommitteeasneededbytheCommittee.
32
30
HouseBipartisanTaskForceonEthics,Report on H.R. 3660,101
st
Cong.,1
st
Sess.(Comm.
Print,Comm.onRules1989),reprinted in135Cong. Rec.H9253(dailyed.Nov.21,1989).
31
House Comm. on Standards of Ofcial Conduct, In the Matter of Representative Newt
Gingrich,H.Rep.105-1,105thCong.,1stSess.(Jan.17,1997).
32
Report of the Ethics Reform Task Force on H. Res. 168,105
th
Cong.,1
st
Sess.(Comm.Print
June17,1997).
8 HOUSEETHICSMANUAL
Committee Procedures
The Rules of the Committee on Standards of Ofcial Conduct
33
have been
periodically revised since the Committee was established to reect changes in
CommitteestructureandproceduresimplementedbytheHouse.Currentrulesalso
reect changes necessitated following experience under prior rules. The current
rulesprovideforanOfceofAdviceand EducationwithintheCommitteeandthe
bifurcationoftheCommitteeinvestigatoryanddisciplinaryprocess.Therulesalso
governtheissuanceofadvisoryopinions,thereceiptofcomplaints,andtheconduct
ofCommitteeinvestigations.
Committeerulesnowsetforththefollowingrequirementsforcomplaintsled
withtheCommittee:
34
• Acomplaintmustbeinwriting,dated,andproperlyveried.
35
• Acomplaintmustsetforththefollowinginsimple,concise,anddirectstatements:
thename andlegal addressofthepartyling thecomplaint; thename and
positionor title ofthe respondent; thenature of thealleged violationofthe
CodeofOfcialConductorofotherlaw,rule,regulation,orotherstandardof
conductapplicabletotheperformanceofdutiesordischargeofresponsibilities;
andthefactsallegedtogiverisetotheviolation.
• Acomplaintshallnotcontaininnuendo,speculativeassertions,orconclusory
statements.
36
• InformationofferedasacomplaintbyaMemberoftheHouseofRepresentatives
maybetransmitteddirectlytotheCommittee;however,informationofferedas
acomplaintbyanindividualnotaMemberoftheHousemaybetransmittedto
theCommittee,providedthataMemberoftheHousecertiesinwritingthat
heorshebelievestheinformationissubmittedingoodfaithandwarrantsthe
reviewandconsiderationoftheCommittee.
• Acomplaintmustbeaccompaniedbyacertication,whichmaybeunsworn,
thatthecomplainanthasprovidedanexactcopyoftheledcomplaintandall
33
HouseComm.onStandardsofOfcialConduct,Rules,110
th
Cong.,1
st
Sess.(Comm.Print
2007) (hereinafter “Comm. Rule(s)”), reprinted in 153 Cong. Rec. H7331-37 (June 27, 2007). The
Committee’srulesarealsoavailableontheCommittee’swebsite.
34
See generallyComm.Rule15.
35
CommitteeRule15(a)providesthatadocumentwillbeconsideredproperlyveriedwhen
anotaryexecutesitwiththelanguage,“Signedandswornto(orafrmed)beforemeon(date)by(the
nameoftheperson).”
36
SeeHouseComm.onStandardsofOfcialConductSummary of Activities for the One Hundred
Eighth Congress, H. rep.108-806,2dSess.(Jan.3,2005)at21(concerningcontentofcomplaintled
byRepresentativeChrisBell).
General Ethical Standards9
attachmentstotherespondent.
• The Committee shall not accept, and shall return to the complainant, any
complaintsubmittedwithinthe60dayspriortoanelectioninwhichthesubject
ofthecomplaintisacandidate.
• TheCommitteeshallnotconsideracomplaint,norshallanyinvestigationbe
undertakenbytheCommittee,ofanyallegedviolationwhichoccurredbefore
thethirdpreviousCongressunlesstheCommitteedeterminesthatthealleged
violationisdirectlyrelatedtoanallegedviolationwhichoccurredinamore
recentCongress.
Committee rules also contain requirements and procedures that follow the
lingofacomplaint.Initially,adeterminationismadebytheChairmanandRanking
MinorityMemberoftheCommitteeastowhetheracomplaintisincompliancewith
HouseandCommitteerules.
37
Ifitisdeterminedthatthecomplaintsubmittedmeets
the requirements for what constitutes a complaint, Committee rules provide for
noticationofthatdeterminationtotherespondent,andforanopportunityforthe
respondenttoprovidearesponse.
38
TheChairmanandRankingMinorityMember
mayestablishaninvestigativesubcommitteeormakerecommendationstothefull
Committeeastothedispositionofthecomplaint.
39
Therecommendationsthatthe
Chairman and Ranking Minority Member of the Committee may make include
recommendingthattheCommitteedismissthecomplaintoranyportionthereof,or
that itestablishan investigative subcommittee.
40
Therules permit the Chairman
andRankingMinorityMembertojointlygatheradditionalinformationconcerning
allegedconductwhichisthebasisforacomplaintuntiltheCommitteehasestablished
an investigative subcommittee or placed the issueof establishingan investigative
subcommitteeontheagendaofCommitteemeeting.
41
Therulesalsopermit,notwithstandingtheabsenceofaledcomplaint,the
CommitteetoconsideranyinformationinitspossessionindicatingthataMember,
ofcer,oremployeemayhavecommittedaviolationoftheCodeofOfcialConductor
anylaw,rule,regulation,orotherstandardofconductapplicabletotheconductofsuch
Member,ofcer,oremployeeintheperformanceofhisorherdutiesorthedischarge
ofhisorherresponsibilities.
42
Further,theChairmanandRankingMinorityMember
mayjointlygatheradditionalinformationconcerningsuchanallegedviolationunless
37
Comm.Rule16(a).
38
Comm.Rule17(a)and(b).
39
Comm.Rule16(b).
40
Id.
41
Comm.Rule17(c).
42
Comm.Rule18(a).
10 HOUSEETHICSMANUAL
anduntilaninvestigativesubcommitteehasbeenestablished.
43
Ifan investigativesubcommittee isestablished,theChairmanand Ranking
MinorityMemberdesignatefourMembersoftheHouse(withequalrepresentation
fromthemajorityandminorityparties)toserveonthesubcommittee.Oneofthe
Members of the investigative subcommittee is designated by the Chairman of the
CommitteetoserveasChairmanoftheinvestigativesubcommittee.TheRanking
Minority Member of the Committee designates one Member of the investigative
subcommitteetobeitsRankingMinorityMember.
44
Onceappointed,theinvestigativesubcommitteegathersevidencerelatingto
thematterunderinvestigation.Anyevidencerelevanttotheinquiryisadmissible
unlessitisprivilegedunderHouserules.
45
Theinvestigativesubcommitteemay,by
amajorityvoteofitsMembers,compelbysubpoenatheattendanceandtestimony
of witnesses and the production of documents it deems necessary to conduct its
inquiry.
46
In addition, investigative subcommittee staff may interview witnesses
and examine documents, among other investigative measures.
47
The proceedings
of the investigative subcommittee, including the taking of witness testimony, are
conductedinexecutivesession.
48
Allwitnessesandtherespondentinaninquirymay
berepresentedbycounsel.
49
At the conclusion of its inquiry, the investigative subcommittee may “adopt
a Statement of Alleged Violation if it determines that there is substantial reason
tobelievethataviolation...hasoccurred.”
50
TheStatementofAllegedViolation
mustcontainaplainandconcisestatementoffactsandareferencetotheparticular
standardofconductviolatedbythe respondent.
51
Priortoadoptingthe Statement
of Alleged Violation, the investigative subcommittee must make exculpatory
informationreceivedbytheinvestigativesubcommitteeavailabletotherespondent.
52
Therulespermitarespondenttosubmitananswer,inwritingandunderoath,tothe
StatementofAllegedViolation,aswellastoleaMotionforaBillofParticularsand
43
Id.
44
Comm.Rule19(a).
45
Comm.Rule19(c)(1).
46
Comm.Rule19(b)(5).
47
Comm.Rule19(b)(4).
48
Comm.Rule19(b)(1).
49
Comm.Rules19(b)(2),26(c),and26(m).
50
Comm.Rule19(f).
51
Id.
52
Comm.Rule25.
General Ethical Standards 11
aMotiontoDismiss.
53
IfaninvestigativesubcommitteedoesnotadoptaStatement
of Alleged Violation, it shall transmit a report to the Committee that contains a
summaryoftheinformationreceivedduringtheinquiryalongwiththeconclusions
andrecommendations,ifany,oftheinvestigativesubcommittee.
54
Unlessotherwiseresolved under Committeeand House rules, thenext step
of the disciplinary process requires the allegations in the Statement of Alleged
ViolationtobeputbeforeanadjudicatorysubcommitteethatconsistsofallMembers
oftheCommitteewhodidnotserveontheinvestigativesubcommittee.
55
Inapublic
adjudicatoryhearingtodeterminewhethertheallegedviolationshavebeenproven
byclearandconvincingevidence,boththerespondentandCommitteecounselmay
presentevidence.
56
TheburdenofproofrestsonCommitteecounseltoestablishthe
factsallegedintheStatementofAllegedViolationbyclearandconvincingevidence.
57
Ifamajorityofthemembersofanadjudicatorysubcommitteendthatany
countofinaStatementofAllegedViolationhasbeenprovenbyclearandconvincing
evidence,apublicsanctionhearingisheldbeforeallofthemembersoftheStandards
Committeetodeterminetheappropriatesanctiontoadoptortorecommendtothe
House.
58
As noted, the Committee may recommend one or more of several different
sanctions to the House of Representatives, including expulsion from the House of
Representatives,censure,orreprimand.
59
TheCommitteemayalsosendaLetterof
ReprovaltoarespondentwithoutrecommendingfurtheractionbythefullHouse.
60
A
LetterofReprovalis“intendedtobearebukeofaMember’sconductissuedbyabody
ofthatMember’speersacting,astheStandardsCommittee,onbehalfoftheHouse
ofRepresentatives.”
61
IntheentirehistoryoftheHouseofRepresentatives,veMembershavebeen
expelled.OftheveMembers,threeofthemwereexpelledforconducttraitorousto
53
Comm.Rule22(a),(b),and(c).
54
Comm.Rule19(g).
55
Comm.Rule23(a).
56
Comm.Rule23(j).
57
Comm.Rule23(n).
58
Comm.Rule24(b).
59
Comm.Rule24(e).
60
Comm.Rule24(d).
61
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative E.G. “Bud”
Shuster, H. Rep. 106-979, 106
th
Cong., 2d Sess. (Oct. 16, 2000) at 113; see also House Comm. on
StandardsofOfcialConduct,In the Matter of Representative Earl F. Hilliard,H.Rep.107-130,107
th
Cong.,1
st
Sess.(July10,2001)atxi-xii.
12 HOUSEETHICSMANUAL
theUnionintheCivilWarera.MichaelJ.MyerswasexpelledfromtheHousein
1980followinghisconvictionforbriberyinconnectionwiththeABSCAMscandal.
62
JamesA.Tracant,Jr.,wasexpelledfromtheHousein2002,followinghistrialand
convictionforconspiringtoviolatethebriberystatute(18U.S.C.§201),acceptance
of gratuities,obstruction of justice, conspiracyto defraud the UnitedStates, ling
false federal income tax returns, and racketeering.
63
Since the establishment of
thisCommittee,four Members havebeen censured bythe House after Committee
investigations,andsevenhavebeenreprimanded.Inaddition,theCommitteehas
issuedvepubliclettersofreproval,withoutrecommendingactionbythefullHouse,
andhaspubliclyadmonishedseveralotherMembersfortheirconduct.TenMembers
lefttheHouseafterchargeswerebroughtbytheCommitteeorcourtconvictionswere
returnedbutbeforeHouseactioncouldbeconcluded.
Conduct Reecting Creditably on the House
AMember,Delegate,ResidentCommissioner,ofcer,oremployee
oftheHouseshallconducthimselfatalltimesinamannerthatshall
reectcreditablyontheHouse.[HouseRule23,clause1.]
Members,ofcers,andemployeesoftheHousemustobservethebroadethical
standardsarticulatedin theCodeofOfcial Conduct(Rule23)of theRulesofthe
HouseofRepresentatives.Themostcomprehensiveprovision,Clause1,statesthat
a“Member,Delegate,ResidentCommissioner,ofcer,oremployeeoftheHouseshall
conducthimselfatalltimesinamannerthatshallreectcreditablyonthHouse.”
IninterpretingClause1oftheCodewhenrstadopted,theSelectCommittee
onStandardsofOfcialConductofthe90
th
Congressnotedthatthisstandardwas
included within the Code to deal with “agrant” violations of the law that reect
on“Congressasawhole,”andthatmightotherwisegounpunished.
64
Duringoor
debateprecedingtheadoptionoftheCode,however,RepresentativePriceofIllinois,
Chairman of the Select Committee on Standards of Ofcial Conduct, rejected the
notionthatviolationsoflawaresimultaneousviolationsoftheCode:
The committee endeavored to draft a code that
would have a deterrent effect against improper conduct
andatthesametimebecapableofenforcementifviolated.
62
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative Michael J.
Myers,H.Rep.96-1387,96
th
Cong.,2dSess.(Sept.24,1980).
63
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative James A.
Tracant, Jr.,H.Rep.107-594,107
th
Cong.,2dSess.,Vols.I-VI(July19,2002).
64
HouseComm.onStandardsofOfcialConduct,Report under the Authority of H. Res. 418,
H.Rep.1176,90
th
Cong.,2dSess.17(1968).
General Ethical Standards 13
Initially the committee considered making violations of
lawsimultaneousviolationsofthecode,butsuchadirect
tie-ineventuallywasruledoutforthereasonthatitmight
openthedoortostampedesforinvestigationofeveryminor
complaint or purely personal accusation made against a
Member.Atthesametimetherewasaneedforretaining
theabilitytodealwithanygivenactoraccumulationofacts
which,inthejudgmentofthecommittee,aresevereenough
toreectdiscreditontheCongress.Statedpurposefullyin
subjectivelanguage,thisstandard[clause1]providesboth
assurances.
65
Later in the oor discussion, another member of the Select Committee,
Representative Arends of Illinois, emphasized that the committee intended the
proposedrulestofocusonofcial,ratherthanpersonal,conduct:
[T]he Congress has the constitutional right to determine
itsownrules.Andthisright,too,hasitslimitations.The
rulesareapplicableonlyinconnectionwiththeoperation
of the Congress itself. Somehow a line must be drawn
as betweenwhat is personal conduct andwhat is ofcial
conduct.
66
Duringthe110
th
Congress,theHouseadoptedHouseResolution451,
67
whichprovided
that
[W]heneveraMemberoftheHouseofRepresentatives,
includingaDelegateorResidentCommissiontotheCongress,
is indicted or otherwise informally charged with criminal
conduct in a court of the United States or any State, the
CommitteeonStandardsofOfcialConductshall,notlater
than30daysafterthedateofsuchindictmentorcharge—
(1) empanel an investigative subcommittee to
reviewtheallegations;or
(2) if the Committee does not empanel an
investigative subcommittee to review the allegations,
submit a report to the House describing its reasons for
65
114Cong. Rec.8778(Apr.3,1968).
66
114Cong. Rec.8785(Apr.3,1968).
67
153Cong. Rec. 7331 (June27,2007).
14 HOUSEETHICSMANUAL
not empanelling such an investigative subcommittee,
togetherwiththeactions,ifany,theCommitteehastaken
inresponsetotheallegations.
TheresolutionmandatessomeactionbytheCommittee(eitherareporttothe
Houseortheempanelmentofaninvestigativesubcommittee)wheneveraMember
is charged with criminal conduct, and does not distinguish between felony and
misdemeanorcriminalcharges.
To date, the Committee or the House has invoked Rule 23, clause 1, in
investigatingordiscipliningMembersfor:
• Failuretoreportcampaigncontributions
68
andmakingfalsestatementstothe
Committee
69
inconnectionwiththeKoreanInuenceInvestigation;
70
• Criminalconvictionsforbribery
71
oracceptingillegalgratuities;
72
• Criminal convictions for conspiring to violate the federal bribery statute,
acceptanceofgratuities,obstructionofjustice,conspiracytodefraudtheUnited
States,lingfalsefederalincometaxreturns,andracketeering;
73
• Inatingthesalariesofcongressionalemployeesinordertoenablethemtopay
theMember’spersonal,political,orcongressionalexpenses;
74
68
House Comm. on Standards of Ofcial Conduct, In the Matter of Representative John J.
McFall, H. Rep. 95-1742,95
th
Cong., 2d Sess.2-3 (1978) (Count1); House Comm. on Standardsof
OfcialConduct,In the Matter of Representative Edward R. Roybal,H.Rep.95-1743,95
th
Cong.,2d
Sess.2-3(1978)(Count1).
69
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative Charles H.
Wilson (of California),H. Rep.95-1741,95
th
Cong.,2dSess.4-5(1978);H. Rep.95-1743,supra note66,
at3-4(Counts3-4).
70
See124Cong. Rec.36976-84,37005-17(Oct.13,1978)(Housereprimand).
71
HouseComm. on Standards of Ofcial Conduct, In the Matter of Representative John W.
Jenrette, Jr., H. Rep. 96-1537, 96th Cong.,2d Sess. 4 (1980) (Member resigned); House Comm. on
StandardsofOfcialConduct,In the Matter of Representative Raymond F. Lederer, H. Rep.97-110,
97th Cong., 1stSess. 4, 16-17 (1981) (Member resigned after Committee recommended expulsion);
H. Rep.96-1387,supranote61,at2,5(voteofexpulsion).Inanothercase,theCommitteeissueda
StatementofAllegedViolationconcerningbriberyandperjury,buttooknofurtheractionwhenthe
Member resigned (House Comm.on Standards of Ofcial Conduct, In the Matter of Representative
Daniel J. Flood,H.Rep.96-856,96thCong.,2dSess.4-16,125-126(1980)).
72
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative Mario Biaggi,
H.Rep.100-506,100
th
Cong.,2dSess.7,9(1988)(Memberresignedwhileexpulsionresolutionwas
pending);H. Rep.107-594,supranote63(voteofexpulsion).
73
H. Rep.107-594,supranote63.
74
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative Charles C.
Diggs, Jr.,H.Rep.96-351,96
th
Cong.,1stSess.(1979);see125Cong. Rec.21584-92(July31,1979)
(Membercensuredandrequiredtomakerestitution);see alsoHouseComm.onStandardsofOfcial
(con’t next page)
General Ethical Standards 15
• Acceptinggiftsfrompersonswithinterestinlegislationinviolationofthegift
rule(Rule43,clause4);
75
• EngaginginsexualrelationshipswithHousepages;
76
• MakingimpropersexualadvancestoaPeaceCorpsvolunteer;
77
• Writing a misleading memorandum that could have inuenced a personal
associate’sprobationandarrangingfortheimproperadministrativedismissal
ofparkingtickets;
78
• Engaginginapatternandpracticeofconductinwhichcampaignfundswere
convertedtopersonaluse;
79
• Violations of the House gift rule, the performance of campaign work in an
ofcialcongressionalofcebycongressionalemployeesonofcialtime,andthe
failuretomaintainadequaterecordstoverifythelegitimacyofexpendituresof
campaignfunds;
80
and
• Making statements that impugned the reputation of the House, failing to
cooperate fully with fact-nding being undertaken by the Chairman and
RankingMinorityMemberoftheCommitteeonStandardsofOfcialConduct,
threateningtoretaliateagainstafellowMemberbecauseoftheMember’svote
onparticularlegislation,andofferingapoliticalendorsementforarelativeofa
MemberinexchangeforvotebytheMemberinfavorofparticularlegislation.
81
Conduct,Summary of Activities, 100th Cong.,H.Rep.100-1125,100
th
Cong.,2dSess.15-16(1989)(In
the Matter of Delegate Fofo I.F. Sunia)(Memberandaidepleadedguiltytoconspiracytodefraudthe
governmentandresigned).
75
House Comm. on Standards of Ofcial Conduct, In the Matter of Representative Charles
H. Wilson (of California),H. Rep.96-930,96
th
Cong.2dSess.4-5(1980);see126Cong. Rec.13801-20
(June10,1980)(voteofcensure);formerHouseRule43cl.4.
76
HouseComm. on StandardsofOfcial Conduct, In the Matter of Representative Gerry E.
Studds,H.Rep.98-295,98
th
Cong.,1
st
Sess.(1983);HouseComm.onStandardsofOfcialConduct,In
the Matter of Representative Daniel B. Crane,H.Rep.98-296,98
th
Cong.,1
st
Sess.(1983);see129Cong.
Rec.H5280-95(dailyed.July20,1983)(Committeerecommendedreprimand;Housevotedcensure).
77
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative Gus Savage,
H.Rep.101-397,101
st
Cong.,2dSess.14(1990)(Committeepubliclydisapprovedconduct;noHouse
action).
78
House Comm. on Standards of Ofcial Conduct, In the Matter of Representative Barney
Frank,H.Rep.101-610,101
st
Cong.,2dSess.(1990)(MemberreprimandedbyHouse).
79
H. Rep.107-130,supranote61,at3-9(Member’sconductwasalsofoundtoviolateprovision
ofCodeofOfcialConductprohibitingconversionofcampaignfundstopersonaluseandprohibiting
expenditureofcampaignfundsthatarenotattributabletobonadecampaignorpoliticalpurposes.
SeeHouseRule23,clause6).
80
H. Rep.106-979,supranote61,at6-7.
81
House Comm.onStandardsofOfcialConduct,Investigation of Certain Allegations Related
to Voting on the Medicare Prescription Drug, Improvement, and Modernization Act of 2003,H.Rep.
(con’t next page)
16 HOUSEETHICSMANUAL
AreviewofthesecasesindicatesthattheCommitteehashistoricallyviewedclause1
asencompassingviolationsoflawandabusesofone’sofcialposition.
82
The Spirit and the Letter of the Rules
AMember,Delegate,ResidentCommissioner,ofcer,oremployee
oftheHouseshalladheretothespiritandtheletteroftheRulesofthe
Houseandtotherulesofdulyconstitutedcommitteesthereof.[House
Rule23,clause2.]
House Rule 23, clause 2, provides that Members, ofcers, and employees
shalladheretothespiritandtheletterofHouseandcommitteerules.TheSelect
CommitteeonStandardsofOfcialConductofthe90
th
Congressrecommendedthis
provision in part to emphasize “the importance of the precedents of decorum and
considerationthathaveevolvedintheHouseovertheyears.”
83
Beyondthisgenteelgoal,however,thedraftersdidassumethattherulewould
provideabasisforcongressionaldiscipline.AssummarizedbyChairmanPrice:
This standard was drafted also in general terms rather than
attempting to deal more specically with such things as unfair and
dilatorylegislativetactics.Itdidnotappearpracticabletothecommittee
toattempttoregulatetheseareasmoreclosely.Thisstandardshould
providetheHousethemeanstodealwithinfractionsthatrisetotrouble
it without burdening it with dening specic charges that would be
difculttostatewithprecision.
84
Thepracticaleffectof Clause2oftheCode hasbeen toprovideadevicefor
construingotherprovisionsoftheCodeandHouserules.Ithasbeeninterpretedto
meanthatMembers,ofcers,andemployeesmaynotdoindirectlywhattheywould
be barred from doing directly. Individuals should thusread House rulesbroadly.
TheSelectCommitteeonEthicsofthe95
th
Congresscitedthisprovisiontoshowthat
anarrowtechnicalreadingofaHouseruleshouldnotovercomeits“spirit”andthe
108-722,108
th
Cong.,2dSess.(Oct.4,2004).
82
Inoneothercase,theCommitteeneverreachedadeterminationastowhetherwhatisnow
codiedasRule23,clause1wouldencompassacriminalconvictionforcontributingtotheunruliness
of a minor and allegations of improper sexual advances to a congressional employee because the
MemberresignedpriortotheconclusionofthePreliminaryInquiry.SeeStaffofHouseComm.on
StandardsofOfcialConduct,In the Matter of Representative Donald E. Lukens,101
st
Cong.,2dSess.
(Comm.Print1990).
83
H. Rep.1176,supranote64,at17.
84
114Cong. Rec.8778(Apr.3,1968);see also114Cong. Rec.8799(statementofRepresentative
Teague,memberoftheHouseComm.onStandardsofOfcialConduct,90
th
Cong.).
General Ethical Standards 17
intentoftheHouseinadoptingthatandotherrulesofconduct.
85
InadditiontousingClause2asanaidtointerpretingotherHouserules,this
CommitteeciteditsviolationinrecommendingexpulsionfortwoMembersconvicted
inseparatecasesofbriberyinthe96
th
and97
th
Congresses,oneMemberconvictedof
acceptingillegalgratuitiesinthe100
th
Congress,
86
andoneMemberconvictedduring
the 107
th
Congress of conspiring to violate the bribery statute (18 U.S.C. § 201),
accepting gratuities, obstructing justice, conspiring to defraud the United States,
lingfalsefederalincometaxreturns,andracketeering.
87
Refraining From Legislative Activity After Conviction
OnApril16,1975,theHouseadoptedanamendmenttotheCodeofOfcial
Conductpertainingtoconvictions.Thatprovision,nowclause10ofRule23,states
that
AMember,Delegate,orResidentCommissionerwhohasbeenconvicted
byacourtofrecordforthecommissionofacrimeforwhichasentence
oftwoormoreyears’imprisonmentmaybeimposedshouldrefrainfrom
participationinthebusinessofeachcommitteeofwhichheisamember,
andaMembershouldrefrainfromvotingonanyquestionatameeting
oftheHouse orofthe Committee ofthe Whole Houseon the stateof
the Union, unless or until judicial or executive proceedings result in
reinstatementofthepresumptionofhisinnocenceoruntilheisreelected
totheHouseafterthedateofsuchconviction
TheCommitteecitedthisrulein2002inapublicly-releasedlettertoformer
Representative James A. Tracant, Jr., following Representative Tracant’s
convictioninafederaldistrictcourtoftenfelonycountsrelatedtopubliccorruption.
CitingHouseRule23,clause10,Representative Tracantwasadmonishedbythe
Committee that if he violated this provision he would risk disciplinary action by
the Committee and the House. The Committee advised Representative Tracant
that such disciplinary action would be in addition to any proceedings initiated in
connectionwithhiscriminalconvictions.TheCongressional Recordconrmedthat
otherthanduringavoteontheHouseoortopostponeavoteonaresolutiontoexpel
himfromthe House,RepresentativeTracant did notvote in theHouse after the
dateofhiscriminalconvictions.
85
SeeHouseSelectComm.onEthics,Advisory Opinion No. 4,includedasanappendixtoH.
Rep.95-1837,supranote29,at61,andintheappendicesofthisManual.
86
H. Rep.96-1387,supranote62,at5;H. Rep.97-110,supranote71,at16n.8;H.Rep. 100-
506,supranote72,at7.
87
H.Rep.107-594,supranote63.
18 HOUSEETHICSMANUAL
ThisCommittee’sreportonthemeasurenotedthattheCommitteewillnot,
asarule,takeactiononacomplaintofastatutoryviolationbyaMemberwhilethe
authoritieschargedwiththestatute’senforcementarepursuingthecase.However,
wherethecaseraisesallegationsofabuseofofcialpositionorwherelawenforcement
authoritiesdonotappeartobeacting“expeditiously,”theCommitteemaychoosenot
todefer:
[W]hereanallegationisthatonehasabusedhisdirectrepresentational
or legislative position — or his “ofcialconduct” hasbeen questioned
— the committee concerns itself forthwith, because there is no other
immediate avenue of remedy. But where an allegation involves a
possibleviolation ofstatutorylaw,andthe committeeis assuredthat
the charges are known to and are being expeditiously acted upon by
the appropriate authorities, the policy has been to defer action until
thejudicialproceedings haveruntheir course.This isnotto saythe
committee abandons concern in statutory matters — rather, it feels
it normally should not undertake duplicative investigations pending
judicialresolutionofsuchcases.
88
Evenifthejudicialprocesshasnotentirelyrunitscourse,suchaswhenappeals
arepending,theHousemaytakenoticeofguiltypleasorverdictsagainstaMember,
sincetheMembercannotatthatpointclaimthepresumptionofinnocence.Asthe
Committeereportnoted:
FortheHousetowithholdanyactionwhateveruntilultimatedisposition
ofajudicialproceedingcouldmean,ineffect,thebarringofanylegislative
branchaction,sincetheappealsprocessesoftendo,orcanbemadeto,
extendoveraperiodlongerthanthetwo-yeartermoftheMember.
Since Membersof Congress are not subjectto recall . . .public
opinioncouldwellinterpretinactionasindifferenceonthepartofthe
House.
TheCommitteerecognizesaverydistinguishablelinkinthechain
of due process — that is, the point at which the defendant no longer
hasclaimtothepresumptionofinnocence.Thispointisreachedina
criminalprosecutionuponapleaofguiltyoruponconvictionbyajuryor
byajudge(orjudges)ifjurytrialiswaived.Itistothiscondition,and
onlytothiscondition,thattheproposedresolutionisdirected.
89
88
HouseComm.onStandardsofOfcialConduct,Policy of the House of Representatives with
respect to Actions by Members Convicted of Certain Crimes,H.Rep.94‑76,94
th
Cong.,1
st
Sess.2(1975).
89
Id.
General Ethical Standards 19
Wherethegravamenofthechargesisabuseofofcialposition,thefullHouse
may choose to take disciplinary action against a Member even though all appeals
in the criminal processhavenot been exhausted.
90
Thus, whileaCommittee rule
compelstheCommitteetoundertakeaninquiry“withregardtoanyfelonyconviction
ofaMember,ofcer,oremployeeoftheHouseofRepresentativesinaFederal,State,
orlocalcourtwhohasbeensentenced,”
91
underthesamerule,theCommitteehasthe
discretiontoinitiateaninquiryatanytimepriortoconvictionorsentencing.
92
Code of Ethics for Government Service
TheCodeofEthicsforGovernmentServicearticulatesbroadethicalguidelines
for“allGovernmentemployees,includingofceholders.”The85
th
Congressadopted
this Code in 1958.
93
Among other things, the Code stresses that any person in
governmentserviceshould:
• Adheretothehighestmoralprinciples;
• Giveafullday’slaborforafullday’spay;
• Neverdiscriminateunfairlybydispensingspecialfavors;
• Never accept favors or benets that might be construed as inuencing the
performanceofgovernmentalduties;
• Makenoprivatepromisesbindingonthedutiesofofce;
• EngageinnobusinesswiththeGovernmentinconsistentwiththeperformance
ofgovernmentalduties;
• Never use information received condentially in the performance of
governmentaldutiesformakingprivateprot;and
• UpholdtheConstitution,laws,andlegalregulationsoftheUnitedStatesand
ofallgovernmentsthereinandneverbeapartytotheirevasion.
The Code of Ethics for Government Service was adopted as a concurrent
resolution expressing the “sense of Congress,”
94
rather than as a statute. This
90
See H. Rep.96-351,supra note74;H. Rep.96-1387,supranote62.Inseveralothercases,
MembersresignedafterconvictionbutbeforetheHousecouldact.See H. Rep.96-1537,supranote71;
H.Rep.97-110,supranote71;H.Rep.100-506,supranote72;HouseComm.onStandardsofOfcial
Conduct,Summary of Activities,101
st
Cong.,H.Rep.101-995,101
st
Cong.,2dSess.12-13(1990)(In the
Matter of Representative Robert Garcia);see alsoH.Rep.107-594,supranote63.
91
Comm.Rule18(e).
92
Id.
93
Seenote2,supra.
94
L.Deschler&W.Brown,Procedure in the U.S. House of Representatives,97
th
Cong.,2dSess.
(con’t next page)
20 HOUSEETHICSMANUAL
Committeehasconcluded,however,thattheethicalpreceptssetforthinthiscode
“represent continuing traditional standards of ethical conduct to be observed by
MembersoftheHouseatalltimes.”
95
FormalchargesmaybebroughtagainstMembersoftheHouseforviolating
this code. Among the violations charged against former Representative Tracant
duringthedisciplinaryproceedingsthatledtohisexpulsionwasthatheviolatedthe
requirementoftheCodeofEthicsforGovernmentServicethatMembersupholdthe
lawsoftheUnitedStatesandneverbeapartytotheevasionofthoselaws.
96
In another
instance,theHousereprimandedaMemberbasedonchargesconcerninghisuseof
hisofcial position forpecuniary gainandreceipt ofbenets undercircumstances
thatmighthavebeenconstruedasinuencingofcialduties.TheretheMembertook
ofcialactionsthatenhancedthevalueofhispersonalnancialholdings.
97
In another
matter,theHousereprimandedaMemberfoundresponsibleforpermittingofcial
resourcestobedivertedtohisformerlawpartner(byallowinghimuseofgovernment
furniture, photocopy services,supplies,and long distance telephone service over a
nine-yearperiod)inviolationofparagraph5oftheCodeofEthicsforGovernment
Serviceand31U.S.C.§1301(a)(“[a]ppropriationsshallbeappliedonlytotheobjects
forwhichtheappropriationsweremadeexceptasotherwiseprovidedbylaw”).
98
Rules of Members, Ofcers, Supervisors, and Committees
The standards enforced by this Committee constitute a “oor” of minimally
acceptable behavior. Individual Members or supervisors may set more rigorous
standardsintheirownofces.Therefore,employeesoftheHouseshouldensurethat
theirbehaviorcomplieswithanyadditionalrules,regulations,orpracticesthatapply
tothespecicofceorunitwheretheywork.
Advisory Opinions
TheCommitteeonStandardsofOfcialConducturgesindividualstocallor
towritewithanyquestionsregardingtheappropriatenessofcontemplatedactivity.
House rules authorize the Committee “to give consideration to the request of any
Member, ofcer,oremployee of the House for an advisoryopinionwith respect to
thegeneralproprietyofanycurrentorproposedconductofsuchMember,ofcer,or
373,ch.24,§1.3(4thed.1982).
95
H. Rep.94-1364,supranote13,at3.
96
H.Rep.107-594,supranote63;see alsoCodeofEthicsforGovernmentService,supra note
2,at¶2.
97
H. Rep.94-1364,supranote13,at3;see alsoCodeofEthicsforGovernmentServiceat¶5.
98
HouseComm.onStandardsofOfcialConduct,In the Matter of Representatives Austin J.
Murphy,H.Rep.100-485,100
th
Cong.,1
st
Sess.(1987).
General Ethical Standards 21
employee.”
99
TheEthicsReformActof1989guaranteesthatnoonemaybeputin
jeopardybymakingsucharequest.Anyonewhoactsingoodfaithinaccordancewith
awrittenadvisoryopinionfromtheCommitteemaynotthenbeinvestigatedbythe
Committeebasedontheconductaddressedintheopinion,
100
andcourtsmayconsider
relianceonsuchanopinionadefensetoprosecutionbytheJusticeDepartment.
101
All
suchinquiriesandtheirresponseswillbekeptcondentialbytheCommittee.
99
HouseRule10,cl.4(e)(1)(D).
100
2U.S.C.§29d(i)(4);5U.S.C.app.4§504(b);Comm.Rule3(j)-(k).
101
See United States v. Hedges, 912 F.2d 1397, 1404-06 (11th Cir. 1990); 5 U.S.C. app. 4
§504(b).
22
HOUSE ETHICS MANUAL
GENERAL ETHICAL STANDARDS
GIFTS
TRAVEL
CAMPAIGN ACTIVITY
OUTSIDE EMPLOYMENT AND INCOME
FINANCIAL DISCLOSURE
STAFF RIGHTS AND DUTIES
CASEWORK
OFFICIAL ALLOWANCE
OFFICIAL AND OUTSIDE ORGANIZATIONS
APPENDICES
23
GIFTS
Throughoutthissectionandinothersections,thisguidancereferstothe“Gift
Rule.” The “Gift Rule” means the giftprovisions in the current Congress’sHouse
Rule25,clause5.
Why Have Limitations on Gifts?
ThefederalgovernmentandtheHouseofRepresentativeshavelongrecognized
that public ofce is a public trust.
1
The public has a right to expect that you are
impartialinperformingyourofcialdutiesandarenotinuencedbygiftsorfavors.
2
However, Congress also recognizes that you will be offered gifts that do not raise
anygenuineethicalconcerns,orthatcouldcauseneedlessembarrassmentorhurt
feelingsifdenied.
Thelimitationsongiftscomefrommanysources,includingtheConstitution,
federalstatutes,andtheHouseRules.
3
Thesesourcesplacelimitsonacceptinggifts,
1
CodeofEthicsforGovernmentService¶10,H.Con.Res.175,85thCong.,2dSess.,72Stat.
pt2,B12(1958).BoththeHouseandSenateconcurredthatallfederalgovernmentemployeesand
ofceholdersshouldfollowthiscode.
2
Id. at¶5.See also 135Cong. reC.H8764(dailyed.Nov.16,1989)(debateonEthicsReform
Act of 1989, quoting Paul Volcker, Chairman of the National Commission on the Public Service);
United States v. Podell,436F.Supp.1039,1042(S.D.N.Y.1977),aff’d 572F.2d31(2dCir.1978).
Over the years, both the House and Senate regularly recognized the concerns that arise
fromMembers,ofcers,andemployeesacceptinggifts.SpecialSubcomm.ontheEstablishmentofa
Comm’nonEthicsinGov’t,SenateComm.onLaborandPublicWelfare,82dCong.,EthicalStandards
in Government 23 (Comm. Print 1951) (“What is proper to offer to public ofcials, and what is it
properforthemtoreceive?...Evensmallgratuitiescanbesignicantiftheyarerepeatedandcome
tobeexpected....Thedifcultycomesindrawingthelinebetweentheinnocentorproperandthat
which is designing orimproper. At the moment adoubt arises as topropriety, theline should be
drawn.”); House Bipartisan Task Force on Ethics, 101st Cong. Report on H.R. 3660, 101st Cong.,
1stSess. 6(Comm Print1989),reprinted in 135 Cong. reC.30740, 30742(daily ed. Nov.21, 1989)
(hereinafter“Bipartisan Task Force Report”)(“Regardlessofanyactualcorruptionorundueinuence
uponaMemberoremployeeofCongress,thereceiptofgiftsorfavorsfromprivateinterestsmayaffect
publiccondenceintheintegrityoftheindividualandintheinstitutionoftheCongress.Legitimate
concernsoffavoritismorabuseofpublicpositionmayberaisedbydisclosureoffrequentorexpensive
giftsfromrepresentativesofspecialinterests,orvaluablegiftsfromanyoneotherthanarelativeor
personalfriend.”);S.Comm.onGov’tAffairs,CongressionalGiftsReformAct,S.Rep.No.103-255,
at3-4(1994)(“[I]tseemsappropriatetosingleoutregisteredlobbyistsandforeignagentsforspecial
treatment,becausethiscategoryincludespeoplewhoare,bydenition,inthebusinessofseekingto
inuencetheoutcomeofpublicpolicydecisions.Becauseregisteredlobbyistsandforeignagentsare
paid to inuence the actions ofpublic ofcials,including legislative branchofcials, their giftsare
uniquelysusceptibletotheappearancethattheyareintendedtopurchaseaccessorinuence.”).
3
GeneralstatutoryauthorityfortheHouseGiftRulecomesfrom5U.S.C.§7353.Thatstatute
givesthesupervisingethicsofcetheauthoritytoissuerulesorregulationsimplementingthestatute.
Id. at§(b)(1).TheCommitteeandtheHouseasawholearethesupervisingethicsofcefortheHouse.
Id. at(d)(1)(A).Therefore,theHousevotesontheGiftRuleatthebeginningofeveryCongressinthe
(con’t next page)
24 HOUSEETHICSMANUAL
butalsohaveexceptionstothoselimits.
4
HouseRules.ThecurrentHouseGiftRulecanbefoundinHouseRule25,clause5.Allprovisionsof
theGiftRuleareinterpretedandenforcedsolelybytheCommittee.HouseRule25,cl.5(h).
4
TheGiftRulehasgonethroughmanyiterationsovertheyears.Therstversionwasincluded
intherstHouseCodeofOfcialConductandapprovedin1968limitedgiftsfrompeoplewhohada
directinterestinlegislation.ThatversionlargelyremainedinplaceuntiltheBipartisanTaskForce
onEthicsreviewedtheruleandfoundit“oftenimpractical,ifnotimpossible”todetermineadonor’s
interestinlegislation.Bipartisan Task Force Report,135Cong. reC.30742;see also HouseComm’non
Admin.Review,FinancialEthics,H.R.Rep.No.95-73,at13-14(1977)(expressingsimilarconcernsand
recommendingchangestotheGiftRulethatultimatelywerenotincludedinthefollowingCongress’s
House Rules). The subsequent Ethics Reform Act of 1989, as amended by the Legislative Branch
AppropriationsActforscalyear1992,amendedtheruletoinsteadplaceanannualmonetarylimit
onmanygifts,with exceptionsfor giftsofminimal value,gifts fromrelatives,personal hospitality,
and“localmeals,”ratherthanrequiringadeterminationaboutthedonor’sinterestinlegislation.See
EthicsReformActof1989,Pub.L.101-194,§801(a),103Stat.1716,1771(1989),amended byPub.L.
102-90,§314(d),105Stat.447,469(1991).
In1995,theHouseoverhauledtheGiftRule,placingnew,signicantlimitsonthegiftsMembers,
ofcers,andemployeesmayaccept.H.R.Res.250,104thCong.(1995)(amendingHouseRule52toadd
GiftRulereforms);see also 141Cong.Rec.H13064-95(dailyed.Nov.16,1995);id. H13844-45(daily
ed.Nov.30,1995).TheHouseRulesCommitteecitedthreemainreasonsfortheGiftRulerevisions.
First,“aperceptionthatspecialinterestgroupsmaintainundueinuenceoverthelegislativeprocess,
andMembersofCongressaregrantedperquisitesandprivilegesunavailabletoaverageAmericans”
degradedthepublic’strustinCongress.Second,“Congress[had]fallenbehindtheexecutivebranchin
theareaofgiftreform.”Andthird,theSenatehadalreadyenactedacomprehensivegiftrulerevision
inJuly1995.Comm.onRules,AmendingtheRulesoftheHouseofRepresentativestoProvideforGift
Reform, H.R.Rep.No.104-337,at8(1995).Oneproponentdescribedthesubtleandproblematicways
thatgiftsfromlobbyistsbuyaccessandultimatelypowerthroughbuildinggoodwill.“Itcanmeanthe
differencebetweengettingyourcallsreturnedoryourlettertakenseriously,andthatcantranslateinto
millions,evenbillionsofdollars,attheexpenseofordinaryAmericanswhohavenolobbyiststorepresent
them.”To Limit the Acceptance of Gifts, Meals, and Travel by Members of Congress and Congressional
Staff, and for Other Purposes: Hearing on S. 885 Before the Subcomm. on Oversight of the Senate of the
S. Comm. on Gov’t Affairs,103dCong.,5-6(1993)(statementofSen.Lautenberg).TheHousemadea
fewchangestotheGiftRulebetweenthe104thand108thCongresses,includingprovisionsaddressing
giftsvaluedbelow$50,perishablefoodssenttoHouseofces,andtraveltocharityevents.See H.R.
Res.9,106thCong.(1999);145Cong.Rec. H208-211(dailyed.Jan.6,1999)(addingthelessthan$50
limittomirrortheSenategiftrule);H.R.Res.5,108thCong.(2003)(addingrulesrelatedtohowto
allocateperishablefoodandacceptingtraveltoattendcharityevent).
Inthe110thCongress,theHouseamendedtheGiftRuleinthewakeofseveralpubliccorruption
investigationsandprosecutions.TheamendmentstotheGiftRuleincluded1)prohibitinggiftsunder
$50fromregistered federallobbyists, agentsofaforeignprincipal(“foreignagent”), andthe private
entitiesthatemployorretainregisteredfederallobbyistsorforeignagents;2)limitinginvolvementby,
andthelengthoftripssponsoredby,registeredfederallobbyists,foreignagents,andprivateentities
thatemployorretainregisteredfederallobbyistsorforeignagentsforprivately-sponsored,ofcially-
connectedtravel;3)requiringtheCommitteetopre-approveallprivately-sponsored,ofcially-connected
travel;4)instructionsonhowtovaluetickets;and5)clarifyingeventsforwhichfreeattendancemay
beaccepted. H.R. Res.6,110th Cong(2007);H.R. Res.437, 110thCong.(2007); see also 153Cong.
Rec.H23(dailyed.,Jan.4,2007)(statementofRep.StenyH.Hoyer)(“[T]hisrulespackageincludes
sweepingethicsreformsthatbegintoaddresssomeofthemostegregioustransgressionsoftherecent
past.”).
Gifts 25
What is a Gift?
Agiftissomethingwithmonetaryvalueforwhichyoudonothavetopay.Gifts
includegratuities,favors,discounts,entertainment,hospitality,loans,forbearances,
services,training,travel expenses, in-kind contributions,advanced payments, and
reimbursementsafterthefact.
5
TheCommitteeonlyconsidersthefairmarketvalue
ofthegiftyoureceive,notwhetherthepersonororganizationofferingittoyoupaid
fullprice.
Example. Yourfriendinvitesyoutoplaygolfatthecountryclubwhere
your friend is a member. The club’s rules state that guests of club
membersdonotpayanyfee.Theroundofgolfisstillagifttoyou.The
valueiswhatthecountryclubgenerallychargesforaroundofgolf.To
determinewhetheryoumayacceptthegift,pleaseseeExceptionstothe
GiftRuleforPermissibleGifts(page36).
Ifyourspouseordependentchildaccompaniesyoutoaneventwhereamealor
refreshmentsareoffered,onlythemealorrefreshmentsyoureceiveisagift.
6
Giftscanbetangibleandintangible.Examplesofintangiblegiftsinclude,but
arenotlimitedto,discounts,forbearances,belowfairmarketinterestrates,selling
propertyformorethanitsmarketvalue,purchasingpropertyforlessthanitsfair
marketvalue,andreceivingcompensationthatisgreaterthanthefairmarketvalue
oftheservicesyouprovided.
How to Value a Gift?
Tangiblegiftsaregenerallyvaluedattheitem’sfairmarketvalue,evenifthe
itemis not typicallyfor sale. Fair market valueis the item’sretail price,notthe
wholesaleprice,orthereasonableestimateofanitem’scostifitwereavailablefor
sale.Youmayusethelowestpriceavailabletothegeneralpublictovalueagift.
Giftsthatareofferedatthesametimefromthesamepersonmustbeaggregated
todeterminevalue.
Example. Youattendedanawardsgalaandattheendoftheevent,the
eventorganizerhandedoutagiftbag.Insidethegiftbagwere5items,
eachworth$10.Thegift’stotalvalueis$50.
TheCommitteehasdifferentformulastovalueticketstoeventsandhonorary
5
HouseRule25,cl.5(a)(2)(A).
6
HouseRule25,cl.5(a)(2)(B)(ii).
26 HOUSEETHICSMANUAL
memberships.
• Thefacevalueofatickettoasportingeventorshowistheticket’sfairmarket
value.
7
Iftheticketdoesnothaveapriceprintedonit,thevalueisthehighest
pricedticketforthatevent,inthatvenue,ontheprimarymarket.
• Thevalueofticketstocharityorpoliticalfundraisersisthevalueofthemeal.
8
Thecosttothepurchaserisnottheticket’svalue.
• Thevalueofhonorarymembershipsisthetotaloftheorganization’snormal
initiationfee,periodicdues,andusagecharges.Thevaluedoesnotchangeif
youdonotusethemembership.
Thevalueofanintangiblegift,suchasadiscountorabelow-marketinterest
rate,isthedifferencebetweenthemarketrateandwhatyouareaskedtopay.
Example. Yourrstcousinofferstohelpyoupayforlivingexpenses.
Yourcousiniswillingtoloanyouthemoneyyouneedat0%interestif
youpayyourcousinbackinayear.Theprevailinginterestrateis3%.
Thegifttoyouwouldbe3%interestforthatyear.Youmayacceptthe
loanfromyourrstcousinasagiftfromarelative.
Attendance at a meeting or informational brieng generally does not have
monetary value. But during that meeting or brieng, you may be offered a meal
or packet of informational materials that does have monetary value. Please see
Exceptions to the Gift Rule for Permissible Gifts (page 36) to determine whether
youmayacceptthoseadditionalgifts.
Who is Subject to the Gift Rule?
The House Gift Rule applies to all Members, Delegates, the Resident
Commissionerof PuertoRico,ofcers, andemployeesof theHouse.
9
“Ofcersand
employees”includeanyindividualwhosepayisdisbursedbytheChiefAdministrative
Ofcer and those individuals providing services to the House under consultant
contracts.
10
The Gift Rule applies equally to full time and part time employees,
7
HouseRule25,cl.5(a)(1)(B)(ii).
8
SelectComm.onEthics,Final Report,H.R.Rep.No.95-1837,at9(1979).
9
HouseRule23,cl.4;HouseRule25,cl.5(a)(1)(A)(i).Forthepurposesofallguidanceinthe
EthicsManual,theterm“Members”includesallMembers,Delegates,andtheResidentCommissioner
ofPuertoRico.
10
HouseRule23,cl.19.
Gifts 27
employees in district ofces and in the Washington, DC ofces, permanent and
temporaryemployees,andemployeesonLeaveWithoutPaystatus.
Internswhoare notpaidby theHouseandfellowswhoarenot paidbythe
House are not House employees. Detailees, except in limited circumstances, are
alsonotHouseemployees.
11
TheCommitteerecommendsthateachofceusingthe
servicesofanon-Houseemployeestillrequirethenon-Houseemployeetoadhereto
alltheHouseRulestoprotecttheintegrityoftheHouse.
InternsandfellowswhoarepaidbytheHouse,includingthroughtheHouse
PaidInternshipProgram,theWoundedWarriorProgram,andtheGoldStarFamily
Fellowship,
12
areHouseemployees.TheHousePaidInternshipProgramisavailable
at https://cha.house.gov/member-services/house-paid-internship-program. The
Wounded Warrior Program is available at https://cao.house.gov/wounded-warrior.
TheGoldStarFamilyFellowshipisavailableathttps://cao.house.gov/gold-star.
Members-electaresubjecttotheGiftRulewhentheirpayandallowancesbegin.
ForMemberselectedinaregularelection,payandallowancesbeginatthestartof
thenew Congress. ForMemberselectedina specialelection, payand allowances
beginthedayafterthespecialelection.
Generally the Gift Rule does not apply to spouses and family members of
Members,ofcers,andemployees.However,thegiftsthey,oranyoneelse,receive
maybesubjecttotheGiftRuleif
• theMember,ofcer,oremployeeknewaboutandagreedtothegift;and
• the Member, ofcer, or employee has reason to believe the gift was given
becauseoftheMember,ofcer,oremployee’sofcialposition.
13
Example. Yourchildisgettingmarried.A lobbyistyou’ve metwith
manytimes,butwhodoesnotknowyourchildpersonally,offerstohelp
payforthecateringcostsatthewedding.Thisgiftwasofferedbecause
ofyourofcialpositionandissubjecttotheGiftRule.
Example.Yourspouseisanaward-winningauthor.Yourspouse’slatest
workisnominatedforaprestigiousaward,andyourspouseisinvitedto
11
See 2U.S.C.§72a(f).DetaileesshouldcontacttheirDesignatedAgencyEthicsOfcialfor
giftquestionsrelatingtodetaileespersonally.AnyquestionsthatrelatetotheofceortheMember,
however,arestillgovernedbytheHouseRules.
12
For more information about the Gold Star Family Fellowship, please call the Chief
AdministrativeOfcer(CAO)at202-226-1965.
13
HouseRule25,cl.5(a)(2)(B)(i).
28 HOUSEETHICSMANUAL
attendtheawardsdinneratnocost.Thisgiftwasofferedtoyourspouse
becauseofyourspouse’sachievementsandisnotsubjecttotheGiftRule.
Example. A friend offered you two tickets to a baseballgame. You
cannot attend the game. You ask your friend to offer the tickets to
yourchild’st-ballcoachinstead.Becauseyouknewaboutthegiftand
suggestedtowhomtoofferthegift,thebaseballticketsaresubjectto
theGiftRule.
TheGiftRuleappliestoMembers,ofcers,andemployeesatalltimes,even
duringlapses inappropriations orif youare onLeave WithoutPay status,family
leave,annualleave,sickleave,oradministrativeleave.
14
Source of a Gift
Whoprovidesthegiftisjustasimportantaswhatthegiftisandwhyitwas
given.Itisyourresponsibilitytodeterminewhothesourceofthegiftis.Ifaperson
isusingtheirownpersonalfundstoprovideyourgift,thatpersonisthegift’ssource.
But,if thepersonwillbereimbursed orreceive ataxdeduction foryour gift,that
personisnotprovidingapersonalgift.Ifacompany,foreigngovernment,ordomestic
government ultimately pays for your gift, that company, foreign government, or
domesticgovernmentisthegift’ssource.Ifsomeoneismerelypassingalongagift
fromanotherperson,thepersonpassingalongthegiftisnottherelevantsource.
Ifapersonafliatedwithacompanygivesyouagift,boththepersonandthe
companyarethegift’ssources.
Example. Yourbestfriend’sfatherworksforacompanywithacorporate
apartment.The company allowsits employees tostay there whilein
townforbusiness,butnotforanypersonalusesuchasavacation.The
company instructs your best friend’s father to offer the apartment to
youthenexttimeyouareintown.Thecompany,notyourbestfriend’s
father,isthegift’ssource.
Ifmultiplepeopleororganizations giveyouagift,thegift isfromallof the
sourcescollectively.Youmaynotdividethevalueofagiftbetweensourcestotryto
tthegiftintoanexceptiontotheGiftRule.
Example. Two nonprot organizations that do not employ or retain
registeredfederallobbyistsgiveyouagiftworth$70.Youmaynotdivide
14
See Comm.onEthics,Ethics Guidance Related to Operations During a Lapse in Appropriations
(Jan.19,2018).
Gifts 29
thegift’svaluebetweentheorganizationstosayeachorganizationgave
youagiftworth$35.Thegift’stotalvalueis$70.
Recipient of a Gift
Youmustlooktotheintentionsofthegift’sdonortodeterminewhoisthegift’s
“recipient.”Ifsomeonebringsagiftandsaysitis“fortheofce,”thenthegiftwillbe
consideredagifttoeveryoneintheofcewhotakesadvantageofthegift.Ifsomeone
bringsagiftandsaysitisforaparticularperson,evenifthatpersonshareswith
others,thegiftisagiftjusttotheoriginalrecipient.
Example. Aconstituentorderspizzafortheofce.Theemployeeswho
eatthe pizzaarethe gift’srecipients. SeeNo ThankYou Gifts(page
30) and Exceptions to the Gift Rule for Permissible Gifts (page 36)
forwhetherstaffcanacceptthepizza.
Example. Anorganization sendsabox ofits sampleproductsto the
Member.Eventhoughthebox’scontentscanbeseparated,becausethe
boxwasaddressedtotheMember,theMemberistherecipient.
Do Not Ask for a Gift
Youmaynotaskforagiftforyourselforsomeoneelse.
15
Evenifyouwould
otherwisebeabletoacceptthegift,youmaynotacceptthegiftifyouorsomeoneelse
askedforit.Thisrestrictionappliestoanythingthatmaybenettheofceoryou,
personally.TheCommitteedoesnotapplythisrestrictiontorequestinggiftsfrom
relativesorestablishingagiftregistryforaspecialoccasion,ifthegiftsarenotfor
ofcialactivities.
Example (Impermissible). Youwereinvitedonaprivately-sponsored
trip.Youcannotgo,butyourcolleaguecanandisinterested.Youask
thetripsponsortoinviteyourcolleagueinstead.Becauseyouaskedfor
thegift,yourcolleaguemaynotacceptit.Youmay,however,tellthe
15
5U.S.C.§7353(a).Specically,youmaynotsolicitanythingofvaluefromsomeonewhois
seekingofcialactionfromordoingbusinesswithCongress,orwhoseinterestsmaybeimpactedby
yourofcialduties.Thisprohibitiondoesnotincludesolicitationsforcampaigncontributions.See 136
Cong.Rec.H1647(dailyed.Apr.24,1990)(regardingtechnicalcorrectionstotheEthicsReformActof
1989);Comm.onEthics,Member, Ofcer, and Employee Participation in Fundraising Activities (May
2,2019).Membersandstaffmayassistwithfundraisingtobenetpoliticalorganizationsregistered
undersection527oftheInternalRevenueCode,includingfederalandstatepoliticalorganizations.
Members and staff may also fundraise directly for state level ballot measure committees that are
qualiedunderstatelaw,butnotfundraiseforanorganizationthatintendstodonateallorsomeofits
proceedstoastatelevelballotmeasurecommittee.Comm.onEthics,Member, Ofcer, and Employee
Participation in Fundraising Activities.
30 HOUSEETHICSMANUAL
tripsponsorthat you arenolonger the correctcontact,but that your
colleaguenowhandlestherelevantmatters.
Example (Impermissible). You are out of the ofce when a group
comestoyourofcewithstressballsforeveryone.Yourdeskmateasks
ifthegroupcouldleaveoneforyou.Becauseyourdeskmateaskedfor
thegift,youmaynotacceptit.
Example (Impermissible). Yourofceisthrowingafarewellpartyfor
oneofyourdepartingcolleagues.Youknowpeopleintheprivatesector
who might be willing to donate refreshments. You may not request
donationsfromthosepeople.
Example (Permissible).Youarebuyinganewhomeandneed$10,000
foryourdownpayment.Youmayaskyourparentsforthemoneyfor
thedownpayment,andyoumayacceptthegiftifyourparentsgiveyou
themoney.
Youmaybe able tohelpwith solicitation orfundraising efforts that benet
charitableendeavors. You mayalso beallowed tosolicit agift inconnection with
theCongressionalArtCompetition,theAppChallenge,orotherofcially-sanctioned
competitions.SeeMembers,Ofcers,andEmployeesParticipationinFundraising
ActivitiesandRequesttoSolicitforOfcially-SanctionedCompetitions.Theseforms
areavailableathttps://ethics.house.gov/forms.
No Bribes, Illegal Gratuities, or Thank You Gifts
AWarning.Peoplecananddofaceseverecriminalpenaltiesforviolatingthese
restrictions.
16
Membersaccusedofviolatingtheserestrictionshavealsobeenexpelled
fromtheHouseorresignedbeforeanalCommitteedecisionwasreached.
17
16
Punishments for bribery include a ne of up to three times the amount of the bribe,
imprisonmentuptofteenyears,anddisqualicationfromholdinganyfederalofce.See 18U.S.C.
§201(b).Punishmentsforseekingorreceivinganillegalgratuityalsoincludeaneandimprisonment
uptotwoyears.Id.at(c).
17
CongressmanDukeCunninghamresignedfromtheHouseafterpleadingguiltytoengaging
intaxevasionandcriminalconspiracytoviolate,amongotherthings,thebriberystatutethroughhis
acceptanceofawidevarietyofextravagantitemsandmillionsofdollars’worthofpayments,travel,and
otherbenets.Evenafterhisretirement,therewerecontinuingreportsconcerningpossibleviolations
ofHouserulesandstandards,includingthatheacceptedhotelrooms,limousines,andotherservices
inexchangeforperformingofcialacts.Information,United States vs. Randall “Duke” Cunningham,
No. 05-CR-2137 (S.D. Cal. 2005); Comm. on Standards of Ofcial Conduct, Summary of Activities,
109th Congress, H.R.Rep.No.109-744,at20(2007).
Although not prosecuted under the bribery statute, Congressman Robert Ney resigned
from the House after pleading guilty to conspiracy to commit honest services fraud, making false
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Gifts 31
You may not accept gifts offered in exchange for ofcial actions.
18
The
restrictionsapplytoofcialactionsyouareaskedtotakeinthefutureandinreturn
forofcialactionsyoualreadytook.Therestrictionsapplywhetheryouareengaging
in quid pro quo, orjustbeingofferedarewardforyourofcialactions.
19
Thegiftand
statements,andaidingandabettinghisformerchiefofstaff’spost-employmentrestrictions.Aspart
ofhispleaagreement,headmittedthathecorruptlysolicitedandacceptedtrips,meals,concertand
sportingtickets,thousandsofdollarsingamblingchips,andtensofthousandsofdollarsofcampaign
contributionsandin-kindcontributionswiththeintenttobeinuencedandinducedtotakeofcial
actions.PleaAgreementAttachmentA,United States v. Robert W. Ney, No.06-CR-272(D.D.C.2006);
Comm.onStandardsofOfcialConduct,Summary of Activities, 109th Congress, H.R.Rep.No.109-
744,at16-17(2007).
CongressmanJamesTracantwasexpelledfromtheHouseafterhewasconvictedofconspiracy
to violate the bribery statue by agreeing to and performing ofcial acts for various individuals in
exchange for free labor, materials, supplies, and equipment for use at his farm. United States v.
James A. Tracant, Jr.,368F.3d646(6th2004),aff’g no.4:01-CR-207(N.D.Ohio2002).Duringits
investigation,theCommitteestatedthatsomeofthoseofcialactsincludedinterveninginmatters
pending before federal and state authorities. The Committee found that Congressman Tracant’s
actionswere“ofthemostseriouscharactermeritingthestrongestpossibleCongressionalresponse”
andrecommendedthattheHouseadoptaresolutiontoexpelCongressmanTracant,whichtheHouse
did.Comm.onStandardsofOfcialConduct,In the Matter of Representative James A. Tracant, Jr.,
H.R.Rep.No.107-594,at2(2002);H.R.Res.495,107thCong.(2002);148Cong.Rec. H5375-5393
(dailyed.July24,2002).
In the 1980s,the Committee conductedmany investigations intoalleged bribes andillegal
gratuities.TheCommitteerecommendedexpulsionforCongressmanMarioBiaggiforacceptingfree
vacation trips from the creditor of a government contractor on whose behalf Congressman Biaggi
intervenedwithlocalauthorities.CongressmanBiaggiresignedbeforetheHousecouldact.Comm.
onStandardsofOfcialConduct,In the Matter of Representative Mario Biaggi, H.R.Rep.No.100-506
(1988).TheCommitteealsoinvestigatedthreeMembersonchargesofacceptingmoneyinexchange
forpromisingtoaidpurportedlywealthyforeignersseekingtoimmigratetotheUnitedStates,part
ofthe Department of Justice’s “ABSCAM” probe. See Comm. on Standardsof Ofcial Conduct, In
the Matter of Representative Michael J. Myers, H.R.Rep.No.96-1387(1980);Comm.onStandardsof
OfcialConduct,In the Matter of Representative John W. Jenrette, Jr.,H.R.Rep.No.96-1537(1980);
Comm.onStandardsofOfcialConduct,In the Matter of Representative Raymond F. Lederer, H.R.
Rep.No.97-110(1981).CongressmanMyerswasexpelledfromtheHouseandCongressmenJenrette
and Lederer resigned. See H.R. Res. 794, 96th Cong. (1980), reprinted in 126 Cong. reC. 28953-
28978(Oct.2,1980). Finally,the CommitteeinvestigatedCongressmanDanielFloodforreceiving
payments,eitherdirectlyorthroughanassistant,fromaseriesofindividualsoverave-yearperiod,
inexchangeforagreementstoattempttoinuencevariousgovernmentagencies.Comm.onStandards
of Ofcial Conduct, In the Matter of Representative Daniel J. Flood, H.R. Rep. No. 96-856, at 5-16
(1980).CongressmanFloodalsoresignedhispositionwiththeHouse.
18
See 5U.S.C.§7353(b)(2)(B);18U.S.C.§201.TheCommitteeisawareofrecentcourtdecisions
thatfurtherdenethetypesofofcialactionscoveredunder18U.S.C.§201.See e.g., McDonnell v.
United States, 576U.S.__, 136 S.Ct.2355 (2016); United States v. Jefferson,289F. Supp. 3d717
(E.D.V.A. 2017) (vacating a portion of Congressman Jefferson’s convictions following McDonnell v.
United States). The Department ofJustice enforces this statute; however, the Committee has the
authoritytoinvestigateactionsthatviolatetheHouseCodeofConduct,HouseRule23,clauses1and
2,evenifthoseactionsarenotprosecutedbytheDepartmentofJustice.
19
Briberyoccurswhenafederalofcial“directly,orindirectly,corruptly”receivesorasksfor
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32 HOUSEETHICSMANUAL
theofcialactionmusthaveaspeciclink.
20
Youmaystillacceptgiftsthatareexpressionsofgoodwillorgeneralappreciation
thatarenottiedtoaspecicofcialaction.
21
Youmayalsoaccepttokengiftsinthe
formofperishableitemslike homebakedgoods orowers,or decorativeitemsfor
displayintheofceordonatedtocharity.
22
Additionally,youmaynotreceiveanycompensationforassistingpeopleand
organizationsoutsidetheHousewithmattersbeforethefederalgovernment,orin
anyparticularmatterwherethefederalgovernmentisapartyorhasadirectand
substantialinterest.
23
Youalsomaynotsolicitoracceptanythingofvalue,including
campaign contributions, for helping someone get a federal position.
24
See Outside
EmploymentandIncome(page195)formoreinformationabouttheseprohibitions.
Example (Impermissible). AlobbyistoffersaMemberasubstantial
campaign contribution if the Member introduces certain legislation.
Thelobbyistviolatedthebriberystatutefortheoffer,andtheMember
wouldviolatethebriberystatuteiftheMemberaccepted.
Example (Impermissible). A Member introduces legislation and
manages the bill through passage solely because she believes it will
benetthecountry.Alawyeralsofavorsthelegislationbecauseitwill
benethisclients.ThelawyersendstheMemberabookvaluedatless
than$50withanotethatexpressesappreciationfortheMember’swork
“anythingofvaluepersonallyorforanyotherpersonorentity,inreturnfor...beinginuencedinthe
performanceofanyofcialact.”Id. at(b)(2)(A).Anillegalgratuityresultswhenanofcialdirectly
orindirectlyseeksorreceivespersonallyanythingofvalueotherthan“asprovidedbylaw...foror
becauseofanyofcialactperformedortobeperformed.”Id.at(c)(1)(B).Briberyrequiresaquid pro
quo, or“aspecicintenttogiveorreceivesomethingofvaluein exchange foranofcialact[,]”and
illegalgratuity“mayconstitutemerelyarewardforsomefutureactthatthepublicofcialwilltake
(andmayhavealreadydeterminedtotake),orforapastactthathehasalreadytaken.”United States
v. Sun-Diamond Growers, 526U.S.398,404-405(1999).
20
Sun-Diamond Growers, 526U.S.at405-408.
21
Atrue“gift”isa“voluntarytransfer”ofproperty,made“withoutcompensation.”Gift, Black’s
LawDictionary (11thed.2019).
22
ThisviewissimilartothatintheregulationsoftheExecutiveBranch’sOfceofGovernment
Ethics.See 5C.F.R.§2536.206(a)(2)(Example1).
23
HouseMembersandemployeesmaynotacceptcompensationforrepresentinganyonebefore
afederaldepartment, agency,ofcer, orcourt inanyparticularmatterinwhichtheUnitedStates
isa party or has a direct and substantial interest. 18U.S.C. § 203. Ofcersand employees have
similarrestrictionseveniftheyarenotreceivingcompensation.See 18U.S.C.§205.Thesestatutes
areadministeredbytheDepartmentofJustice,andanyadvicetheCommitteeprovidesaboutthese
statutesisadvisoryonly.
24
18U.S.C.§211.
Gifts 33
onthebill.TheMembermaynotacceptthebookfromthelawyerand
mustreturnittothelawyer.
Example (Additional Action Required). A constituent sends the
ofcialofceanemailaskingforassistancewithacaseworkmatter.In
theemail,theconstituentalsoofferstomakeacampaigncontribution
to the Member’s re-election campaign. The Member may not accept
thecampaigncontribution. Additionally,the Committeerecommends
theMemberorstaffcontacttheconstituenttolettheconstituentknow
the Member may not accept a campaign contribution associated with
caseworkoranyofcialactions.TheMembermayperformthecasework
aftercontactingtheconstituent.
Example (Additional Action Required). During the holidays a
tradeassociationsendaMemberafruitbasketwithanotethatsays,
“Seasons’Greetingstoyouandyourstaff.”Thegiftisnotconnectedto
anyofcialactionandmaybeacceptedifitmeetsoneoftheGiftRule
exceptions.
Example (Impermissible). AconstituentwhoservedontheMember’s
serviceacademynominationspanelwassomovedbytheexperiencethat
theconstituentofferedtogivetheMembertwowineglassesvaluedat
$40totaltotheMemberasathankyou.TheMembermaynotaccept
thewineglasses.
Example (Impermissible). AninternintheDCofcegaveaCapitol
tourto visiting constituents. Atthe end ofthe tour,the constituents
gavetheinterna$25giftcardtoalocalcoffeeshopasathankyou.The
intern must return the gift card to the constituents. The Committee
recommendsstaffwhooverseestheinternsensureinternsareawareof
theserules.
Example (Permissible). A caseworker in the district receives a
owerarrangementfromalocalowershop,sentbyaconstituentthe
caseworkerhelped.Theowerarrangementhasacardthatthanksthe
caseworkerforthecasework’ssuccessfuloutcome.Thecaseworkermay
accepttheowerarrangement.
Example. (Permissible). Following the successful outcome of a
casework matter, the constituent gives the caseworker a cake the
constituent baked themselves. The caseworker mayaccept thehome
bakedcake.
34 HOUSEETHICSMANUAL
Example (Permissible). Same example as above, but instead the
constituent embroidered the caseworker’s name on a small piece of
fabricfordisplayintheofcialofce.Thecaseworkermayacceptthe
embroideredfabricasatokendecorativeitem.
Example (Impermissible). A constituent writes to you asking for
aninternship inthe ofceandincludes anecktie withthe internship
application.Theconstituentownsasmallbusinessmakingandselling
similarneckties.Thenecktieisnotintendedfordisplayintheofcial
ofce,but rather foryou to wear. Youmay not acceptthe necktie in
connectionwiththeinternshiprequest.
Impermissible Gifts
Ifyoureceiveagiftyoumaynotaccept,youmusttaketheappropriateaction
toreturnorpayforthegift.Whichactionisappropriatedependsonthegift’snature.
Youroptionsarediscussedbelow.
Decline the Gift
If someone offers you a gift you either may not accept, or do not want to
accept,youmaysimplydeclinethegift.SeeGiftsfromForeignGovernmentsand
International Organizations (page 47) if a foreign government ofcial is offering
thegift.
Return Gift to Donor
Youmayalwaysreturnagifttothepersonwhogaveittoyou,whetherthegift
doesnotmeetanexceptiontotheGiftRule,oryousimplydonotwantit.Youshould
returntheitempromptly.
25
Ifthegiftcametotheofcialofce,pleasecontactthe
CommitteeonHouseAdministrationforwaystopayforreturnpostage.
Pay Fair Market Value
Ifyoureceiveagiftyoumaynotaccept,youmaypayfairmarketvalueforthe
giftandkeepit.
26
Ifyoupayfairmarketvalue,theitemwillnolongerbeagift,but
ratheracommercialtransaction.HowtheCommitteecalculatesfairmarketvalue
variesdependingonthegift.
27
SeeHowtoValueaGift(page25)todeterminewhat
25
TheGiftRulerestrictionsdonotapplytoanythingaMember,ofcer,oremployeedoesnot
useandpromptlyreturnstothedonor.HouseRule25,cl.5(a)(3)(A).
26
The Gift Rule doesnot apply to anything for whicha Member, ofcer, oremployee pays
marketvalue.HouseRule25,cl.5(a)(3)(A).
27
Generally,theCommitteelookstowhatwouldbeareasonablepriceforsomethingsimilar
inanarms’-lengthtransaction.Anydifcultytherecipientmayhaveinpayingthefairmarketvalue
(con’t next page)
Gifts 35
amountyoushouldrepay.
Perishable or Unreturnable Gifts
Ifyoureceiveagiftyoudonotwishtopayforandisimpracticabletoreturn
becauseitisperishable,youmaydonatethegifttoacharityorthrowitaway.
28
You
mayalsodonateatangibleitemorthrowitawayifyouhavemadeeveryeffortto
returnitandyoucannotndthedonor.
29
Donatingordestroyinganon-perishable
tangiblegiftisanextrememeasure.Youshouldmakeeverypossibleefforttoreturn
thegiftrst.
Ifyoureceivecashthatyoucannotreturn,despiteeveryeffort,youmustsend
ittotheU.S.Treasury. Please contacttheCommitteefor instructionsonsending
cashtotheU.S.Treasury.
General Gift Rule Provisions
TheGiftRulestartswiththepremisethatyoumaynotacceptagiftunless
itmeetsanexceptiontotheGiftRule.
30
BoththeGiftRuleandothersources,such
as the Foreign Gifts and Decorations Act (FGDA) and the Mutual Education and
CulturalExchangeAct(MECEA),providemanyexceptions.Agiftonlyneedstomeet
oneexceptionforyoutoacceptit.
31
Even if you may be able to accept a gift under a technical reading of any
exceptiondiscussedbelow,youshouldstillbemindfulofthemotivesbehindanygift.
Youshouldalwaysexercisediscretionandbecarefultoavoideventheappearanceof
improprietywhenacceptingagift.
32
isnotafactorindetermininghowmuchwouldneedtoberepaid.See Comm.onEthics,In the Matter
of Allegations Relating to Representative Jean Schmidt,H.R.Rep.No.112-195,at19(2011).
28
HouseRule25,cl.5(a)(6).
29
HouseRule25,cl.5(a)(6);Comm.onEthics,In the Matter of Ofcially-Connected Travel by
House Members to Azerbaijan in 2013,H.R.Rep.No.114-239,at10-11(2015).
30
HouseRule25,cl.5(a)(1)(A)(i).
31
Forexample,ifyoumayacceptabookundertheinformationalmaterialsexception,youmay
acceptthatbookevenifthefairmarketvalueismorethan$50.Becausethebookmeetstheexception
forinformationalmaterials,youwouldnotalsohavetoapplytheexceptionforgiftslessthan$50and
thatbookwouldnotcounttowardstheannuallimitoflessthan$100thatgoeswiththelessthan$50
perinstanceexception.
32
TheOfceCodeofConductfortheHouseprohibitsMembers,ofcers,andemployeesfrom
receivinganybenet“byvirtueofinuenceimproperlyexertedfromthepositionofsuchindividual
inCongress.”HouseRule23,cl.4.Additionally,theCodeofEthicsforGovernmentServicestates
youshould“neverdiscriminateunfairlyby thedispensingofspecialfavors orprivilegesto anyone,
whetherforremunerationornot;andneveracceptfor[yourself]or[your]family,favorsorbenets
undercircumstances[that]mightbeconstruedbyreasonablepersonsasinuencingtheperformance
(con’t next page)
36 HOUSEETHICSMANUAL
Youshouldconsiderthefollowingfactorswhendecidingwhethertoaccepta
gift.
• WhetherthegiftmeetsanexceptiontotheGiftRule
33
• Sourceandvalueofthegift
• Frequencyofgiftsfromonesource
• Possiblemotivesofthedonor
• Possibleconictsofinterestwithofcialduties
34
• WhetheracceptingthegiftviolatesthespiritoftheGiftRule
35
Exceptions to the Gift Rule for Permissible Gifts
TheexamplesprovidedinthissectionarespecictoeachGiftRuleexception
beingdiscussed.Ifanexample’sconclusionisthatyoumaynotacceptthegift,the
analysisislimitedtotheexceptionbeingdiscussedonly.Youmaybeabletoaccept
thegiftunderadifferentexceptiontotheGiftRule.
YoumayneedtoreportgiftsonaFinancialDisclosureStatementorForeign
GiftsandDecorationsActform.InformationaboutFinancialDisclosureStatements
is available at https://ethics.house.gov/nancial-disclosure. The Foreign Gifts and
DecorationsActformisavailableathttps://ethics.house.gov/forms/travel.
Gifts of Nominal Value
Youmayacceptanitemvaluedatlessthan$10($9.99orlessbeforetax),ora
of [your] governmental duties.” Code of Ethics for Government Service ¶ 5. See also Comm. on
Standards of Ofcial Conduct, Investigation of Financial Transactions Participated in and Gifts of
Transportation Accepted by Representative Fernand J. St. Germain,H.R.Rep.No.100-46,at3,9,43
(1987)(“[T]heCommitteewouldadmonishallMemberstoavoidsituationsinwhichevenaninference
mightbedrawnsuggestingimproperaction.”).
33
See Comm.onEthics,In the Matter of Allegations Relating to Representative Don Young, H.R.
Rep.No.113-487,at4(2014)(issuingaletterofreprovaldespiterepaymentbecausetheMember’s
acceptanceofimpermissiblegifts“demonstratedalackofappropriatesafeguardsandaninattention
totherelevantstandardsofconduct”).
34
See Comm. onStandards of Ofcial Conduct, In the Matter of Representative Charles H.
Wilson (of California), H.R. Rep. No. 96-930, at 4-5, 19-20 (1980) (knowingly accepting gifts from
individuals with direct interests in legislation before Congress); Comm. on Standards of Ofcial
Conduct,In the Matter of Representative Daniel J. Flood,H.R.Rep.No.96-856,at5-15(1980)(alleging
CongressmanFloodacceptedpaymentstoinuenceofcialactions).
35
HouseRule23,cl.2.
Gifts 37
greetingcard,baseballcap,ort-shirt,regardlessofthesource,withsomecaveats.
36
Thecaveatsare
• Youmaynotacceptcashorcashequivalents,likegiftcards;
• Youmaynotacceptfoodorbeveragesinaone-on-onesetting;and
37
• You should be mindful of potential conicts if you are repeatedly offered
nominalvaluegiftsfromasinglesource,evenifthegiftstechnicallysatisfy
therequirementsoftheexception.
Example (Permissible). Your local baseball team won the World
Series.Thebaseballteamsendsyouaboxwith10WorldSeriesbaseball
capswithanoteforeveryoneintheofcewhowouldlikeonetotake
one.Youandyourcolleaguesmayeachacceptonebaseballcap.
Example (Impermissible). A registered federal lobbyist you work
withofteninvitesyoutodiscussanupcomingbilloveracupofcoffee.
Youmaynotallowtheregisteredfederallobbyisttopayforyourcoffee,
butyoumaystillmeetwiththelobbyistandpayforyourowncoffee.
Example (Impermissible). A constituent sends you a handwritten
notethankingyouforallyourhardworkovertheyearsandenclosesa
$5giftcard.Youmaykeepthehandwrittennote,butyoumustreturn
thegiftcard.
Gifts Worth Less Than $50
You may accept a gift worth less than $50 ($49.99 or less before tax) from
someonewhoisnotaregisteredfederallobbyist,foreignagent,orentitythatemploys
or retainsa registered federal lobbyist orforeign agent, with some caveats.
38
The
36
HouseRule25,cl.5(a)(3)(W).Throughthe105thCongress,theCommitteeallowedMembers
andstafftoacceptavarietyoflowvalue,tangibleitemsunderthisprovision.Atthestartofthe106th
Congress.however,theHousedeterminedthatsuchabroadreadingofthenominalvalueprovision
wasnolongerappropriateandinstitutedthelessthan$10limit.H.R.Res.9,106thCong.(1999).
37
UndertheGiftRulepriortothe110thCongress,Membersandstaffwereallowedtoaccept
gifts,includingfoodandrefreshments,fromvirtuallyanyoneunderthelessthan$50provision,even
ifthesourcewasaregisteredfederallobbyist,foreignagent,ororganizationthatemploysorretains
a registered federal lobbyist. With the Gift Rule amendments in the 110th Congress, the House
determinedfoodandrefreshmentsofanominalvalueofferedbyaregisteredfederallobbyist,foreign
agent,ororganizationthatemploysorretainsaregisteredfederallobbyistmayonlybeacceptedat
businessmeetings,receptions,andsimilareventsthatarenotone-on-oneencounters.H.R.Res.6,
110thCong.(2007);Comm.onStandardsofOfcialConduct,Gift Rule Amendments at the Beginning
of the 110th Congress(Feb.6,2007).
38
House Rule 25, cl. 5(a)(1)(B)(i). “Registered federal lobbyist” means a lobbyist who is
(con’t next page)
38 HOUSEETHICSMANUAL
caveatsare
• Thecumulativevalueofgiftsyoumayacceptunderthisexceptionina
calendaryearfromasinglesourcemustbelessthan$100($99.99orless
beforetax);
• Agiftworthlessthan$10($9.99beforetax)doesnotcounttowardsthe
cumulativelimit;
• Youmaynotacceptcashorcashequivalents,likegiftcards;and
• Youmaynotbuydownthegift’svaluetogetitbelow$50.
Youdonothavetomaintainformalrecordsrelatedtogiftsyouacceptunder
thisexception,butyoumustmakeagoodfaithefforttocomplywiththeseterms.
39
Example (Permissible). Youwereinvitedtodinnerbyagroupthat
doesnotemployorretainaregisteredfederallobbyistorforeignagent.
Yourmealandbeveragesbeforetaxandtipcost$45.Youmayaccept
thegroup’soffertopayforyourmeal.
Example (Impermissible). Aregistered federallobbyistinvitesyou
todinnerandofferstopay.Youmaynotaccepttheoffer,regardlessof
themeal’svalue.Youmaystillgotodinnerwiththelobbyistandpay
foryourownmeal.
Example (Impermissible).Anorganizationthatdoesnotemployor
retainaregisteredfederallobbyistorforeignagentoffersyouticketsto
abaseballgamewithafacevalueof$65.Youmaynotpay$16tobuy
downthevaluesothegiftislessthan$50.Youmustpaytheticket’s
entirefacevaluetoacceptit.
Example (Impermissible). An organization that does not employ
orretaina registered federal lobbyistor foreign agent hasa monthly
speakerseries overdinner. Thedinners are$20 perperson. In that
registeredundertheLobbyingDisclosureAct(LDA).HouseRule25,cl.5(g).TheLDAisthesuccessor
statutetotheFederalRegulationofLobbyingActcitedinHouseRule25,clause5(g).BecausetheLDA
denes“lobbyist”tomean“anyindividual”whoengagesincertainactivitiessetforthintheLDA,the
Committeeinterpretstheprohibitionsforregisteredfederallobbyiststoincludeboththeindividuals
whoareregisteredandlobbyingrms.MoreinformationabouttheLDAanditssearchabledatabase
canbefoundathttps://lobbyingdisclosure.house.gov/.
“Foreignagent”meansanagentofaforeignprincipalwhoisregisteredwiththeDepartment
ofJusticeundertheForeignAgentRegistrationAct(FARA).MoreinformationabouttheFARAand
thedatabasecanbefoundathttps://www.justice.gov/nsd-fara.
39
Id.
Gifts 39
calendaryear,you alreadyattended four dinnersand would nowlike
toattendafthdinner.Becausethefthdinner’svaluewouldmakea
totalof$100incumulativeyearlygiftsfromthatorganization,youmay
notacceptthefthdinner,normayyoupay$1tobringthecumulative
valueto$99.Youmaystillattendtheeventandpayforyourowndinner.
Gifts from Relatives
Youmayacceptanythingthatarelativeoffersyou,ifyourrelativeisthesource
ofthegift,andnotmerelypassingalongagiftfromsomeoneelse.
40
Thefollowing
individualsareyourrelatives.
• Parent
• Child
• Sibling
• AuntorUncle
• GreatAuntorGreatUncle
• FirstCousin
• NieceorNephew
• Spouse
41
• Fiancé(e)
• Grandparent
• Grandchild
• MotherorFather-in-Law
• DaughterorSon-in-Law
• SisterorBrother-in-Law
• Stepparent
• Stepchild
• Stepsibling
• Halfsibling
• Grandparentofyourspouse
42
40
HouseRule25,cl.5(a)(3)(C)(incorporating5U.S.C.app.§109(16)).
41
Aspouseissomeonetowhomyouarelegallymarried.
42
HouseRule25,cl.5(a)(3)(C);5U.S.C.app.§109(16).
40 HOUSEETHICSMANUAL
Ifapersonisnotonthislist,suchasasecondcousinoragodparent,youmay
beabletoacceptagiftunderadifferentexceptiontotheGiftRule(page36).
Example (Permissible). Your parents offer to buy you a car using
theirpersonalfunds.Youmayacceptthecar.
Example (Permissible). Your grandparents offer to pay off your
studentloansbywritingyouacheck.Youmayacceptthecheckfrom
yourgrandparents.
Example (Permissible). YoureceivedCommitteeapprovaltoaccepta
tripfromyoursignicantothertowhomyouarenotengagedormarried.
Whileonthattrip,yoursignicantotherproposesandpresentsyouwith
anengagementring.Onceyouaccepttheproposal,youmayalsoaccept
theengagementringasagiftfromyournowancé(e).
Example (Permissible). Your grandmother wants to give you her
heirloomdiningroomtable.Youmayacceptthetable.SeeBequests
and Inheritances (page 84) if your grandmother wishes to leave you
thetableinherwill.
Example (Impermissible). Your long-time family friendgives your
parentsagift togiveto you.Because yourlong-timefamily friendis
reallythegift’ssource,andyourparentsarejustpassingthegiftalong,
youmaynotacceptthegiftasonefromarelative.Youmaybeableto
acceptthegiftunderadifferentgiftexception(page36).
Gifts Based on Personal Friendship
Youmaybeabletoacceptagiftthatisofferedbecauseofpersonalfriendship
andnotrelatedtoyourpositionwiththeHouse.
43
Thisexceptiondoesnotrequire
thatyoubefriendswithsomeonebeforeyoujoinedtheHouse,nordoesitprohibit
friendshipswithregisteredfederallobbyistsorforeignagents.Butyoushouldalways
bemindfulofwhyyouwereofferedthegiftandwhothetruesourceofthegiftmaybe.
Ifthegift’sfairmarketvalueexceeds$250,youmustseekformalCommittee
approvaltoacceptagiftofferedbecauseofpersonalfriendship,evenifthegiftmeets
alltherequirementsdiscussedbelow.Ifthefairmarketvalueofagiftis$250orless,
youmaydecideforyourselfifthegiftmeetstherequirements.TheCommitteeviews
tripsasawhole;therefore,thevalueofatripwouldbethetransportationexpenses,
lodgingexpenses,andmealexpensesthatsomeoneelseofferstopayonyourbehalf.
YoucanndtheformtorequestapprovalfromtheCommitteetoacceptthegiftbased
43
HouseRule25,cl.5(a)(3)(D).
Gifts 41
onpersonalfriendshipathttps://ethics.house.gov/forms/gift-waivers.TheCommittee
willconsideryourrequestthroughitsformaladvisoryopinionprocess.Ifyoucan,
please submit your request early to give the Committee enough time to review,
analyze,andmakeadecision.
Toacceptagiftunderpersonalfriendship,youmustconsiderthecircumstances
oftheoffer,including,butnotlimitedto
• thenatureofyourrelationshipwithyourfriend,includinganypastexchange
ofgifts;
• ifyourfriendpaidorwillpayforthegiftpersonally,orifyourfriendwillseek
abusinessreimbursementortaxdeduction;and
• ifthesameorsimilargiftwasorwillbeofferedtoanotherMember,ofcer,or
employee.
44
Example (Additional Action Required). Yourformerroommateis
nowaregisteredfederallobbyist.Foryearsyouhavegonetobasketball
gamestogether.Sometimesyouwouldpayfortheticketsandsometimes
yourformerroommatewouldpayforthetickets.Yourformerroommate
has an extra ticket to a playoff game that your roommate paid for
personally and invites you to come. Because you and your former
roommatehavebeenfriendsforawhile,haveahistoryofexchanging
gifts,andyourformerroommatepaidfortheextraticketpersonally,you
maybeabletoaccepttheticket.Dependingontheticket’sfairmarket
value,youmayneedtoseekCommitteeapprovalbeforeacceptingit.
Example (Impermissible). Youarefriendlywitharegisteredfederal
lobbyist who often comes to your ofce and whom you see at ofcial
events. You do not socialize with the lobbyist outside of work. The
lobbyistinvitesyoutodinnerattheirpersonalexpense.Becauseyoudo
nothaveafriendshiprelationshipwiththelobbyist,youmaynotallow
thelobbyisttopayforyourdinner.Youarewelcometostillgotodinner
withthelobbyistandpayforyourownmealanddrinks.
Example (Impermissible). A person you recently met asked you
outonarstdateand offerstopay. Otherthanmeetingthis person
previously, you have not socialized with the person. Youbelieve you
were asked out because of where you work. You may not accept the
offertopayfortherstdateunderpersonalfriendship.Ifyoudevelopa
44
Id. at(D)(ii).Thesecondandthirdprongconsiderwhethertherecipienthasactualknowledge
ofthedonor’scircumstances.
42 HOUSEETHICSMANUAL
relationshipwiththisperson,youmaybeabletoacceptfutureoffersto
payfordates.Ifthepersonisnotaregisteredfederallobbyistorforeign
agent,youmayaccepttheofferifthedate’stotalvaluebeforetaxand
tipis$49.99orless.
Example (Additional Action Required). Your signicant other,
to whom you are not engaged or married,
45
surprises you with a trip
abroadforyourbirthday.Yoursignicantotherofferstopayforights,
lodging,andmealswhileyouareonthetrip.Becausethetrip’svalue
likelyexceeds $250, youwill need toseek Committee approvalbefore
acceptingyoursignicantother’soffer.
Example (Additional Action Required). You and your signicant
othertakeatrip.Youbothpayyourownway.Whileonthetrip,your
signicantotherpurchasesapieceofartworthmorethan$250foryour
birthdayandhasitshippedtoyourhome.Thegiftwasspontaneous,
and you didnothave the opportunity to request Committee approval
beforehand.Youmayrequestretroactiveapprovaltoacceptthepiece
ofart.IftheCommitteedoesnotapproveyourrequestforsomereason,
youmaypayyoursignicantotherbackforthepieceofart.
Example (Permissible). Yourbestfriendworksforalobbyingrm.
Thelobbyingrmishavingtheirholidaypartyandalltheiremployees
canbringaguest.Thelobbyingrmdoesnotplacerestrictionsonwhom
theguestcanbe.Yourbestfriendasksyoutobetheirguest.Because
your best friend can bring whomever theywant, the gift is your best
friend’stooffer.Iftheperpersonvalueofthefoodanddrinksforthe
holidaypartyislessthan$250,youmayacceptyourbestfriend’soffer
toattendtheholidayparty.
Example (Permissible). Your roommateworks fora downtownlaw
rm.Thelawrmhasaboxatamajorleaguebaseballstadium.The
lawrmallowsitsstafftobringaguesttothebaseballgamesandsit
intherm’sbox.Thelawrmdoesnotplacerestrictionsonwhomthe
guestcanbe.Your roommateinvitesyoutothegame astheirguest.
Becauseyourroommatecanbringwhomevertheywant,youmayaccept
andsitinthelawrm’sboxatthebaseballgame.
45
Fiancé(e)sareconsideredrelatives.Therefore,ifyourancé(e)makesthesameofferofa
tripabroad,youmayacceptitasagiftfromarelative.SeeGiftsfromRelatives(page39)formore
information.
Gifts 43
Gifts from other Members, Ofcers, or Employees
YoumayacceptagiftfromanotherMember,ofcer,oremployeeoftheHouse
orSenateifthepersongivingyouthegiftiseitheryourdirectorindirectsupervisor
oryourpeer.
46
Youmaynotacceptagiftfromsomeoneyousuperviseunlessthegift
is given for a special occasion.
47
Special occasions (page 86) include birthdays,
holidays,marriages,birthsoradoptionofchildren,anniversaries,retirements,deaths,
andothersimilaroccasionsforwhichgiftsaretraditionallygiven.Youshouldnever
bepressuredtomakeorcontributetoagift.
Providing personal services without compensation may also be a gift.
48
Supervisors should not accept uncompensated personal services from subordinate
staff for services the supervisor wouldusually payfor if there is no connection to
legitimate,ofcialactivity.
49
Example (Permissible). Youareadistrictcaseworkerworkingpart
time while also going to school. Your employing Member and your
ChiefofStaffwouldliketousetheirpersonalfundstohelpyoupayfor
textbooks.Youmayacceptthatgiftfromyoursupervisors.
Example (Permissible).A Memberwantsto giveallhercolleagues
acopyofabookthathelpedinformherpolicypositions.TheMember
would like to usepersonalfunds to purchase those books. The other
Membersmayacceptthatbookasagiftfromtheirpeer.
Example (Permissible). Your Chief of Staff is getting married.
EveryoneintheofcewouldliketocontributetoagiftcardtoyourChief
ofStaff’sfavoriterestaurantasaweddinggift.Ifnoonefeelspressured
to contribute,you may pool your fundsandgive the gift card toyour
ChiefofStaff.YourChiefofStaffmayalsoacceptthegiftcardforthis
specialoccasion.
Example (Impermissible). Your employing Member completed the
rstsessionoftheirrstterminofce.Thestaffwouldliketocontribute
toagifttocelebrateyourMember’srstyearinofce.YourMember
46
HouseRule25,cl.5(a)(3)(F).
47
See 5U.S.C.§7351(a)(afederalemployeemaynotgive agivea superioragift,solicita
contributionfromanotheremployeeforagifttoasuperior,oracceptagiftfromanemployeereceiving
lesspay).TheCommitteehastheauthoritytoimplementthissection,includingtoallowforgiftsto
superiorsforspecialoccasions.Id.at(c).
48
See Staff of Comm on Ethics, 115th Cong., In the Matter of Allegations Relating to
Representative Thomas Garrett5,32-34(Comm.Print2019).
49
Id. at34.
44 HOUSEETHICSMANUAL
maynotacceptthatgiftfromthestaffbecauseitisnotaspecialoccasion
forwhichgiftsaretraditionallygiven.
Example (Impermissible).YouremployingMemberasksyoutopick
uptheirchildrenfromschool.Becausethisactivitybearsnoconnection
to legitimate, ofcial activity, you should not perform this service for
youremployingMember.
Gifts of Personal Hospitality
Youmaystayinsomeone’shomeorpersonally-ownedfacility,oreatameal
atsomeone’shome,aslongasthepersonwhooffersthepersonalhospitalityisnota
registeredfederallobbyistorforeignagent.
50
Youmaynotaccepttheofferofpersonal
hospitalityifthepurposeisbusiness-relatedorthepropertyisusedforabusiness
purpose,suchasbeingrentedouttoothers.
51
Thisexceptiononlyappliesto lodgingandmealsinthe homeorpersonally-
ownedfacility.Theexceptiondoesnotapplytomealsatrestaurantswhilevisiting
someone,nortosomeonepayingforyourhotelroomwhilevisiting.Thosegiftsmay
beallowedunderseparateexceptions(page36).
Example (Permissible). Youaregoingtovisityourcollegeroommate,
whoofferstoletyoustayintheirapartment.Yourcollegeroommate
personallyrentstheapartmentandisnotaregisteredfederallobbyist
orforeignagent.Youmayacceptyourcollegeroommate’soffertostayin
theirapartment,andyoumayacceptanymealsyourcollegeroommate
maymakeforyouintheirapartment.
Example (Impermissible). Yourfriendownsabeachhouseandoffers
toletyouandyourfamilystaythereforaweek.Yourfriendrentsout
thebeachhouseonaweeklybasis.Becausethebeachhouseisusedfor
abusinesspurpose,youmaynotacceptyourfriend’sofferaspersonal
50
House Rule 25, cl. 5(a)(3)(P) (incorporating 5 U.S.C. app. § 109(14)). If the individual
providingthegiftisreimbursedbyabusinessorseeksabusinessexpensedeductionforthehospitality,
thathospitalityisabusinessexpenseandnotpersonalhospitality.Bipartisan Task Force Report, 135
Cong. reC.30743.Similarly,anypropertyorfacilitiesownedbyacorporationorarm,evenifthe
individualprovidingthegiftisthesoleownerofthecorporationorrm,arenotpersonallyownedby
theindividualandmaynotbeusedforpersonalhospitality.
51
Id.; 5 U.S.C. app. § 109(14) (“[H]ospitality extended for a non-business purpose by an
individual,notacorporationororganization,atthepersonalresidenceofthatindividualorhisfamily
oronpropertyorfacilitiesownedbythatindividualorhisfamily.”).See, e.g., Comm.onEthics,In the
Matter of Allegations Relating to Representative Don Young, H.R.Rep.No.113-487,at38,57,61(2014)
(discussingvarioustripstakenbyRepresentativeYoungthatdidanddidnotmeettheexceptionfor
personalhospitality).
Gifts 45
hospitality. SeeGiftsBased on Personal Friendship (page 40) for an
exceptionthatmayapply.
Example (Impermissible). You were invited to an “off-the-record”
dinner at a local philanthropist’s home. The dinner’s purpose is to
discuss policy initiatives on which the philanthropist works. Even if
thephilanthropistisnotaregisteredfederallobbyistorforeignagent,
youmaynotacceptthemealaspersonalhospitalitybecausethedinner
hasabusinesspurpose.SeeFreeAttendanceatEvents(page52)for
otherwaysyoumaybeabletoaccepttheoffer.
Example (Permissible in Part). Yourecentlymetsomeoneataparty
locally with whom you spent most of your time sharing your love of
skiing. Your new acquaintance invited you to spend the weekend at
their condominium in Colorado to go skiing. Your new acquaintance
alsoofferedto payforyourlift ticketsandtakeyou outtosomelocal
restaurants.Yournewacquaintanceisnotaregisteredfederallobbyist
or foreign agent and personally owns the condominium. Your new
acquaintancedoesnotrentoutthecondominium.Youmayacceptthe
lodginginthecondominiumovertheweekend,butyoumaynotacceptthe
liftticketsorthemealsatthelocalrestaurantsaspersonalhospitality.
Example (Permissible). A constituent knows that you liketo duck
hunt.Theconstituentpersonallyownsapieceofpropertywithalake
wheretheconstituentoftengoestoduckhuntandallowshisfriendsto
duckhuntaswell.Theconstituentdoesnotchargeotherstohuntonhis
property.Theconstituentisnotaregisteredfederallobbyistorforeign
agent.Theconstituentofferstobringyoualongthenexttimehegoes
hunting.Youmayaccepttheconstituent’soffer.
Gifts from Federal, State, or Local Governments
Youmayacceptanythingthatispaidforbythefederalgovernment,astate
orlocalgovernment,orsecuredunderacontractwiththefederalgovernment.
52
The
domestic government agency or entity must directly pay for the gift and may not
merelybeaconduitforsomeoneelse.
53
52
HouseRule 25,cl. 5(a)(3)(O).“Government contracts”underthis provisionmean federal
government contracts. See, e.g., 5 C.F.R. § 2635.203(7); 57 Fed. Reg. 35,014 (Aug. 7, 1992) (“The
exclusion is intended to cover items the Government procures for use by its employees under a
Governmentcontractorknowinglyobligatesitselftopayfor.”).
53
See Comm.onRules,AmendingtheRulesoftheHouseofRepresentativestoProvideforGift
Reform,H.R.Rep.No.104-337,at11(1995).
46 HOUSEETHICSMANUAL
Todetermineifanentityisadomesticgovernmentalentity,theCommittee
lookstowhethertheentityistreatedasagovernmententityforotherpurposes.The
Committeeconsiderstheseentitiestobegovernmententities.
• UnitedStatesfederalgovernment
• UnitedStatesstateandfederaldistrictgovernments
• UnitedStatesmunicipalgovernments
• CommonwealthsandterritoriesoftheUnitedStates
• SmithsonianInstitute
• WashingtonMetropolitanAreaTransitAuthority(WMATA)
54
• TennesseeValleyAuthority
• CaliforniaJointPowersAuthoritiessuchastheMetropolitanWaterDistrictof
SouthernCalifornia
55
• Publicuniversities,includingPennsylvaniastate-relateduniversities
56
TheCommitteedoesnotconsidertheseentitiestobegovernmententities.
• NativeAmericantribes
57
• Amtrak
58
• RegionalFederalHomeLoanBanks
These lists are not exhaustive. Please contact the Committee if you have
54
AninterstatecompactenteredintobytheStateofMaryland,theCommonwealthofVirginia,
andtheDistrictofColumbia,andwasapprovedbyCongress,establishedWMATAasagovernmental
agency,with funding derivedfromthe federal government andstategovernments, as well asfrom
riderfares.
55
See Cal.Gov’tCode§§6500-6599.3(jointpowersauthorities).
56
See 22Pa.Code§31.2(Pennsylvaniastate-relateduniversitiesareinstrumentalitiesofthe
commonwealth).
57
TheCommitteecarefullyconsideredthematterofNativeAmericantribesandfoundnothing
inthelegislativehistoryofthecurrentgiftruleoritspredecessorsindicatinganintenttotreatNative
Americantribesasstateorlocalgovernmententitiesforthesepurposes.TheCommitteealsodoes
notconsiderNativeAmericantribestobeforeigngovernments.Additionally,manyNativeAmerican
tribes employ or retainregistered federallobbyists. Your abilityto acceptgifts from those Native
AmericantribeswillbelimitedbytheGiftRuleexceptionsrelevanttoorganizationsthatemployor
retainregisteredfederallobbyists.
58
“Amtrakisnotadepartment,agency,orinstrumentalityoftheUnitedStatesGovernment.
..”49U.S.C.§24301(a)(3).
Gifts 47
questionsaboutaparticularentity.
Example (Permissible). Apublicuniversityoffersyou ticketsto an
upcomingfootballgame.Theuniversityusesitsgeneralfundstopayfor
yourticket.Youwouldbesittingintheuniversitypresident’sbox.You
mayacceptthetickets.
Example (Impermissible). Aprivateuniversityoffersyouticketsto
anupcomingfootballgame.Youmaynotaccepttheticketsasagiftfrom
astategovernment,butyoumaybeabletoaccepttheticketsundera
differentexception.
Example (Additional Action Required). The company running a
nationallabinvitesyoutotouritsfacilityandofferstotakeyououtto
lunchafterwardstodiscussyourobservations.Ifprovidingtoursand
mealstocongressionalobserversispartofthecompany’scontractwith
theDepartmentofEnergy,youmayacceptasagiftsecuredbyafederal
governmentcontract.Ifnot,youmaybeabletoacceptunderadifferent
exception(page36).
Gifts from Foreign Governments and International Organizations
TheEmolumentsClauseoftheConstitutionlimitsyourabilitytoacceptgifts
from foreign governments. The Emoluments Clause prohibits you, as a federal
governmentofcial,fromreceiving “anypresent... ofanykindwhatever”froma
foreigngovernmentoritsrepresentativeswithouttheconsentofCongress.
59
Congress consented to gifts, including travel, from foreign governments by
enactingtwofederalstatutes,FGDAandMECEA.
60
Houserulesalsoallowyouto
acceptgiftsunderthesetwostatutes.
61
SeeTravelPaidforbyaForeignGovernment
(page120)formoreinformationabouttravelallowedunderFGDAandMECEA.
FGDAalsoallowsyoutoacceptcertaintangiblegiftsanddecorationsfromthe
followingentities.
• Foreigngovernments;
59
U.S.Const.Art.I,§9,cl.8.
60
CongressconsentedtootherprogramsoutsideofFGDAandMECEA,includingtheU.S.-
KoreaNationalAssemblyExchangeProgram.However,FGDAandMECEAarethemostcommonly
usedmethodsthatforeigngovernmentsofferMembers,ofcers,andemployeesgiftsandtravel.
61
Members,ofcers,andemployeesmayaccept“[a]nitem,thereceiptofwhichisauthorized
bythe[FGDA],the[MECEA],oranyotherstatute.”HouseRule25,cl.5(a)(3)(N).
48 HOUSEETHICSMANUAL
• International or multinational organizations whose membership is made of
unitsofforeigngovernmentsandtheiragentsorrepresentatives;
• Quasi-governmentalorganizationscloselyafliatedwith,orfundedby,foreign
governments;or
• Privateorganizationscloselyafliatedwith,orfundedby,foreigngovernments.
62
SeetheCommittee’sFGDARegulationsforin-depthrequirements.
63
TheFGDA
Regulations are available at https://ethics.house.gov/foreign-gifts-and-decorations-
act-fgda-regulations.
FGDAalsoappliestoyourspouseordependents.
64
Tangible Gifts.
65
While you are on American soil, you may only accept
tangiblegiftsthatareof“minimalvaluetenderedandreceivedasasouvenirormark
ofcourtesy.”
66
MinimalvalueissetbytheGeneralServicesAdministrationonatri-
annualbasisand is calculatedbased on theConsumerPrice Index.
67
Youcan nd
thecurrentminimalvalueathttps://www.gsa.gov/policy-regulations/policy/personal-
property-policy-overview/special-programs/foreign-gifts. If you are unsure of the
value,theOfceoftheClerkcanappraisetheitem.
68
Tangiblegiftsincludetrinkets,
meals,entertainment,orlocaltransportationtoattendanevent.
Ifyouareabroad,youmayaccepttangiblegiftsworthmorethanminimalvalue
ifrefusingthegiftwouldcauseoffenseorembarrassment.Butyouacceptthosegifts
onbehalfoftheUnitedStatesgovernmentandmustturnoverthegiftswhenyou
returntotheUnitedStates,reportthegiftsontheFGDADisclosureForm,andseek
62
5U.S.C.§7342(a)(2).Todeterminewhetheranorganizationispartofaforeigngovernment,
theCommitteelookstoanumberoffactorsincludingtheleveltowhichtheorganizationisfundedby
thefederalgovernment,whethertheorganizationiscontrolledbyaforeigngovernment,andwhether
another U.S. government agency determined the organization is part of a foreign government.
Members,ofcers,andemployeesmayonlyacceptgiftsfromorganizationsthatmeetthisdenition
underFGDAorMECEA.See Comm.onEthics,In the Matter of Ofcially-Connected Travel by House
Members to Azerbaijan in 2013, H.R. Rep. No. 114-239 (2015); Comm. on Ethics, In the Matters of
Allegations Relating to Travel to Taiwan by Representatives William Owens and Peter Roskam in 2011,
H.R.Rep.No.113-226(2013).
63
TheCommittee’simplementingregulationsareissuedpursuantto5U.S.C.§7342(a)(6)(A),
(g)(1)andapplytoHouseMembers,ofcers,andemployees.Theregulationswererstpublishedon
January23,1978.124Cong.Rec.452-53.
64
5U.S.C.§7342(a)(1)(G).
65
5U.S.C.§7342(c).
66
5U.S.C.§7342(c)(1)(A).
67
5U.S.C.§7342(a)(5).
68
5U.S.C.§7342(g)(2)(B);(a)(6)(A).
Gifts 49
Committeeapprovalifyouwouldliketoretainthegiftsforofcialdisplaypurposes.
TheFGDADisclosureFormisavailableathttps://ethics.house.gov/forms/travel.
You must aggregate the value of tangible gifts given to you in the same
presentation fromthe same source todetermine if the groupofgifts is morethan
minimalvalue.Youmustalsoaggregategiftsgiveninthesamepresentationfrom
thespouseofaforeignofcialaswellastheforeignofcialthemselves.Andyoumust
aggregategiftsgiventoyourspouseinthesamepresentationaswellasgiftsgiven
toyou.
Example (Permissible). You are invited to an embassy dinner and
theyoffertopayforyourcabridetotheembassy.Youmayacceptboth
thedinnerattheembassyandthecabrideifthosegiftscombinedare
minimalvalueorless.
Example (Impermissible). Aforeignofcialmeetswithyouinyour
ofceandpresentsyouwithagold-platedteakettleworthmorethan
minimalvalue.Youmaynotaccepttheteakettle.
Example (Additional Action Required). WhileonaCODELabroad,
a foreign ofcial presents you with the same gold-plated tea kettle
worth more than minimal value. If refusal would cause offense or
embarrassment,youmayaccepttheteakettleonbehalfoftheUnited
States. When youreturn fromyour trip, youmust turnthe gift over
totheClerkoftheHouseandreportthegifttotheCommitteeonthe
FGDADisclosureForm. Ifyouwould liketoretainthe teakettlefor
displayinyourofcialofce,youmustseekwrittenapprovalfromthe
Committee.
Example (Impermissible). The contract foreign agent for a foreign
government invites you to dinner to discuss upcoming legislation.
Becausetheforeignagentwouldbepaying,evenifultimatelyreimbursed
bytheforeigngovernment,youmaynotaccepttheoffer.Youmaystill
goandpayforyourowndinner.
Decorations.
69
Youmayacceptandpersonallywearadecorationofminimal
valuefromaforeigngovernmentifitwasgiven
• Inrecognitionofactiveeldserviceinatimeofcombatoperations,or
• Forotheroutstandingorunusuallymeritoriousperformance.
69
5U.S.C.§7342(d).
50 HOUSEETHICSMANUAL
Ifyouareofferedadecorationofmorethanminimalvalueandyouwouldlike
tokeepitforpersonaluse,youmustseekandreceiveCommitteeapprovalpriorto
acceptingthedecoration.
Withoutpriorapproval,youmayonlyacceptadecorationofmorethanminimal
valueonbehalfoftheUnitedStates.Youwouldneedtoturnoverthedecoration,
reportthedecorationontheFGDADisclosureForm,andseekCommitteeapproval
ifyouwould liketoretain thedecorationfor ofcialdisplaypurposes. TheFGDA
DisclosureFormisavailableathttps://ethics.house.gov/forms/travel.
Example (Permissible). Aforeigngovernmentwantstopresentyou
withitshighestcivilianhonorforyourassistancetotheircountry.The
decorationislessthanminimalvalue.Youmayaccept,wear,andretain
thedecorationforyourpersonaluse.
Example (Permissible). The same foreign government wishes to
present you with the same award, but the decoration is more than
minimal value. You seek and receive approval from the Committee
beforeacceptingthedecoration.Youmayacceptthedecoration,wear
thedecoration,andretainthedecorationforyourpersonaluse.
Example (Additional Action Required). Same as the previous
examplebutyoudidnotseekandreceiveapprovalfromtheCommittee
beforeacceptingthedecoration.Youmayacceptthedecorationonbehalf
oftheUnitedStates,butyoumustturnitovertotheClerkoftheHouse
orseekCommitteeapprovaltodisplayitinyourofcialofce.
Medical Treatment.
70
You may accept medical treatment from a foreign
government if the treatment is provided for an unexpected illness or injury that
requiresimmediateattentionwhileinthehostcountry.Youmayalsoacceptmedical
treatment froma foreign government if youseek and receive Committee approval
priortoacceptingthetreatment.
Example (Permissible). Youbreakyourlegwhileonvacationabroad.
Theforeigngovernmentofferstopaytohaveyourlegsetsoyoucany
home.Youmayaccepttheofferofmedicaltreatment.
Educational Scholarship.
71
Youmayacceptaneducationalscholarshipfrom
aforeigngovernmentifyouseekandreceiveCommitteeapprovalpriortoaccepting
thescholarship.YoumaynotaccepttransportationtoandfromtheUnitedStates
70
5U.S.C.§7342(c)(1)(B).
71
Id.
Gifts 51
underthisexceptionunlesstransportationisatermofthescholarship.
Example (Additional Action Required). You are offered a
scholarshiptostudyataforeignpublicacademicinstitutionabroad.The
scholarshipcoverstraveltoandfromtheUnitedStates,plustuitionand
roomandboardfortheacademicyear.Thepublicacademicinstitution
andthescholarshiparefundedbytheforeigngovernment.Youmust
receiveCommitteeapprovalbeforeacceptingthescholarship.
72
Reporting Requirements. If you received gifts or travel from a foreign
governmentunderFGDA,youmustreportthosegiftsonaseparateformandreturn
theformtotheCommittee.
73
Ifyouacceptedin-countrytravelexpenses,regardlessof
value,youmustreturntheformtotheCommitteewithin30daysofreturningfrom
yourtrip.Ifyouacceptedgiftsordecorationsofmorethanminimalvalue,youmust
returntheformtotheCommitteewithin60daysofreceivingthegiftordecoration.
Youcanndtheformathttps://ethics.house.gov/forms/travel.
Ifyoulenancialdisclosurestatements,youmustalsoreporttangiblegifts,
decorations, medicaltreatment,or educational scholarships of more than minimal
valueonyourannualnancialdisclosurestatement.
Home State Products
Youmayaccepttangibleproductsthataremanufactured,produced,orgrown
inyourhomestate.
74
Theseproductsmustbeintendedtopromoteyourstate,andbe
fordisplayordistributiontovisitorsinyourofce.
75
Thehomestateproductsshould
beofnominalvalue,lessthan$10,toeachrecipient.Homestateproductsthatare
morethannominalvaluemaybedisplayedinapublicareaofyourofce.
72
Although rare, educational scholarships are offered to federal government ofcials from
foreignacademicinstitutions.ThisprovisionofFGDAappliesonlytoeducationalscholarshipsoffered
orfundedbyforeigngovernments,orprovisionsofforeigngovernments,includingpublicinstitutions.
See, e.g., Letter from Robert B. Shanks, Deputy Assistant Attorney General, O.L.C., to Walter T.
Skallerup, General Counsel, Department of the Navy (Mar. 17, 1983), https://www.justice.gov/olc/
page/le/936131/download(allowingascientistemployedbytheNavalResearchLaboratorytoaccept
aneducationalscholarshipfromtheGermanAlexandervonHumboldtFoundation,whichisfundedby
theGermangovernment,toconductresearchinGermany).
73
TheDepartmentofStatemakesFGDAdisclosurespublicintheFederalRegistereachyear.
5U.S.C.§7342(f)(1).
74
HouseRule25,cl.5(a)(3)(V).Homestateproductscanbemanufactured,produced,orgrown
anywhereinyourstate,notjustyourdistrict.Thisprovisiondoesnotincludeitemsthataremerely
distributedinyourstate,butaremanufactured,produced,orgrownelsewhere.
75
The Committee understands Members and staff may occasionally avail themselves of
individually packaged home state products. The home state product exception does not prohibit
occasional use, but individually packaged home state products must be intended for, and actually
distributedto,visitorstoyourofce.
52 HOUSEETHICSMANUAL
Homestateproductsmaynotbetradedbetweenofces,includingforinternor
stafflabortoassistwithprojects.
Example (Permissible). Yourstateisknownforgrowingpeanuts.A
peanutfarmerinyourstatesendsyourofcethreelargeboxesofsingle
servingsizedpeanuts.Youmayacceptthosepeanutsandplacethemin
yourofcereceptionareaforvisitorstotake.
Example (Impermissible). That same peanut farmer sends you a
largetinofpeanutsintendedjustforyourconsumption.Youmaynot
accept the peanuts as a home state product, but you may be able to
acceptthemunderadifferentexceptiontotheGiftRule(page36).
Example (Permissible). Anaerospacecompanymakesrocketengines
inyourstate.Theysendyouascalemodelofoneoftherocketengines.
Youmayacceptthescalemodelandplaceitinyourofcereceptionarea
forvisitorstosee.
Example (Permissible). The holidays are approaching, and a local
treefarmer offersto sendyouaChristmastree. You mayaccept the
treeandputitondisplayinyourofcereceptionareaforvisitorstosee.
Example (Permissible). Your state invested heavily in its wine-
producingregionsandalocalwinerywouldliketosendyousixbottlesof
winefordisplay.Youmayacceptthebottlesandputthemondisplayin
yourofcereceptionarea.PleasecontacttheOfceofGeneralCounsel
at202-225-9700forguidanceaboutprovidingalcoholonHousegrounds.
Example (Permissible). A soda manufacturer has a bottling plant
inyourstateandoffersyousingle-servingcansofthevarioussodasit
bottlesatitsplant.Youmayacceptthecansofsoda.
Example (Additional Action Required). A well-known ice cream
producerisinyourstate.Thecompanyofferstoprovideyouwithsingle-
servingsizedicecreamcupsandafreezertokeepthemin.Youmay
accept the ice cream as a home state product. You may also accept
thefreezeronloanfromthecompany.SeeArtworkandOtherGiftsof
UnusualNatureonLoantotheHouse(page84)fortherequirements
oftheloanagreement.
Free Attendance at Events
Theeventsdiscussedbelowcanbeheldin-personorvirtually.Avirtualevent,
including a webinar or a live-stream event, must still meet the criteria discussed
Gifts 53
below.Ifaneventisheldvirtually,youmaynotacceptagiftcardormealvoucherin
placeoffoodforeventsundertheseexceptions.Ifyouareofferedfreeattendanceat
aneventforyourselfandaguest,whichotherwisecomplieswiththeHouseGiftRule,
youmayaccepttheofferforany kind of guest.
76
Receptions. You and a guest may attend an event if only nominal value
food anddrinkthat is not a meal is served.
77
Eventsthat fall in this category are
ofteneveningreceptionswithlighttomediumappetizersorhorsd’oeuvres,briengs
overcoffeeandpastriesorbagels,andafternoonbriengswithsnacks,suchascookies
orchips.
78
TheCommitteedoesnotassignaperpersondollarlimit,butyoushould
be mindful of not accepting food and beverages in excess of these examples. For
example, a receptionserving only high-cost items like champagne and caviarora
25-yearScotchtastingwouldnotbenominalvalue.Low-costmeals,likepizza,hot
dogs,orsandwiches,arestillmealsthatyoumaynotacceptunderthisexceptionto
theGiftRule.Youmaybeabletoacceptthosemealsunderdifferenteventexceptions
(page52).
Youmaynotacceptfoodandbeveragesunderthisexceptioninaone-on-one
settingwitharegisteredfederallobbyistorforeignagent,oranentitythatemploys
orretainsaregisteredfederallobbyistoraforeignagent.
Whoextendstheinvitationtoyoufortheseeventsandwhethertheeventhas
tablesandchairsorsilverwarearenotfactorstodeterminewhetherthisexceptionto
theGiftRuleapplies.
Generally,youmaystillattendareceptionifbackgroundmusicisplayedduring
theevent,evenifthemusicislive.However,backgroundmusicplayedbyfamous
musicians,orareceptionthatisreallyaconcertmaychangetheevent’snature.
Example (Permissible).Youreceiveaninvitationtoaneveningevent
withcocktailsandngerfoods.Theeventwillhavetablesandplates
foryourfood.Youmayattendtheevent,regardlessofwhoinvitedyou.
76
Comm.onEthics,Guest Policy Change and Reminder of Gift Rules for Attendance at Events
(Sept.19,2022).
77
HouseRule25,cl.5(a)(3)(U);Comm.onEthics,Guest Policy Change and Reminder of Gift
Rules for Attendance at Events (Sept.19,2022).
78
See Comm.onRules,AmendingtheRulesoftheHouseofRepresentativestoProvideforGift
Reform, H.R.Rep.No.104-337,at11(1995)(“Foodandrefreshmentsofnominalvaluenotofferedas
partofameal(receptionfood)”);Comm.onStandardsofOfcialConduct,New Gift Rule, at3(Dec.
7,1995)(allowing“coffeeanddonuts,[and]horsd’oeuvresatareception”);Comm.onStandardsof
OfcialConduct,Gifts and Travel booklet,at32(April2000)(specicallydescribingthekindsoffood
andrefreshmentsthatmaybeaccepted,includingcoffee,juice,pastry,orbagelsusuallyofferedata
breakfastreceptionormeeting,andhorsd’oeuvres,appetizers,andbeveragesusuallyofferedatan
eveningreception).
54 HOUSEETHICSMANUAL
Example (Permissible). Youreceiveaninvitationtothesameevent,
and the invitation includes the ability to bring one guest. You may
attendtheeventandbringanyoneyoulikeasyourguest.
Example (Impermissible). Yourcolleagueforwardsyouaninvitation
to an event they will be attending. The event will feature a carving
station,saladstation,andacollectionofbreads.Becausethiseventwill
offerameal,itisnotareception.
Example (Impermissible). Youareinvitedtolunchbriengandthe
organization sponsoring the brieng plans to pass out boxed lunches.
Becausethiseventwillofferameal,eventhoughalow-costmeal,itis
notareception.
Example (Permissible).Youareinvitedtoaneveningreceptionwith
appetizersand backgroundmusic playedbya jazzquartet. You may
attendtheevent.
Example (Impermissible). You are invited to an evening reception
withappetizersandmusicperformedbylastyear’sGrammywinnerfor
bestartist.TheGrammywinnerwillsingfortwohours.Althoughthe
foodanddrinkarenominalvalue,theevent’snatureisaconcertandis
notareception.
Widely-Attended Events. Youandaguestmayacceptanunsolicitedofferof
freeattendanceforawidely-attendedeventforyouandoneguest.
79
“Freeattendance”
includesallorpartofthecostofadmission;localtransportationtoandfromtheevent;
andthefood,refreshments,entertainment,andinstructionalmaterialsprovidedto
alleventattendees.
80
Freeattendancedoesnotincludeentertainmentcollateralto
theeventorfoodandrefreshmentsoutsidethegroupsettingoftheevent,suchas
giveaways.
81
Yourguestmaybeanyone,aslongastheeventorganizerofferedyouan
unsolicitedsecondticket.
82
Awidely-attendedeventmustmeetthreecriteria.Remember,aneventmay
beawidely-attendedeventforyoubutmaynotbeawidely-attendedeventforyour
79
HouseRule25,cl.5(a)(4)(A);(B);Comm.onEthics,Guest Policy Change and Reminder of
Gift Rules for Attendance at Events (Sept.19,2022).
80
HouseRule25,cl.5(a)(4)(D).
81
Id. Giveawaysmaybeacceptediftheymeettherequirementsofanotherexceptiontothe
GiftRule.Themostcommonlyusedexceptionsarethelessthan$50exceptionandthenominalvalue
exception.
82
HouseRule25,cl.5(a)(4)(B).
Gifts 55
colleague.Thethreecriteriaare
• Youareinvitedbytheeventorganizerdirectly;
The event organizer is the organization(s) doing the work to put the
eventon,notamonetaryeventsponsorortablesponsor.
83
• Theeventorganizerhasareasonableexpectationthatatleast25people
willalsoattendwhoarenotMembers,Senators,ofcers,oremployeesof
Congressortheirspouses;and
84
Those25attendeesmustcomefromavarietyofbackgrounds,including
theExecutiveBranch,butmaynotsolelybetheemployeesofasingle
organization.
• Yourattendanceisrelatedtoyourofcialorrepresentationalduties.
Youcouldbespeakinginyourofcialcapacity,learningaboutatopic
thatwillassistyourworkwiththeHouse,ormeetingwithconstituents.
Whetheryourparticipationisrelatedtoyourofcialorrepresentational
dutiesisadecisionforyouandyoursuperiors,ifany,tomake.
Purelyentertainment,personalpleasure,professionaldevelopment,or
charitableactivitiesarenotrelatedtoyourofcialorrepresentational
duties.
85
Merelywatchingafeaturelm,asportingevent,orshowis
generallypurelyentertainment.
Organizationsthatprovideonlynancialassistancetotheeventorganizerbut
arenotassistingwiththelogisticsfortheeventmaystillwanttoinviteyou.You
maynotacceptaninvitationfromtheseorganizationsdirectly.Thescalsponsors
83
“Eventorganizer”and“eventsponsor,”asthosetermsrelatedtoevents,mean“theperson,
entity,orentitiesthatareprimarilyresponsiblefororganizingtheevent.Anindividualwhosimply
contributes money to an event is not considered to be a sponsor of the event.” Comm. on Rules,
AmendingtheRulesoftheHouseofRepresentativestoProvideforGiftReform, H.R.Rep.No.104-
337,at12(1995).Goldorsilverlevelsponsorsortablesponsorsarenotincludedinthedenitionof
eventorganizeroreventsponsorforthepurposesoftheseexceptionstotheGiftRule.But,theremay
bemorethanoneeventorganizerifthoseentities“play[]signicant,activerole[s]inorganizingthe
eventinamannerthatisroughlycomparable”toanothereventorganizerorsponsor.S.Comm.on
Gov’tAffairs,CongressionalGiftsReformAct,S.Rep.No.103-255,at14(1994)(Senatecommittee
reportonrevisionstotheSenategiftrule).
84
Attendancecanbeopentoindividualsfromthroughoutagivenindustryorprofession,orto
arangeofpeopleinterestedintheissue.See Comm.onRules,AmendingtheRulesoftheHouseof
RepresentativestoProvideforGiftReform, H.R.Rep.No.104-337,at12(1995).
85
Comm.onRules,AmendingtheRulesoftheHouseofRepresentativestoProvideforGift
Reform,H.R.Rep.No.104-337,at12(1995).
56 HOUSEETHICSMANUAL
mayinsteadrequest theeventorganizerinvite youdirectly.You mayonlyaccept
thatinvitationif
• Theeventorganizerretainsultimatecontrolovertheguestlistandseating
arrangements,and
• Theeventorganizeristheonlyentitylistedontheinvitationandtheonly
entityextendingtheinvitation.
Youmayacceptaninvitationtoalargemedia-relatedevent,suchastheWhite
House Correspondents’ Association’s annual White House Correspondents’ Dinner
ortheWashingtonPressClubFoundation’sAnnualCongressionalDinner,ifyouare
invitedbyamemberofthemediaorganizationsponsoringtheevent.
Example (Permissible). You are a legislative assistant focused on
environmentalpolicy.Yourcolleagueisalsoalegislativeassistantbut
focused on banking issues. You both receive an invitation to a large
environmentalpolicyconference,andtheeventorganizeroffersyoufree
attendance.Inyearspast,over500peoplefromacrossgovernmentand
industryhaveattendedthisconference.Afterdiscussingtheconference
withyoursupervisor,youmayaccepttheinvitation,butyourcolleague
likelymaynot.
Example (Impermissible). Same example as above, but a large
corporationisunderwritingtheconferenceandsendsyoutheinvitation.
Thecorporatesponsorhasnoroleinplanning,organizing,orexecuting
theconference.Youmaynotaccepttheinvitationfromthecorporate
sponsor.
Example (Impermissible). Whileattheconference,youareinvitedto
anafter-hoursdinnerputonbyoneoftheadvocacyorganizationsactive
onenvironmentalpolicy.Theafter-hoursdinnerisnotpartofthefree
attendance offered by the conference organizer. You may be able to
accepttheofferiftheafter-hoursdinnermeetsadifferentexceptionto
theGiftRule(page36).
Example (Impermissible). The owner of a local sports team offers
you a ticket to anupcoming game. Although many people will be in
attendance,thegameisnotawidely-attendedeventbecauseitispurely
forentertainmentpurposes.
Example (Permissible). Yourdistrictishometoalargeannualrodeo
thatisveryimportanttothedistrict’snancialhealth.Theorganization
thatputsontherodeoofferedyoutwoticketsandseatsinaprominent
Gifts 57
locationsotheeventorganizercanrecognizeyou.Youmayreasonably
determineyourattendanceisrelatedtoyourofcialorrepresentational
dutiesandacceptbothtickets.
Events with Constituent Groups. Youandaguestmayattendeventsthat
include meals with constituent groups that do not meet the25 non-Congressional
attendancerequirementofwidely-attendedevents,iftheeventsmeetthefollowing
criteria.
86
• Theeventisregularlyscheduled;
• Theeventisrelatedtoyourofcialorrepresentationduties;and
• Theeventisopentomembersoftheconstituentgroup,ratherthanjustits
ofcersorboardmembers.
Youmayacceptaninvitationthatmeetstheabovecriteriafromthefollowing
eventorganizers.Thislistisnotexhaustive.
• Civicassociations
• Seniorcitizensorganizations
• Veterans’groups
• Business,trade,orprofessionalassociations
For example, associations of lawyers, nurses, bankers, teachers, or
farmers
Example (Permissible). Youareinvitedtoalunchmeetingofacivic
association in your district.The lunch meeting is a periodic meeting
opentoallofthecivicassociation’smembers,butonly15areexpected
toattend.Ifyoudetermineyourattendanceisrelatedtoyourofcialor
representationalduties,youmayaccepttheinvitation.
Example (Impermissible). Aveterans’groupinyourdistrictwould
like to have an event honoring your upcoming retirement. Only 10
membersofthegroupwillbeabletoattend.Becausetheeventisnot
86
TheCommitteegrantedthisgeneralwaiverpursuanttoitswaiverauthorityinHouseRule
25,cl.5(a)(3)(T).TheCommitteedidsobecauseitrecognizedtheGiftRulewasnotintendedtointerfere
withMemberscarryingouttheirconventionalrepresentationalduties,andthatmeetingsorevents
withconstituentorganizationsmay sometimesbeattended byonlyafewconstituents,particularly
whentheorganizationisfromastatewithasmallordiffusepopulation.TheCommitteealsousedits
waiverauthoritytoallowMembersandstafftobringoneguest,ifinvited.Comm.onEthics,Guest
Policy Change and Reminder of Gift Rules for Attendance at Events (Sept.19,2022).
58 HOUSEETHICSMANUAL
regularlyscheduled,youwouldnotbeabletoaccepttheinvitationunder
thisexception.Youmaybeabletoacceptitunderadifferentexception
totheGiftRule(page36).
Example (Permissible). Your teachers’ association is hosting its
annual Washington y-in. All association members are welcome
to participate in the trip, and usually about 20 members come to
Washington.One oftheeventsduringthe y-inisadinnerwiththe
congressionaldelegation.Ifyoudetermineyourattendanceisrelated
toyourofcialorrepresentationalduties,youmayacceptthedinner.If
offered,youmayalsobringoneguestofyourchoosing.
Example (Impermissible). Same example as above, but only one
associationmemberfromyourdistrictattendsthey-inandwouldlike
totakeyououttolunchseparatefromthegroup.Becausethelunchisnot
anassociationevent,youmaynotacceptthelunchunderthisexception.
Youmaybeabletoacceptthelunchunderaseparateexceptiontothe
GiftRule(page36).
Educational Events. Youandaguestmayattendeventsthatincludemeals
designed for small group discussion that do not meet the 25 non-Congressional
attendancerequirementofwidely-attendedevents,iftheeventsmeetthefollowing
criteria.
87
• Theeventiseducational,suchasalecture,seminar,ordiscussion;
• Theeventishostedbyauniversity,foundation,thinktank,orsimilar
nonprot,non-advocacyorganization;and
• Youareinvitedbytheeventorganizerdirectly.
You may not accept a meal at educational events organized by registered
federal lobbyists or foreign agents, organizations that employ or retain registered
federallobbyistsorforeignagents,oradvocacygroups.Youalsomaynotaccepta
mealat educationaleventsthatarelegislative briengsor strategysessions,even
iftheorganizationhostingtheeventhasaneducationalstatusundertheInternal
RevenueCode.
87
The Committee granted this general waiver pursuant to its waiver authority in House
Rule 25, cl. 5(a)(3)(T). The Committee did so because it recognized there are certain events that
areworthwhileforMembersandstafftoattend,butthatdonotmeetthenumericrequirementsfor
widely-attendedevents. The Committee also used its waiver authority to allowMembers and staff
tobringoneguest,ifinvited.Comm.onEthics,Guest Policy Change and Reminder of Gift Rules for
Attendance at Events (Sept.19,2022).
Gifts 59
Example (Permissible). Youareinvitedtoaluncheonserieshosted
byanonpartisan, nonprotthink tank.Theluncheon seriesfeatures
distinguishedspeakersfromacademiadiscussingforeignpolicyupdates.
Thethinktankinvitedabout15people,someofwhomareMembersand
staff.Youmayaccepttheinvitationandtheluncheon.Ifoffered,you
mayalsobringoneguestofyourchoosing.
Example (Permissible in Part). A trade association establishes a
nonproteducationalfoundation.Thefoundationsponsorsamonthly
seriesatwhichexpertsfromtheeldexplainaspectsoftheirindustry
andtheramicationsofvariouslegislativeproposalsforthatindustry.
YouandadozenotherHousestaffareinvitedtothesepresentations,
whichoccurover lunch. You may attend theevent, but you maynot
acceptthemealbecausetheseeventsarelegislativebriengs.Youmay
beabletoacceptthemealunderadifferentexceptiontotheGiftRule
(page36).
Training in the Interest of the House. Youandaguestmayacceptfree
attendanceto trainingthatis inthe interestof the House.
88
Youmayalso accept
anyfoodorrefreshmentsofferedtoallattendeesaspartofthetraining.
89
Generally,
trainings“intheinterestoftheHouse”aretrainingslikevendortrainingsonhowto
useaproduct.
These trainingsaregenerally not provided by outside organizations looking
to share their views with you and inuence your policy decisions. You may not
acceptmealsinconnectionwithpresentationsmadebyregisteredfederallobbyists,
foreign agents, organizations that employ or retain registered federal lobbyists or
foreignagents,oradvocacygroups.Youalsomaynotacceptmealsinconnectionwith
briengsordiscussionsrelatingtoissuesbeforeCongress.
Example (Permissible). The company that your ofce uses for
managingconstituentcommunicationsishostingatrainingsessionin
theRayburn GoldRoomtopromoteits productand providehands-on
assistancetocurrentandpotentialclients.Thecompanyplanstooffer
boxedlunchestoeveryonewhoattends.Youmayattendthetraining
andaccepttheboxedlunch.
Example (Impermissible). Athink-tankwouldliketohostanevent
whereitsharestheresultsfromarecentpollanddiscusseshowthose
88
HouseRule25,cl.5(a)(3)(L);Comm.onEthics,Guest Policy Change and Reminder of Gift
Rules for Attendance at Events (Sept.19,2022).
89
Id.
60 HOUSEETHICSMANUAL
resultscaninformpolicydecisions.Thethinktankplanstoofferaboxed
lunchtoeveryonewhoattends.Youmaynotattendthiseventunder
thisexceptiontotheGiftRule.Butyoumaybeabletoattendundera
differentexceptiontotheGiftRule(page36).
Charity Events. You and a guest may accept an unsolicited offer of free
attendanceforacharityfundraisingevent.
90
“Freeattendance”includesallorpart
of the cost of admission; local transportation to and from the event; andthe food,
refreshments, entertainment, and instructional materials provided to all event
attendees.
91
Freeattendancedoesnotincludeentertainmentcollateraltotheevent
orfoodandrefreshmentsoutsidethegroupsettingoftheevent,suchasgiveaways.
92
Acharityfundraisingeventmustmeetthefollowingcriteria.
• Youareinvitedbytheeventorganizerdirectly,and
The event organizer is the organization(s) doing the work to put the
eventon,notamonetaryeventsponsorortablesponsor.
93
• Theevent’sprimarypurposemustbetoraisefundstobenetanorganization
qualiedunder§170(c)oftheInternalRevenueCode.
94
90
HouseRule25,cl.5(a)(4)(C);Comm.onEthics,Guest Policy Change and Reminder of Gift
Rules for Attendance at Events (Sept. 19, 2022). This exception extends to charity events such as
lunches,dinners,golfortennistournaments,races,andcook-offs.Thepurposeofthisexceptionto
theGiftRuleistoenableMembersandstaff“tolendtheirnamestolegitimatecharitableenterprises
and otherwise promote charitable goals.” Comm. on Rules, Amending the Rules of the House of
RepresentativestoProvideforGiftReform,H.R.Rep.No.104-337,at12(1992).
91
HouseRule25,cl.5(a)(4)(D).
92
Id. Giveawaysmaybeacceptediftheymeettherequirementsofanotherexceptionofthe
GiftRule.Themostcommonlyusedexceptionsarethelessthan$50exceptionandthenominalvalue
exception.
93
“Eventorganizer”and“eventsponsor,”asthosetermsrelatedtoevents,mean“theperson,
entity,orentitiesthatareprimarilyresponsiblefororganizingtheevent.Anindividualwhosimply
contributes money to an event is not considered to be a sponsor of the event.” Comm. on Rules,
AmendingtheRulesoftheHouseofRepresentativestoProvideforGiftReform, H.R.Rep.No.104-
337,at12(1995).Goldorsilverlevelsponsorsortablesponsorsarenotincludedinthedenitionof
eventorganizeroreventsponsorforthepurposesoftheseexceptionstotheGiftRule.But,theremay
bemorethanoneeventorganizerifthoseentities“play[]signicant,activerole[s]inorganizingthe
eventinamannerthatisroughlycomparable”toanothereventorganizerorsponsor.S.Comm.on
Gov’tAffairs,CongressionalGiftsReformAct,S.Rep.No.103-255,at14(1994)(Senatecommittee
reportonrevisionstotheSenategiftrule).
94
Organizationsqualiedunder§170(c)oftheInternalRevenueCodeincludeorganizations
qualiedunder§501(c)(3)oftheInternalRevenueCode,governmententities,andcertainveterans’
organizationsandfraternalorders.26U.S.C.§170(c).Organizationsqualiedunder§501(c)(4)of
theInternalRevenueCodearenotincludedinthislist.
Gifts 61
Theprimarypurposeisusuallymetifatleasthalfoftheproceedsare
tax-deductiblecharitablecontributions.
Example (Permissible). Alocalcompanyinvitesyoutoitscasinonight
whoseproceedswillbedonatedtoa§501(c)(3)charityinthedistrict.
Becauseyouwereinvitedbytheeventorganizerandtheprimarypurpose
istoraisefundsforacharity,youmayaccepttheinvitation.
Example (Impermissible). A local organization has both a § 501(c)
(3)armanda§501(c)(4)arm.Theorganizationishostingitsannual
fundraising dinner and those who purchase tickets or wish to donate
more than the ticket price can choose whether their donations will
benetthe§501(c)(3)orthe§501(c)(4).Becausetheevent’sprimary
purposeisnottoraisefundsforanorganizationqualiedunder§170(c)
oftheInternalRevenueCode,thiseventisnotacharityfundraiser.
Example (Impermissible). Alocalcompanyinvitesyoutoitscasino
night.Ifanymoneyisleftoverafterthecompanypaysitsexpenses,it
planstodonatetheexcesstoalocal§501(c)(3)charityinthedistrict.
Becausetheprimarypurposeofthiseventisnottoraisefundsforan
organizationqualiedunder§170(c)oftheInternalRevenueCode,this
eventisnotacharityfundraiser.
Example (Impermissible). Alobbying rmwishes tohold adinner
for Members and staff, at which it will announce that the rm made
a substantial donation to a local charity. Thisevent isnot acharity
fundraiser because its primary purpose is not to raise funds for that
charity.
Example (Impermissible). Alocaltheaterisorganizedasa§501(c)
(3)charity.Thechairmanoftheboardforthelocaltheaterinvitesyou
toaregularperformance.Thiseventisnotacharityfundraiserbecause
itsprimarypurposeisnottoraisefundsforthecharity.Aseparately
scheduled fundraiser for the theater may be considered a charity
fundraiser.
Example (Permissible in Part). A§501(c)(3)charityishostingan
eveningfundraisingreception,followedbyaboardmeetingoverdinner.
Youmayacceptaninvitationforthefundraisingreception,butnotstay
fortheboardmeeting,becausetheboardmeeting’sprimarypurposeis
nottoraisefundsforthecharity.Youmaybeabletoattendtheboard
meetingandacceptthemealunderadifferentexceptiontotheGiftRule
(page36).
62 HOUSEETHICSMANUAL
Example (Impermissible).Anadvocacyorganizationyouworkwith
often purchased a table at a charity fundraiser organized by another
organization. The advocacy organization invites you to be its guest
andsitatitstable.Youmaynotaccepttheticketfromtheadvocacy
organizationunderthisexception.
Example (Permissible).Aneventorganizeroffersyoutwoticketsto
its upcoming charity fundraiser. You would like to bring your adult
childasyourguest.Youmayusethesecondtickettobringyouradult
child.
Youmaybeabletoaccepttraveltoattendacharityfundraiser.SeeTravelto
AttendCharityFundraisers(page113).
Events Sponsored by Political Organizations. Youmayaccept an offer
of free attendance to a political fundraiser or other campaign event organized by
the political organization.
95
Free attendance to a political event includes the cost
ofadmission,food,refreshments,entertainment,andotherbenetsprovidedbythe
political organization, including unsolicited offers of free attendance for guests.
96
Youmaybeabletoaccepttransportationandlodgingiftheoffercomplieswiththe
requirementsinTravelforPoliticalPurposes(page108).A“politicalorganization”
forthisexceptiontotheGiftRuleisonedescribedin§527(e)oftheInternalRevenue
Code.
97
Youmayacceptaninvitationtoaneventthatisprimarilyentertainment,such
asagolfoutingorasportsgame,ifthateventisatruefundraiserforthepolitical
organization.
98
Ameetingwithanindividualwhomerelygivesyouacampaigncontributionis
notatruefundraiserorcampaigneventunderthisexceptionunless
• Theeventisorganizedandpaidforbythepoliticalorganization,and
95
HouseRule25,cl.5(a)(3)(G)(iii).
96
Thepoliticalorganizationmustdirectlypayforyourmeal.Youmaynotacceptamealthat
an outside third-party provided to the political organization through in-kind donations under this
exceptiontotheGiftRule.YoumaybeabletoacceptthemealunderadifferentexceptiontotheGift
Rule.
97
Briey stated, under that statute, a political organization is an entity organized and
operatedprimarilyforthepurposeofacceptingcontributionsormakingexpendituresforthepurpose
ofinuencingtheelectionofanyindividualtoapublicorpoliticalofce.
98
Theterm“bonade”means“madeingoodfaith;withoutfraudordeceit,”sincere,orgenuine.
Bona de, Black’sLawDictionary(11thed.2019).
Gifts 63
• Receiptsandexpendituresareappropriatelyreportedunderapplicable
campaignnancelawsandregulations.
Youmayonlyacceptaninvitationtoapoliticaleventifyouwereinvitedbythe
eventorganizerdirectly.
99
AsdiscussedinCampaign(page131)andProhibitionConcerningCampaign
OutlaysandContributions,Housestaffmaynotpurchaseticketstoapoliticalevent
thatbenetstheiremployingMember.ProhibitionConcerningCampaignOutlays
and Contributions is available at https://ethics.house.gov/campaign-activity-pink-
sheets/reminder-prohibition-concerning-campaign-contributions-and-outlays.
Example (Permissible). You are invited by the state party to its
upcomingfundraiser.Thestatepartyoffersyouthreetickets.Youmay
accepttheinvitationandallthreetickets.
Example (Impermissible). You are invited by the state party to a
fundraiser for a presidential candidate. The state party purchased a
tableatthefundraiserandisnotinvolvedinputtingtheeventon.You
maynotaccepttheinvitationfromthestateparty.
Example (Impermissible). You are invited to a fundraiser for a
§501(c)(4)organization.Becausetheeventdoesnotbenetapolitical
organization,youmaynotaccepttheinvitationunderthisexception.
Example (Impermissible). Youare invitedto afundraiser foryour
employing Member by a campaign donor who purchased the ticket
foryou.Youmaynotaccepttheticketbecauseitdidnotcomefroma
politicalorganization.Youalsomaynotpayfortheticketbecauseitis
afundraiserforyouremployingMember.Youmaybeabletoacceptthe
ticketunderadifferentexceptiontotheGiftRule(page36).
Events in Honor of Members, Ofcers, and Employees. Events that
outsideorganizationsputonnominallyinyourhonorarenotgiftstoyou,although
99
“Eventorganizer”and“eventsponsor,”asthosetermsrelatedtoevents,mean“theperson,
entity,orentitiesthatareprimarilyresponsiblefororganizingtheevent.Anindividualwhosimply
contributes money to an event is not considered to be a sponsor of the event.” Comm. on Rules,
AmendingtheRulesoftheHouseofRepresentativestoProvideforGiftReform, H.R.Rep.No.104-
337,at12(1995).Goldorsilverlevelsponsorsortablesponsorsarenotincludedinthedenitionof
eventorganizeroreventsponsorforthepurposesoftheseexceptionstotheGiftRule.But,theremay
bemorethanoneeventorganizerifthoseentities“play[]signicant,activerole[s]inorganizingthe
eventinamannerthatisroughlycomparable”toanothereventorganizerorsponsor.S.Comm.on
Gov’tAffairs,CongressionalGiftsReformAct,S.Rep.No.103-255,at14(1994)(Senatecommittee
reportonrevisionstotheSenategiftrule).
64 HOUSEETHICSMANUAL
freeattendanceattheeventwouldstillbeagift.Tobe“nominally”inyourhonor,the
eventmustmeetthefollowingcriteria.
100
• Theeventorganizeriscleartoallparticipants,suchasatthetopofthe
invitation;
• Youarenotahostorsponsoroftheevent;
• Youdonotreceiveanyparticularbenetfromtheevent;
• Youdidnotasktheeventorganizertohosttheevent;and
• Youdidnotsolicitsupportfortheevent.
Iftheeventdoesnotmeetthecriteriaabove,theevent’sentirecostwouldbe
agifttoyou.
Example (Permissible). An advocacy group that works on
environmentalissueswantstohostareceptioninyourhonorbecauseof
yourworkonenvironmentalissues.Theadvocacygroupwillhandleall
thelogisticsfortheevent.Theymayhostthereceptioninyourhonorand
youmayattendifyourfreeattendancemeetstheGiftRuleexceptions
(page52)forthattypeofevent.
Example (Additional Action Required). At that same event, the
advocacygroupwishestoshowcaseyournaturephotographyandofferit
forsale.Becauseyouwouldreceiveabenetfromtheevent,theevent’s
entirecostwouldbeagifttoyou.Youmaybeabletoacceptthegiftof
theeventunderadifferentexceptiontotheGiftRule(page36).
Example (Additional Action Required). You are retiring at the
end of the Congress. A local nonprot in your district wants to host
a retirementeventin your honor. The event willbe a fundraiser for
thenonprot,andyouwillberequiredtohelpfundraisefortheevent.
Becauseyouareaskedtosolicitsupportfortheevent,theevent’sentire
costwouldbeagift toyou.Youmaybe abletoacceptthe giftofthe
eventunderadifferentexceptiontotheGiftRule(page36).
Example (Additional Action Required). Your friends would like
tohostaretirement partyinyourhonor. Theyasktoholdthe event
atyourhome,buttheyplantohandlealltheotherlogistics.Because
youwouldprovidein-kindsupportfortheevent,theevent’sentirecost
100
AneventcouldnominallybeinhonorofasingleMember,ofcer,oremployee,oragroup.
Forexample,aneventcouldbeinhonorofacaucusorastaffassociation.
Gifts 65
wouldbea gifttoyou. Youmaybeable toaccepttheevent asagift
basedonpersonalfriendship(page40).
Inaugural and Swearing-In Events. You may wish to host or attend a
PresidentialInauguralevent oraCongressional Swearing-Inevent. Therulesfor
hostingorattendingtheseeventsarethesameasforallotherevents.Anofferof
freeattendanceataninauguralorswearing-ineventmustcomplywithanexception
tothe GiftRule dependingonthe typeof event—widely-attendedevent(page54),
charity fundraiser(page 60), political event(page 62), or reception(page 52). 
Additionally, if the event is nominally in your honor, you may not be involved in
puttingontheevent.SeeEventsinHonorofMembers,Ofcers,orEmployees(page
63).
Ifyouwishto hostaswearing-inevent ora receptionforvisitorsfromyour
district,seeConferencesandTownHallMeetings(page348).
Events During National Political Conventions. Membersmaynotattend
some events during the national political conventions, even if attendance would
otherwisemeetanexceptiontotheGiftRuleoriftheMemberpurchasedaticket.
101
DuringthedatesofthenationalpoliticalconventiontoselectthePresidentialand
VicePresidentialcandidatesofyourparty,aMembermaynotparticipateinorattend
aneventheldintheirhonor,iftheeventispaidforbyaregisteredfederallobbyistor
organizationthatemploysorretainsaregisteredfederallobbyist.
102
IftheMember
beinghonoredisaPresidentialorVicePresidentialcandidate,thisrestrictiondoes
notapply.
103
ThisrestrictionprohibitshonoringaspecicMember.
104
UnlessaMemberis
aPresidentialorVicePresidentialcandidate,theMembercouldnotbenamed,even
inapersonalcapacity,onanyinvitations,promotionalmaterials,oreventpublicity.
AMemberalsomaynotparticipateiftheMemberreceivessomespecialbenetor
opportunity that others would not have, like an exclusive speaking or prominent
101
ThisprovisiononlyappliestoMembers,nottoofcersoremployeeswhomayalsoattend
thenationalpartyconventions.
102
See HonestLeadershipandOpenGovernmentActof2007(HLOGA),Pub.L.No.110-81,
§305, 121 Stat. 735, 753-754 (Sept. 14, 2007); HouseRule 25, cl. 8. The term “participate” is not
denedinHLOGAortheHouseRule.IntheCommittee’sview,theprohibitiononparticipationin
theseeventsconcernsMemberattendanceattheevent.MembersshouldcontacttheCommitteewith
anyquestionsregardingwhetheractivitiesotherthanattendancemayconstituteparticipationinsuch
events.
103
Id.
104
See 153Cong. reC.E1759(dailyed.Aug.4,2007)(statementofRep.JohnConyers,Jr.)
(“Thisprovisionwillhavetheeffectofpreventinglobbyistsoranentityemployingsuchlobbyistsfrom
directlypayingforapartytohonoraspecicMember.”).
66 HOUSEETHICSMANUAL
ceremonialrole.AgroupofMembers,suchasadelegation,committee,orcaucus,
without naming specic Members, may still be honored under this exception.
105
Additionally,Membersofacongressionalhostcommitteecouldbelistedifthatlisting
alsoincludesnon-congressionalhostcommitteemembers.
This exception prohibits registered federal lobbyists or organizations that
employorretainregisteredfederallobbyistsfromdirectlypayingforaneventwhere
aspecicMemberishonored.Membersmaystillparticipateineventshostedand
organizedbyorganizationswithoutregisteredfederallobbyists,evenifaregistered
federallobbyist,ororganizationthatemploysorretainsaregisteredfederallobbyist,
contributedfundstotheevent.
Example (Permissible). You are the presumptive Presidential
candidate.Yourparty’snationalpoliticalconventionwillbeheldfrom
July 16-18 this year. A registered federal lobbyist wants to host a
receptioninyourhonoronJuly17andwantstospecicallynameyou
on all the reception’s promotional material. The reception will meet
alltherequirementsforareception.Althoughtheeventwillbehosted
duringthedaysofyournationalpartyconventionandyouwillbenamed
specically, you may participate because you are the Presidential
candidate.
Example (Permissible). Youareadelegatetoyourparty’snational
convention. Your party’s national convention will be held from July
21-23this year.A registeredfederal lobbyistwantsto hostacharity
fundraiserhonoringyourstate’sdelegationtotheconventiononJuly22.
Theeventwillbepublicizedashonoringthestate’sdelegationwithout
naming specic names. The event meets all the requirements for a
charityfundraiser.Youmayparticipateintheevent.
Example (Permissible). An organization that does not employ or
retainregisteredfederallobbyistswouldliketohostareceptioninyour
honorduringyourparty’snationalpoliticalconvention.Thereception
will meet all the requirements for areception. The organization has
several table sponsors, including some registered federal lobbyists.
Becausetheevent organizerdoesnotemploy orretainanyregistered
federallobbyists,youmayparticipateintheevent.
Example (Permissible). Your party’s national political convention
willbeonJuly15-17thisyear.Aregisteredfederallobbyistwouldlike
105
Thereisnonumericalrequirementonthesizeofthedelegationorcaucusparticipatingin
theevent.
Gifts 67
tohostareceptioninyourhonoronJuly18.Thereceptionwillmeetall
therequirementsforareception.Becausetheeventisnotduringthe
datesofyourparty’snationalpoliticalconvention,youmayparticipate
intheevent.
Business Meetings
Youmayacceptnominalvaluefoodanddrinks,includingcoffeeorwaterand
snacks,duringabusinessmeeting.
106
Youmaynotacceptanyfoodordrinksfroma
registeredfederallobbyistduringaone-on-onemeeting.Thisexceptionalsodoesnot
allowyoutoacceptameal,evenasmallonelikeahotdogorpizza.Youmaybeable
toacceptamealifitmeetsadifferentexceptiontotheGiftRule(page36).
SeeBusinessSiteVisits(page116)forfacilitytours.
Example (Permissible in Part). You are invited to a business
meetingwiththelocalsubsidiaryofalargemultinationalcorporation.
Themeetingwillbeinthecompany’sboardroom.Thecompanyoffers
toprovidelunchanddrinksduringthebusinessmeeting.Youmaynot
acceptthelunch.Youmayacceptthedrinksthatareoffered.
Informational Materials
Youmayacceptinformationalmaterials,suchasbooks,articles,magazines,
newspapers,CDs,DVDs,orashdrivesthataresenttoyourofcetoassistwithyour
ofcialduties.
107
Youmayacceptonecopyregardlessofwhosenttheinformational
materialorthevalue.Youmaynotacceptadditionalcopiessenttoyourhome,and
your ofcial copy should not be used to supplement your personal library.
108
You
may accept informational materials from any source, including a constituent or a
lobbyist.Ifyouareofferedasubscriptiontoaperiodical,youmayonlyacceptifthe
subscriptioncomesfromtheperiodical’spublisherordistributor.
You may also accept informational materials provided during an event or
meeting,suchasaneventprogramorone-pagerabouttheorganizationoritspolicy
position.
You mayacceptinformational materials that come in a set,but you may not
106
HouseRule25,cl.5(a)(3)(U).
107
HouseRule25,cl.5(a)(3)(I).Youshouldconsiderwhetherthematerialyouwereoffered
trulyisinformationalandwillbenetyouinyourofcialcapacity.Forexample,acopyofataxlaw
textbookmaybeinformationalifyouareconsideringrevisionstothetaxcode,butthelatestction
murdermysterymaynotbeinformational.
108
Comm.onRules,AmendingtheRulesoftheHouseofRepresentativestoProvideforGift
Reform,H.R.Rep.No.104-337,at11(1995).
68 HOUSEETHICSMANUAL
acceptperiodicupdatestothatset.Additionally,youmaynotacceptfullapplication
software oraccessto a database under this exception. Youmay, however, accept a
demonstrationcopyoftheapplicationsoftwarethatisnotfullyfunctional,tounderstand
howthesoftwareworks.Youmaybeabletoacceptfullapplicationsoftwareoraccessto
adatabaseunderadifferentexceptiontotheGiftRule(page36).
Ifoffered,youmayacceptmultiplecopiesofaninformationalmaterialforthe
purpose of distributingthosematerials to your colleagues or others. Thepurpose
ofthemultiplecopiesmustbefordistributiontoaspecicgroup,youmaynotkeep
themultiplecopiesforyourunrestricteduse,andthematerialsmustnotbecreated
specicallyforyou.
Example (Permissible). Aconstituentsendsyouacopyofabestselling
bookaboutbudgetreform.Thebook’slistpriceis$60.Youmayaccept
thebookasaninformationalmaterial.
Example (Permissible in Part). You are offered a 5-part PBS
documentary that is relevant to upcoming legislation, and you are
offeredabookseriesthatisupdatedannually.YoumayacceptthePBS
documentaryandtheinitialsetofbooks.Youmaynotacceptannual
updatestothebooks.
Example (Impermissible). You are on the Natural Resources
CommitteeandaconstituentofferstopayforasubscriptiontoNational
Geographic.Youmaynotacceptthesubscriptionbecausetheofferdid
notcomefromthepublisher.
Example (Permissible in Part). You are working on legislation
involvingonlinetaxpreparation.Ataxpreparationcompanyoffersyou
freeaccesstoitstaxpreparationwebsite,whichusuallyrequiresa$79
annualregistration fee. Thecompanyalsooffersyou accessto afree
tutorialabouthowtouseitswebsite.Youmaynotacceptthefreeaccess
tothewebsite,butyoumayacceptthefreetutorial.
Commemorative Items
Youmayacceptaplaque,trophy,orothersubstantiallycommemorativeitem
thatispresentedinperson.
109
Inpersonpresentation,alone,doesnotmakeanobject
substantiallycommemorative.TheCommitteelookstothefollowingcharacteristics
to determine whether an item is substantially commemorative. This list is not
exhaustive.
109
HouseRule25,cl.5(a)(3)(S).
Gifts 69
• Theengravingscommemorateanoccasionandnotjustaperson,includingthe
nameoftheevent,thepresentingorganization,andthedate;and
• Theitemdoesnothavesignicantutilityorartisticvalue.
Example (Impermissible). After speaking at an event, the event
organizerpresentsyouwithanexpensivepenengravedwithyourname.
Thependoesnothaveanyotherinformationengravedonit.Although
presentedinperson,thepenisnotsubstantiallycommemorative.
Example (Permissible). After speaking at the same event the
following year, the event organizer presents you with a Waterford
crystalbowlengravedwithyourname,thenameoftheevent,andthe
dateoftheevent.Althoughthebowlhasutilityandisdecorative,itis
stillsubstantiallycommemorative,andyoumayacceptit.
Example (Impermissible). Anorganizationwouldliketoofferyoua
atscreentelevisiontohonoryoureffortsonanissuenearanddeartoits
heart.Theorganizationintendstoputasmallplaqueonthetelevision
with your name, the date, and the reasons for the honor. Even if
presentedinperson,thetelevisionisnotsubstantiallycommemorative.
Example (Impermissible). An event’s organizers commission a
famousartisttopaintapictureforyouthatwillbepresentedaftertheir
event.Theartistplanstoincorporatethenameoftheeventinsmall
lettersinthe corneroftheartwork. Evenifpresented inperson,the
commissionedartworkisnotsubstantiallycommemorative.
Example (Impermissible). Anaircraftmanufacturerinyourdistrict
wantstomailyouascalemodelofanairplanethatitbuilds.Themodel
willbeinscribedwiththedateoftheairplane’srstbuild.Becauseitwill
notbepresentedinperson,youmaynotacceptitasacommemorative
item.YoumaybeabletoacceptitunderadifferentexceptiontotheGift
Rule(page36).
Gifts from Outside Business and Other Activities
You may accept gifts that are offered to you because of your activities or
employmentoutsideoftheHouseoryourspouse’sactivitiesoremploymentoutside
oftheHouse.
110
Youmayacceptthesegiftsif
• ThegiftswerenotofferedorenhancedbecauseofyourpositionwiththeHouse,
and
110
HouseRule25,cl.5(a)(3)(G).
70 HOUSEETHICSMANUAL
• Thegiftsarecustomarilyprovidedtoothersinsimilarcircumstances.
Example (Permissible). Anorganizationhoststripsabroadforyoung
Americans to visit the countries of their heritage. The organization
pays for all thetravel expenses. The application for these trips only
asksforyourculturalbackgroundanddoesnotaskaboutyourcurrent
employment or ask for a resume. You applied for the trip and were
accepted. Because you met the criteria for the trip and your House
employmentwasnotincludedintheapplicationprocessatall,youmay
acceptthetrip.
Example (Additional Action Required). Same example above,
but the organization also hosts trips for “Young Leaders” to those
countries.Aspartoftheapplicationprocess,youincludedyourcurrent
employment,acopyofyourresume,andansweredessayquestionsabout
yourleadershipexperience.BecauseyourHouseemploymentwaspart
oftheapplicationprocess,youmaynotacceptthetripasrelatedtoyour
outsideactivities.Youmay,however,seekawaiverfromtheCommittee
to participate in the trip. See General Waiver (page 85) for more
information.
Example (Permissible). Youserveontheboardofa501(c)(3)charity.
Eachyearthecharitypaysforonenight’slodgingforeachofitsboard
memberstoattendthecharity’sannualmeeting.Becausealltheboard
membersareofferedthesamelodging,youmayaccepttheofferaswell.
However,youmaynotacceptanicerroomthananyoftheotherboard
members.
Example (Permissible). Yourspouseisarealestateagentandatop
sellerinthemarket.Forbeingatopseller,yourspousereceivedanall
expensespaidtriptoHawaiiforyourspouseandaguest.Yourspouse
offers to bring you on this trip. Because the offer is related to your
spouse’semploymentandisnotrelatedatalltoyourpositionwiththe
House,youmaytravelwithyourspouse.
Example (Impermissible). Same example as above. However,
although all employees at your spouse’s real estate rm may bring a
guestoftheirchoosing,therealestatermspecicallyasksyourspouse
toinviteyoubecauseyouworkfortheHouse.Youmaynotacceptthe
tripbecauseitwasofferedduetoyourpositionwiththeHouse.
Example (Impermissible). A local sports team in your district
established an advisory council and asks you to join. The advisory
Gifts 71
council mostly consists of area elected ofcials or their staff. Each
advisorycouncilmembergetsseasonticketstothesportsteam’shome
games.Eventhoughyoumayonlyparticipateintheadvisorycouncilin
yourpersonalcapacity,youwereinvitedtoparticipatebecauseofyour
positionwiththeHouse.Therefore,youmaynotaccepttheseasontickets.
Example (Permissible). You started looking for a new position off
theHill.Youinterviewedwithoneprivatecompanyandwereinvited
backforasecondinterview.Allsecondinterviewswiththiscompany
takeplaceoverlunchatarestaurant,andthecompanypays.Youmay
acceptthelunchduringthesecondinterview.
Example (Impermissible). Aprivatecompanyreachedouttoyouto
talkaboutajoboffer.Thecompanyisheadquarteredontheotherside
ofthecountry.Typically,thecompanyiesitscandidatesouttomeetat
headquarters.Thecompanyusuallyonlycoverscoachclassairfare,but
becausetheywouldlikeyoutobetheirrainmaker,theyoffertopayfor
rstclassairfareforyou.Youmayonlyacceptthecoachclassticketfrom
thecompany.Youmayupgradeyourticketusingyourownresourcesor
acceptafreeupgradefromtheairlineifitisawidely-availablebenet.
Benets from Previous Employers
YoumayacceptbenetsfromformeremployerswhileemployedbytheHouse,
ifthosebenetsarerelatedtotheworkyouperformedfortheformeremployerand
not related to your position with the House.
111
These benets include receiving a
pension, participation in a retirement plan maintained by the former employer,
deferredcompensation,andseverancepayments.
Youmayreceiveaseverancepackagefromaformeremployerwhileemployed
bytheHouseiftheseverancepackagemeetsthefollowingcriteria.
• Yourformer employer regularlygives its employeesa severance packageas
partoftheemployees’compensationforservicesperformed,
• Theseverancepackageiscompensationforservicesperformedfortheformer
employerpriortoemploymentwiththeHouse,
• Theseverancepackageisnogreaterthanthatgiventoothersimilaremployees
whodonotworkfortheHouse,and
• The severance package’s monetary value is not enhanced because of your
employmentwiththeHouse.
111
HouseRule25,cl.5(a)(3)(H).
72 HOUSEETHICSMANUAL
You may accept deferred compensation for work you performed prior to
startingHouseemployment.However,youmaynotreceivedeferredcompensation
for representational services before the federal government, even if the work was
completedpriortostartingyourHouseemployment.
112
SeeOutsideEmployment(page
195)forinformationaboutrepresentationalservicesbeforethefederalgovernment.
If you have active contingency or referral fee agreements related to your
former employer, pleasecall the Committee for guidance on how tomanagethose
agreements.
Example (Permissible). You participated in a 401(k) plan with
your former employer. Your former employer matched all employee
contributions.Yourformeremployerallowsformeremployeestokeep
their investments in the company 401(k) plan but does not match
contributionsforformeremployees.Youmaykeepyourinvestmentsin
thecompany401(k)planwithoutreceivinganymatchingcontributions.
Example (Impermissible). Yourformeremployerdoesnotroutinely
offer severance packages to departing employees, but it does offer a
separationbonusforanydeparting employeeswhowork inCongress.
Because theseparationbonus is tied to yourHouseemployment, you
maynotacceptit.
Example (Permissible). PriortoworkingfortheHouse,youwerea
realestateagent.Allyouroutstandingcontractssettledtheweekbefore
youstartedyourHouseemployment,butyoureceivedthepaymentfrom
yourrealestatebrokerafteryoustartedHouseemployment.Because
thedeferredpaymentisforworkdonepriortojoiningtheHouse,you
mayacceptthedeferredpayment.
Legal Expenses
Subjecttomanyrestrictions,youmaybeabletoacceptcontributionstoaLegal
ExpenseFundthattheCommitteeapprovesorpro bono legalservices.
113
Legal Expense Funds. Youmayacceptcontributionstoalegalexpensefund
that the Committee formally approves as long as those contributions fully comply
with the requirements in the Committee’s Legal Expense Fund Regulations.
114
112
See 18 U.S.C. § 203 (prohibiting federal employees, including Members, ofcers, and
employees of theHouse, from accepting, “directly or indirectly,” compensation for representational
servicesbeforefederalagencies).
113
HouseRule25,cl.5(a)(3)(E).
114
Id.
Gifts 73
LegalExpenseFundRegulationsareavailableathttps://ethics.house.gov/nancial-
disclosure-pink-sheets/revised-legal-expense-fund-regulations. If you would like
toestablish aLegal ExpenseFund,youmustwrite tothe Committeeand request
formal approval of the trust document and the proposed trustee. Once approved,
LegalExpenseFundsbecomepublicdocuments.
1. Purposes of a Legal Expense Fund
YoumayonlyestablishaLegalExpenseFundiftherelevantlegalexpenses
ariseinconnectionwith
• Yourcandidacyfor,orelectionto,federalofce;
• YourofcialdutiesorpositioninCongress;
This purpose includes matters before the Committee and ling an
amicus briefinaMember’sofcialcapacity.
• AcivilactionledinaMember’sofcialcapacitychallengingthevalidityofa
federallaworregulation;
• Acriminalprosecutionagainstyou;or
• Acivilmatterbearingonyourreputationortnessforofce.
YoumaynotestablishaLegalExpenseFundformattersthatareprimarily
personalinnature,suchasmatrimonialaction,personalinjuryclaims,orpersonal
contractdisputes.
2. Independent Trustee.
YoumustndanindependenttrusteetomanageyourLegalExpenseFund.
Thetrusteemaynothaveanyfamily,business,oremploymentrelationshipwithyou
fortwoyearsbeforetheestablishmentofyour LegalExpense Fund.Additionally,
thetrusteemaynotdelegateanydutiestosomeonewhohasanyfamily,business,
oremploymentrelationshipwithyou.Additionally,werecommendthetrusteenot
contributetoanyofyourcampaignswhileservingastrustee.Althoughthetrustee
providesmanyservicestotheLegalExpenseFund,youareultimatelyresponsiblefor
theproperadministrationoftheLegalExpenseFund.
The full list of trustee duties can be found in the Legal Expense Fund
Regulations.LegalExpenseFundRegulationsareavailableathttps://ethics.house.
gov/nancial-disclosure-pink-sheets/revised-legal-expense-fund-regulations.
3. Contributions
YourLegalExpenseFundmayonlyacceptupto$5,000inacalendaryearfrom
74 HOUSEETHICSMANUAL
any individual or organization, including corporations, labor unions, and political
action committees.
115
Your Legal Expense Fund maynotaccept any contributions
fromregisteredfederallobbyistsorforeignagents.
116
In-kindcontributions,including
pro bono legalservicesandwaiversoftrustee’sfees,alsocounttowardsthat$5,000
limit.
117
In-kindcontributionsmustbevaluedatfairmarketvalue.Iftheorganization
donating to the Legal Expense Fund is a partnership, limited liability company
not taxed as a corporation, or an S-corporation, the contribution is attributed to
theorganizationitselfandtoeachpartner,member,orshareholderbasedoneach
person’sshareoftheorganization’sprots.
Example. Alimitedliabilitycompanywiththreeequalmemberswould
liketodonate$3,000toyourLegalExpenseFund.Thethreemembers
wouldalsoliketoseparatelydonate$2,000eachtoyourLegalExpense
Fund. In your accounting, the limited liability company will have
donated$3,000,andeachmemberwillhavedonated$3,000.
IfanyMember,ofcer,oremployeeoftheHouseotherthanyouwouldliketo
helpraisefundsforyourLegalExpenseFund,thatpersonmustseparatelyreceive
approvalfromtheCommitteetoassist.AnyfundraisingforyourLegalExpenseFund
must follow all the guidelines in Member, Ofcer, and Employee Participation in
FundraisingActivities.Member,Ofcer,andEmployeeParticipationinFundraising
Activities is available at https://ethics.house.gov/gift-pink-sheets/member-ofcer-
and-employee-participation-fundraising-activities.
4. Use of Funds
YoumayonlyusefundsinaLegalExpenseFundforthepurposesapprovedby
theCommittee.Youmayonlyusefundsforthefollowingpurposes.
• Legalexpenses;
• ExpensesincurredwhilesolicitingfortheLegalExpenseFund;
• ExpensesforadministeringtheLegalExpenseFund;
• Federal,state,andlocaltaxes;and
• Expenses related to preparing the reports required by the Legal Expense
115
Giftsfromrelativesofanyamountorgiftsfrompersonalfriendsthatarelessthan$250are
notconsideredcontributionstotheLegalExpenseFundanddonotcounttowardsthe$5,000annual
limit,evenifyouintendtousethosegiftstopayforlegalservices.Giftsfromrelativesandgiftsfrom
personalfriendsareconsideredunderseparateexceptionstotheGiftRule.
116
HouseRule25,cl.5(e)(3).
117
You may accept unlimited pro bono legal services for certain legal assistance, outlined
in Pro Bono Legal Services (page 76). Pro bono legal services for any other purpose are in-kind
contributionstotheLegalExpenseFundandsubjecttotheannuallimit.
Gifts 75
FundRegulations.LegalExpenseFundRegulationsareavailableathttps://
ethics.house.gov/nancial-disclosure-pink-sheets/revised-legal-expense-fund-
regulations.
Anyotherexpenses,includinglegalexpensesincurredpriortoestablishingthe
LegalExpenseFund,mustbeapprovedbytheCommittee.
5. Beneciaries
You may use the Legal Expense Fund to pay for your own legal and other
expenses,asthetrustorandbeneciaryoftheLegalExpenseFund.Youmayinclude
presentandformerHouseemployeesasbeneciariesoftheLegalExpenseFund.If
youwould liketo makeanyoneotherthanyou abeneciary ofthe LegalExpense
Fund,youmustreceiveapprovalfromtheCommittee.
Ifyou chooseto makeHouse employeesbeneciaries ofyour LegalExpense
Fund, you must follow certain requirements to ensure the House employees can
engageindependentandcompetentlegalcounsel.Thoserequirementsarelistedin
theLegalExpenseFundRegulations.LegalExpenseFundRegulationsareavailable
at https://ethics.house.gov/nancial-disclosure-pink-sheets/revised-legal-expense-
fund-regulations.
6. Public Disclosure and Reporting
Once the Committee approves your Legal Expense Fund, you must le the
trustdocumentwiththeLegislativeResourceCenterwithinoneweek.Ifyoudonot
lethetrustdocumenttimely,youmustseekre-approvalfromtheCommitteebefore
formallyestablishingtheLegalExpenseFund.
You must also le quarterly reports for the Legal Expense Fund with the
Committeeand the LegislativeResource Center. Legal ExpenseFunds followthe
calendar year, not the legislative year. The reports include disclosure of certain
contributionsandcertainexpenditures.Althoughthetrusteemayassistyouwith
preparingthequarterlyreports,youareresponsibleforlingthequarterlyreports.
YoumustlequarterlyreportsuntiltheLegalExpenseFundhasterminated
oryouleavetheHouse.IfyouleavetheHouse,youmustalsoleanaldeparting
Trustorreport.
ContributionstoyourLegalExpenseFundaregiftstoyou.IfyouleFinancial
DisclosureStatements,youmustalsoreportcontributionsontheGiftsSchedule.
76 HOUSEETHICSMANUAL
7. Changes to the Legal Expense Fund
If you would like to change the Legal Expense Fund’s purpose, trustee, or
beneciaries,youmustreceivepriorCommitteeapproval.
8. Termination of the Legal Expense Fund
Your trustee may terminate the Legal Expense Fund at the earlier of 1)
theendofthetimeperiodforwhichtheLegalExpenseFundisestablished,2)the
fulllmentoftheLegalExpenseFund’spurpose,or3)attheCommittee’sdirection
fornon-compliancewiththeLegalExpenseFundRegulations.LegalExpenseFund
Regulationsareavailableathttps://ethics.house.gov/nancial-disclosure-pink-sheets/
revised-legal-expense-fund-regulations.
Within90daysafteraLegalExpenseFund’stermination,yourtrusteemust
distributeanyremainingfundsorassetsinoneoftwoways.
• YoumaydistributethefundsandassetstotheLegalExpenseFund’s
contributorsonapro rata basisasdeterminedbyyourtrustee,or
• Youmaydonatetheremainingfundsandassetstoanorganizationqualied
underInternalRevenueCode§501(c)(3).
If you would like to donate the remaining funds and assets to a charitable
organization, the Committee must approve the benetting charities. No Legal
ExpenseFundfundsorassetsmaybedonatedtoacharitythatwasestablishedoris
controlledbyyou.
Pro Bono Legal Services. Youmayacceptunsolicitedpro bono legalservices
forthefollowingpurposes.
118
• Fileanamicus briefinyourcapacityasaMember;
• Participate in a civil action challenging the validity of any federal law or
regulation;or
• Participateinacivilactionchallengingthelawfulnessofanactionofafederal
agency,orafederalofcialactingintheirofcialcapacity.
The civilactionmustconcernamatterofpublicinterest,ratherthan
onethatispersonalinnature.
118
Unsolicited pro bono legal services that t these categories are considered a gift to the
House,nottoanindividualMember.Membersdonotneedtoreportthevalueoftheseserviceson
theirannualFinancialDisclosurestatements.
Gifts 77
Pro bono legal services mean the attorney or law rm providing the legal
servicesisnotchargingforthoseservices.Pro bono legalservicesdonotallowan
outsidethirdpartytopayforlegalexpensesthatyouincur.
119
Youmay,however,be
abletosignontoanamicus briefthatiswrittenforanoutsidethirdpartyinyour
ofcialcapacity.
If you are offered pro bono legal servicesfor anyother purpose, those legal
servicesmusteitherbeallowablecontributionstoaLegalExpenseFundorseparately
approvedbytheCommitteethroughitsformaladvisoryopinionprocess.
Example (Impermissible). You are the plaintiff in a lawsuit
challenging the validity of a federal regulation. A local law rm is
representing you in the action but is not charging you for the legal
services. Unbeknownst to you, athirdparty is paying thelaw rm’s
fees.Youmustrepaythatthirdpartyforthelegalfees.Evenifyouare
unawareofagiftthatisgivenonyourbehalf,youarestillultimately
responsibleforonlyacceptingpermissiblegifts.
Example (Impermissible). A law rm offers to prepare an amicus
brief for Members. The law rm does not offer its services on a pro
bono basis.Athirdpartywhowillalsoprovidelegalservicesoffersto
paythelawrm’sexpenses.Becausethepurposeofthelegalservices
istowriteanamicus briefforMembers,theMembersmaynotaccept
thethirdpartypayingforthoselegalservices.Thelawrmitselfmust
eitherofferitsservicesonapro bono basis,ortheMembersmustpay
fairmarketvalueforthoseservices.
Example (Additional Action Required). You are a candidate for
local elected ofce. Your opponent challengedyourplacementon the
ballot.Whenyouengagedanattorneytoassistwiththeresponse,the
attorneyofferedtheirservicesonapro bono basis.Becausethepurpose
for this pro bono representationdoesnotmeetoneofthepurposeslisted
above,youmustreceiveformalCommitteeapprovaltoaccepttheoffer.
Example (Permissible). Anadvocacygroupislinganamicus brief
inacasechallengingafederalregulationthatyouandotherMembers
also disagree with. The advocacy group is paying for its own legal
servicesandtheamicus brieflaysouttheadvocacygroup’sarguments.
Theadvocacygroupasksifyouwouldliketoalsosignontotheamicus
brief.Becausetheamicus briefiswrittenfortheadvocacygroup,whois
119
Comm.onEthics,In the Matter of Allegations Relating to Representative Jean Schmidt,
H.r. Rep. no.112-195,at16-19(2011).
78 HOUSEETHICSMANUAL
payingitsownlegalservices,youmaysignontothebriefinyourofcial
capacity.
A Warning. YouareresponsibleforcomplyingwiththeGift Ruleand any
otherauthorityallowingyoutoacceptgifts.Beforeenteringintoanyarrangement
where you are not paying full fair market value, and especially for expensive
arrangementssuchaslegalservices,theCommitteestronglyrecommendsyouhavea
fullunderstandingofwhatisbeingofferedandwhowouldbeprovidingthegift.You
maynotsolicitforpro bono legalservices.TheCommitteeandtheOfceofGeneral
Counsel are available to review any retainer agreements. The Ofce of General
Counselisavailableat202-225-9700.
Campaign Funds for Legal Expenses. Youmaybeabletousecampaign
funds to pay for certain legal expenses. See Payment of Certain Legal Expenses
(page166)fortheCommittee’sguidanceonusingcampaignfundsforlegalexpenses.
Please also contact the FEC‘s Ofce of Congressional Affairs at (202) 694-1006 to
discuss additional limits FECA and its regulations place on the use of campaign
funds.
120
Honorary Degrees
Youmayaccepttheawardofanhonorarydegree,aswellasanytravel,food,
refreshments, and entertainment that are also provided in connection with the
honorarydegree.
121
Example (Permissible). Youwereaskedtoprovideacommencement
speechtoyouralmamaterandtheschoolplanstoawardyouwithan
honorarydegree.Theschoolofferstopayforyourtransportationand
lodgingexpenses,aswellastwodinnersduringcommencementweekend
and a post-commencement reception. You may accept the offer from
youralmamater.
Public Service Awards
Youmayacceptabona de,non-monetarypublicserviceaward,aswellasany
food,refreshments,andentertainmentthatarealsoprovidedinconnectionwiththe
publicserviceaward.
122
TheCommitteeconsidersthefollowingcriteriatodetermineifanawardisa
120
Specically,restrictionsonconvertingcampaignfundstopersonaluse.See 11C.F.R.pt.113.
121
HouseRule25,cl.5(a)(3)(K).
122
Id.
Gifts 79
bona de publicserviceaward.
123
Thislistisnotexhaustive.
• Thenatureoftheorganizationprovidingtheaward;
• Whethertheawardispartofanestablishedprogramandhasbeenawarded
onaregularbasis;
• Whethertheawardhasbeenpresentedtonon-congressionalawardeesinthe
past;and
• Whethertherearespecic,writtencriteriafortheselectionoftheawardees.
Ifyou were offereda public serviceaward with amonetary component,you
mustwritetotheCommitteeforformalapprovaltoacceptthemonetaryaward.The
Committeewillcloselyexaminewhethertheawardisabona de publicserviceaward
whendecidingwhethertograntyouawaiveroftheGiftRule.SeeGeneralWaiver
(page85)forinformationabouttheCommittee’swaiverauthority.
Example (Permissible). BeforecomingtotheHouse,youwereactively
involved with foster children. You continued that work since joining
the House. A foundation that supports foster children would like to
honoryourserviceandpresentyouwithanaward.Thefoundationhas
presentedthisawardeveryyearforthelast20yearstosomeonewho
tirelesslyworkstoimprovethelivesoffosterchildren.Thefoundation
has established criteria to determine whether a recipient “tirelessly
workstoimprovethelivesoffosterchildren.”AMemberandaSenator
receivedtheawardinpreviousyears,butgenerallytheawardisgivento
someonenotafliatedwithCongress.Theawarditselfisacrystaldesk
clock.Youmayacceptthebona de publicserviceawardandanymeals
orentertainmentprovidedwhenyouarepresentedwiththeaward.
Example (Additional Action Required). You were active duty
militarypriortojoiningtheHouseandcontinuetoserveintheReserves.
YouworkfortheVeteransAffairsCommitteeandareactivelyinvolvedin
assistingveteransoutsideofyourofcialduties.Aprivateorganization
thatassistsveteranswouldliketopresentyouwithanawardforyour
service to veterans. The organization has given this award for ve
years and no other awardee has been afliated with Congress. The
organizationisawarethatyouworkfortheVeteransAffairsCommittee,
123
Whetherapublicserviceawardisabona de publicserviceawardisparticularlyimportant
whentheawardisanitemwithsignicantmonetaryvalue,suchasacrystalsculpture.Ifanaward
doesnotmeetthecriteriaforabona de publicserviceaward,theCommitteemayconsiderwhether
theitembeingawardedmeetstherequirementsforacommemorativeitemormayconsiderthegift
underageneralwaiver.
80 HOUSEETHICSMANUAL
butthedecisiontopresentyouwiththeawardismostlybasedonyour
service outside the House. The organization has written criteria for
determiningwhoshouldreceivetheaward.Theawarditselfisacrystal
bowland$1,000.Youmayacceptthecrystalbowlasabona de public
serviceaward,butyouwillneedtowritetotheCommitteeforformal
approvaltoacceptthe$1,000.
Widely Available Opportunities and Benets
You may accept opportunities and benets that are similarly available to
othersoutsidetheHouse.
124
Specically,anopportunityorbenetmustmeetoneof
thefollowingcriteria.
• Available to the public or all federal employees, regardless of geographic
location;
• Offeredtothemembersofagrouporclasswheremembershipisnotrelatedto
congressionalemployment;
• Offered to members of a group or class where membership is related to
congressional employment, but similar opportunities are available to large
segmentsofthepublicthroughsimilarorganizations,suchascreditunionsor
employees’associations;
• Offeredtoagrouporclassofgovernmentemployeesthatdoesnotdistinguish
betweenbranchofgovernment,typeofresponsibility,rank,orpaygrade;or
• Reduced membership or other fees offered to government employees to
participateinaprofessionalorganization,iftheonlyrestrictionsonmembership
relatetoprofessionalqualications.
Example (Permissible). You would like to use free software to
conductasurveyofyourconstituents.You’vediscussedthetechnology
and cybersecurity concerns with House Information Resources and
Cybersecurity, and everyone is comfortable with you using this free
software. You’ve alsocleared thesurvey’s content withthe Franking
Commission.Thesoftwareisfreetoanyonewhosendsnomorethan
10,000surveysatonce.Youplantosend9,000surveys.Youmayuse
thesoftwarewithouthavingtopay.
Example (Permissible). A hotel chain has a government employee
discount that is available to all government employees, whether or
nottheyareonofcialtravel.Youmayalsoacceptthediscountwhen
stayingatthathotelchain.
124
HouseRule25,cl.5(a)(3)(R).
Gifts 81
Example (Permissible). Youaccumulatedenoughfrequentyermiles
toearnafreerst-classticket.Thefrequentyerprogramisavailable
toanyone whowishes tosign up. Youmay acceptthe freerst-class
ticket.
Example (Permissible). You are a member of the Congressional
FederalCreditUnion.TheCongressionalFederalCreditUnionjoined
with an insurance company to offer discounted car insurance rates
Congressional Federal Credit Union members. You may sign up for
thediscountedcarinsurancethroughtheCongressionalFederalCredit
Union.
Example (Permissible). Youarealawyer.Yourstatebarprovides
continuing legaleducationclasses and offers a reduced ratefor those
classestoitsmemberswhoaregovernmentemployees.Youmayaccept
thereducedrateforthoseclasses.
Example (Impermissible). Alocal,privately-rungymoffersreduced
membership fees to congressional employees. You must show your
congressionalIDtoreceivethereducedrate.Thegymdoesnotextend
this offer to all federal employees or all government employees. You
maynotacceptthereducedmembershipfee.
125
Example (Permissible). You are invited to appear on a Sunday
morningtalkshow,whichwillbelmedinD.C.Youliveapproximately
15milesfromthestudio.Thestudioofferstosendacartopickyouup.
Thestudiousuallyofferscarservicetoitsgueststhatlivelocally.
126
You
mayacceptthecarservice.
Loans
Youmayacceptaloanfromabankornancialinstitutionwithtermsgenerally
availableto thepublic.
127
Youmay alsoaccept aloan froman entitythatisnota
nancialinstitutionaslongastheloanhascommerciallyreasonableterms,including
125
ThisexampledoesnotprecludemembershipinthetnesscentersprovidedonHousegrounds,
reducedchildcareratesattheHousedaycarecenter,oranyotherdiscountsthattheHouseprocures
undercontract.YoumayacceptthediscountstheHouseprocuresundercontractasservicesprovided
undercontractswiththefederalgovernment.SeeGiftsfromFederal,State,orLocalGovernments
(page45)formoreinformation.
126
Localtransportationmeanswithin35milesoftheCapitolortheclosestdistrictofce.
127
Members,ofcers,andemployeesmayacceptloansfrombanksorothernancialinstitutions
ontermsgenerallyavailabletothepublic.HouseRule25,cl.5(a)(3)(R)(v).
82 HOUSEETHICSMANUAL
requirementsforrepaymentandareasonablemarket-basedinterestrate.
128
Ifyouare
offeredaloanfromanentityotherthananancialinstitutionongenerallyavailable
terms,pleasecontacttheCommitteetoreviewtheterms.
Example (Permissible). You andyourspouse are buying yourrst
homeandshoppingformortgages.Onebankoffersyouaninterestrate
thatislowerthanallotherinstitutionsyou’vecontacted.Theinterest
rateistheonetheyadvertiseontheirwebsiteforapplicantswithhigh
creditscores.Youandyourspousehavehighcreditscores.Youmay
acceptthatloanwiththeinterestrate.
Example (Impermissible). Sameastheexampleabove,butyouand
yourspousedonothavehighcreditscoresandtherearenootherfactors
thatcouldreasonablyputyouinthesamecategoryasapplicantswith
highcreditscores.Youmaynotaccepttheloanwiththelowerinterest
rate.
Example (Permissible). Youarebuyingacarfromyourbestfriend’s
father. He offers to let youpay him back directly overtime and will
chargeyouthecurrentmarketinterestrate.Youmayaccepttheoffer.
Example (Impermissible). Sameastheexampleabove,butyourbest
friend’sfatherofferstoletyoupayhimbackdirectlyovertimewithout
interest.Youmaynotaccepttheofferasacommerciallyreasonableloan,
butyoumaybeabletoaccepttheofferunderadifferentgiftexception
(page36).
Loanforbearancemayalsobeagift.Youmayacceptforbearanceunderthe
PublicServiceLoanForgivenessprogramor otherfederalstudentloanrepayment
programs.Ifyouareofferedotherloanforbearanceopportunities,pleasecontactthe
Committeetoreviewtheterms.
Awards, Prizes, and Rafes
Youmayacceptanawardorprizefromacontestoreventthatisopentothe
public,includingrandomdrawings.
129
Youmayalsoacceptaprizeinadrawingor
rafethatisnotnecessarilyopentothepublic,ifmostoftheentriesarenotfrom
Members,ofcers,oremployeesofCongress,ortheirspousesoraccompanyingguests.
SeeFinancial Disclosurefor reportingrequirements. Informationabout Financial
128
Members,ofcers,andemployeesmayalsoacceptloansfromanentitythatisnotanancial
institutioniftheMember,ofcer,oremployeeispayingfairmarketvalue.HouseRule25,cl.5(a)(3)
(R)(v);HouseRule25,cl.5(a)(3)(A).
129
HouseRule25,cl.5(a)(3)(J).
Gifts 83
Disclosureisavailableathttps://ethics.house.gov/nancial-disclosure.
Example (Permissible). You purchased a lottery ticket in a state
lotteryandwon.Youmaykeeptheprize.
Example (Permissible). You attended an invitation-only event and
wonthe50/50rafe.Mostoftheentrantsinthe50/50rafewerenot
Members,ofcers,oremployeesofCongressortheirguests.Youmay
keeptheprize.
Example (Permissible). Youattended areception ina Houseofce
buildinganddroppedyourbusinesscardinthebowlforaprizedrawing.
Yourbusinesscardwaspulled.Youmayonlyaccepttheprizeifmostof
theentrantsinthedrawingwerenotMembers,ofcers,oremployeesof
Congressortheirguests.
Campaign Contributions
Youmayacceptlawfulcampaigncontributions,whethertofederalcampaign
committeesorleadershipPACsortostateorlocalcampaigncommittees.
130
Youmay
notusethosecampaigncontributionsforyourownpersonaluseorforpurposesthat
are not bona de campaign,political,orcertainofcialpurposes.
131
SeeProperUseof
CampaignFundsandResources(page161)forfurtherguidance.
Anyproceedsfromtestimonialdinnersorotherfundraisingeventsforyoumust
beconsideredcampaigncontributions.
132
YoumustdisclosethemasrequiredbyFEC
regulationsandyoumayonlyusethoseproceedsforbona de campaign,political,or
certainofcialpurposes.
133
Theproceedsmaynotbetreatedasunrestrictedpersonal
130
HouseRule25,cl.5(a)(3)(B).
131
HouseRule23,cl.6;HouseRule24,cls.1-3.
132
HouseRule23,cls.6-7.ThisprovisionwasarecommendationoftheHouseCommissionon
AdministrativeReview.See HouseComm’nonAdmin.Review,FinancialEthics,H.R.Rep.No.95-73,
at14(1977).
TheCommitteedeterminedthatadirectmailsolicitationbyaMemberoraMember’sspouse
wasafundraisingevent,andallproceedshadtobetreatedascampaigncontributions.SelectComm.
onEthics,Advisory Opinion No. 4 (Apr.6,1977),reprinted in H.R.Rep.No.95-1837,at61-62(1977).
TheCommitteealsofoundthataMembermaynotacceptproceedsfromafundraiserconductedby
agroup independentof theMemberfor theMember’sunrestricted personaluse. SelectComm. on
Ethics, Advisory Opinion No. 11 (May 11, 1977), reprinted in H.R. Rep. No. 95-1837, at 76. The
CommitteenotedthatamajorpurposeoftherevisionstotheOfcialCodeofConductwastoprevent
Membersfrom“cashingin”ontheirofcialpositioninCongress.SelectComm.onEthics,Advisory
Opinion No. 4,at62 (Apr.6,1977).
133
HouseRule 23, cl. 6. Visit FEC.gov or call theFEC’s Ofce of Congressional Affairsat
202-694-1006 for information about FEC reporting requirements and additional limitations on
(con’t next page)
84 HOUSEETHICSMANUAL
giftstoyou.
Example (Permissible). Youarerunningforre-electiontotheHouse
andhostingatestimonialdinnerwith$100tickets.Theproceedsfrom
the dinner must be reported to the FEC and you may only use those
proceedsforbona de campaign,political,orcertainofcialpurposes.
Example (Impermissible). You are running for re-election to the
House.Oneveryenthusiasticcampaignsupportergivesyourcampaign
acheckforthreetimestheindividualcontributionlimit.Youmaynot
accept the excess contribution. Contact the FEC for assistance with
reportingandtodeterminewhethercontributionsmaybeattributedto
otherelectioncycles.
Bequests and Inheritances
Youmay acceptgiftsthat arelefttoyouin someone’swillor throughother
meansofinheritance.
134
Ifyoulenancialdisclosurestatements,youwillnotneed
toreporttheacquisitionofanypropertythroughthebequestorinheritance,butyou
mayneedtoreportassetsthemselves,iftheymeetreportingthresholds.SeeFinancial
Disclosureformoreinformationaboutwhatandhowtoreport.Informationabout
FinancialDisclosureisavailableathttps://ethics.house.gov/nancial-disclosure.
Example (Permissible). In his will, your grandfather left you his
antique clock worth $5,000. You plan to put theclock in your living
room.Youmayaccepttheclockandyouwillnotneedtoreportthegift.
Example (Permissible). Yourmotherleavesyouherhouseinherwill.
You plan to rent out the house. You may accept the gift. If you le
nancialdisclosurestatements,youwillneedtoreportthehouseasa
rentalpropertyonyournancialdisclosurestatementwhileyourentit
out.
Artwork and Other Gifts of Unusual Nature on Loan to the House
If you are offered artwork or other unusual gifts that do not meet the
requirementsforanyGiftRuleexception,youmaystillaccepttheartworkorunusual
gift on loan to the House. Unusual gifts are tangible items that do not meet the
requirementsforanyoftheGiftRuleexceptions.Toacceptartworkorotherunusual
giftsonloantotheHouse,youmust
expenditures.
134
HouseRule25,cl.5(a)(3)(M).
Gifts 85
• Haveawrittenloanagreementwiththeitem’sowner;
• BeclearinthatwrittenagreementthattheitemisonloantotheHouseand
notagift;
• Beclearinthatwrittenagreementthattheitemwillbereturnedtothe
ownertheearliestof
theitembeingremovedfromofcialdisplay,
theMemberleavingofce,
adatecertainspelledoutintheagreement,or
whentheownerrequeststheitembereturned;
• IncludeaprovisioninthewrittenagreementthattheHousedoesnotaccept
liabilityforanydamageorloss;and
• Includetheitem’svalueinthewrittenagreement.
TheOfceofGeneralCounselisavailabletohelpyouprepareawrittenloan
agreement.The Committee alsorecommends you placea sticker orother marker
ontheitemstatingthattheitemisonloantotheHouseandidentifyingtheitem’s
owner.
You may help facilitate donations of artwork or unusual gifts to the House
FineArtsBoardoramuseuminyourdistrict.
135
Ifyoudo,theHouseFineArtsBoard
orthelocalmuseumwillowntheartworkorunusualgift,butyoumayasktheHouse
FineArtsBoardorthelocalmuseumtoallowyoutodisplaytheiteminyourofcial
ofce.
Example (Additional Action Required). Anartistfromanotherstate
offersyouasmallhandcarvedwoodensculpturethattheartistvalues
at$500.AfterconsultingwiththeCommittee,thesculpturedoesnot
meetanyoftheGiftRuleexceptions,buttheartistinsiststhatyoutake
thesculpture.Youmayenterintoawrittenloanagreementwiththe
artisttodisplaythesculptureinyourofcialofce.Youshouldcontact
theOfceofGeneralCounseltodraftawrittenagreementthatmeets
therequirementsabove.TheOfceofGeneralCounselisavailableat
202-225-9700.
General Waiver
Ifthegiftyouwereoffereddoesnotmeetanyofthegiftexceptions,youmayask
135
TheHouseFineArtsBoardhastheauthoritytoaccept, on behalf of the House, gifts of
worksofneart,historicalobjects,andsimilarproperty.2U.S.C.§2122.
86 HOUSEETHICSMANUAL
theCommitteeforawaiveroftheGiftRule.
136
TheCommitteewillgrantthewaiver
in unusual cases where thereis “no potential conict of interest or appearanceof
impropriety.”
137
TheCommitteehandlesallrequestsforwaiversthroughitsadvisory
opinionprocess.
Special Occasion Gift Waiver
You may request a Special Occasion Gift Waiver for gifts related to an
engagement,wedding,birthoradoptionofachild,ordeathinthefamilythatwould
notmeetanexceptiontotheGiftRule.
138
Youcanndthewaiverform athttps://
ethics.house.gov/forms/gift-waivers. The waiver covers gifts you would receive
aftertheCommitteeapprovesyourrequest.Anygiftsyoureceivepriortoreceiving
theCommittee’sapprovalwouldstillneedtomeetanexceptiontotheGiftRule.
139
TherequestforandapprovalofanySpecialOccasionGiftWaiverisacondential
communicationwiththeCommittee.IfyouleFinancialDisclosurestatements,see
FinancialDisclosureReportingforGiftsforinformationaboutFinancialDisclosure
requirements(page88).
Youmayneedtodecline,return,orpayforgiftsthatdonotmeetanexception
totheGiftRuleorarenotcoveredbyawaiver.
140
Expressly Prohibited Gifts
Charitable Contributions from
Lobbyists and Foreign Agents if You Solicited
Youmaynotaskaregisteredfederallobbyist
141
orforeignagent
142
todonatetoany
charitableendeavorunlessyouaskedforadonationtocharityinlieuofhonorarium.Any
136
HouseRule25,cl.5(a)(3)(T).
137
Bipartisan Task Force Report, 135Cong. reC.30743.
138
OranotherexceptionsuchasunderFGDA.
139
OranotherexceptionsuchasunderFGDA.
140
TheCommitteemay,inspecialcircumstances,grantretroactiveapprovaltoacceptagift.
141
“Registered federal lobbyist” means a lobbyist who is registered under the Lobbying
Disclosure Act (LDA). House Rule 25, cl. 5(g). The LDA is the successor statute to the Federal
RegulationofLobbyingActcitedinHouseRule25,clause5(g).BecausetheLDAdenes“lobbyist”to
mean“anyindividual”whoengagesincertainactivitiessetforthintheLDA,theCommitteeinterprets
theprohibitionsforregisteredfederallobbyiststoincludeboththeindividualswhoareregisteredand
lobbyingrms.MoreinformationabouttheLDAanditssearchabledatabasecanbefoundathttps://
lobbyingdisclosure.house.gov/.
142
“Foreignagent”meansanagentofaforeignprincipalwhoisregisteredwiththeDepartment
ofJusticeundertheForeignAgentRegistrationAct(FARA).MoreinformationabouttheFARAand
thedatabasecanbefoundathttps://www.justice.gov/nsd-fara.
Gifts 87
contributionthataregisteredfederallobbyistorforeignagentmakesatyourrequest,
otherthaninlieuofhonorarium,isconsideredagifttoyou,andonethatyoumaynot
accept.
143
SeeMember,Ofcer,andEmployeeParticipationinFundraisingActivities
formore informationaboutcharitable fundraising.Member,Ofcer,and Employee
Participation in Fundraising Activities is available at https://ethics.house.gov/gift-
pink-sheets/member-ofcer-and-employee-participation-fundraising-activities.
Lobbyist and Foreign Agent Contributions to Legal Expense Funds
Ifyouhavealegalexpensefund,youmaynotacceptanycontributionsfrom
registeredfederallobbyistsorforeignagents.
144
SeeLegalExpenseFunds(page72)
formoreinformationaboutcontributionsyoumayaccept.
Lobbyist and Foreign Agent Contributions
to Entities You Control or Maintain
If you control or maintain any entity, that entity may not accept anything,
includingmonetaryandin-kindcontributions,providedbyregisteredfederallobbyists
orforeignagents.
145
Youcontrolormaintaintheentityifyouareanofcerordirector,
oranysimilarpositiondependingonthebusinessstructureoftheorganization.
Example (Impermissible). Youfoundedanonprotorganizationthat
provides after-school STEM education before joining the House. You
continue to serve as an ofcer of the nonprot. A registered federal
lobbyist would like to give the nonprot computers. Because you
maintain or control the nonprot, the nonprot may not accept the
computers.
Contributions from Lobbyists for Ofcial Events
Youmaynotacceptnancialorin-kindassistancefromaregisteredfederal
lobbyistorforeignagent foranofcialconference,retreat, orsimilar event.
146
See
Conferences and Town Hall Meetings (page 348) for additional restrictions on
acceptingoutsideassistanceforofcialactivities.
143
HouseRule25,cl.5(e)(2).
144
HouseRule25,cl.5(e)(3).
145
HouseRule25,cl.5(e)(1).
146
The Gift Rule expressly prohibits “[a] nancial contribution or expenditure made by a
registeredlobbyistoranagentofaforeignprincipalrelatingtoaconference,retreat,orsimilarevent,
sponsoredbyorafliatedwithanofcialcongressionalorganization,fororonbehalfofMembers,.
..ofcers,oremployeesoftheHouse.”HouseRule25,cl.5(e)(4);Comm.onRules,Amendingthe
RulesoftheHouseofRepresentativestoProvideforGiftReform,H.R.Rep.No.104-337,at14(1995)
(explainingtheprovisionprohibits“adonationtoanofcialconferenceorretreat”).OtherHouserules
alsoprohibitofcialcongressionalorganizationsfromacceptingoutsidesupplementation.HouseRule
24,cls.1-3.
88 HOUSEETHICSMANUAL
Example (Impermissible). An ofcial congressional member
organization,orcaucus, is hostingits annual two-day policymeeting.
ManyMembersandstaffplantoattendthemeeting.Alobbyistoffersto
payfordinneronenightduringthemeeting.Thecaucusmaynotaccept
thecontributionfromthelobbyist.
Example (Impermissible). A Member wants to host a retreat for
the Member’s personal ofce staff to discuss policy planning for the
upcomingCongress.AforeignagentofferstolettheMemberusethe
foreignagent’svacationhomeforfreeforthestaffretreat.TheMember
maynotaccepttheuseofthevacationhome.
Financial Disclosure Reporting for Gifts
IfyouleFinancialDisclosureStatements,youmayneedtoreportgiftsthat
youreceivethroughoutthecalendaryear.SeeFinancialDisclosureforinformation
aboutwhattoreportandhowtoreportit.InformationaboutFinancialDisclosureis
availableathttps://ethics.house.gov/nancial-disclosure.
If you received a Special Occasion Gift Waiver(page 86), you may also
request a Financial Disclosure Gift Disclosure Waiver. You can nd the form at
https://ethics.house.gov/nancial-disclosure/nancial-disclosure-forms-and-ling.
Thiswaiverallowsyounottoreportanyspecialoccasiongiftsyoureceivedonyour
annual Financial Disclosure statement. Unlike other requests to the Committee,
boththerequestforaFinancialDisclosureGiftDisclosureWaiverandtheresponse
fromtheCommitteewillbothbemadepublic.
147
147
Giftsabove theFinancialDisclosure reportingthresholddo notneedto be disclosedif a
publiclyavailablerequestforawaiverisgranted.EthicsinGovernmentAct(EIGA),5U.S.C.app.
§102(a)(2)(C).
Gifts 89
Commonly-Used Gift Rule Exceptions
Commonly-Used Gift Rule Exceptions
G-51
Nominal Value
Less than $50
Relatives
Personal
Friendship
1) May accept an
item valued at less
than $10 ($9.99
before tax) or a
greeting card,
baseball cap, or
t-shirt regardless
of the source
2) May not accept
cash or cash
equivalents, like
gift cards
3) May not accept
food or beverages in
a one-on-one
setting
4) Should be
mindful of potential
conflicts if you are
repeatedly offered
nominal value gifts
from a single
source, even if the
gifts technically
satisfy the
requirements
1) May accept a gift
worth less than $50
($49.99 or less
before tax) from
someone who is not
a registered federal
lobbyist, foreign
agent, or entity
that employs or
retains a registered
federal lobbyist or
foreign agent
2) The cumulative
value of gifts you
may accept under
this exception in a
calendar year from
a single source
must be less than
$100 ($99.99 or less
before tax)
3) A gift worth less
than $10 ($9.99
before tax) does not
count towards the
cumulative limit
4) You may not
accept cash or cash
equivalents, like
gift cards
5) You may not buy
down the value of
the gift to get the
value below $50
1) May accept
anything that a
relative offers you, if
your relative is the
source of the gift,
and not merely
passing along a gift
from someone else
2) Relatives
include: Parent,
Child, Sibling, Aunt
or Uncle, Great
Aunt or Great
Uncle, First Cousin,
Niece or Nephew,
Spouse, Fiancé(e),
Grandparent,
Grandchild, Mother
or Father-in-Law,
Daughter or Son-in-
Law, Sister or
Brother-in-Law,
Stepparent,
Stepchild,
Stepsibling, Half
sibling,
Grandparent of your
spouse
3) Gifts from
persons other than
listed above, such as
second cousins or
godparents, may fall
under other gift rule
exceptions
1) To accept a gift
under personal
friendship, you must
consider the
circumstances of the
offer, including, but
not limited to
- the nature of your
relationship with your
friend, including any
past exchange of gifts;
- if your friend paid or
will pay for the gift
personally, or if your
friend will seek a
business
reimbursement or tax
deduction; and
- if the same or
similar gift was or will
be offered to another
Member, officer, or
employee
2) If the fair market
value of the gift
exceeds $250, you
must seek formal
Committee approval
to accept a gift offered
because of personal
friendship
3) If the fair market
value of a gift is $250
or less, you may
decide for yourself if
the gift meets the
requirements
90 HOUSEETHICSMANUAL
Commonly-Used Gift Rule Exceptions
G-51
Widely-Attended
Events
Receptions
Charity Events
Events Sponsored by
Political Organizations
1) Directly invited
by event organizer
- may not be invited
by additional event
sponsor who only
provides financial
assistance to event
organizer
2) Reasonable
expectation that 25+
non-congressional
attendees of diverse
professional
backgrounds will
also be in
attendance
3) Subject matter
must be related to
official duties
4) Guest may be
anyone if event
organizer offers
unsolicited second
ticket
4) “Free attendance”
includes all or part
of the cost of
admission; local
transportation to
and from the event;
and the food,
refreshments,
entertainment, and
instructional
materials provided
to all event
attendees
1) Nominal
value food and
drink only
Examples:
- light/medium
appetizers or hor
d’oeuvres
- briefings over
coffee & bagels
- briefings with
snack such as
cookies or chips
2) May not be
meals, even low
cost meals such
as pizza, hot
dogs, or
sandwiches
3) May not be
one-on-one
setting with
registered
lobbyists or
foreign agents, or
entity that
employs
registered
lobbyist or
foreign agent
4) Guest may be
anyone if event
organizer offers
unsolicited
second ticket
1) Directly invited
by the event
organizer who is
working to put on
the event
2) Primary
purpose of event
is to raise funds
for organization
qualified under
§ 170(c) of
Internal Revenue
Code
3) May accept
unsolicited offer
of free attendance
for anyone
4) “Free
attendance” does
not include
entertainment
collateral to the
to the event or
food and drink
outside the group
setting of the
event, such as
giveaways
1) Directly invited by
event organizer
2) This exception applies
to “political
organizations” as
described in § 527(e) of
the Internal Revenue
Code
3) “Free attendance”
includes cost of
admission, food,
refreshments,
entertainment, and other
benefits provided by the
political organization,
including unsolicited
invitations for guests
4) You may accept an
invitation to an event
that is primarily
entertainment, such as a
golf outing or a sports
game, if that event is a
true fundraiser for the
political organization
5) A meeting with an
individual who merely
gives you a campaign
contribution is not a true
fundraiser or campaign
event under this
exception
91
TRAVEL
Travelpaidfor,orreimbursed,byapersonorentityotherthanyouisconsidered
agiftandsubjecttotheHouseGiftRuleandtheprohibitiononsolicitinggifts.
1
Prohibition on Solicitation
Youmaynotsolicitanythingofvalueforyourselforothers,includingtravel.
2
Ifyouaskedtoattendatrip,orsomeoneelseaskedforyou,youmaynotparticipate
inthetrip.Additionally,youmaynotinviteotherstoparticipateinatripsponsored
byanoutsideorganizationorallowyournametobeusedtosolicittravelers.
3
Ifyou
haveanyquestionsonthisprohibition,pleasecontacttheCommittee’sAdviceand
Educationstaffat202-225-7103or[email protected].
Additional Requirements and Fees
Tripsponsorsmayhaveadditionalrequirements,includinganapplicationor
specictimeframestobooktravel.Besuretofollowanyadditionalrequirementsthe
tripsponsorshave,inadditiontofollowingtherequirementshere.
Tripsponsorsmayoccasionallyaskyoutopayforyourowntravelexpenses
upfrontandthenbereimbursedbythetripsponsor.Aslongasyouarereimbursed
forthefullamountyouspent,evenifafterthefact,thetripsponsoristheonepaying
foryourtravel.
Ifyouareaskedtospendpersonalfundsfortravelinyourofcialcapacity,and
youwillnotbereimbursed,pleasecalltheCommitteeforfurtherguidance.
Ofcially-Connected Travel Paid for by a Private Source
Ethics Committee Travel Regulations
4
Ethics Committee Pre-Approval
• YoumustsubmityourtravelrequeststotheCommitteenolaterthan30days
1
Houserule25,cl.5;5U.S.C.§7353.
2
5U.S.C.§7353.
3
Id.;31U.S.C.§1301(a);Comm.onHouseAdmin.,Members’ Congressional Handbook (ofcial
resourcesmayonlybeusedforofcialpurposes).
4
AllguidancerelatedtoPrivately-Sponsored,Ofcially-ConnectedTravelcanbefoundinthe
Ethics Committee’s Travel Regulations. Following anintensive review, the Committee revised its
TravelRegulationsonDecember27,2012.TheCommitteesubsequentlyrevisedtheTravelRegulations
onDecember9,2020.The2020TravelRegulationswillbeeffectiveforalltripsstartingonorafter
April1,2021.Thecurrentversionisavailableathttps://ethics.house.gov/travel-regulations.
92 HOUSEETHICSMANUAL
beforethestartofthetrip.TheCommitteehasatravelcalculatortocalculate
yourduedate.The travelcalculatoris availableathttps://ethics.house.gov/
travel-information/travel-calculator.
• Youareresponsibleforsubmittingyourtravelrequests.TheCommitteedoes
notaccepttravelrequestsdirectlyfromatripsponsor.
• Youmustsubmitacompletesubmissiontobeconsidered“ontime.”Changes
orrevisionsthatmustbemadeduringthereviewprocessdonotchangethe
initialsubmissiondate.
• A“completesubmission”istheTravelerForm,thePrimaryTripSponsorForm
anditsattachments,AdditionalSponsorForms,andyourinvitation.
• TheCommitteewillonlyaccepttravelrequeststhroughtheCommittee’semail
at[email protected]orhand-deliveredtotheCommittee’sofce.
Ifyouwouldliketohand-deliveryoursubmission,youmustsubmittwocopies
ofyourrequest.
• Latetravelrequestsareonlyallowedinlimitedcircumstances.
Ofcers and staff may submit late requests only for exceptional
circumstances
Exceptionalcircumstancesinclude
Mediarequest
Requesttobeasubstitutespeakeratanevent
Staffer accompanying a Member who submitted a permissible
laterequest
Anofceclosingduetoinclementweather
Exceptionalcircumstancesarenot
Lateinvitationfromthetripsponsorexceptformediarequests
Forgettingtosubmitatravelrequestontime
Waitingforcompleteforms
• The Committee will only approve travel requests that comply with the
Committee’s Travel Regulations.
5
The Travel Regulations are available at
https://ethics.house.gov/travel-regulations.
• YoumustreceiveCommitteepre-approvalbeforeacceptingprivately-sponsored,
ofcially-connectedtravel.
5
The Committee highly recommends that anyone wishing to sponsor privately-sponsored,
ofcially-connectedtravelreadtheCommittee’sTravelRegulations.
Travel 93
• If you do not receive Committee pre-approval before accepting privately-
sponsored, ofcially-connected travel, either your ofce will need to pay for
thetriporyoucouldrequestretroactiveapproval.TheCommitteedoes not
guaranteethatretroactiveapprovalwillbegranted,andallrequestsarehighly
fact-specic.
• Ifyourofcemustpay,theMembermaybeabletousetheMRAorcommittee
funds, principal campaign committee funds, or the Member’s own personal
funds.
6
• Ofcersandemployees may not usetheir own personal fundstopay for an
ofcially-connectedtrip.
Post-Travel Disclosure
Within 15 days after returning from your trip, you must le post-travel
disclosureswiththeLegislativeResourceCenterforpublicdisclosure.Formsthat
mustbesubmittedare
• TravelerPost-TravelDisclosureForm
• TripSponsorPost-TravelDisclosureForm
• ApprovedversionoftheTravelerForm
• ApprovedversionofthePrimaryTripSponsorFormanditsattachments
• ApprovedversionofanyAdditionalSponsorForm
• Letter approving travel request signedby Ethics Committee Chairman and
RankingMember
• Approvedversionofthetripagenda
• UpdatedtripagendashowinganychangesmadesincereceivingCommittee
pre-approval
• Approvedversionoftheinviteelist
• Listofconrmedattendees
• Copyoftheinvitation
AdjustmentstoyourtravelafteryoureceivedCommitteepre-approval,suchas
shorteningthetripornotbringinganaccompanyingrelative,shouldbereectedon
theTravelerPost-TravelDisclosureForm.Ifyouwouldliketomakechangestoyour
6
For requests to use the MRA or committee funds, please call the Committee on House
Administration. To use principal campaign committee funds, please call the FEC’s congressional
liaisons.
94 HOUSEETHICSMANUAL
travelrequest,youmustcontacttheCommitteepriortomakinganyadjustments.
Ifyouleannualnancialdisclosurestatements,youmayalsoneedtoreport
privately-sponsored,ofcially-connectedtravelonScheduleH(“TravelPaymentsand
Reimbursements”)ofyourstatement.
Travel Related to Ofcial Responsibilities
Allprivately-sponsored,ofcially-connectedtravelmustrelatetothetraveler’s
ofcialorrepresentationalduties.
7
TheCommitteereviewseachrequestonacase-
by-casebasisbasedontheinformationprovidedinthetravelrequestandadditional
communicationswiththetravelerandtripsponsor.
• TheCommitteelooksto
Thetraveler’sofcialresponsibilities
Whether the trip relates to matters within Congress’s legislative or
policyinterests
Theamountofofcially-connectedactivitiesduringthetrip,notincluding
anyrecreationalactivities
8
Whetherthetraveler’semployingMembercertiestherelationshipto
ofcialduties
• Examplesofactivitiesrelatedtoofcialdutiesinclude
Attendanceatameetingorconference
Speakingataconferenceoronapanel
Participatinginafact-ndingtrip
Deliveringaspeechoracceptinganawardinyourofcialcapacity
The Committee will not approve privately-sponsored, ofcially-connected
traveltoconductofcialbusiness
9
orpersonalactivities.
7
“[T]ravel[mustbe]inconnectionwiththedutiesof[the]individualasanofceholderand
wouldnotcreatetheappearancethatthe[Member,ofceroremployee]isusingpublicofceforprivate
gain.”HouseRule25,cl.5(b)(3)(G).
8
“[E]vents,theactivitiesofwhicharesubstantiallyrecreationalinnature,arenotconsidered
tobeinconnectionwiththedutiesof[theindividual]asanofceholder.”See HouseRule25,cl.5(b)
(1)(B).
9
House Rule 24, cls. 1-3prohibit outsidesupplementation, bothmonetary andin-kind, for
ofcialHousebusiness.Forguidanceonproperfundingsourcesforofcialtravel,pleaseseeOfcial
Travel(page106).
Travel 95
• Ofcialbusinessincludes
Conductingeldhearings
Conductinggeneraloversightfunctions
Performingacorefunctionofofcialduties
Attending meetings where only congressional Members and staff are
present
• Personalactivitiesinclude
Recreationalactivities
Personaltravel
Charitableorpoliticalfundraising
Professional development activities, including continuing education
courses
Networkingactivities
Your employing Member must certify that your travel request is related to
yourofcialresponsibilities.
• ForaMember,theMembercerties.
10
• Forpersonalofcestaff,theMembercerties.
• Formajority-sidecommitteestaff,thechairmanofthefullcommitteecerties.
• Forminority-sidecommitteestaff,eitherthechairmanortherankingmember
ofthefullcommitteecerties.
• Forstaffofanon-partisanorbipartisancommittee,thechairmanofthefull
committeecerties.
• Forstaffofajointcommittee,thehighestrankingHouseMembercerties.
• ForstaffofanofcenotoverseenbyaMember,theHouseOfcer,orhighest-
rankingemployeeifnotoverseenbyanOfcer,certies.
Length of Travel
General Time Limits. TravelwithinthecontinentalUnitedStatesmaynot
exceed96hours,wheelsuptowheelsdown.
10
AMembermayauthorizeanemployeetosignfortheMember,butinnoinstanceshouldthat
employeeauthorizetheemployee’sowntravel.
96 HOUSEETHICSMANUAL
Travel outside the continental United States may not exceed 7 days, not
includingtraveltoandfromthedestination.TraveloutsidethecontinentalUnited
StatesincludestraveltoAlaska,Hawaii,PuertoRico,andanyotherU.S.territoryor
commonwealth.Daysspentinwholeorparttravelingtoorfromthedestinationdo
notcounttowardsthe7daylimit.Travelwithinaforeigncountryorbetweenforeign
countriesdoescounttothe7daylimit.
Travelsponsoredbyanorganizationthatemploysorretainsaregisteredfederal
lobbyist orforeign agent is limitedto events on asinglecalendar day.
11
You may
accepttraveltoandfromthedestinationandasinglenight’slodging.TheCommittee
mayapproveasecondnight’slodgingifneededforyoutopracticallyparticipatein
theone-dayevent.
12
Generallyeachdaymustincludeafulldayofprogramming.Ofcially-connected
programmingmeansmeetingsorsessionsrelatedtotheprimarypurposeofthetrip.
Ofcially-connected programming does not include entertainment or recreational
activities,time forpersonaltelephonecalls,“executive” orpersonal time,ormeals
withoutsubstantiveprogramming.
Further Considerations for Time Limits. The Committee will only
approve necessary travel expenses.
13
Necessary travel expenses are expenses
reasonably necessary to accomplish the purpose of the trip. The Committee may
requireadjustmentstotravelplansbasedonthetrip’sagenda.
Onrareoccasions,theCommitteemayapproveextensionsofthe96houror
7daylimit.
14
TheCommitteewillnotextendthetimelimitfortripssponsoredby
organizations that employ or retain registered federal lobbyists or foreign agents.
Anyrequesttoextendthetimelimitmustbefortrulyexceptionalcircumstancessuch
astravelfromadestinationsoremoteitonlyreceivesairserviceevery10days.An
extensionfor convenienceor becausealargerconferencemay lastlonger thanthe
timelimitisnotanexceptionalcircumstance.
15
11
HouseRule25,cl.5(b)(1)(C).
12
Id.
13
HouseRule25,cl.5(b)(1)(A).
14
HouseRule25,cl.5(b)(4)(A).
15
Timelimitsforprivately-sponsored,ofcially-connectedtravelwereimposedoutofconcern
for“thepublicperceptionthatsuchtripsoftenmayamounttopaidvacationsfortheMemberandhis
familyattheexpenseofspecialinterestgroups.”HouseBipartisanTaskForceonEthics,101stCong.
Report on H.R. 3660,101
st
Cong., 1
st
Sess. (Comm Print1989), reprinted in 135 Cong. Rec. 30740,
30742(dailyed.Nov.21,1989).
Travel 97
Private Sponsors in General
Generallyanynon-governmentalentitymaybeatripsponsor.Atripsponsor
isanyprivateentitythat
• Plansororganizestripactivities;
• Paysforalltripexpenseswithitsownfunds;or
• Paysfortripexpensesusingfundsfromotherorganizations,inwholeorpart.
APrimaryTripSponsoristheorganizationthatisprimarilyresponsiblefor
planning, organizing, and paying for the travelers’ expenses and activities. Trips
mayhavemultiplePrimaryTripSponsors.
AdditionalSponsorsareorganizationsthatassistthePrimaryTripSponsor.
Assistance can be monetary or in-kind. Examples of assistance from Additional
Sponsorsare
• ProvidingagranttothePrimaryTripSponsortosupportthetrip
• ProvidingfundstothePrimaryTripSponsorthatareearmarkedorspecically
designatedforthetriporcongressionaltravelingeneral
• Payingforindividualeventsoractivitiesduringthetrip
• Assistingwithplanningororganizingthetriporactivitiesduringthetrip
Registeredfederallobbyists,foreignagents,andlobbyingrmsmaynotbetrip
sponsors.
16
Private Foundations have limits on their ability to sponsor travel.
17
Those
16
House Rule 25, cl. 5(b)(1)(A). The gift rule provides that the term “registered lobbyist”
means“alobbyistregisteredundertheFederalRegulationofLobbyingActoranysuccessorstatute,”
and the term “agent of a foreign principal” means “an agent registered under the Foreign Agents
RegistrationAct.”HouseRule25,cl.5(g).
Becauseyoumaynotaccepttravelfromanindividualwhoisaregisteredlobbyist,youlikewise
maynotaccepttravelfromalobbyingrm.Asageneralmatter,theCommitteedoesnotconsidera
corporation,tradeassociation,laborunion,orotherentitythatretainsoremployslobbyiststorepresent
only theinterestsoftheorganizationoritsmemberstobea“lobbyist”forpurposesoftheprohibition.
Anorganizationwithregisteredfederallobbyistsorforeignagentswhoonlysitonitsboardor
volunteerfortheorganization,butareregisteredtorepresentother organizations,isnotconsidered
anorganizationthatemploysorretainsaregisteredfederallobbyistorforeignagent.2020Travel
Regulations§204.Therestrictionsdiscussedinthissectionapplytoorganizationswithregistered
federallobbyistsorforeignagentsregisteredtorepresentthoseorganizations.
17
See 26U.S.C.§4941.
98 HOUSEETHICSMANUAL
limitsare
• MaynotbethePrimaryTripSponsorforaninternationaltrip,includingtravel
toterritoriesorpossessionsoftheUnitedStates;and
• May not have a role in selecting trip participants for an international trip,
includingtraveltoterritoriesorpossessionsoftheUnitedStates.
Private Sponsors with Lobbyists/Foreign Agents
Organizations that employ or retain registered federal lobbyists or foreign
agentsmaysponsortravel,withlimits.
The limits do not apply to sponsors that are public or not-for-prot private
colleges or universities, even if those colleges or universities employ or retain a
registeredfederallobbyist.
18
Theselimitsalsodonotapplytosponsorswherelobbyists
areinvolvedwiththeorganization,aslongasthoselobbyistsarenotregisteredto
lobbyforthatorganization.
19
Limitsfortripssponsoredbyorganizationswithregisteredfederallobbyistsor
foreignagentsare
• Travelersmayonlyparticipateinonecalendarday’sworthofactivities,
• Lobbyistorforeignagentinvolvementmanyonlybedeminimis,and
• Lobbyistsorforeignagentsmaynotaccompanytravelersonanysegmentof
thetrip.
20
Accompanyingtravelersbetweenthecityofdepartureandthedestination
isprohibited.
Accompanying travelers on local transportation to events orlocations
withinthedestinationisallowed.
De minimis involvementinplanningororganizingatripis
• Respondingtoatripsponsor’srequestfornamesofHouseMembers,ofcers,
18
HouseRule25, cl.5(b)(1)(C)(i). These collegesand universitiesmust meetthe denition
of“institutionsofhighereducation”undertheHigherEducationActof1965.For-protcollegesand
universitiesdonotmeetthisdenition.See 20U.S.C.§1001.
19
Lobbyiststhemselvesstillmaynotbeinvolvedinmorethande minimis activities,butthe
onedayrulewouldnotapply.
20
Atripsegmentistransportationtoorfromthecityofdeparture,orreturn,andthetrip
destination.Localtransportationtoattendeventsorvisitlocationsatthetripdestinationitselfisnot
includedinthedenitionofatripsegment.
Travel 99
oremployeeswhomightbeinterestedinanissue;or
• Sitting on the board of, or volunteering for, the trip sponsor, without any
involvementinplanningororganizingthetrip.
Involvementthatismorethande minimis includes
• Determiningorsuggesting,withoutrequest,whichHousetravelersshouldbe
invitedonatrip
• ExtendingorfollowinguponinvitationstoHousetravelers
• SigningthetripsponsorformsprovidedtoHousetravelers
• Beingmentionedinoronaninvitationextendedbyanotherindividualorentity
• Settingorrecommending,withoutrequest,anypartofthetripagenda
• MakingtravelarrangementsforHousetravelers
Additional Sponsors
AdditionalSponsorsassistthePrimaryTripSponsorwithplanning,organizing,
orpayingforthetrip.
OnlyAdditionalSponsorsthatareorganizedunder§501(c)(3)oftheInternal
Revenue Code may provide monetary assistance without having a direct role in
planningororganizingthetrip.
21
AllAdditionalSponsorsthatprovideassistancetothePrimaryTripSponsor
without receiving a tangible benet in return must complete Additional Sponsor
Formsandbedisclosed.Examplesoftangiblebenetsinclude
• Receivingadvertisingataneventandfreeticketsinreturnforsponsorship
21
InpreviousversionsoftheCommittee’sguidanceandtravelregulations,theCommitteeonly
allowedsponsorswhoplayed“asignicantroleinorganizingandconductingatrip,andthatalsohave
aclearanddenedorganizationalinterestinthepurposeofthetriporlocationbeingvisited.”Comm.
onStandardsofOfcialConduct,Travel Guidelines and Regulations,at3-4(Feb.20,2007),reprinted
in 2008 House Ethics Manual at399-400;see Comm.onStandardsofOfcialConduct,Investigation
of Financial Transactions participating in and Gifts of Transportation Accepted by Representative
Fernand J. St. Germain,H.R.Rep.100-46,at5-6(1987).
OnDecember27,2012,theCommitteeissuednewtravelregulationsthatallowedadditional
sponsorstoprovidemonetaryassistance,aslongasthesponsors1)arerecognizedunderIRC§501(c)
(3)andauditorreviewtheirgrantstotheprimarytripsponsorstoensurecompliancewiththegrant
terms,and2) arepubliclydisclosed.Comm. onEthics, Travel Guidelines and Regulations § 104(i)
(Dec.27,2012)[hereinafter2012TravelRegulations].ThecurrentTravelRegulationscontinuethis
practice.
100 HOUSEETHICSMANUAL
• Payingforandreceivingboothspaceatatradeshow
• Beingnamedpubliclyasasponsorofalargeconference
Involvement of United States Governments or Foreign Governments
Ifafederal,state,orlocalgovernmententityisassistingatripsponsorwith
paying for, planning, or organizing a privately-sponsored,ofcially-connected trip,
thatgovernmententitydoesnotneedtobedisclosedasanadditionalsponsor.
Ifaforeigngovernmentisassistingatripsponsorwithpayingforin-country
expenses,orassistingwithplanningororganizingaprivately-sponsored,ofcially-
connectedtrip,theforeigngovernment’sassistancemustbedisclosed.Specically,
• The Foreign Gifts and Decorations Act must allow the in-country expenses,
and
• ThePrimaryTripSponsormustdisclosetheforeigngovernmentandthetype
ofassistanceonthePrimaryTripSponsorForm.
Formoreinformationaboutforeigngovernmentinvolvement,seeTravelPaid
forbyaForeignGovernment(page120).
Locations of and Events during Travel
Purpose of Travel. Privately-sponsored, ofcially-connected travel will
eitherbearranged ororganizedwithout regard tocongressionalparticipation or
with regardtocongressionalparticipation.
Without regard to congressional participation means travel where your
participationisincidentaltothelargerpurposeoftheevent.Examplesinclude
• Businessortradeassociationannualconferences
• Meetingsofprofessionalsocieties
• Symposiums,seminars,roundtables
Withregardtocongressionalparticipationmeanstravelthatisspecicallyfor
yourparticipation,orwhereyourparticipationiscrucialtothesuccessoftheevent.
Examplesinclude
• Fact-ndingtrips
• Sitevisits
• Educationalconferencesorbriengsdesignedforcongressionalattendance
Travel 101
• AneveningorinterviewwithaMemberasthesoleevent
For travel without regard to congressional participation, the location of the
tripispresumptivelyvalid.Youmuststilldemonstrateyourparticipationisrelated
toyourofcialorrepresentationaldutiesandattendsufcientactivitiesoneachday
ofthetrip.
For travel with regard to congressional participation, the trip destinations
mustbedirectlyrelatedtotheofcially-connectedpurposeofthetrip.
Distance of Travel. Generally privately-sponsored, ofcially-connected
travelmaynotbeusedforlocaltravel.
22
• Localtravelistraveltoadestinationthatis
Within35milesoftheU.S.Capitol,or
Within35milesofthenearestdistrictofce.
• TheCommitteemeasuresdistanceinadirectline,or“asthecrowies.”
You may accept privately-sponsored, ofcially-connected travel within the
districtifHousetravelersfromatleasttwootherdistrictsarealsoattending.
Acceptable Travel Expenses
You may only accept reasonable and necessary expenses actually incurred
for privately-sponsored, ofcially-connected travel.
23
Generally you may accept 1)
transportationexpenses,2)foodandlodgingexpenses,and3)miscellaneousexpenses.
• TransportationExpenses
Youmayaccepteconomyorbusinessclassairortraintravel
Ifyouwishtoacceptrstclassairortrainfareorcharterairfare,your
22
See HouseRule24,cls.1-3.Becauseofcialallowancesareavailabletocovertravelexpenses
forMembersandstaffwithinWashington,D.C.,andbetweenWashington,D.C.andthedistrictofces,
Housetravelersmaynotacceptprivatesubsidyforthatofcialtravel.However,youmayacceptlocal
transportationexpensesunderotherexceptionstotheHouseGiftRule(e.g.,localtransportationfora
widely-attendedevent).
23
House travelers may not accept per diem payments. If an outlay is given, any unused
portionmustbereturned.ThisrequirementissimilartotherulesunderwhichMembersandstaff
travelonCODELsorSTAFFDELs.See HouseRule10,cl.8(c)(2);see also LetterfromSpeakerNancy
PelositoChairmanoftheHouseCommitteeonArmedServices(May13,2010)in Comm.onStandards
ofOfcialConduct,In the Matter of Allegations Relating to the Use of Per Diems on Ofcial Trips Staff
Report,app.A,ex.1(Dec.30,2010)(StaffReport).
102 HOUSEETHICSMANUAL
travelmustmeetcertainconditionslaidoutintheTravelRegulations
24
Ifyoudriveyourownvehicle,youmustbereimbursedformileage
25
Youmaypaytoupgradetoahigherclassoftravelbyusing
Personalfunds
Travelpromotionalawardsorpoints
Principalcampaigncommitteefunds,aspermittedbytheFEC
26
• LodgingandMealExpenses
Fortravelwithoutregardtocongressionalparticipation
Lodgingandmealscommensuratewithwhattheother
attendeeswillreceive
Fortravelwithregardtocongressionalparticipation
Lodgingexpensesarereviewedbasedon
Maximumper diem rateforthatlocation
27
Proximityofthelodgingtothesitesbeingvisited
Availabilityoflodgingtoaccommodatethenumberof
participantsorconferencerequirements
Securityconcerns
SpecialneedsofHousetravelers
RecommendationofaU.S.embassyforinternational
travel
24
Firstclasstravel,ortraveloncharteredaircraft,ispermittedforexceptionalcircumstances,
suchas1)thecostofthebusinessorrstclassticketisnotmoreexpensivethantheeconomyclass
ticket,2) the upgraded travel is necessaryto accommodate adisability orspecial need, 3)genuine
securitycircumstancesrequirethetravel,4)scheduledtraveltimeincludinglayoversexceeds14hours,
5)adomesticightdepartsbeforemidnightandlandsafter5amthefollowingday,or6)exceptional
circumstances exist. Exceptional circumstances do not include the unavailability of business or
economyclassseatsorthatrstclassorchartertravelismoreconvenientfor theHousetraveler’s
schedule.
25
HouseRule24prohibitsstafffromsupplementingofcially-connectedactivity.If,however,
youchoosetodriveyourselfforyourownconvenience,ratherthanacceptthetripsponsor’stransportation
offer,youarepersonallyresponsibleforthoseexpenses.
26
LeadershipPACfundsmaynotbeusedtopayfortravelupgradesforprivately-sponsored,
ofcially-connectedtravel.
27
Per diem ratesaresetbytheDepartmentofStateforinternationaltravelandtheGeneral
ServicesAdministrationfordomestictravel.
Travel 103
Mealsexpensesarereviewedbasedon
Maximumperdiemrateforthatlocation
• MiscellaneousExpenses
Roomrentalfees
Conferenceadmissionfeesandmaterials
Interpretation fees
Visafees
Securitycosts
Traveler’sinsurance
Informationalmaterials
Accompanying Relatives
Youmaybringoneaccompanyingrelativeatthetripsponsor’sexpenseifthat
relativewasinvitedbythePrimaryTripSponsor.
28
Accompanyingrelativesareover
theageof18and
• Spouses
• Childrenorstep-children
• Parents or step-parents
• Siblingsorhalf-siblings
• Grandchildren
• Mother-orfather-in-law
Ifyouwouldliketobringanyoneelseatthetripsponsor’sexpense,youmust
writetotheCommitteeforformalapproval.
Eveniftheoverallexpensewouldbelessforthetripsponsorstobringmultiple
relatives,youmayonlybringoneaccompanyingrelativeatthetripsponsor’sexpense.
Example.AMemberisinvitedbyorganizationYtogiveaspeechin
DallasonSaturday.OrganizationZissuesanunrelatedinvitationto
theMembertoaddressitsmembersinDallasonSunday.Eachgroup
28
HouseRule25,cl.5(b)(4)(D).Theprovisionallowingrelativestoaccompanyyouwasadded
onJanuary4,2005.See H.Res.5,109thCong.(2005).PreviouslythegiftrulepermittedaMember,
ofcer,oremployeetobeaccompaniedbya“spouseorchild”butnotbyanyotherrelative.
104 HOUSEETHICSMANUAL
offers to pay expenses for the Member and one family member. The
MembermaybringonlyonefamilymembertoDallasatthesponsors’
expense. The Member may not bring the Member’s spouse at the
expenseoforganizationYandachildattheexpenseoforganizationZ.
This arrangement would violate the allowance for one accompanying
relative.
Example. A Member is invited to give a speech. The sponsoring
organization offers the Member and the Member’s spouse business
classairfare.TheMemberwouldalsoliketobringtheMember’schild.
TheMembermaynottradeinthetwobusinessclassticketsforthree
economy class tickets. Even if the total expense for the trip sponsor
wouldbeless,theMembermaynotbringtwoaccompanyingrelatives
atthetripsponsor’sexpense.TheMemberwouldneedtopayallofthe
travelexpensesrelatedtothechild.
You may bring guests at your expense without formal approval from the
Committee.Youoryourguestisresponsibleforallexpensesrelatedtotheguest.
YoumustreceiveapprovalfromthePrimaryTripSponsortobringadditionalguests.
Accompanyingrelativesmusttravelwithyou.
29
Therefore,anaccompanying
relative may not take more personal days, as discussed below, than you do.
Accompanyingrelativesmaydepartfromandreturntoadifferentlocationthanyou,
orarriveafterordepartbeforeyou,butotherwisemustaccompanyyouduringthe
trip.
30
Changes at Personal Expense
Extending at Personal Expense. You may add personal days to the
beginningortheendofaprivately-sponsored,ofcially-connectedtrip.Toextendat
personalexpense,theprimarypurposeofthetripmustremainofcially-connected.
• Toacceptround-tripairfarefromthetripsponsors,themaximumnumberof
calendardaysyoumayextendmustbeequaltoorlessthanthenumberof
fullcalendardaysofprogrammingwiththetripsponsor.
• Ifyouwouldliketoextendlonger,youwillberesponsibleforhalfofthe
29
The Committee previously allowed spouse only privately-sponsored, ofcially-connected
travelthroughitswaiverauthorityintheHouseGiftRule.See 2008 House Ethics Manual at102.
However, now all privately-sponsored, ofcially-connected travel is covered by the current Travel
Regulations, and the Committee will not approve spouse-only travel that is offered because of the
Member,ofcer,oremployee.
30
Ifthecostofthetransportationfortheaccompanyingrelativetodepartfromorreturntoa
differentdestinationismorethanwhatthetripsponsorispayingforotheraccompanyingrelatives,
thetravelerortheaccompanyingrelativemustpaythedifferencepersonally.
Travel 105
transportationexpenses.
• Inallcases,youmustpayforlodgingandmealsontheadditionaldays.
31
• Ifyouaddpersonaldaystothestartofatrip,the30daydeadlinewillmoveup.
Example. Onan internationaltrip, allof thetravelers arriveatthe
destination on Monday afternoon. Monday evening the travelers
participateinatwohourdinnerwiththetripsponsor.Tuesdaythrough
Fridaythetravelers spend6-8hoursa dayengagedinactivitieswith
thetripsponsor.Saturdaymorningtherestofthetravelerswillreturn
home,butTravelerAwouldliketostayafewextradays.Becausethe
triphad4fulldaysofprogramming,TravelerAmaystay4daysand
still accept roundtrip airfare from the trip sponsor. However, if the
roundtripairfareismoreexpensivethanfortheothertravelersbecause
ofthenewtraveldates,TravelerAmustpaythedifferencepersonally.
TravelerAmustrequestthisextensiononTravelerA’sTravelerForm
duenolaterthan30daysbeforethestartofthetrip.
Example. On a domestic trip where the trip sponsors employ a
lobbyist,thetravelersarriveatthedestinationThursdayeveningbefore
the ofcially-connectedevents begin Friday morning.The rest of the
travelerswillreturnhomeFridayevening,butTravelerBwouldliketo
stayatthedestinationthroughtheweekend.BecauseTravelerBwill
beextendingformorethanonecalendarday,TravelerBmustpayfor
thereturntransportation,aswellasthemealsandlodgingduringthe
additionaltwodays.TravelerBmustrequestthisextensiononTraveler
B’sTravelerFormduenolaterthan30daysbeforethestartofthetrip.
Changes to Travel Itinerary at Personal Expense. Youmaydepartfrom
orreturntoadifferentlocationthantherestofthetravelers.Youareresponsible
foranyincreaseintripcosts,includinganychangefees,overwhatthetripsponsoris
payingfortheothertravelers.
Stacking Trips
Youmaytravelbeyondthe96houror7daylimitformultipletripsthatare
consecutive butdistinct. The Committee callsthese consecutive but distinct trips
“stacked.”Tostacktrips,thesponsors,thepurpose,andparticipantsmusttrulybe
distinct.Commonexamplesinclude
31
Whentravelingatyourpersonalexpense,youwillnotbeabletouseanyratesthatthetrip
sponsormayhavenegotiatedfortherestoftheprivately-sponsored,ofcially-connectedtrip,because
thosediscountswouldbeagifttoyouthatdonotmeetagiftexception.
106 HOUSEETHICSMANUAL
• Participatingintwoprivately-sponsored,ofcially-connectedtripswherethe
rsttripendsthesamedaythatthesecondtripbegins.
• Participatinginaprivately-sponsored,ofcially-connectedtrip,thenleaving
forpersonalvacation.
• Participatinginatrippaidforbyastategovernmentagencyandthena
privately-sponsored,ofcially-connectedtrip,wherethestateagency’strip
endsthedaytheprivately-sponsored,ofcially-connectedtripbegins.
• ParticipatinginaCODELorSTAFFDELandaprivately-sponsored,
ofcially-connectedtrip,wheretheprivatesponsorofferstopayforaside
trip,andthepurposeofthesidetripiscompletelyunrelatedtothepurposeof
theCODELorSTAFFDEL.
Ifyouareinvitedon,orplantotake,twoormoretripsthatabuteachother,
pleasecontacttheCommittee’sOfceofAdviceandEducationat202-225-7103for
guidanceonwhattoreportandhow.
Travel for Members and Staff Leaving Ofce
DepartingMembersorstaffwishingtotravelafteradjournmentsine dieshould
contacttheCommitteetodeterminewhetheraparticulartripwouldstillberelatedto
thetraveler’sofcialorrepresentationalduties.Forexample,traveltogiveaspeech
maystillberelated,buttravelforafact-ndingmissionmaynot.
Ofcial Travel
General Provisions
Ofcial travel is travel paid foror authorizedby theHouse. Ofcial travel
includes travel paid for with the Members’ Representational Allowance (MRA) or
committeefunds,CODELs,andSTAFFDELs.
TheCommitteeonHouseAdministrationoverseestravelpaidforwithMRA
orcommitteefunds.IfyouoryourMemberwouldliketotravelwithintheUnited
StatesanduseHousefunds,youmaycontacttheDemocraticstaffat202-225-2061or
theRepublicanstaffat202-225-8281.TheCommitteeandtheCommitteeonHouse
Administrationalsoissuedjointguidanceaboutofcialtravel.
CODELsandSTAFFDELsareofcialtraveltoaforeigncountryandmustbe
authorizedbytheSpeakeroracommitteechair.
32
ForquestionsaboutCODELsand
32
See HouseRule1,cl.10(Speakerauthorizedtravel);HouseRule10,cl8(fundingofforeign
travel);HouseRule24,cl.10(prohibitingtravelbyMembernotre-electedaftergeneralelectionor
(con’t next page)
Travel 107
STAFFDELs,pleasecalltheOfceofInterparliamentaryAffairsat202-226-1766.
Travel paid for with ofcial funds does not need to be pre-approved by the
Committeeorreportedonyourannualnancialdisclosurestatement.
33
No Private Subsidy of Ofcial Travel
As discussed in the privately-sponsored, ofcially-connected travel section
(page91),outside entitiesmaynot payforofcial travel,whethermonetary orin-
kind.
34
House funds and privately-sponsored, ofcially-connected travel may not be
co-mingled.Forexample
Example.AcommitteechairmandecidedtofundMembertraveltoa
conferencewithcommitteefunds.Thesponsoroftheconferenceoffers
to provide lodging and meals for the Members without charge. The
Membersmaynotacceptthesponsor’sofce.Becauseofcialfundswill
beusedfortheairfare,thetripisanofcialtrip.Therefore,acceptance
of the sponsor’s offer would be an impermissible private subsidy of
ofcialactivity.
Example. AMemberplanstotraveltoaconferenceusingMRAfunds.
ThesponsoroftheconferenceinvitesoneoftheMember’semployeesto
traveltotheconferenceatthesponsor’sexpense.Theemployeemaynot
traveltotheconferenceatthesponsor’sexpense.BecausetheMember
isusingofcialfunds,theMemberdeterminedthatattendanceatthe
conferenceisanofcialactivity.
YoumayacceptgiftsthatareallowedundertheHouseGiftRule,evenwhile
onofcialtravel.
Example. At the same conference as the previous example, the
conferencesponsorinsteadofferstocomptheMemberandemployee’s
registration fees. Assuming attendance at the conference meets the
adjournmentsine die;22U.S.C.§1754(b)(fundingforforeigntravel).
33
TravelpaidforwithofcialfundsisnotsubjecttotheCommittee’sTravelRegulationsand
doesnotneedtobereportedwithin15daysofreturn.Additionally,travelpaidforwithofcialfunds
doesnotneedtobereportedonannualnancialdisclosurestatements.
34
HouseRule24,cls.1-3prohibitoutsidesupplementation, bothmonetaryandin-kind,for
ofcialHousebusiness.However,localtransportationexpensesthatMembers,ofcers,andemployees
mayacceptundertheHouseGiftRulearepermitted(e.g.,localtransportationforawidely-attended
event).See generally HouseRule25,cl.5.
108 HOUSEETHICSMANUAL
requirements for a widely-attended event, the Member and employee
mayacceptthecompedregistrationfees,butstillpayfortransportation,
lodging,andmealsoutsidetheconferenceusingofcialfunds.
PleaseseetheCommittee’sguidanceonGifts(page23)forfurtherinformation.
Ofcial Travel Using Campaign Funds
Generally,aMembermaypayforofcialtravelfortheMemberortheMember’s
employeesusingtheMember’sprincipalcampaigncommitteefunds.
35
TheMember
maypay fortravel forpersonal ofcestaff andfor committeestaff usingprincipal
campaigncommitteefunds.
Ofcial Travel Using Personal Funds
Membersmayusetheirownpersonalfundstopayforofcialtravel.Members
maypayfortheirowntravel,ortraveloftheiremployees.
Employeesmaynotusepersonalfundstopayforofcialtravel.
36
Theemployee’s
Membermustreimburseanyexpensesthatemployeeincursforofcialtravel.
Travel for Political Purposes
You may accept travel paid for by a political organization for a political
fundraiser or campaign event sponsored by that political organization.
37
For the
purposeof theHouse GiftRule,politicalorganizationsare thoserecognized under
35
HouseRule 24, cl.1(b)(1)allows Members to useprincipalcampaign committee funds to
defrayofcialexpenses.Members,however,maynotuseprincipalcampaigncommitteefundstodefray
certainenumeratedofcialexpenses.Thosespecicexclusionsare1)mailorothercommunications,
2)compensationforservices,3)ofcespace,4)ofcefurniture,5)ofceequipment,or6)anyassociated
informationtechnologyservices,excludinghandheldcommunicationsdevices.HouseRule24,cl.1(b)
(2).
Additionally,becausetheCommitteehasoverlappingjurisdictionwiththeFederalElection
Commission(FEC)overtheuseofprincipalcampaigncommitteefundsforofcialexpenses,anyone
wishingtouseprincipalcampaigncommitteefundsforofcialexpensesallowedunderHouseRule24
shouldalsoconferwiththeFEC’scongressionalliaisonsat202-694-1006toensurethatitmeetsthe
FEC’srelevanttests.TheCommitteeunderstandsthattravelforanofcialpurposegenerallymeets
theFEC’stest,buttravelquestionsarefact-specicandchangesinfactscouldchangetheguidance
youreceive.
36
HouseRule24,cl.1prohibitstheuseofstaff’spersonalfundsforofcialactivities.Members,
however,arepersonallyresponsibleforexpensesthatexceedtheMRA.See Comm.onHouseAdmin.,
Members’ Congressional Handbook. Therefore, Members’ use of their personal funds for ofcial
activitiesisnotconsideredprivatesubsidyofofcialbusiness.
37
HouseRule15,cl.5(a)(3)(G)(iii).
Travel 109
§527(e)oftheInternalRevenueCode.
38
If you are traveling for a campaign or political purpose and your campaign
committee,oranothercandidate’scampaigncommitteeispayingfortravelexpenses,
you may not make the travel arrangements in the ofcial, congressional ofce or
usinganycongressionalresources.
Example. A Member is traveling for a campaign fundraiser. The
Memberaskstheofcial,congressionalschedulertohelpmaketravel
arrangements.Theofcial,congressionalschedulermaynotmakethose
arrangementswhileonHousegrounds(includingthedistrictofce),or
usingcongressionalresources.Theofcial,congressionalschedulermay,
inhisorherowntime,scheduletheMember’scampaign-relatedtravel.
Thecongressionalschedulermustbewillingtoassistthecampaignand
maynotbetoldtoschedulethatcampaign-relatedtravelasacondition
ofthescheduler’scongressionalemployment.
Ifyouareanancialdisclosureler,youwillonlyneedtoreporttravelpaid
forbyafederalpoliticalorganizationonyourannualnancialdisclosurestatements
if that federal political organizationdid not properly report the travel onits FEC
expenditurereports.Youwill,however,havetoreporttravelpaidforbyastateor
localpoliticalorganizationonannualnancialdisclosurestatements.
Ifyouareofferedtravelonanon-commercialaircraftforcampaignpurposes,
pleasecalltheCommitteeandtheFEC.AsdiscussedinTravelonNon-Commercial
Aircraft(page129),travelonprivateplanesforcampaignpurposesisveryrestricted.
Ifyouaretravelingforacampaignorpoliticalpurpose,butathirdpartyoffers
topayforthetravel,pleasecontacttheFEC,orthestate’selectionauthorityiffora
statecampaignpurpose.Paymentbythethirdpartycouldbeconsideredacampaign
contribution.
Mixed-Purpose Travel
You may participate in travel with more than one purpose. For example,
youmaywanttoextendaprivately-sponsored,ofcially-connectedtripatpersonal
expense,oryoumaywanttoparticipateincampaignactivityattheendofanofcial
trippaidforwithHousefunds.Todeterminewhichfundspayforwhichactivity,you
shoulddeterminewhichpurposeistheprimarypurposeofthetrip.
38
§ 527 organizations are organized and operated primarily for the purpose of accepting
contributionsormakingexpendituresforthepurposeofinuencingtheelectionofanyindividualtoa
publicorpoliticalofce.See 26U.S.C.§527.
110 HOUSEETHICSMANUAL
Thefundsassociatedwiththeprimarypurposeshouldpayforthetransportation
toandfromthedestination,andtheothertravelexpensesrelatedtothatpurpose.
Thefundsassociatedwiththesecondarypurposeshouldpayfortheexpensesrelated
tothatsecondarypurpose.
Althoughyoumaydeterminetheprimarypurposeandanyadditionalpurposes,
youshouldmakethatdecisioninareasonablemanner.Possiblewaystomakethat
determinationinclude
• Thenumberofdaysdevotedtoeachpurpose
• Themainreasonfortakingthetrip
• Whetheryouwouldbeinthatlocationifnotforthetrip
Youmayalsostacktripstogetherthathaveseparateanddistinctpurposes.If
youwouldliketostacktrips,pleasecontacttheCommitteetodeterminehowtosplit
expenses.YoumayalsoneedtocontacttheCommitteeonHouseAdministrationor
theFEC.
Asdiscussedinprivately-sponsored,ofcially-connectedtravel(page91),you
maynotstackcampaign-relatedtravelwithprivately-sponsored,ofcially-connected
travel.Youalsomaynotextendaprivately-sponsored,ofcially-connectedtripfora
campaignpurpose.
Example.Youplantotraveltothedistrictforofcialmeetings.During
oneeveningofthat trip,youplantoassist witha politicalfundraiser
for your Member. You would liketo knowwhether you may use the
MRAtopayforanyportionofyourtravelexpenses,includingyourplane
ticketandyourhotelroom.YoushouldcalltheCommitteeonHouse
Administration to ask whether and for what you may use the MRA.
YoumightbeabletouseyourMember’sprincipalcampaigncommittee
fundsforanyexpensestheMRAmaynotcover.Youshouldalsocallthe
FEC’scongressionalliaisonstoaskwhetheryoucouldalsouseprincipal
campaignfunds.
Travel for Personal Purposes
Travel Paid for by Relatives
Youmayaccepttravelofferedbyarelative.
39
39
HouseRule25,cl.5(a)(3)(C).“Relative”meansyourfather,mother,son,daughter,brother,
sister,uncle,aunt,greataunt,greatuncle,rstcousin,nephew,niece,husband,wife,grandfather,
(con’t next page)
Travel 111
If,however, yourrelative isonlythe conduit,meaning anotherentity offers
youtravel,butthroughyourrelative,thegiftwouldstillcomefromtheotherentity.
Inthatinstance,youmaynotrelyonthegiftexceptionforgiftsfromarelative.But,
youmaybeabletoacceptthetravelunderadifferentgiftexception.
Travel Offered on the Basis of Personal Friendship
Personalfriendsmayoffertopayforyourtravelexpensesforpersonalpurposes.
PersonalpurposesdonotincludeconductingHousebusinessorcampaignactivity.
Just like with other gifts of personal friendship, if the travel is more than
$250,youmustwriteintotheCommitteeforformalpermissiontoacceptthegift.If
thetravelis$250orless,youmaydetermineforyourselfthatyourfriendofferedit
basedonpersonalfriendship.TheCommitteeexpectsyoutousethesamecriteria
theCommitteedoestodetermineiftheofferwasmadebasedonpersonalfriendship.
40
Whendeterminingthevaluefortravel,youshouldlookatthetripasawhole.Consider
thetransportationandanylodgingormealsnotcoveredbythepersonalhospitality
exception.
If you le nancial disclosure statements and you accept a trip based on
personalfriendshipthatisabovethereportingthreshold,youmustreportthattrip
onScheduleG(“Gifts”)ofyourannualstatement.
Lodging and Meals under Personal Hospitality
Youmayacceptlodgingandmealsinsomeone’shomeincertaincircumstances.
41
Thehomeorbuildingmaynotbelongtoaregisteredfederallobbyistorforeignagent.
42
grandmother, grandson, granddaughter, father-in-law, mother-in-law, son-in-law, daughter-in-law,
brother-in-law,sister-in-law,stepfather,stepmother,stepson,stepdaughter,stepbrother,stepsister,
half-brother,half-sister,thegrandfatherorgrandmotherofyourspouse,oryourancé(e).5U.S.C.
app.§109(16).Thislistisamuchmoreexhaustivethanthelistofrelativesthatmayaccompanyyou
onprivately-sponsored,ofcially-connectedtravel.Forthatlist,pleaseseetheCommittee’s Travel
Regulations.
40
Specicallyyoushouldconsider1)thenatureofyourrelationship,includinganyprevious
exchangesofgifts;2)whetheryourfriendwillusepersonalfundstopayforthetrip;and3)whether
yourfriendmadethesameoffertoanyotherMember,ofcer,oremployee.HouseRule25,cl.5(a)(3)
(D).Giftsofferedbecauseofyourofcialposition,orwhereyourfriendwillbeseekingataxdeduction
orbusinessreimbursement,arenotgiftsofferedbasedonpersonalfriendship.Id.
41
Giftsofpersonalhospitalityincludelodgingandmeals“extendedforanonbusinesspurpose
byanindividual,notacorporationororganization,atthepersonalresidenceofthatindividualorhis
familyoronpropertyorfacilitiesownedbythatindividualorhisfamily,”wheretheindividualisnot
aregisteredfederallobbyistorforeignagent.5U.S.C.app.§109(14);HouseRule25,cl.5(a)(3)(P).
42
TheCommitteelookstowhoresidesinthehome.Forexample,ifsomeoneisrentingan
apartmentorhouse,therentermaynotbealobbyistorforeignagent,regardlessofwhomayownthat
building.If,however,thehomeisowner-occupied,thentheownerofthehomemaynotbealobbyist
orforeignagent.
112 HOUSEETHICSMANUAL
Additionally,thehomeorbuildingmaynotbeusedforbusinesspurposes,including
forofcialmeetingsoriftheresidentsrentoutthehomeforvacationrentals.
This exception only applies to staying in the home and meals eaten in the
home.Theexceptiondoesnotapplytogoingouttodinnerwhilestayingatsomeone’s
house.Amealoutsidethehomewouldneedtomeetadifferentgiftexception.
Travel for Professional Development Opportunities or Fellowships
You may be able to participate in professional development or fellowship
opportunities that pay for travel expenses or scholarships. Common examples of
professionaldevelopmentandfellowshipsinclude
• YoungLeadersprograms
• Continuingeducationopportunities
• Networkingopportunities
• Exchangeprograms
TravelthatiscompletelyunrelatedtoyourHouseemploymentisdiscussedin
TravelRelatedtoOutsideActivities(page114).
If your House position was a factor in the decision to offer you travel for
professionaldevelopmentorafellowship,youmustwriteintotheCommitteeand
receiveformalpermissiontoacceptthetravelexpenses.
43
ExamplesofyourHouse
positionpotentiallybeingafactorinclude
• Submittingyourresumewithyourapplication
• ListingyourHousepositiononanapplication
• Beingnominatedbysomeoneyou’veworkedwithofcially
• SubmittinglettersofarecommendationfromaMember,ofcer,oremployee
withyourapplication
TheCommittee recommends yourequest approval assoon as theprogram’s
sponsorofferstopayforyourexpensestoensuretheCommitteehassufcienttime
toreviewyourrequest.
43
IfyoucannotsayforcertainthatyourHouseemploymentwasnotafactorinthedecision-
makingprocess,thenthegiftexceptionfortravelrelatedtooutsideactivitieswouldnotapply.See,
e.g., HouseRule25,cl.5(a)(3)(G)(i)(allowingfood,refreshments,lodging,transportation,andother
benetsforoutsidebusinessoremploymentactivitiesifnotofferedorenhancedbecauseoftheMember,
ofcer,oremployee’sofcialposition).TheCommitteemaybeabletogiveyouawaiverofthegiftrule
toaccepttheopportunity.HouseRule25,cl.5(a)(3)(T).
Travel 113
Travel to Attend Charity Fundraisers
You may be able to accept lodging and transportation in connection with a
charityfundraiser.Toaccept,theeventandtheofferoftravelexpensesmustmeet
thefollowingcriteria.
• Allofthenetproceedsoftheeventmustbeneta§501(c)(3)organization,
• The transportation and lodging expenses must be paid by the benetting
§501(c)(3)organization,and
• Theoffertoattendtheeventmustbeextendedbythebenetting§501(c)(3)
organization.
44
Youmayacceptexpensesthatarereasonablynecessarytoparticipateinthe
event.Generallythatmeansyoumayacceptonenight’slodging.
You may only accept transportation and lodging expenses directly from the
benetting § 501(c)(3) organization, not from a sponsor of or participant at the
fundraiser.Additionally, youmaynot accepttransportationand lodgingexpenses
fromthebenetting§501(c)(3)organizationifthoseexpenseswouldbepaidforusing
donationsthatareearmarkedforcongressionalparticipants.
45
Although organizations that are not § 501(c)(3) organizations may organize
eventsthatmeetthecharityfundraiserexceptiontoacceptanofferoffreeattendance
and a meal, those non-§ 501(c)(3) event organizers could not pay for your travel
expensesunderthisexception.
46
Example.Youareinvitedtoacharityfundraiserinanothercity.The
44
HouseRule25,cl.5(a)(4)(C)(i)-(iii).
45
The prohibition on the 501(c)(3) organization using funds earmarked for congressional
participantsincludesthatareformallyandinformallyearmarkedforthepaymentofexpensesrelated
tocongressionalparticipants.Consistentwiththisinterpretation,forexample,aMember,ofcer,or
employeetravelingtoacharityeventundertheserulesmaynotacceptaightonacorporateaircraft
thatisyingcorporateofcialstotheevent,evenifthecharityreimbursesthecorporationforthe
ight. Aside from concerns on whether a corporation may lawfully accept such a reimbursement
underFederalAviationAdministrationregulations,adonortoacharityeventshouldhavenorolein
providingtraveltoaparticipatingMember,ofcer,oremployee.
46
HouseRule25,cl.5(a)(4)(C).AsdiscussedintheGiftssectionoftheCommittee’sguidance
(page 60), you may accept an offer of free attendance at a charity fundraiser, as long as you are
invited by the event organizer directly and the event is to benet an organization qualied under
§170(c)oftheInternalRevenueCode.Freeattendanceincludeswaiveroftheticketprice;thefood,
refreshments,andentertainmentattheevent;localtransportation;andasecondticketforaguestof
yourchoosing.Thereforeitispossibletoacceptfreeattendanceataneventbutnotbeabletoaccept
anofferoflong-distancetransportationandlodgingforthatsameevent.
114 HOUSEETHICSMANUAL
event organizer is a corporate sponsor, but the event will benet an
organizationthatisrecognizedunder§501(c)(3)oftheInternalRevenue
Code. The event organizer offers to pay for your airfare and lodging
toparticipateintheevent.Althoughyoumayaccepttheofferoffree
attendance,youmaynotacceptthetransportationandlodgingexpenses
becausetheeventorganizerisnota§501(c)(3)organization.
Example. Anationally-recognizedcharityishavingitsannualgalain
anothercity.Thecharityoffersyoutwoticketstothefundraiserand
lodgingandairfaretoattendtheevent.Thecharityalsoofferslodging
andairfaretoyourspouse.Youandyourspousemayacceptthelodging
andairfare,inadditiontotheofferoffreeattendanceattheevent.
Travel to Accept Honorary Degrees
Ifyouareofferedanhonorarydegree,youmayalsoaccepttravelexpensesthat
maybeofferedforthedegree’spresentation.
47
Thetravelexpensesyoumayaccept
includetransportation,lodging,meals,refreshments,andentertainment.
Travel Related to Outside Activities
Ifyouareofferedtravelthatisunrelatedtoyourofcialposition,youmaybe
abletoaccepttheofferifitwasnotofferedorenhancedbecauseofyourpositionwith
theHouse.
48
Outside Activities. Youmayaccepttravelexpensesrelatedtoyouroutside
activities.
49
Thetravelexpensesmustbethesamethatareofferedtootherssimilarly
situated.
Example. You are on the board of a charitable organization. Each
quarterthecharitableorganizationpaysforitsboardmemberstotravel
toits headquartersfor thequarterly boardmeeting. All ofthe board
membersareofferedthesametravelexpenses.Youmayacceptthose
travelexpenses.
Example.Yourecentlywroteandpublishedabook.TheCommittee
approvedyourpublishingcontract.
50
Nowyourpublisherisplanninga
47
HouseRule15,cl.5(a)(3)(K).Althoughtheruleallowsyoutoacceptbona de non-monetary
publicserviceawards,theruleonlyallowsyoutoaccepttravelexpensesrelatedtohonorarydegrees.
48
HouseRule25,cl.5(a)(3)(G).
49
Id.at(i).
50
AsdiscussedintheOutsideActivitysectionoftheCommittee’s guidance, the Committee
mustreviewandapprovepublishingcontractsforMembersandseniorstaff.Staffwhoarenotpaid
attheseniorstaffratedonotneedCommitteeapprovalofapublishingcontract,butmaystillaccept
(con’t next page)
Travel 115
booktourtopromoteyourbookandwillpayforyourtravelexpenses.
Thepublisherplanstopayforthesametravelexpensesitwouldforany
otherauthorofsimilarfameandstature.Youmayacceptthosetravel
expenses.
Example.Same exampleasbefore,butyouwouldlike tostayafew
extra days before returning home. You may extend your trip if the
publisherallowsothersimilarly-situatedauthorstoextendtheirtravel
onsimilarterms.
Example.Yourchildisascout.Allofthelocalscouttroopsaregoingto
theGrandCanyonforaweeklongtrip.Theregionalscoutorganization
offerstopayyourairfareifyouwillchaperonethescoutsduringthetrip.
Youmayacceptthosetravelexpenses.
Ifyouleannualnancialdisclosurestatements,youmustreportthesetravel
expensesonScheduleH(“TravelPaymentsandReimbursements”)ifthevalueofthe
travelexpensesexceedsthereportingthreshold.
Prospective Employers. Youmayaccepttravelexpensesfromaprospective
employerthatarecustomarilyprovidedbythatemployerforbona de employment
discussions.
51
If you le annual nancial disclosure statements, you must report
thesetravelexpensesonScheduleH(“TravelPaymentsandReimbursements”)ifthe
valueofthetravelexpensesexceedsthereportingthreshold.
52
Accompanying Spouses. Youmayaccepttravelexpensestoaccompanyyour
spouseontripsrelatedtoyourspouse’semploymentoroutsideactivities.
53
Example.Yourspouseisalawyerwithaprivatelawrm.Eachyear,
therminvitesallofitslawyersandtheirspousestoaweekendretreat
at a resort hotel. This retreat is offered to your spouse regardless of
travel expenses to promotethe book, as long as those travelexpenses are not offered or enhanced
becauseof the staff’sHouse position and arethe same expensesofferedto other similarlysituated
authors.MembersandseniorstaffwhomayhavewrittenbookspriortojoiningtheHousemayalso
accepttravelexpensestopromotetheirbooks,iftheofferconformswithallofthesamerequirements.
Travelexpenses,whetherreimbursedorpaidupfront,arenotthesameashonoraria.Membersand
seniorstaffstillmaynotaccepthonorarium,regardlessofthesourceorpurpose.HouseRule25,cl.
1(a)(2).Staffwhoarenotseniorstaffarealsorestrictedintheirabilitytoaccepthonoraria.Id.
51
HouseRule25,cl.5(a)(3)(G)(ii).
52
Evenifyouaccepttheprospectiveemployer’sofferofemployment,youwouldstillneedto
reportthosetravelexpensesonyourannualorterminationnancialdisclosurestatement,ifthetravel
expenseswereacceptedwhileyouwerestillonHousepayrollandexceedthereportingthreshold.
53
HouseRule25,cl.5(a)(3)(G)(iii).
116 HOUSEETHICSMANUAL
whoyouare.Youmayaccompanyyourspouseandacceptthelawrm’s
paymentoftravelexpenses.
Example.Yourspouseisaightattendantwithanairlinethatoffers
freetravelallofitsemployeesandtheirimmediatefamilieswhenseats
areavailable.Youmayacceptthefreeights.
Ifyouleannualnancialdisclosurestatements,youmustreportthesetravel
expensesonScheduleH(“TravelPaymentsandReimbursements”)ifthevalueofthe
travelexpensesexceedsthereportingthreshold.
54
Business Site Visits
Youandaguestmayacceptlocaltransportationtovisitabusinesssiteinyour
ofcialcapacity.
55
Specically,youmayaccept
• Localtransportation,outsideoftheDistrictofColumbia,tothebusinesssite
ThetravelmustnotstartorendintheDistrictofColumbia
Includestravelfromthelocalairportorotherterminustothebusiness
site
Localtransportationmeanswithin35miles
• Mealsofferedbythemanagementofthesitebeingvisited
Mealmustbeonthatbusiness’spremises
Mealmustbeinagroupsettingwithemployeesoftheorganization,not
justboardmembers
Example.Alocalbusinessinvitesyoutotouritsfacility.Partofthe
tourincludesacafeteriawhereallofthefacility’semployeeseatlunch
together. Youmay eatlunch inthe facility’scafeteria withthe other
54
Todeterminevaluewhenaccompanyingspouses,youshouldlooktotheextraexpensesthe
outsideorganizationpaidonyourbehalf.Forexample,ifyourspouse’scompanywouldhavepaidfor
ahotelroomwhetheryouwentonthetripornot,thehotelroomisnotagifttoyou.However,your
airfare, your meals, and anyadditional expensesrelated tothe lodgingwould needto beadded to
determinewhetherthevalueexceedsthereportingthreshold.Youmayincludeacommentonyour
nancialdisclosurestatementthatyouaccompaniedyourspouse.
55
Although not enumerated in the House Gift Rule, the Committee exercised its waiver
authoritytoallowforlocaltransportationoutsideoftheDistrictofColumbiaandmealsincidenttoa
businesssitevisit.TheCommitteealsoexerciseditswaiverauthoritytoallowanunsolicitedguestof
yourchoosing.Comm.onEthics,Guest Policy Change and Reminder of Gift Rules for Attendance at
Events (Sept.19,2022).
Travel 117
employeesaspartofthebusinesssitevisit.
Example. Alocalbusinessinvitesyoutotouritsfacility.Theinvitation
includesanoffertostafftotourthefacility,aswellasgueststhatanyone
maywanttobring.Youmaybringoneguestofyourchoosing.
Example. Yourdistrictreliesheavilyonthelocalwaterways,including
anextensivelockssystem.Thecompanythatmanagesthelocksinvites
youtotourthelockssystem.Toseetheentiresystem,youmusttravel
byboatthroughthelocks.Youwillboardtheboatatthenorthendof
the system and disembark at the south end ofthe system. You may
acceptthatlocaltransportationaspartofthebusinesssitevisit.
Fortravelexpensesthataremorethanjustlocaltransportationandanon-site
meal,youmayneedtoseekpre-approvalforprivately-sponsored,ofcially-connected
travel(page91).
Point A to Point A Travel
YoumayacceptPointAtoPointAtravel.PointAtoPointAtravelistravel
thatbeginsandendsinthesamelocation,withoutanyintermediarystops.Toaccept
PointAtoPointAtravel,youmustbetravelinginyourofcialcapacityonbehalfof
theHouse.PointAtoPointAtravelthatcomplieswiththeserestrictionsdoesnot
havemonetaryvalue.
Example.AlocalorganizationinvitesHousestafftotouralocalriver
toseehow federalfundshave helpedthehealthof theriverimprove.
The local organization offers to take the staff on its boat, which will
departandreturnto thesame dockwithoutdisembarkingduringthe
tour.Becausethestaffwillparticipateintheirofcialcapacitiesand
theboat tour willnot make intermediarystops, staff mayaccept this
PointAtoPointAtravel.
Example.AlumbercompanyinthedistrictinvitesaMembertotour
itsoperations.Becausethelumbercompany’slandissovast,thebest
waytoviewitisfromtheair.Thelumbercompanyofferstotakethe
Memberinthecompany’shelicoptertoviewthesite.Thehelicopterwill
departfrom andreturnto thesame location,withoutany stops.The
MembermayacceptthisPointAtoPointAtravel.
Example.Alocalnon-protisplanningawhistle-stoptouracrossthe
districttorecognizethe100
th
anniversaryofaregionalrailroad.Thetour
willbeonarestoredtrainandwillstopatlocaltraindepotsthroughout
118 HOUSEETHICSMANUAL
theregion.Thenon-protinvitesaMembertotravelwiththemonthe
tour.Becausethetrainwillmakestopsalongtheway,theMembermay
notacceptthistravelasPointAtoPointAtravel.TheMembermay
beabletoacceptthetravelunderadifferentsectiondiscussedinthis
manual.
Example.AMemberisinvitedtoanaircrafttestfacilityinherdistrict.
Thetestfacility offerstolet theMemberride in thecockpit during a
testight,whichwilltakeoffandreturntothesamelocation.Shemay
accepttravelontheprivateaircraftduringthetestightbecauseitis
PointAtoPointA.Becausethetestightwilltakeoffandlandinthe
samelocation,shemayaccepttravelontheprivateaircraftduringthe
testight.
ThemodeoftransportationforPointAtoPointAtraveldoesnotchangethis
guidance.Aslong asthe travelmeetstheserequirements,the PointA toPointA
travelcanbeinacar,onanairplane,inaboat,onahelicopter,oronatrain.Point
A to Point A travel can be on privately-owned modes of transportation, including
privately-ownedaircraft.
Travel Paid for by Federal, State, or Local Governments
Youmayaccepttravelthatispaidforbyafederal,state,orlocalgovernmental
entity, or secured under a government contract.
56
You do not need to seek prior
approvalfromtheCommitteetoacceptthistravel.Underthisexception,youmay
accept transportation, meals, andlodging from the government entity. If you le
nancialdisclosure reports,you donot needto reporttravel paidfor bya federal,
state,orlocalgovernmentalentity,orsecuredunderagovernmentcontract.
You may only accept these travel expenses directly from the government
entity,notthroughathirdpartysuchasaregisteredfederallobbyist,orwherethe
governmententityismerelyaconduitforthethirdparty.
57
To determine if an entity is a governmental entity, the Committee looks to
whethertheentityistreatedasagovernmentagencyforotherpurposes.
56
House Rule 25, cl. 5(a)(3)(O). This rule also allows Members, ofcers, andemployees to
acceptgifts, including travel,thatare “secured by theGovernmentunder a Governmentcontract.”
“Governmentcontracts”underthisprovisionmeanfederalgovernmentcontracts.See, e.g.,5C.F.R.
§ 2635.203(7); 57 Fed. Reg. 35,014 (Aug. 7, 1992) (“The exclusion is intended to cover items the
GovernmentprocuresforusebyitsemployeesunderaGovernmentcontractorknowinglyobligates
itselftopayfor.”).
57
See Comm.onRules,AmendingtheRulesoftheHouseofRepresentativetoProvideforGift
Reform,H.R.Rep.No.104-337,at11(1995).
Travel 119
TheCommitteeconsiderstheseentitiestobegovernmententities.
• UnitedStatesfederalgovernment
• UnitedStatesstategovernments
• UnitedStatesmunicipalgovernments,includingmunicipalairports
• CommonwealthsandterritoriesoftheUnitedStates
• SmithsonianInstitute
• WashingtonMetropolitanAreaTransitAuthority(WMATA)
• TennesseeValleyAuthority
• CaliforniaJointPowersAuthoritiessuchastheMetropolitanWaterDistrictof
SouthernCalifornia
58
• Publicuniversities,includingPennsylvaniastate-relateduniversities
59
TheCommitteedoesnotconsidertheseentitiestobegovernmententities.
• NativeAmericantribes
60
• Amtrak
61
• RegionalFederalHomeLoanBanks
Theselistsarenotexhaustive.PleasecontacttheCommitteeifyouhaveany
questionsaboutwhetheranentityispartofthegovernment.
Travel Allowed by Other Gift Rule Exceptions
Local Transportation for Widely-Attended Events
and Charity Fundraisers
You may accept local transportation from the event organizer of a widely-
58
See Cal.Gov’tCode§§6500-6599.3.
59
See 22Pa.Code§31.2(Pennsylvaniastate-relateduniversitiesareinstrumentalitiesofthe
commonwealth).
60
TheCommitteeconsideredthismattercarefullyandfoundnothinginthelegislativehistory
of the current gift rule or its predecessors indicating an intent to treat Native American tribes as
stateorlocalgovernmententitiesforthesepurposes.TheCommitteealsodoesnotconsiderNative
Americantribestobeforeigngovernments.
61
“Amtrakisnotadepartment,agency,orinstrumentalityoftheUnitedStatesGovernment.
..”49U.S.C.§24301(a)(3).
120 HOUSEETHICSMANUAL
attended event or a charity fundraiser, assuming the event meets all of the
requirements.
62
Localtransportationmeanswithin35milesoftheU.S.Capitolor
thenearestdistrictofce.
Widely-Available Opportunities
Youmayacceptlocaltransportationthatisroutinelyofferedtoagrouporclass
unrelatedtoyourHouseposition.
63
Example. You were invited to speak on a weekly news show. The
television station routinely sends a car to pick up its guests staying
nearby.Thetelevisionstationofferstopickyouupfromyourhomethat
isnearthestation.Youmayaccepttheofferoflocaltransportationfrom
thetelevisionstation.
Less than $50
Youmayaccepttravelexpenses,includingtransportationandmeals,ifthetotal
forthetravelexpensesislessthan$50perperson,andtheorganizationsponsoring
thetraveldoesnotemployorretainaregisteredfederallobbyist.
64
Example. You were invited on a tour of healthcare facilities in the
immediateDC area.The sponsoringorganizationdoes notemployor
retainaregisteredfederallobbyist.Thesponsoringorganizationwould
liketopayforabusforthedayandprovidelunch.Thetotalvalueofthe
busandlunchperpersonis$40.Youmayaccepttheoffer.
Travel Paid for by a Foreign Government
General Provisions
The EmolumentsClauseoftheConstitutionlimitsyourabilitytoaccepttravel
from foreign governments. The Emoluments Clause prohibits you, as a federal
governmentofcial,fromreceiving “anypresent... ofanykindwhatever”froma
foreigngovernmentoritsrepresentativewithouttheconsentofCongress.
65
62
HouseRule25,cl.5(a)(4)(D).Therequirementsforawidely-attendedeventandacharity
fundraiserarediscussedfurtherinthegiftssection.
63
HouseRule25,cl.5(a)(3)(R).
64
HouseRule25,cl.5(a)(1)(B)(i).Giftsunderthe“lessthan$50”exceptionhaveanannual
limitoflessthan$100.Thelimitisperdonor,perrecipient.Id. Giftsthatareallowedunderdifferent
exceptionstotheHouseGiftRulearenotrolledintothelessthan$100limit.
65
U.S.Const.Art.I,§9,cl.8.
Travel 121
Congressconsentedtotravelfromforeigngovernmentsintwomainways,the
ForeignGiftsandDecorationsAct(FGDA)andtheMutualEducationalandCultural
ExchangeAct(MECEA).
66
Houserulesalsoallowyoutoaccepttravelfromaforeign
governmentunderFGDAorMECEA.
67
AtripunderFGDAorMECEAmaynotbeturnedintoaprivately-sponsored,
ofcially-connectedtripbychangingwhomanagesthetripplanning.
68
Ifaforeign
governmentcontractswithaprivateorganizationtoplanororganizetravel,theprivate
organizationoperatesatthedirectionoftheforeigngovernment.Asareminder,you,
asaMember,ofcer,oremployee,aresubjecttotheEmolumentsClauseandother
Constitutionalprovisionsdiscussedthroughout.Therefore,youareresponsiblefor
ensuringyouonlyacceptpermissiblegifts.
Foreigngovernmententitiescanmeanmuchmorethanjusttheforeignfederal
government.Foreigngovernmentsincludeforeignstateormunicipalgovernments,
quasi-governmentalorganizationsthatarecloselyafliatedwithorfundedbyforeign
governments,andprivateorganizationsthatarecloselyafliatedwithorfundedby
foreigngovernments.
69
Travel under FGDA
TheFGDAgavetheCommitteetheauthoritytoissueregulationsthatapplyto
allHouseMembers,ofcers,andemployees.
70
TheFGDARegulationsareavailable
athttps://ethics.house.gov/foreign-gifts-and-decorations-act-fgda-regulations.
UnderFGDA,“foreigngovernment”means
66
CongressconsentedtootherprogramsoutsideofFGDAandMECEA,includingtheU.S.-
KoreaNationalAssemblyExchangeProgram.However,FGDAandMECEAarethemostcommon
methodsthatforeigngovernmentsusetoofferMembers,ofcers,andstafftravel.
67
Members,ofcers,andemployeesmayaccept“[a]nitem,thereceiptofwhichisauthorized
by[FGDA],[MECEA],oranyotherstatute.”HouseRule25,cl.5(a)(3)(N).
68
See Comm. on Ethics, In the Matters of Allegations Relating to Travel to Taiwan by
Representatives William Owens and Peter Roskam in 2011, H.R.Rep.113-226(2013).
69
Todeterminewhetheranorganizationispartofaforeigngovernment,theCommitteelooks
toanumberoffactorsincludingtheleveltowhichtheorganizationisfundedbyaforeigngovernment,
whethertheorganizationiscontrolledbyaforeigngovernment,andwhetheranotherU.S.government
agency determined the organization ispart ofa foreigngovernment. Organizations thatmeet the
denition of foreign government may not offer privately-sponsored, ofcially-connected travel.
Members,ofcers,andemployeesmayonlyaccepttravelexpensesfromorganizationsthatmeetthis
denitionunderFGDAorMECEA.See Comm.onEthics,In the Matter of Ofcially-Connected Travel
by House Members to Azerbaijan in 2013, H.R.Rep.114-239(2015);Comm.onEthics,In the Matters
of Allegations Relating to Travel to Taiwan by Representatives William Owens and Peter Roskam in
2011, H.R.Rep.113-226(2013).
70
5U.S.C.§7342(g)(1).TheCommitteeistheHouse’s“employingagency”forthepurposesof
FGDA.Id.at(a)(6)(A).
122 HOUSEETHICSMANUAL
• Any unity of a foreign government, including national, state, local, and
municipalgovernments
• Any international or multinational organization whose membership is
comprisedofunitsofforeigngovernments,including
UnitedNations
EuropeanUnion
NorthAtlanticTreatyOrganization,NATO-PA
OrganizationforSecurityandCooperationinEurope
• Anagentorrepresentativeofthegovernmentororganizationwhileactingin
thatcapacity
• Quasi-governmentalorganizationscloselyafliatedwith,orfundedby,foreign
governments
71
YoumayonlyaccepttravelfromaforeigngovernmentunderFGDAifyouare
alreadyoutsidetheUnitedStatesandyouaretravelinginyourofcialcapacity.
Youmayaccept
• In-country travel expenses, including lodging, meals, and in-country
transportation;or
• Transportationleavingorreturningtodifferentaforeigncountrytovisitthe
hostcountry.
Example.Youmayacceptlocaltransportationfromthehostcountryto
inspectasitenearwhereyouaretravelingonaCODELorSTAFFDEL.
Example. Youmayacceptlodgingandamealfromthehostcountry
beforeaddressingthatcountry’slegislature.
Example.Youmayacceptin-countryairfarefromthehostcountryto
71
Todeterminewhetheranorganizationispartofaforeigngovernment,theCommitteelooks
toanumberoffactorsincludingtheleveltowhichtheorganizationisfundedbyaforeigngovernment,
whethertheorganizationiscontrolledbyaforeigngovernment,andwhetheranotherU.S.government
agency determined the organization ispart ofa foreigngovernment. Organizations thatmeet the
denition of foreign government may not offer privately-sponsored, ofcially-connected travel.
Members,ofcers,andemployeesmayonlyaccepttravelexpensesfromorganizationsthatmeetthis
denitionunderFGDAorMECEA.See Comm.onEthics,In the Matter of Ofcially-Connected Travel
by House Members to Azerbaijan in 2013, H.R.Rep.114-239(2015);Comm.onEthics,In the Matters
of Allegations Relating to Travel to Taiwan by Representatives William Owens and Peter Roskam in
2011, H.R.Rep.113-226(2013).
Travel 123
visit another area of the country for fact-nding purposes while on a
STAFFDEL.
Example.Youmayaccepttransportationfromthehostcountrytoleave
orreturntoadifferentforeigncountrytovisitthehostcountry.
Youmaynotaccept
• TravelleavingfromorreturningtotheUnitedStatestovisitthehostcountry;
• TransportationorlodgingintheUnitedStates;
• Travelexpenses,includingin-countryexpenses,fromthehostcountrywhile
onpersonaltravel,campaigntravel,oranacademicexchange;or
• Travelexpensesfromaregisteredfederallobbyistorforeignagent.
72
YoumaynotcircumventthelimitationsontravelunderFGDAbytravelingto
alocationjustoutsidetheUnitedStatesandhavingtheforeigngovernmentthenpay
foryourtransportation.Youmusthaveanofcialreasonforbeinginthelocation
wheretheforeigngovernmentbeginspayingforyourtravelexpenses.
Your spouse or dependent children may also accept travel expenses from a
foreigngovernmentunderFGDAiftheyaretravelingwithyou.
73
Yourspouseand
dependentchildrenalsomaynotaccepttravelforpurelypersonalpurposes.
You do not need Committee pre-approval, but you must report any FGDA
travelwithin30daysofleavingtheforeigncountry.YoumustreportFGDAtravel
regardlessofthevalueofthosetravelexpenses.Whenyoureturnfromyourtrip,
youmustcompletetheFGDADisclosureFormandreturnittotheCommittee.The
FGDA Disclosure Form is available at https://ethics.house.gov/forms/travel. The
Departmentof Statemakes FGDAdisclosures publicin theFederal Registereach
year.
74
Ifyouleannualnancialdisclosurestatements,youdonotneedtodisclose
FGDAtravelonyourannualstatementthatisproperlyreportedtotheCommitteeon
theFGDADisclosureForm.
Example. TheChineseAgriculturalMinistryinvitestheMembersofthe
AgricultureCommitteeonaten-daytourofChinesefarmcooperatives.
72
Ifaforeigngovernmentisdirectlypayingforthetravel,theforeigngovernmentisthedonor
andthetravelmustcomplywithFGDAorMECEA.Ifaregisteredfederallobbyistorforeignagent
isusingfundsfromitsownaccounttopayfortravelexpensesorreimbursement,youmaynotaccept
thoseexpensesorreimbursement.
73
5U.S.C.§7342(a)(1)(G).
74
5U.S.C.§7342(f)(1).
124 HOUSEETHICSMANUAL
Thetour isnot partof anapproved MECEAprogram. The Members
may,consistentwithFGDA,acceptexpensesforthemselvesandtheir
spouseswhiletheyareinChina.TheMembersandthespousesmay
not accept airfare to and from China at the expense of the Chinese
government.TheMembersmustdisclosethereceiptoftheseexpenses
forthemselvesandtheirspousesontheFGDAdisclosureformwithin
30daysofleavingChina.TheMembersdonotneedtoreportthetripon
theirannualnancialdisclosurestatements.
Travel under MECEA
You may accept travel toa foreign country from a foreign governmentthat
has a MECEAagreementwith the United States.
75
MECEAtravelis for cultural
exchanges.The Department ofState negotiates MECEA agreementswith foreign
governments.Therefore,anytravelofferedunderMECEAmustcomportwiththe
agreementonlewiththeDepartmentofState.YoumaynotacceptMECEAtravel
withintheUnitedStates.
YoudonotneedCommitteepre-approvalforMECEAtravelandMECEAtravel
is not subject to the same time limits as privately-sponsored, ofcially-connected
travel.Youshould,however,contacttheDepartmentofStatetoensurethetravel
youwereofferediscoveredbytheMECEAagreementwiththatforeigngovernment.
Ifyouleannualnancialdisclosurestatements,youmustreportanyMECEAtrips
onScheduleH(“TravelPaymentsandReimbursements”)ofyourannualstatement.
OnlyyoumayacceptMECEAtravel.MECEAagreementsdonotallowyour
spouse,children,oranyotheraccompanyinggueststotravelwithyouattheexpense
oftheforeigngovernment.
76
Example.ApublicuniversityinGermanyinvitesaMembertoattend
atwo-weekseminaranddiscussionserieswithGermanleadersatthe
school. The trip falls under an approved MECEA agreement. The
MembermayacceptexpensesfortraveltoandfromGermanyandrelated
expensesfortheMember’stwo-weekstay.IftheMemberwouldliketo
bring afamilymember, the Member must do so atpersonal expense.
TheMembermustdisclosurethetripontheMember’sannualnancial
disclosurestatement.
Travel on Non-Commercial Aircraft
Generally, youmaynot travel on non-commercial aircraftunlessthe House
75
22U.S.C.§2458a.
76
Id.at(a)(1)(C).
Travel 125
Rulesallowit.
77
Travel on non-commercial aircraft is very strictly regulated, and very fact-
specic.Non-commercialaircraftincludescharteredaircraft,leasingservicessuchas
NetJets,andprivately-orcorporate-ownedaircraft.Additionally,candidatesforthe
Housemaybeevenmorelimitedintheirabilitytoaccepttravelonnon-commercial
aircraft.
78
Althoughwaystoaccepttravelonnon-commercialaircraftarediscussed
inthissection,wehighlyrecommendyoucalltheCommitteebeforeacceptingany
travelonnon-commercialaircraft.
Reimbursement for Travel on Non-Commercial Aircraft
HouseRule23,clause15governsreimbursementfortravelonnon-commercial
aircraft.Althoughthisruleallowsreimbursementincertaincircumstances,youmay
stillneedtocheckwiththeCommitteeonHouseAdministrationortheFECifyou
wouldliketousesomethingotherthanpersonalfundstoreimbursefortravelona
non-commercialaircraft.
UnderHouseRules,youmayreimbursefortravelonanon-commercialaircraft
when
79
• Theaircraftisoperatedbyanaircarrierorcommercialoperatorwithaproper
licensefrom a government(e.g., travelon a commercialairline orchartered
aircraft);
• TheightisofferedtotheMember,intheMember’spersonalcapacity,bya
personalfriendoranotherMember;
• Theaircraftisoperatedbyafederal,state,orlocalgovernment;
• TheaircraftisownedorleasedbyaMemberorafamilymember
80
ofaMember;
or
Includinganaircraftownedbyanentitythatisnotapubliccorporation
where the Member or the family member has an ownership interest,
providedthattheMemberdoesnotusetheaircraftanymorethanthe
Memberorfamilymember’sproportionateshareofownershipallows.
• Theowneroroperatoroftheaircraftispaidaproratashareofthefairmarket
valueofthenormalandusualcharterfareorrentalchargeforacomparable
77
HouseRule23,cl.15(a).
78
52U.S.C.§30114(c).
79
HouseRule23,cl.15(b).
80
“Family member” for purposes of this rule is dened as the Member’s spouse, parents,
children,siblings,andparents-in-law.HouseRule23,cl.15(d)(2).
126 HOUSEETHICSMANUAL
planeofcomparablesizeasdeterminedbydividingthecostbythenumberof
Members,Delegates,ortheResidentCommissioner,ofcers,oremployeesof
Congressontheight.
Forexample,ifanon-commercialaircraftightcost$25,000andonly
oneMemberisontheight,theMember’sproratashareoftheightis
$25,000,regardlessofthenumberofnon-congressionaltravelersonthe
plane.
Gifts of Travel on Non-Commercial Aircraft
Giftsoftravelonnon-commercialaircraftareconsideredgiftsundertheHouse
GiftRule.Therefore,youmayonlyaccepttravelonnon-commercialaircraftwithout
reimbursementifthegiftmeetsoneofthegiftexceptions(page36).
81
Acceptance of Travel Provided by a Relative. Youmayacceptgiftsfrom
yourrelatives.
82
IfyouareacandidatefortheHousetravelingforcampaignpurposes,
however,“relatives”meansonlythecandidateandthecandidate’simmediatefamily,
includingaspouse,parent,child,sibling,orparent-in-law.
83
Example. Yourfatherownsaprivateplaneandofferstheuseofthat
planeforcommutingbackandforthtothedistrict.Youmayacceptthe
ightsonthatprivateaircraftfromyourrelatives.
Acceptance of Travel Provided on the Basis of Personal Friendship.
Youmayaccepttravelonnon-commercialaircraftthatmeetstherequirementsfor
giftsbasedonpersonalfriendship.Additionalconsiderationsinclude
• As a general matter, the personal friendship provision only applies if the
aircraftisownedbytheindividual,anddoesnotapplytoaightonanaircraft
owned by a corporation orother entity, where the individual does nothave
accesstotheaircraftforpersonalpurposes.
81
HouseRule25,cl.5(a)(1)(A)(i).Impermissibletravelonnon-commercialaircrafthasbeenthe
subjectofCommitteeinvestigationsovertheyears.See Comm.onEthics,In the Matter of Allegations
Relating to Representative Don Young, H.R.Rep.113-487(2014)(improperpersonaluseofcampaign
fundsforandimpropergiftsoftravelonprivateaircraftforpersonaltravel);Comm.onStandardsof
OfcialConduct,Investigation of Travel on Corporate Aircraft Taken by Representative Dan Daniel,
H.R.Rep.99-470(1986)(improperacceptanceoftraveloncorporateaircraftforofcialtravel).The
Committeeissuedguidanceconcerningtravelonnon-commercialaircraftthatisincorporatedinthis
manual.Comm.onEthics,Non-Commercial Aircraft Travel(Apr.10,2019).
82
HouseRule25,clause5(a)(3)(C).
83
CandidatesfortheHouse,travelingascandidates,mayonlyaccepttravelonnon-commercial
aircraftif thataircraft isownedby thecandidateor thecandidate’simmediate family,includinga
spouse,parents,children,siblings,andparents-in-law.52U.S.C.§30114(c)(3)(B).
Travel 127
• TheCommitteemustformallyapprovegiftsbasedonpersonalfriendshipthat
exceed$250.Practicallyanyightonanon-commercialaircraftwillexceed
$250invalueandwillrequireCommitteeapproval.
84
• A ight may not be accepted on the basis of personal friendship when the
primarypurposeofthetripiseithertoconductHousebusinessorengagein
campaignactivity.
Example.Yourpersonalfriendownsaprivateplaneandasksyouto
accompanyheronvacation.Thetravelwilloccurbetweentwoairports
thathaveregularly-scheduledcommercialservice.Youmayacceptthe
ightontheprivateaircrafttogoonvacationwithyourpersonalfriend,
iftheCommitteeapproves.Becausethetravelwilloccurbetweentwo
airports with regularly-scheduled air service, the value of that ight
willbethecostoftherst-classticketbetweenthosetwoairports.If
thevalueofthatrst-classticketismorethan$250,youmustreceive
writtenpermissionfromtheCommittee.
Example. Your personal friend owns a private plane and asks you
toaccompanyhimonvacation.Althoughyoucouldgettothegeneral
locationofthevacationonregularly-scheduledairservice,theparticular
airportwhereyourfriendwilldepartdoesnothaveregularly-scheduled
airservicetothedestinationairport,eventhroughconnectingights.
Youmayaccepttheightontheprivateaircrafttogoonvacationwith
yourpersonalfriend,iftheCommitteeapprovestherequest.Unlikethe
exampleabove,thevalueofthisightwillbethefullcostofchartering
the same or similar aircraft for the ight. This is because the two
airportsdonothaveregularly-scheduledairservice.
Acceptance of Travel Provided by Another Member or Employee. You
mayaccept aight ona non-commercialaircraft fromanother Member,ofcer, or
employeeoftheU.S.HouseofRepresentativesorU.S.Senatethatisnotrelatedto
travelfor,oronbehalfof,acandidatefortheHouse.Remember,generallysuperiors
84
Thevalueofaightonanon-commercialaircraftistobedeterminedasfollows.When the
travel is via a previously or regularly-scheduled ight by the owner or operator of the aircraft,and
theairportsbetweenwhichtheMemberorstaffpersonisyinghaveregularly-scheduledairservice
(regardlessofwhethersuchserviceisdirect),thevalueoftheuseoftheaircraftisthecostofa rst-
class ticketfromtheairportofdeparturetotheairportofdestination.Ifonlythecoachratesare
providedbetweenthosepoints,thevalueisthecoachrate.Ifmorethanonerst-classrateisavailable,
thelowestfaremaybeused.However,nodiscountfaresmaybeusedforvaluationpurposes.
When the ight is scheduled specically for Member or staff person use, or wheneither the
airportoforiginordestinationdoesnothaveregularly-scheduledairservice,thevalueoftheuseofthe
aircraftisthefullcostofcharteringthesameorsimilaraircraftforthatight,dividedbythenumber
ofMembers,Delegates,ortheResidentCommissioner,ofcers,oremployeesofCongressontheight.
128 HOUSEETHICSMANUAL
maynotacceptgiftsfromtheiremployeesunlessthosegiftsareforspecialoccasions
suchasmarriage,retirement,birthofachild,birthdays,anniversaries,orholidays.
85
Example. A Member owns a private plane and would like to invite
otherMembersorstafftoyonthatplaneinordertoattendanofcial
meeting. Members and staff may accept gifts from other Members,
includingtravelonnon-commercialaircraftownedbytheotherMember
forofcialpurposes.
Example. Instead, the Member would like to invite other Members
orstaffto y onhisplane for personalpurposes. Members andstaff
mayalsoacceptgiftsfromotherMembersforpurelypersonalpurposes,
includingtravelonnon-commercialaircraft.
Example.AMemberownsaprivateplaneandoffersittoaSenator
togoonvacation,aslongastheSenatorpaysforthecostsassociated
withtheight.IftheSenatorwouldliketoaccepttheMember’soffer,
the Senator should contact the Senate Ethics Committee for further
guidance.Conversely,ifyouwouldliketoaccepttravelonaSenator’s
privateplane,pleasecontacttheCommitteeforfurtherguidance.
Acceptance of Travel Resulting from Outside Business,
Employment, or Other Activities. Youmayaccepttravelonanon-commercial
aircraftwhileparticipatingintravelresultingfromoutsidebusiness,employment,or
otheractivitiesiftwoconditionsaremet.
• The non-commercial aircraft was not provided or enhanced because of your
ofcialposition,and
• Suchtraveliscustomarilyprovidedtoothersinsimilarcircumstances.
86
Acceptance of Travel Paid for by Federal, State, or Local Governments.
Youmayacceptaightonanon-commercialaircraftthatispaidforbyafederal,
state,orlocalgovernmentalentity.
87
Example. The governor would like to y the state’s congressional
delegationtothestatetoviewanareaimpactedbyanaturaldisaster.
Thegovernorwouldprovidetransportationonastate-ownedplanefor
theMembers.Membersandstaffmayaccepttravelonanon-commercial
aircraftownedbyafederal,state,orlocalgovernment.
85
5U.S.C.§7351;HouseRule25,cl.5(a)(3)(F).
86
HouseRule25,cl.5(a)(3)(G).
87
HouseRule25,cl.5(a)(3)(O).
Travel 129
Acceptance of Travel Paid for by a Foreign Government. You may
acceptaightonanon-commercialaircraftthatispaidforbyaforeigngovernment
iftheightcomplieswiththerequirementsofeithertheForeignGiftsofDecorations
Act(FGDA)ortheMutualEducationalandCulturalExchangeAct(MECEA).The
requirementsofthosestatutes,includingthattravelpaidforundertheFGDAmust
take place totally outside the United States and be related to an ofcial purpose,
mustbemetforyoutoacceptthetravel.
Formoreinformation,seeTravelPaidforbyaForeignGovernment(page120).
Privately-Sponsored Travel. Members,ofcers,andemployeesparticipating
in privately-sponsored, ofcially-connected travel may not accept travel on a non-
commercial, private, or chartered ight unless the trip sponsor demonstrates
exceptionalcircumstancesinwriting.SeeAcceptableTravelExpenses(page101).
Acceptance of Travel under Committee’s Waiver Authority. Inspecial
circumstances,youmayasktheCommitteetoexerciseitswaiverauthoritytoallow
travelonprivateaircraft.
88
Youmustseekandreceivepermissionbeforetravelingon
theprivateaircraft.
89
Example. A natural disaster ravaged a Member’s district. Due to
the extent of the damage, commercial and chartered ights are not
available.TheMemberisinvitedtotravelonaprivateaircraft,forfree,
tosurveythedamagedareasofhisdistrict.Afterconsultationwiththe
Committee,itdoesnotappearthatanyexceptiontotheHousegiftrule
wouldapply.However,theMembermaywriteintotheCommitteeand
requestawaiver.BothHouseRule23,clause15(c)andHouseRule25,
clause5(a)(3)(T)allowtheCommitteetograntawaivertotheserulesin
unusualcircumstances.
Honest Leadership and Open Government Act Prohibitions
Acceptance of Travel for Campaign Activity. House candidates, and
those traveling on behalf of a House candidate, generally may not y on private
aircraft, whether reimbursed or not.
90
If you are not acting in your capacity as a
candidatefortheHouse,orinsupportofaHousecandidate,youmayaccepttravelon
anon-commercialaircraftifofferedbyapoliticalorganizationinconnectionwitha
fundraiserorcampaigneventsponsoredbythatpoliticalorganization.
91
The question
88
HouseRule23,cl.15(c).
89
Id.
90
See 52U.S.C.§30114(c);11C.F.R.§100.93.
91
HouseRule25,cl.5(a)(G)(iii).Althoughallowedbythegiftrule,HLOGAprohibitsMembers,
ofcers, and employees from accepting travel on a non-commercial aircraft paid for by a House
(con’t next page)
130 HOUSEETHICSMANUAL
oftravelonnon-commercialaircraftforacampaignpurposeisveryfact-specic,and
youshouldconsultwiththeCommitteeandtheFECbeforeacceptingtravel.
Example. A Member is traveling to a fundraiser for her re-election
campaign. One of her supportersoffers her travel onthesupporter’s
privateplanetothatfundraiser.TheMembermaynotaccepttravelon
thatprivateplane.Generally,candidatesfortheHousemaynotaccept
travel on private aircraft for campaign purposes. Please contact the
FECcongressionalliaisonsforadditionalinformationconcerningtravel
onprivateaircraftforcampaign-relatedpurposes.
Miscellaneous Considerations
Use of Government Rate
Asageneralmatter,youmayonlybookplanetickets,hotelrooms,rentalcars,
etc.,atthe“governmentrate”ifyouaretravelinginyourofcialcapacityandyour
travelisbeingpaidforwithHousefunds.
Youmaynotusethegovernmentrateifyouarepayingforyourtravelwith
personal or campaign funds. Additionally, if youare participating in a privately-
sponsored,ofcially-connectedtrip,thetripsponsormaynotbooktravelusingthe
governmentrate.
OnlyMembers,ofcers,andemployeesmayusethegovernmentratefortravel.
Forexample,Members’spousesandchildrenmaynotusethegovernmentrate.
Members may make multiple reservations for ofcial travel, using the
governmentrate,iftheairlineallows.
92
Youmay,however,acceptadiscountthatisofferedtoallgovernmentemployees,
orallfederalemployees,asawidely-availablebenet.
93
Frequent Flier Miles Earned Through Ofcial Travel
Please contact the Committee on House Administrationfor questionsabout
usingfrequentiermilesearnedthroughofcialtravel.
candidate’sprincipalcampaigncommitteeorleadershipPAC.See 11C.F.R.§100.93.
92
See Comm.onOfcialStandardsofConduct,Multiple Reservations on Commercial Flights
(Feb.21,2008).
93
HouseRule25,cl.5(a)(3)(R).
131
CAMPAIGN ACTIVITY
Overview
• HouseMembersandstaffengagingincampaignorpoliticalactivityaresubject
toawidevarietyoflaws,rules,andstandardsofconduct,including:
• The Federal Election Campaign Act, as amended (2 U.S.C. §§ 431-455)
(“FECA”),withregardtocampaignsforfederalofce;
• ProvisionsoftheRulesoftheHouseofRepresentatives,includingrulesthat
requirethatcampaignfundsbeusedonlyforcampaignorpoliticalpurposes,
and prohibit their use for either personal or ofcial House purposes, with
limitedexceptions;
• RulesoftheCommitteeonHouseAdministrationrequiringthatHousefunds
andofcialHouseresourcesbeusedforofcialHousepurposes,andprecluding
theiruseforcampaignorpoliticalpurposes;and
Other provisionsof the U.S. Code,including provisions of thecriminal code
thatconcern,amongotherthings,thesolicitationandreceiptofcontributions,and
abuseofone’sofceforpoliticalgain.
MembersorstaffwhoareseekingstateorlocalofcearenotsubjecttoFECA
inthatundertaking,buttheylikelyaresubjecttoacomparablesetofstatelawsand
rules.
Thischapteraddressesthelaws,rules,andstandardsonfourmajorsubjects
relatingtocampaignandpoliticalactivity,asfollows:
• ThegeneralprohibitionagainstusingofcialHouseresourcesforcampaignor
politicalpurposes;
• CampaignworkbyHouseemployees,whichmustbedoneontheirowntimeand
outsidethecongressionalofce,andwithouttheuseofanyHouseresources;
• The solicitation, receipt, and acceptance of campaign contributions, and the
generalprohibitionagainsttakingactionsinone’sofcialcapacityonthebasis
ofpoliticalconsiderations;and
• Theproperuseofcampaignfunds.
Four other, more specic subjects are addressed in the last section of this
chapter:(1)The rulesoncampaign letterhead,(2)the provisionsofthe Housegift
rule that apply to campaign or political activity, (3) Member involvement with
independentredistrictingfunds,and(4)provisionsofthefederalcriminalcodethat
applytocampaignorpoliticalactivity.
132 HOUSEETHICSMANUAL
WhileFECAestablishesanextensivesetofregulationsoncontributionsand
expendituresforcampaignsforfederalofces,thischapter,withoneexception,does
not address the provisions of FECA. FECA is enforced primarily by the Federal
ElectionCommission(“FEC”),andHouseMembersandtheircampaignstaffshould
referto the explanatorymaterials and advisoryopinions issuedbythe FEC. One
provisionofFECAthatthischapterdoesaddress,albeitbriey,isthatontheproper
useofcampaignfunds.Asnotedabove,theHouseRulesalsoincludeaprovisionon
thismatter,andthusthischapteraddressesthesimilaritiesanddifferencesbetween
theHouseruleandthestatute.
WithregardtotheapplicableprovisionsoftheHouserules,Membersandstaff
shouldbearinmindthatunderHouseRule23,clause2theyareobligatedtoadhere
to not only the letter, but also the spirit of those rules. This provision has been
interpreted to mean that Members and staff may not do indirectly what they are
barredfromdoingdirectly.Chapter1ongeneralethicalstandardsincludesfurther
discussiononthispoint.
WhileFECAandotherstatutesoncampaignactivityarenotrulesoftheHouse,
MembersandemployeesmustalsobearinmindthattheHouseRulesrequirethat
theyconductthemselves“atalltimesinamannerthatshallreectcreditablyonthe
House”(HouseRule23,clause1).Inaddition,theCodeofEthicsforGovernment
Service,whichappliestoHouseMembersandstaff,providesin¶2thatgovernment
ofcialsshould“[u]pholdtheConstitution,lawsandlegalregulationsoftheUnited
States and of all governments therein and never be a party to their evasion.”
Accordingly, in violating FECA or another provision of statutory law, a Member
oremployeemayalsoviolatetheseprovisionsoftheHouserulesandstandardsof
conduct.
1
In addition, acceptance of an unlawful campaign contribution may also
violatetheHousegiftrule(HouseRule25,clause5).
Moreover, under these rules, a Member or employee must take reasonable
stepstoensurethatanyoutsideorganizationoverwhichheorsheexercisescontrol
–includingtheindividual’sownauthorizedcampaigncommitteeor,forexample,a
“leadershipPAC”–operatesincompliancewithapplicablelaw.Dependingonthe
circumstances,consultationwithprivatecounselmaybenecessary.
1
Inthe105
th
Congress,aninvestigativesubcommitteeoftheStandardsCommitteeadopteda
StatementofAllegedViolationagainstaMemberchargingviolationsofthepredecessorofHouseRule
23,clause1,basedinpartontheallegationthatinhiscampaignfortheHouse,theMemberhad(1)
causedillegalin-kindcontributionstobemadetohiscampaignbyacorporationheowned,(2)received
andacceptedanillegalcontributionfromaforeignnational,and(3)receivedandacceptedanillegal
contribution from another corporation. TheMember hadpreviously pled guiltyin federalcourt to
criminalchargesthathadbeenbroughtagainsthimonthesematters.TheStandardsCommitteetook
nofurtheractioninthiscasebecauseasofthetimethattheinvestigativesubcommitteecompletedits
work,theMemberwasabouttodeparttheHouse.SeeHouseComm.onStandardsofOfcialConduct,
In the Matter of Rep. Jay Kim,H.Rep.105-797,105
th
Cong.,2dSess.(1998).
Campaign Activity 133
Inthisregard,inacasehandledbytheCommittee onStandards ofOfcial
Conductinthe104
th
Congress,aMemberadmittedtoaStatementofAllegedViolation
that charged a violation of the predecessor of House Rule 23, clause 1 (requiring
conductthatreectscreditablyontheHouse).Oneofthebasesofthatchargewas
thattheMemberhadfailedtoseekandfollowlegaladviceforthepurposeofensuring
thatcertainactivitiesheundertookthroughtax-exemptorganizationscompliedwith
provisions of the Internal Revenue Code governing such organizations, including
thosethatgenerallyprohibitsuchorganizationsfromengaginginpoliticalactivity.
TheHousesubsequentlyapprovedaCommitteerecommendationthattheMemberbe
reprimandedandrequiredtoreimbursetheHousethesumof$300,000.
2
General Prohibition Against Using Ofcial Resources for
Campaign or Political Purposes
Asdetailedbelow,ofcialresourcesoftheHousemust,asageneralrule,be
usedfortheperformanceofofcialbusinessoftheHouse,andhencethoseresources
maynotbeusedforcampaignorpoliticalpurposes.Thelawsandrulesreferenced
inthissectionreect“thebasicprinciplethatgovernmentfundsshouldnotbespent
tohelpincumbentsgainreelection.”
3
Whatarethe“ofcialresources”towhichthisbasicruleapplies?Certainly
thefundsappropriatedforMember,committee,andotherHouseofcesareofcial
resources,asarethegoodsandservicespurchasedwiththosefunds.Accordingly,
among the resources that generally may not be used for campaign or political
purposes are congressional ofce equipment (including the computers, telephones,
andfaxmachines),ofcesupplies(includingofcialstationeryandenvelopes),and
congressionalstafftime.
Among the specic activities that clearly may not be undertaken in a
congressional ofceor using House resources(including ofcial staff time)arethe
solicitation of contributions; the drafting of campaign speeches, statements, press
releasesorliterature; thecompletionofFECreports; thecreationorissuanceof a
campaignmailing;andtheholdingofameetingoncampaignbusiness.Thesame
prohibitionappliestoanyactivitythatisfundedtoanyextentwithcampaignfunds,
eveniftheactivityisnotovertlypoliticalinnature.Thelatterpointisaddressed
furtherbelowundertheheadings“UseforBonaFideCampaignorPoliticalPurposes”
2
HouseSelectComm.on Ethics,In the Matter of Rep. Newt Gingrich,H.Rep. 105-1,105
th
Cong.,1
st
Sess.7-8(1997).See alsoHouseComm.onStandardsofOfcialConduct,In the Matter of
Rep. George V. Hansen,H.Rep.98-891,98
th
Cong.,2dSess.,3(1989)(Toestablishthedefensethata
Memberjustiablyreliedonthelegaladviceofcounsel,theMembermustshowthattheadvicehad
been“soughtingoodfaith,allmaterialfactsmust[havebeen]giventotheattorneyandtheperson
seekingadvicemustthenfollowtheadvicegiven.”).
3
Common Cause v. Bolger,574F.Supp.672,683(D.D.C.1982),aff’d,461U.S.911(1983).
134 HOUSEETHICSMANUAL
and“UseofCampaignFundsorResourcesforOfcialHousePurposes.”
The misuseofthefundsandotherresourcesthattheHouseofRepresentatives
entruststoMembersfortheconductofofcialHousebusinessisaveryseriousmatter.
Dependingon thecircumstances, suchconductmay resultin notonly disciplinary
action by the House, but also criminal prosecution. Moreover, while any House
employeewhomakesimproperuseofHouseresourcesissubjecttodisciplinaryaction
by the Standards Committee, each Member should be aware that he or she may
beheldresponsibleforany improperuseofresourcesthatoccursintheMember’s
ofce.TheStandardsCommitteehaslongtakenthepositionthateachMemberis
responsibleforassuringthattheMember’semployeesareawareofandadheretothe
rules,andforassuringthatHouseresourcesareusedforproperpurposes.
4
Speciclawsandrulesthatprohibittheuseofofcialresourcesforcampaign
or political purposes aresummarized in the remainder of this section. The effect
oftheselawsandrulesisgenerallytoprecludecampaignorpoliticalactivityfrom
takingplaceincongressionalofces.However,theStandardsCommitteehaslong
recognized that there are certain limited activities in a congressional ofce that,
whilerelatedtoaMember’scampaign,arepermissible.Thoseactivitiesaredescribed
inthissection.
Members and staff should be aware that the general prohibition against
campaign or political use of ofcial resources applies not only to any Member
campaignforre-election,butrathertoanycampaignorpoliticalundertaking.Thus
theprohibitionappliesto,forexample,campaignsforthePresidency,theU.S.Senate,
or a stateorlocalofce,anditappliestosuchcampaignswhethertheMemberisa
candidateorismerelyseekingtosupportorassist(oroppose)acandidateinsucha
campaign.
Example 1.AMemberwishestoissueapressreleaseannouncingthat
heisendorsingacandidateforPresident.TheMembermaynotissue
thereleaseoutofhisHouseofceoruseanyHouseresources(including
his ofcial press release letterhead) in making the announcement.
Likewise, a Member may not refer to or discuss his endorsement in
letterssentonofcialstationery,includingletterssentinresponseto
constituentinquiries.
Asnotedbelow,manyoftheapplicablerulesherearestatutorilybasedrules
4
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. E.G. “Bud” Shuster,
H. Rep. 106-979, 106
th
Cong., 2d Sess. 31 (2000); House Comm. on Standards of Ofcial Conduct,
Statement Regarding Complaints Against Rep. Newt Gingrich,101
st
Cong.,2dSess.60,165-66(1990);
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. Austin J. Murphy,H.Rep.100-
485,100
th
Cong.,1
st
Sess.4(1987).
Campaign Activity 135
that were issued by either the Committee on House Administration or the House
FrankingCommission(formallyknownastheHouseCommissiononCongressional
Mailing Standards). Denitive explanation of those rules is available from the
CommitteeonHouseAdministration,theFrankingCommission,andtheirstaffs.
Laws and Rules on Proper Use of Ofcial Resources
Goods and Services Paid for With the Members’ Representational
Allowance or House Committee Funds.AllexpendituresbyaMemberfromhisor
herMembers’RepresentationalAllowance(“MRA”)–includingexpendituresforstaff,
travel,andcommunications–mustcomplywithregulationsissuedbytheCommittee
onHouseAdministration.ThoseregulationsaresetforthintheMembers’ Handbook
issuedbythatCommittee.TheHandbook providesthat“[o]nlyexpensestheprimary
purposeofwhich[is]ofcialandrepresentational”arereimbursablefromtheMRA,
andthattheMRAmaynotpayforcampaignexpensesorpoliticalexpenses(orany
personalexpenses).
Similarly,allHousecommittees,inspendingtheirofcialfunds,mustcomply
withtheregulationssetforthintheCommittees’ HandbookissuedbytheCommittee
onHouseAdministration.
5
The Committees’ Handbookprovidesthatonlyexpenses
“theprimarypurposeofwhich[is]ofcial”arereimbursablefromtheofcialfunds
provided to a committee, and that committee funds may not be used to pay any
“politicalorcampaign-relatedexpenses”(oranypersonalexpenses).Theregulations
governingcommitteeexpendituresaswellasthosegoverningMemberexpenditures
derive in large part from both 31 U.S.C. § 1301(a), which provides that ofcial
fundsaretobeusedonlyforthepurposesforwhichappropriated,andthestatutory
authorizationsfortheallowances.
6
Asdetailedbelow,itispermissibleforHouseemployeestodocampaignwork,
butonlyoutsideofcongressionalspace,withouttheuseofanyHouseresources,and
ontheirowntime(asopposedto“ofcial”timeforwhichtheyarecompensatedbythe
House).Accordingly,anyHouseemployeewhodoescampaignworkmustensurethat
thework–includinganytelephoneconversationsorothercommunicationsconcerning
campaignbusiness–isperformedstrictlyincompliancewiththeselimitations.
AprovisionoftheMembers’ Handbook permitstheincidentalpersonaluseof
Houseequipmentandsupplies“whensuchuseisnegligibleinnature,frequency,time
5
See Comm. on House Admin., U.S. House of Representatives, Members’ Congressional
Handbook(hereinafter“Members’ Handbook”)andCommittees’ Congressional Handbook (hereinafter
“Committee’s Handbook”). BothpublicationsareavailableontheCommitteeonHouseAdministration
website.
6
See, e.g., 2U.S.C.§57b,andPrinciples of Federal Appropriations Law(3ded.),issuedbythe
U.S.GeneralAccountabilityOfce.
136 HOUSEETHICSMANUAL
consumed,andexpense.” However,thispolicyappliesonlytoincidentalpersonal
useofthoseresources,andnottotheiruseforcampaignorpoliticalpurposes.
The rulesonproperuseofofcialHousefundsandresourceswereimplicated
in a case handled by the Standards Committee in the 104
th
Congress. That case,
whichwasinitiatedbyacomplaintledwiththeCommittee,concernedaMember’s
useofhisofcefaxmachineandofcialletterheadtosendoutapressreleasethat
severelycriticizedtherecordofaprospectivecampaignopponentonMedicareissues.
The Committee resolved that case by sending that Member a letter – which the
Committeereleasedpublicly–stating(1)itsndingthattheMemberhad,inissuing
thatrelease,violatedapplicablerulesandregulationsontheuseofofcialresources,
and(2)theCommittee’sexpectationthathewouldcomplywithapplicablerulesin
thefuture.
7
Moreover, Members must regularly certify that all ofcial funds have been
properlyspent.Afalsecerticationmaybringcriminalpenalties,andthegovernment
may recover any amount improperly paid.
8
Misuse of ofcial House resources for
campaignpurposesmayviolateothercriminallawsaswell.Forexample,in1993
aformerHouseemployeepleadedguiltytoachargeoftheftofgovernmentproperty
forreceivingaHousesalaryandexpensesfortimewhen,despitehisclaimthathe
wasconductingofcialbusiness,hewasinfactdoingcampaignwork.
9
Inaddition,
in 1979 a former Member pleaded guiltyto charges of mail fraud and income tax
evasion based on claims that persons on his congressional payroll were paid not
fortheperformanceofofcialduties,butinsteadforstafngandoperatingvarious
campaignheadquartersinhisre-electioncampaign.
10
7
House Comm. on Standards of Ofcial Conduct, Summary of Activities, One Hundred
Fourth Congress,H.Rep.104-886,104
th
Cong.,2dSess.22(1997).ThematterofuseofHousestaff
to performcampaignworkfortheemployingMemberwasatissueinanotherdisciplinarycasebefore
theStandardsCommitteeinthe104
th
Congress.Inthatcase,aninvestigativesubcommitteeadopted
aStatementof AllegedViolation againstaMember,onecount ofwhichallegedamisuseofofcial
resources on the basis that congressional employees of the Member regularly performed work for
theMember’s campaign while on ofcial time. The campaign work, someof which was performed
in the congressional ofce, included collecting and depositing campaign checks and maintaining
campaignnancialrecords.Nofurtheractionwastakeninthecase,however,becauseasofthetime
theinvestigativesubcommitteecompleteditswork,theMemberwasabouttodeparttheHouse.In the
Matter of Rep. Barbara-Rose Collins,H.Rep.104-876,104
th
Cong.,2dSess.(1997).
8
Federallaw(18U.S.C.§1001)providesacriminalpenaltyforsubmittingafalsestatement
tothegovernment;theFalseClaimsAct,31U.S.C.§§3729-3731,permitsassessmentofapenaltyof
uptothreetimestheamountwronglyclaimed.Forfurtherinformationonthismatter,seeChapter9
(onfalseclaimsandfraud).
9
United States v. Bresnahan,Crim.No.93-0409(D.D.C.1993);seeSenateComm.onRules
andAdministration,Senate Election Law Guidebook 2006,S.Doc.109-10,109
th
Cong.,1
st
Sess.266.
10
United States v. Clark,Crim.No.78-207(W.D.Pa.1978);seeS.Doc.109-10,supranote9,
at265-66.
Campaign Activity 137
House Buildings, and House Rooms and Ofces.TheHousebuildings,
andHouseroomsandofces–includingdistrictofces–aresupportedwithofcial
fundsandhenceareconsideredofcialresources.Accordingly,asageneralrule,they
maynotbeusedfortheconductofcampaignorpoliticalactivities.
Thus, forexample, a Member may not lma campaign commercial or have
campaign photos taken in a congressional ofce. For rules on lming andtaking
ofphotosongroundsneartheCapitol,theofceoftheSergeantatArmsshouldbe
contacted.
In addition, House rooms and ofces are not to be used for events that are
campaignorpoliticalinnature,suchasameetingoncampaignstrategy,orareception
forcampaigncontributors.
11
However,underlong-standingCommitteepolicy,whena
Memberisswornin,theMembermayholda“swearing-in”receptioninaHouseofce
buildingthatis paid for withcampaign funds.
12
A criminal statute thatprohibits
thesolicitationof campaigncontributionsinany Housebuilding,room,or ofceis
discussedbelowinthischapter,inthesectiononsolicitationofcontributions.
Coverage of House Floor and Committee Proceedings. Broadcast
coverageandrecordingsofHouseoorproceedingsmaynotbeusedforanypolitical
purpose under House Rule 5, clause 2(c)(1). In addition, under House Rule 11,
clause4(b),radioandtelevisiontapesandlmofanycoverageofHousecommittee
proceedingsmaynotbeused,ormadeavailableforuse,aspartisanpoliticalcampaign
materialtopromoteoropposethecandidacyofanypersonforpublicofce.
Internal Ofce Files.Asdiscussedbelow,acongressionalofcemayprovide
campaignpersonnelwithcopiesofitspressreleasesandothermaterialsthatwere
distributed publicly. However, the internal ofce les, such as research les on
legislation,maynotbeusedforcampaignorpoliticalpurposes.
Example 2. A Member’s campaign wishes to make commercials
featuring testimonialsbyindividuals whom the ofce has assisted on
casework matters. The ofce casework les may not be reviewed to
obtainnamesofindividualswhomtheofcehasassisted.Likewise,the
11
TheSpeaker’sofcehasissuedasetofrulesforuseofthemeetingroomsundertheSpeaker’s
jurisdiction,andthoserulesprohibituseofthoseroomsfor,amongotherthings,politicalpurposes.In
addition,asnotedinthetext,aprovisionofthecriminalcode,18U.S.C.§607generallyprohibitsthe
solicitationorreceiptofcampaigncontributionsinfederalofces,includingtheHouseofcebuildings
anddistrictofces,inconnectionwithafederal,state,orlocalelection.
12
Inaddition,thereareeventsthat,whilenotcampaignorpoliticalevents,mayproperlybe
paidforwithcampaignfunds(e.g.,areceptionforvisitingconstituents).Aneventofthisnaturemay
beheldinaHousebuilding,eventhoughitispaidforwithcampaignfunds.Thisandothermatters
arediscussedlaterinthischapter.
138 HOUSEETHICSMANUAL
ofcelesmaynotbereviewedtoobtainnamesofindividualstosolicit
forcampaigncontributions.
Ofcial Mailing Lists. The Members’ Handbookissued by theCommittee
onHouseAdministrationprovidesthatofcialfundsmaybeusedtopurchaseand
producemailinglists,providedthat,amongotherthings,“thelistdoesnotcontain
any campaign, campaign related, or political party information.” The Handbook
furtherprovidesthataMembermaynotuseofcialfundstopurchasemailinglists
from the Member’s campaign “unless the lists are available on the same terms to
otherentitiesthroughanarmslengthmarketplacetransaction.”(Notethatsubject
tothe sameconditions,a Memberalso hasthe optionofpurchasing amailing list
fromhisorhercampaignwithpersonalfundsandthenmakingthatlistavailablefor
usebythecongressionalofce.)
The Members’ Handbook also provides that, “[o]fcial mailing lists may not
be shared with a Member’s campaign committee, any other campaign entity, or
otherwisebeusedforcampaignpurposes.”
Letters, News Releases, Other Printed Materials, and E-mails.Under
regulationsissuedbytheCommitteeonHouseAdministration,neitheraletternor
any other kind of document (including a news release) may be printed on ofcial
House stationery unless the content of the document complies with the Franking
Regulations.HouseAdministrationCommitteeregulationsfurtherprovidethatany
advertisement paid for by a congressional ofce, as well as any printed materials
producedbyanofce,mustbefrankableincontent.E-mailssentbyacongressional
ofcemustlikewisecomplywiththeFrankingRegulations.
TheFrankingRegulationsareissuedbytheHouseFrankingCommission,and
theygovernuseofthefrankunder39U.S.C.§3210andrelatedstatutes.
13
Statutory
lawprovidesthatitisCongress’intentthatthefranknotbeusedfor,amongother
things,
mailmatterwhichspecicallysolicitspoliticalsupportforthesenderor
anyotherpersonoranypoliticalparty,oravoteornancialassistance
foranycandidateforanypoliticalofce.[39U.S.C.§3210(a)(5)(C).]
TheFrankingRegulationselaborateonthisprovisionbyprohibiting,among
otherthings,“specicreferencestopastorfuturecampaignsorelections,including
electionorre-electionannouncementsandschedulesofcampaignrelatedevents,”the
13
The regulations themselves are set out in a publication of the Franking Commission,
Regulations on the Use of the Congressional Frank by Members of the House of Representatives,the
currentissueofwhichisdatedJune1998.TheregulationsarealsoavailableontheCommitteeon
HouseAdministration’swebsite.
Campaign Activity 139
useofmaterials“usedincampaignliteratureaswellas speciccampaignpledges
orpromises,”and“excessiveuseofpartylabels.”TheFrankingRegulationsfurther
providethatwhenaMembersubmitsasampleofamassmailingtotheFranking
Commission foranadvisory opinion on frankability, theofcemust also submit a
signedFranking CerticationForm thatrepresentsthat themailing doesnot and
willnot–
contain any logo, masthead design, slogan, or photograph which is a
facsimileofanymattercontainedintheMember’scampaignliterature.
AnyquestionsontheFrankingRegulationsshouldbedirectedtothestaffof
theFrankingCommission.
While the Franking Regulations prohibit congressional ofces from sending
letters or issuing press releases that are campaign or political in nature, the
StandardsCommitteeunderstandsthattheRegulationsdonotnecessarilypreclude
congressionalofcesfromissuingstatementsonlegislative issuesthatareraised
inthecourseofacampaign.Providedthatsuchstatementsareconnedtodiscussion
oflegislativeissues,theymaysatisfytheFrankingRegulations,andhencemaybe
draftedbycongressionalstaffusingtheinternalofcelesandotherofcialresources.
However, before commencing work on any such statement, a congressional ofce
shouldconsultwithFrankingCommissionstafftoensurethattheplannedstatement
willcomplywiththeRegulations.
The 90-Day Ban on Unsolicited Mass Communications.Understatutory
lawandCommittee on HouseAdministration regulations, aMemberis prohibited
fromspendingofcialfundstomakeanyunsolicitedmasscommunicationwithin90
daysofanyelectioninwhichtheMember’snameisontheballot.
14
Theregulations
dene “unsolicited mass communication” as “any unsolicited communication of
substantiallyidenticalcontentto500ormorepersonsinasessionofCongress.”
The ofcial expenditures that are subject to the prohibition include those
for mass mailings, advertisements, certain electronic messages and mailings, and
theproductionanddistribution ofvideoandaudioservices. Onthe otherhand,a
Member’sdirectresponsetoanindividualcommunication,suchasanincomingletter
initiatedbyaconstituent,isnotanunsolicitedcommunicationinthattheconstituent
issolicitingtheMember’sresponse.Sucharesponseisthereforenotsubjecttothe
prohibition,evenifthetotalnumberofindividualresponsesis500ormore.
Inaddition,accordingtotheMembers’ Handbook, Houseofcesmayconsider
14
Statutorylaw(39U.S.C.§3210(a)(6))appliesthebantomassmailings,andtheregulations
extendthebantootherformsofcommunication.
140 HOUSEETHICSMANUAL
anindividualwhosubscribedtoaMember’selectroniccommunicationornewsletter
to be a “soliciting” a response by the ofce. As a result, a communication to that
individual wouldnotbe subject to the 90-day communications banthatapplies to
unsolicitedcommunications.AlthoughthereisnorequirementthataMemberseek
anadvisoryopinionfromtheFrankingCommissionbeforetransmittinganelectronic
communicationornewsletter,thecontentofthecommunicationissubjecttoFranking
regulations.Questionsrelatingtoelectronicmessagesandmailingscommunications
should be directed to the Committee on House Administration and Franking, as
appropriate.
Notethatthebanappliestocommunicationspaidforwithofcialfunds.Thus
thebandoesnotprohibitaMemberwhoiswithinthe90-day“cut-off”from,forexample,
acceptingtheinvitationofacharitableorganizationtotapeabonadepublicservice
announcementusingfacilities provided by theorganization. Inaddition,at times
aMemberisaskedtoappearatandlendhisorhernametoaneventofanoutside
organization(seeChapter10onofcialandoutsideorganizations).Materialsthat
theorganizationtypicallyprintsorpublishesregardingsuchaneventwouldnotbe
subjecttotheban.
Questionsontheapplicabilityofthebantocommunicationsproposedtobemade
usingofcialfundsshouldbedirectedtotheCommitteeonHouseAdministration.
However,occasionallyquestionshavearisenonwhetheraMemberwhoisinhisor
hercut-off period canmake amass communicationthatis ofcialin natureusing
nonofcialresources(forexample,theservicesofastateorlocalgovernmententity).
Questions of that nature are within the jurisdiction of the Standards Committee,
andtheCommitteehastakenthepositionthatsuchan undertakingwould notbe
permissibleinthatitwouldbeinconsistentwiththespiritofthebanonunsolicited
masscommunications.
Member and Committee Websites.UnderrulesissuedbytheCommittee
onHouseAdministrationsetforthintheMembers’ HandbookandtheCommittees’
Handbook,MemberandCommitteewebsites–
• Maynotincludepersonal,political,orcampaigninformation;and
• May not be directly linked or refer to websites created or operated by a
campaign or any campaign-related entity, including political parties and
campaigncommittees.
Further information on the rules governing Member and Committee websites is
availablefromtheCommitteeonHouseAdministration.
AstoMembercampaignwebsites,theStandardsCommitteehasadvisedthat–
Campaign Activity 141
• SuchasitemaynotincludealinktotheMember’sHousewebsite;and
• TheMember’sHousewebsitemaynotbeadvertisedonhisorhercampaign
websiteorinmaterialsissuedbythecampaign.
Thismatterisalsoaddressedattheendofthischapter.
Travel. Member and staff travel, including to one’s district, may be paid
withofcialfundsonlyiftheprimary purposeofthetripistheconductofofcial
business.Asageneralmatter,aMemberorstaffperson,whileonofcialtravel,
mayengageinincidentalcampaignorpoliticalactivity,providedthatnoadditional
travelexpensesareincurredasaresult.However,whentheprimarypurposeofa
tripisinfacttheconductofcampaignorpoliticalactivity,thenthetravelexpenses
mustbepaidwithcampaignfundsandcannotbepaidwithofcialfunds.
15
The Members’ Handbook and the Committees’ Handbook issued by the
CommitteeonHouseAdministrationincludeprovisionsoncampaignactivityinthe
course oftravel paid for withHousefunds. Thus whena Member or staff person
wishestoengageinanysuchactivityinthecourseofanofcialtrip,heorsheshould
rstreviewthesectionoftheappropriateHandbookontravelandconsultwiththe
CommitteeonHouseAdministrationstaffasnecessary.
Redistricting.Prior to May2001,both the StandardsCommitteeand the
CommitteeonHouseAdministrationhadtakenthepositionthattheuseofHouse
resources for redistricting purposes was absolutely prohibited. That policy was
based on the view that redistricting is an inherently political activity. However,
inajointDearColleague letterofMay 24,2001,the twocommitteesadvisedthat
Houseresourcesmaybeusedforredistricting-relatedactivities–suchasresponding
to constituent inquiries, and Member meetings and briengs – that are merely
incidentaltoeachday’sofcialbusiness,andthatareminimalinnature,frequency,
timeconsumed,anduseofresources.AcopyofthatjointDearColleagueletteris
reprintedintheappendicestothisManual.
The matter of Member involvement with independent redistricting funds is
discussedattheendofthischapter.
15
Inthe104
th
CongressaninvestigativesubcommitteeoftheStandardsCommitteeadopted
aStatementof AllegedViolation againstaMember,onecount ofwhichallegedamisuseofofcial
resourcesonthebasisthatofcialfundshadbeenusedtopaytravelexpensesofastaffmemberfor
atriptheprimarypurposeofwhichwastoattendacampaignfundraisingeventfortheMember.No
furtheractionwastakeninthecase,however,becauseasofthetimetheinvestigativesubcommittee
completeditswork,theMemberwasabouttodeparttheHouse.SeeH.Rep.104-876,supranote7.
142 HOUSEETHICSMANUAL
Limited Campaign-Related Activities That May Take Place in a
Congressional Ofce
Thepurposeandeffectofthelawsandrulesenumeratedabovearegenerally
toprecludecampaignorpoliticalactivityfromtakingplaceinacongressionalofce.
However, the Standards Committee has recognized that there are certain limited
activities that, while related to a Member’s campaign, mayproperlytakeplace in
acongressionalofce.TheCommittee’sviewhasbeenthatitwouldbeimpractical
andunnecessarytoattempttoprohibitthesespecicactivities.Inthisregard,the
Committeehaslongadvisedthatthefollowingactivitiesarepermissible:
Coordination of the Member’s Schedule.Theindividualinthecongressional
ofcewhohandlestheMember’sschedulemaycoordinatewiththoseinthecampaign
ofce who schedule the Member’s campaign appearances. Obviously, a Member
canbeinonlyoneplaceatanyonetime,andthusitisnecessaryforschedulersto
communicate.Thecongressionalofceschedulermayalsomaintainanintegrated
schedule that reects the Member’s political as well as ofcial activities, but that
scheduleisfortheinternaluseoftheMemberandstaffonly.
Whilecoordinationbetweenschedulersispermissible,asageneralmatter,the
congressionalofceschedulershouldnotmaketravelarrangementsfortheMember’s
campaigntripseitherinthecongressionalofceorwhileonofcialtime.However,
amemberofthecongressionalstaffwhowishestoperformthosedutiesmaydoso
onhisorherowntimeandoutsideofcongressionalspace,suchasattheofceofone
ofthecongressionalcampaigncommittees.ThematterofcampaignworkbyHouse
employeesontheirowntimeandoutsideofcongressionalofcespaceisdiscussedin
detailbelow.
The Press Secretary. The presssecretary inthe congressionalofce may
answer occasional questions on political matters, and may also respond to such
questionsthataremerelyincidentaltoaninterviewfocusedontheMember’sofcial
activities. However, while in the congressional ofce, the press secretary should
notgiveaninterviewthatissubstantiallydevotedtothecampaign,orinitiateany
callthatiscampaign-related.Apresssecretarywishingtodoeitherofthosethings
shoulddosooutsideofthecongressionalofce,andonhisorherowntime(seebelow).
Example 3.Inthecourseofalengthyinterviewinthecongressional
ofceonhowtheMemberplanstovoteonacontroversialissuecoming
beforetheHouse,areporterasksthepresssecretaryhowtheMember
perceivesthathervotewillaffectherupcomingre-election.Thepress
secretarymayanswerthequestion.However,ifthereportercontinues
toaskquestionsonthecampaign,thepresssecretaryshouldterminate
theinterview.Ifthepresssecretarywishestodoso,shemayresume
Campaign Activity 143
theinterviewoutsideofcongressionalspace(suchasattheofceofone
ofthecongressionalcampaigncommittees)andonherowntime.
Campaign/Congressional Ofce Referrals.Thecongressionalofcemay
refertothecampaignofcelettersandothercommunicationsandinquiriesthatit
receivesconcerning thecampaign. Likewise, thecampaign ofcemay referto the
congressionalofceanyofciallyrelatedmattersthatitreceives.
Example 4. A congressional ofce receives a call from a constituent
whowishestodovolunteerworkfortheMember’scampaign.Thestaff
person may provide the constituent with the address and telephone
numberofthecampaignheadquarters.
Allsuchreferralsshouldbedoneattheexpenseofthecampaign,includingthe
costofanylong-distancetelephonecalls.Itmaybedesirableforthecongressional
ofcetohaveasupplyofcampaignenvelopesandstampsforuseinreferringwritten
materials.Thosestampsandenvelopescanalsobeusedtosendtothecampaignany
unsolicitedcampaigncontributionsthatarereceivedinthecongressionalofce(see
discussionbelowon“NoSolicitationinHouseOfces,Rooms,orBuildings”).
Providing Published Materials to the Campaign.Acongressionalofce
mayprovideacampaignofcewithacopyofanymaterialsthatthecongressionalofce
hasissuedpublicly,suchaspressreleases,speeches,andnewsletters.Instatingthat
suchactivityispermissible,theStandardsCommitteeassumesthatonlyaminimal
amount of congressional staff time will be consumed in responding to campaign
requestsformaterialsofthisnature.However,innoeventshouldthecongressional
ofceprovidethecampaignwithaquantityofanysuchitemfordistributionbythe
campaign.
Example 5.InthepastyeartheMemberhasbeenveryactiveonthe
gunissue.Thecampaignwishestoissueabrochureontheissue,and
a campaign worker asks the congressional ofce for a copy of all the
statementsandreleasestheMemberissuedonguns.Thecongressional
ofcemayprovideonecopyoftherequestedmaterialtothecampaign.
Othermaterialsinthecongressionalofceles–including,forexample,back-
upmemorandaonissues–arenottobesharedwiththecampaignorotherwiseused
for campaign purposes. Those materials are to be used for ofcial purposes only.
Congressional staff membersshould not do research on behalf of the campaignor
write campaign speeches or other materials while on ofcialtime or usingofcial
resources.
A separate question that arises at times is whether a Member’s campaign,
144 HOUSEETHICSMANUAL
having received a copy of an item that the congressional ofce issued publicly –
such as a press release or Congressional Record statement – may then reproduce
anddistributethatitematcampaignexpense.TheStandardsCommitteeaddressed
thismatterinitsAdvisory Opinion No. 6,whichwasissuedonSeptember14,1982,
andisreprintedinupdatedformintheappendices.AMember’scampaignisfree
toreproduceanddistribute,forcampaignpurposes,materialsthatwereoriginally
preparedbythe congressionalofce,provided thatthe following requirementsare
satised:
• Thematerialswerepreparedbythecongressionalofceforabonadeofcial
purpose,andtheofcialuseofthematerialshasbeenexhausted;
• Alltheexpensesassociated withreproducinganddistributingthe materials
arepaidfromcampaignfunds;and
• Thematerialsthemselvesorthecontextinwhichtheyarepresentedclearly
establishes their campaign or political purposes and hence their nonofcial
use, so that there is no appearance that private funds are supplementing
ofcialallowances.
Inreproducingsuchmaterials,thecampaignmustremoveallofcialindicia,
suchastheofcialletterheadfromapressreleasethatthecongressionalofcehad
issued,andanyreferencestotheaddressortelephonenumberofthecongressional
ofce. Thename of any congressional staff contactthatappeared in the material
asissuedoriginallymustalsobedeleted. Subjecttothesamerequirements,such
materialsmayalsobepostedontheMember’scampaignwebsite.
Aquestionmayariseastowhentheofcialuseofanitemhasbeen“exhausted”
asthattermisusedhere.Asageneralmatter,theofcialuseofthenormalpress
release is exhausted once it has been disseminated and the media have had an
opportunitytoutilizeitscontents.Thususuallyacampaignwillbeabletoreproduce
the contents of congressional ofce press releases a few days after their original
issuance,providedthattheotherrequirementssetforthabovearesatised.Onthe
otherhand,whenacongressionalofcepostsastatementsettingouttheMember’s
viewsonthemajorissuesonitsofcialwebsite,theMember’scampaignisnotfree
toreproducethatstatementsolongasitremainsontheofcialwebsite.Solongas
astatementofthatnatureremainspostedontheofcialsite,itsofcialuseisnot
exhausted.
Responding to Questionnaires on Legislative Issues. Congressional
ofcesfrequentlyreceivequestionnairesfromoutsideorganizations,andoftenthose
organizationsusetheresponsestothequestionnairesindecidingwhethertoendorse
the Member for re-election. When a questionnaire is limited to legislative issues
andthe contentof theresponsewould complywith theFranking Regulations,the
Campaign Activity 145
response may be prepared by congressional staff on ofcial time. Otherwise, the
responseshouldbepreparedbycampaignstaff.
Nonpartisan Voter Registration Materials. A Member may make
nonpartisan voter registration information available in a congressional ofce, but
may not actually register people to vote there. In addition, the franking statute
(39U.S.C.§3210(a)(3)(H))providesthatnonpartisanvotingregistrationorelection
informationisfrankable.
Except as outlined above, the Standards Committee expects Members to
enforcethegeneralrulethatanycampaign-relatedactivitiesdonebystaffmembers
willbedoneontheirowntime,outsideofcongressionalspace,andwithouttheuseof
anyofcialHouseresources.
Campaign Work by House Employees Outside the Congressional
Ofce and on Their Own Time
Once House employees have completed their ofcial duties, they arefreeto
engagein campaign activitieson theirown time,asvolunteers orfor pay,as long
as they do not do so in congressional ofces or facilities, or otherwise use ofcial
resources.Executivebranchpersonnelaresubjecttorestrictionsonpartisanpolitical
activitybytheHatchAct(5U.S.C.§7321et seq.),butthoserestrictionsdonotapply
tocongressionalemployees.
16
It should be stressed that although House employees are free to engage in
campaignactivitiesontheirowntime,innoeventmayaMemberorofcecompel
aHouseemployeetodocampaignwork.Todosowouldresultinanimpermissible
ofcialsubsidyoftheMember’scampaign.
17
Theprohibitionagainstcoercingstaff
orrequiringstaffmemberstodocampaignworkisquitebroad.ItforbidsMembers
and senior staff from not only threatening or attempting to intimidate employees
regarding doing campaign work, but also from directing or otherwise pressuring
themtodosuchwork.
What Is an Employee’s “Own Time”?
Whatconstitutesastaffmember’s“owntime”isdeterminedbythepersonnel
policiesthatareinplace intheemploying ofce.Time thatisavailable toastaff
16
Therestrictionsonexecutivebranchpersonnelwereconsiderablyeasedina1993enactment,
theHatchActReformAmendment,Pub.L.103-94,107Stat.1001(1993).
17
Dependingonthecircumstances,compellingaHouseemployeetodocampaignworkmay
alsoviolateaprovisionofthefederalcriminalcode,18U.S.C.§606.Thatstatutecoversintimidation
tosecurenotonlymonetarycontributionsforapoliticalpurpose,butanythingofvalue,apparently
includingservices.
146 HOUSEETHICSMANUAL
member,underthosepolicies,toengageinpersonalorotheroutsideactivitiesmay
insteadbe usedto docampaignwork, ifthe individualso chooses. Thisfree time
may include, for example, a lunch period, time after the end of the business day,
andannualleave.However,aMembermaynotadjusttheworkrequirementsofthe
congressionalofce,oraddunpaidinternsduringthecampaign,inordertocreate
more“free”timeforstafftodocampaignwork.Tohelpensurecompliancewiththe
rules,ofcepoliciesonemployeeleaveandotherfreetimeshouldbeinwritingand
distributedtoallemployees.
TheStandardsCommitteehasrecognizedthatthehoursthatconstituteastaff
member’s“owntime”willnotalwayscorrespondtoeveningsandweekends:
[D]uetotheirregulartimeframesinwhichtheCongressoperates,itis
unrealistictoimposeconventionalworkhoursandrulesoncongressional
employees. At some times, these employees may work more than
doubletheusual workweek— atothers,someless. Thusemployees
areexpectedtofullltheclericalworktheMemberrequiresduringthe
hoursherequiresandgenerallyarefreeatotherperiods.If,duringthe
periodsheisfree,hevoluntarilyengagesincampaignactivity,thereis
nobartothis.
18
Inadditiontoengagingincampaignactivitywhileonannualleaveorduring
otherfreetime,employeesmaydosoby–
• Reducing their employment in the congressional ofce to part-time status,
withacorrespondingreductioninsalary;or
• GoingonLeaveWithoutPay(“LWOP”)statusforthepurposeofworkingon
thecampaign.
However,priortogoingonLWOPstatus,anemployeeshouldcarefullyreview
the requirements for that status that are set out in the Members’ Handbook and
the Committees’ HandbookissuedbytheCommitteeonHouseAdministrationand
shouldconsultwithstaffofthatcommitteeasnecessary.
EmployeeswhodocampaignworkwhileremainingontheHousepayrollshould
keepcarefulrecordsofthetimetheyspendonofcialactivitiesand,separately,on
campaignactivities,anddemonstratethatcampaignworkwasnotdoneonofcial
time.Thereisnosetformatformaintainingsuchtimerecords.
18
House Comm. on Standards ofOfcial Conduct,Advisory Opinion No. 2(July 11,1973).
However,theprofessionalstaffmembersofHousecommitteesshouldnoteclause9(b)(1)(A)ofHouse
Rule10,whichprovidesthatsuchstaffmembers“maynotengageinanyworkotherthancommittee
businessduringcongressionalworkinghours.”
Campaign Activity 147
TherulesgoverningcampaignworkbyHouseemployeeswereimplicatedina
StandardsCommitteedisciplinarycasethatwascompletedinthe106
th
Congress.
19
InthatcasetheCommitteedeterminedthataMemberhadviolatedtheHouseCode
ofOfcialConductinthathisstaffmembersworkedforhiscampaignduringregular
ofcehourswithouttakingannualleaveorgoingonLeaveWithoutPaystatus,or
takinganyotherstepstoensurethatthoseserviceswererenderedduringtimethat
wasproperlydeemedtheemployee’s“owntime.”
20
Theemployeesinthatofcetook
“administrative leave” whenever they performed campaign work. However, they
were paid their full congressional salary while on “administrative leave,” and the
ofcehadnosysteminplacetoensurethattimespentinthatstatuswasrecorded
andwaseithermadeupatalternatetimesorchargedasvacationtime.
21
Need To Comply With Laws and Rules Applicable to House Employees While
Doing Campaign Work
All Houseemployeeswho do campaign work shouldbear in mind that they
continue to be bound by the laws and rules applicable to House employees. This
appliestoemployeeswhogotopart-timestatus,anditappliesaswelltoemployeeson
LWOPstatus,whocontinuetobeemployeesoftheHouse(andcontinuetobeeligible
forcertainemployeebenets)eventhoughtheyarenotreceivingcompensationfrom
theHouse.Houseemployeesshouldtakeparticularnoteofthefollowing.
The Prohibition Against Making a Contribution to One’s Employing
Member. Aprovisionofthefederalcriminalcode,18U.S.C.§603,makesitunlawful
forany federalofceror employeeto makecertaincampaign contributionsto“the
employeroremployingauthorityofthepersonmakingthecontribution.”Accordingly,
anemployeeofaMemberofceisprohibitedfrommakinga“contribution”asthat
termisusedinthestatute(seebelow)tohisorheremployingMember.Regarding
theemployeesofaHousecommittee,thelegislativehistoryofthestatuteprovidesas
follows:
Anindividualemployedbyacongressionalcommitteecannotcontribute
to the chairman of that particular committee. If the individual is
employed by the minority that individual cannot contribute to the
ranking minority member of the committee or the chairman of the
committee.
22
Thecontributionstowhichthestatuteappliesarethosemadetoinuencea
19
H.Rep.106-979,supranote4.
20
Id.at3G,3I,6-7,51-64.
21
Id.at54.
22
Comm.onHouseAdmin.,Federal Election Campaign Act Amendments of 1979,H.Rep.96-
422,96
th
Cong.,1
st
Sess.26(1979).
148 HOUSEETHICSMANUAL
federalelection–thatis,thetermcontributionisdenedinthestatutebyreference
tothedenitionofthattermstatedintheFederalElectionCampaignAct(“FECA”)(2
U.S.C.§431(8)).Thestatutegoesontoprovidethatacontributiontoan“authorized
committee”asdenedintheAct(id.§432(e)(1))isconsideredacontributiontothe
individualwhoauthorizedthecommittee.
The prohibition against an employee making such a contribution to the
individual’semployingMemberisabsolute.AHouseemployeemaynotmakesuch
a contribution even if the contribution was entirely unsolicited and the employee
genuinely wishes to make the contribution. As a result of this statute, a House
employeemaynotpurchaseatickettoacampaignfundraisingeventfortheemploying
Member.
23
The denitionofthetermcontributionintheFECAisquitedetailed,setting
outanumberofitemsthateitherdoordonotconstituteacontributionforpurposes
oftheAct.
24
Thedenitioniselaborateduponintheimplementingregulationsissued
by the Federal Election Commission (“FEC”).
25
Staff members who do campaign
workneedtobefamiliar withthoseprovisions soasto avoidmakingaprohibited
contributiontotheiremployingMember.
In particular, staff members should be aware that under FEC regulations,
mostoutlaysthatan individualmakes onbehalfofacampaign aredeemedtobe
a contributiontothatcampaign fromthatindividual.
26
This is so even if it is
intended that the campaign will reimburse the individual promptly. The
majorexceptiontothisruleisforoutlaysthatanindividualmakestocoverexpenses
that he or she incurs in travelingonbehalfofacampaign.
27
Accordingly,aHouseemployeeshouldnotmakeanyoutlayonbehalfofthe
23
Regarding the circumstances in which a House employee may accept a free ticket to a
campaignfundraisingevent,seediscussionbelowon“GiftRuleProvisionsApplicableto Campaign
Activity.”
24
2 U.S.C. § 431(8). The statute provides that among the items that do not constitute a
contribution for purposes ofFECA is “the value of services provided without compensation by any
individualwhovolunteersonbehalfofacandidateorpoliticalcommittee.”Id.§431(8)(B)(i).Thus
aHouseemployeedoesnotmakeanimpermissiblecontributiontohisorheremployingMemberby
doingvolunteerworkfortheMember’scampaign.
25
11C.F.R.§100.51et seq.
26
Id.§116.5(b).
27
Outlaysforone’sowntravelwillnotbedeemed acontributionif either(1)the campaign
provides reimbursement within 60 days after the expenses are incurred if payment was made by
creditcard,orwithin30daysinallothercases(id.§116.5(b)(1),(2)),or(2)theindividual’soutlays
fortransportationdonot exceed$1,000 withrespect toa singleelection,regardlessofwhether the
campaignreimbursestheoutlays(id.§100.79(a)).
Campaign Activity 149
employingMember’scampaign,otherthanoutlaysfortheemployee’spersonaltravel
expensesthatareconsistentwiththeFECregulations,orforanotherpurposethatis
deemednottoconstituteacontributionunderFECAortheregulations.
28
Example 6.AMember’scampaignwishestopurchasesomesouvenirs
fromtheHousegiftstore togiveas giftstothe Member’ssupporters.
An employee of the Member’s congressional ofce may not purchase
the items with her own money or a personal credit card, even if the
campaignmakesarrangementstoreimburseherpromptly.However,
theMembermaypurchasethesouvenirswithhis personalfundsand
receivereimbursementfromthecampaign.
Thus when a House employee undertakes to do campaign work – on the
employee’sowntimeandoutsideofcongressionalspace,inaccordancewiththerules
summarizedabove–theindividualshouldmakeappropriatearrangementswiththe
campaign to ensure that he or she will not be called upon to make any improper
outlays.The arrangementsmayinclude,for example,providingtheindividual,in
advance,withanyfundsthatmightbeneededtocoveranticipatedcampaignexpenses,
orprovidingtheindividualwithuseofacampaigncreditcard.
WhilethelawprohibitsHouseemployeesfrommakingcampaigncontributions
totheiremployingMember,thelawdoesnot prohibitthemfrommakingacampaign
contributiontoanyothercandidate,includinganotherHouseMember.Inaddition,the
lawdoesnotprohibitHouseemployeesfrommakingcontributionstomulticandidate
politicalcommittees,suchasaPACortheDemocraticorRepublicanCongressional
CampaignCommittees,eventhoughsomeoftheproceedsreceivedbysuchcommittees
mayeventuallybespentforthebenetofthecontributor’semployee.Inmakingsuch
acontribution,however,anemployeeshouldnotearmarkitforuseinthecampaign
of the employing Member, because that could be deemed a contribution from the
employeetotheMember.
29
With regard to those contributions from House employees that are not
prohibitedby18U.S.C.§603,bothMembersandstaffshouldbearinmindthata
separateprovisionofthefederalcriminalcode,18U.S.C.§606,prohibitstheuseof
intimidationtosecuresuchcontributions.Specically,thatstatutemakesitunlawful
foraSenator,Representative,orfederalofceroremployeetodischarge,demote,or
28
Onesetofprovisionsthatmaybeapplicablehereisthatwhichexcludesfromthedenition
of“contribution”anexpenditurebyanindividualofupto$1,000perelectionforfood,beverages,and
invitationsforacampaigneventheldintheindividual’shomeorinachurchorcommunitycenter.See
2U.S.C.§431(8)(B)(ii)and11C.F.R.§100.75-.77.Anotherprovisionexcludesfromthedenitionof
“contribution”theuseofcomputerequipmentinconnectionwithinternetactivitiesforthepurposeof
inuencingafederalelection.11C.F.R.§100.94.
29
See11C.F.R.§110.6.
150 HOUSEETHICSMANUAL
promoteanotherfederalofceroremployee,ortothreatenorpromisetodoso,for
makingorfailingtomake“anycontributionofmoneyorothervaluablethingforany
politicalpurpose.”
Requirement That Each Employee Perform Duties Commensurate
With Compensation.UnderHouseRule23,clause8aMemberisalwaysresponsible
for ensuring that each of his or her employees performs ofcial duties that are
commensuratewiththe compensation thatthe employee receives fromthe House.
Thuswhenitisanticipatedthatanemployeewillbeassumingsignicantcampaign
duties, it may be necessary for the employing Member to make an appropriate
reductionintheemployee’sHousepay.
Certainly an appropriate reduction in salary is necessary when a full-time
employeegoestopart-timestatusinthecongressionalofceinordertodocampaign
work.Membersandstaff shouldalsobear inmindthat bonuses,including“lump
sum”payments,arefortheperformanceofofcialdutiesonly,andtheyarenot to
serveascompensationorarewardforcampaignwork.
30
The Gift Rule.Theprovisionsofthegiftrule(HouseRule25,clause5)that
applywithregardtocampaignandpoliticalactivityaresummarizedbelowattheend
ofthischapter.Membersaswellasstaffaresubjecttothoseprovisionsofthegift
rulewhenengagingincampaignorpoliticalactivity.Afullexplanationofthegift
ruleisfoundinChapter2ongifts.
Prohibition Against Representing Others Before Federal Agencies.
Provisionsofthefederalcriminalcode(18U.S.C.§§203,205)generallyprohibitHouse
employees from representing anyone before any government agency, department,
courtorofcerinanymatterinwhichtheUnitedStatesisapartyorhasaninterest.
ThelatterstatuteapplieswhetherornottheHouseemployeeiscompensatedforhis
orherservices.
ThesestatuteswouldappeartoprohibitaHouseemployeefrom,forexample,
representingacampaigncommitteein amatterbefore theFEC. However,italso
appearsthatthesestatutesdonotprohibitaHouseemployeefromcompletingand
signing contribution and expenditure reports to be led with the FEC
31
(although
suchworkwouldhavetobedoneoutsideofcongressionalspaceandontheemployee’s
owntime,inaccordancewiththerulessummarizedabove).Furtherinformationon
thesestatutesiscontainedinChapter5onoutsideemploymentandincome.
30
Forguidanceon“lumpsum”payments,seeChapter7onstaffrightsandduties.
31
SeeU.S.OfceofGovernmentEthics(“OGE”)AdvisoryOpinions85x3and81x21,regarding
theapplicabilityof18U.S.C.§§203,205toafederalemployeepreparingincometaxreturnsforothers.
CopiesofOGEadvisoryopinionsareavailablethroughOGE’swebsite.
Campaign Activity 151
For “Senior Staff,” the Annual Limitation on Outside Earned Income
and the Outside Employment Restrictions.Houseemployeeswhoarepaidator
abovethe“seniorstaff”levelformorethan90daysinacalendaryeararesubjectboth
toanannuallimitationontheiroutsideearnedincomeandtoasetofrestrictionson
theiroutsideemployment.
32
(HouseMembersandofcersaresubjecttothesesame
provisions.)Asageneralmatter,thelimitandrestrictionsapplytoseniorstaffwho
docampaignorpoliticalworkonacompensatedbasis.
The “senior staff” pay level is determined on a calendar year basis, and
duringcalendaryear2008,itisanannualrateof$114,468.Accordingly,anyHouse
employeewhoispaidatorabovethatrateformorethan90daysduringcalendaryear
2008issubjecttotheoutsideearnedincomelimitationandtheoutsideemployment
restrictions. The pay threshold for other years is available from the Standards
Committeestaff.
Thedollaramountoftheoutsideearnedincomelimitationisalsodetermined
onacalendaryearbasis,andforcalendaryear2008,thelimitationis$25,830.Thus
whenaHouseseniorstaffmemberworkspart-timeforacampaign,heorshemay
notreceivecompensationforcampaignservicesrenderedincalendaryear2008that
exceeds$25,830.Theannuallimitationapplicabletootheryearsisavailablefrom
theStandardsCommitteestaff.
However,theStandardsCommitteehasdeterminedthattheoutsideearned
incomelimitationdoesnotapplytothecampaignsalaryreceivedbyaseniorstaff
memberwhoisonLeaveWithoutPaystatus.
Example 7. A senior staff member is paid a total of $30,000 by her
employing Member’s campaign for work done during calendar year
2008.Ofthatamount,$15,000waspaidforcampaignservicesprovided
whilethestaffmemberwasonLWOPstatus.Thestaffmemberhasnot
violatedtheoutsideearnedincomelimitation,becausetheamountpaid
forworkdonewhileonLWOPstatusdoesnotcounttowardtheannual
limitation.
FurtherinformationontheoutsideearnedincomelimitationisfoundinChapter5on
outsideemploymentandincome.
Theoutsideemploymentrestrictionsdenecertainactivitiesforwhichsenior
staff (as well as House Members and ofcers) maynot receive anycompensation
whatsoever. The restrictions prohibit senior staff from, among other things, (1)
receiving compensation for practicing any profession that involves a duciary
32
HouseRule25,clauses1,4;5U.S.C.app.4§§501-505.
152 HOUSEETHICSMANUAL
relationship, including, for example, law or accounting, and (2) serving for
compensationasanofcerordirectorofanyentity.
Accordingly, a senior staff member, as dened above, may not receive any
compensation for either providing legal services to a political organization, or for
servingasanofcer(suchastreasurer)ofsuchanorganization.Furtherinformation
on the employment restrictions applicable to Members, ofcers, and employees is
foundinChapter5.
Candidacy of a House Employee for Elective Ofce
AttimesaHouseemployeewishestorunforanelectiveofcewhilecontinuing
asanemployee.Thereisnoabsoluteprohibitionagainstastaffmemberbecominga
candidateforastateorlocalelectiveofce,butsuchactivityissubjecttoanumber
ofrestrictions.Mostimportantly,theindividual’semployingMembermustconsent
tothe candidacy,and theemployeemust complywith therules andrequirements
onperformingcampaignactivitythataresummarizedabove.Thoserequirements
includethattheemployeeperformcongressionaldutiesthatarecommensuratewith
thecompensationheorshereceivesfromtheHouse–andthusthatcompensationbe
reducedproportionatelywithanyreductionintheemployee’stimeinthecongressional
ofce–andthatanycampaignactivitybeperformedontheindividual’sowntime,
andoutsideofcongressionalspace.Furtherguidanceonthematterofstaffcandidacy
forlocal ofceis provided inChapter 5. Anemployee consideringa candidacyfor
electiveofceshouldcontacttheCommitteeforspecicadvice.
However,differentconsiderationsapplywhenaMemberisdepartingofce,and
oneoftheMember’semployeeswishestobecomeacandidatetosucceedtheMember.
Inthatcircumstance,theCommitteehastakenthepositionthatthestaffmember
mustterminatehisorheremploymentinthecongressionalofceuponbecominga
candidate.
33
Among theconsiderations on which this Committee determination is
basedarethesignicanttimedemandsofacongressionalcandidacy,andthestrong
potentialforconictofinterestwhenanemployeeisseekingtosucceedtheemployee’s
employingMember.
TheCommitteehasalsodeterminedthat,subjecttocertainrestrictions,astaff
membercontemplatingbecomingacandidatetosucceedtheindividual’semploying
Member may engage in pre-candidacy, “testing the waters” activities without
terminatinghisorhercongressionalemployment.Therestrictionsincludethatthe
individualmay do soonly ifhis orheremploying Memberconsents, theemployee
33
ThesamerequirementwillusuallyapplywhenanemployeerunsfortheHouseinanewly
createddistrictresultingfromreapportionment,andthatdistrictincludespartofhisorheremploying
Member’sdistrict.AnyemployeeconsideringrunningfortheHouseinthesecircumstancesshould
contacttheCommitteeforspecicadvice.
Campaign Activity 153
complieswith therules andregulations thatare generallyapplicable tocampaign
activity by employees, and the employee’s activities do not go beyond “testing the
waters”asdenedbytheFEC.Thepermissible“testingthewaters”activitiesare
described in the FEC publication, Campaign Guide for Congressional Candidates
and Committees.Amongtheactivitiesthatareprohibitedunderthatadviceareany
thatindicatethattheindividualhasinfactbecomeacandidate,suchastheuseof
generalpublicpoliticaladvertising,ortheraisingoffundsbeyondthosereasonably
necessarytodeterminewhetheroneshouldbecomeacandidate.
Campaign Contributions and Contributors
This section addresses the laws, rules, and standards of conduct on three
subjectsrelatedtocampaignorpoliticalcontributions:
• Thesolicitationofcontributions;
• Thereceiptandacceptanceofcontributions;and
• Thegeneralprohibitionagainsttakingactionsinone’sofcialcapacityonthe
basisofpoliticalconsiderations.
Soliciting Campaign and Political Contributions
While the federal gift statute (5 U.S.C. § 7353) broadlyrestricts the ability
ofHouseMembersandstafftosolicitthingsofvaluefromvirtuallyanyone,even
whennopersonalbenettothesolicitorisinvolved,legislativematerialsconcerning
thestatutestatethatitdoesnotapplytothesolicitationofpoliticalcontributions.
34
Consistentwiththosematerials,theStandardsCommitteehaslongtakentheposition
thattherestrictionsonsolicitationsetforthinthatstatutedonotapplytopolitical
solicitations. However, in soliciting campaign or political contributions, Members
andstaffaresubjecttoanumberofotherrestrictions,asfollows.
No Knowing Solicitation of Federal Employees. Aprovisionofthefederal
criminalcode,18U.S.C.§602,prohibitsMembersofCongressandstaff(aswellas
candidatesforCongressandotherfederalemployees)fromknowinglysolicitingany
contributionfromanyotherfederalofceroremployee.
Thecontributionstowhichthisstatuteappliesarethosemadetoinuencea
federalelection.Thatis,thetermcontributionisdenedinthisstatutebyreference
to the denition stated in the Federal Election Campaign Act (“FECA”) (2 U.S.C.
§431(8)).(Asdiscussedabove,“contribution”isdenedinthesamemannerinthe
statuteprohibitingfederalemployeesfrommakingacontributiontotheiremployer,
34
136Cong. Rec.H1647(dailyed.April24,1990)(regardingtechnicalcorrectionstotheEthics
ReformActof1989).
154 HOUSEETHICSMANUAL
18U.S.C.§603.)
Thestatuteprohibitsthe“knowing”solicitingofcontributionsfromfederal
employees.Accordingly,aninadvertentsolicitationofafederalemployee,suchasmay
occurinageneralfundraisingcampaignaimedatthepublicatlarge,wouldnotviolate
thestatute.
35
In addition,thestatutedoes notprohibitthereceipt ofunsolicited
contributionsfromHouseorotherfederalemployees(although,aspreviouslynoted,
a separate statute prohibits those employees from making a contribution to their
employer).
Itisclearbothfromthetermsof18U.S.C.§602andfromitslegislativehistory
36
thatthesolicitationofcontributionsbyHouseMembersfromother Membersdoes
notviolatethestatute.ItisalsopermissibleunderthestatuteforHouseandother
federalemployeestosolicitcontributionsfromMembers.
No Solicitation in House Ofces, Rooms, or Buildings.Theprohibition
againstHouseMembersoremployeessolicitingcampaignorpoliticalcontributionsin
orfromHouseofces,rooms,orbuildingsisverybroad.Withoneminorexceptionthat
isdiscussedbelow,theprohibitionappliestoallformsofsolicitations–solicitations
madeinperson,overthetelephone,orthroughthemail–anditappliestosolicitations
of any kindofcampaignorpoliticalcontribution,includingcontributionssubjectto
FECA, and contributionsfor a state or local campaign, and so-called“softmoney”
contributions.
AtelephonesolicitationfromaHouseofceorbuildingwouldnotbepermissible
merelybecausethecallisbilledtoacreditcardofapoliticalorganizationortoan
outsidetelephonenumber,orbecauseitismadeusingacellphoneinthehallway.
Similarly, whena House Member oremployee makes solicitation callssomewhere
else,suchasatoneofthecampaigncommitteeofces,andhastoleaveamessage,the
individualshouldnotleavehisorherHouseofcetelephonenumberforthereturn
call.Inaddition,afundraisingmailingshouldnotbeeitherpreparedorassembled
inaHouse roomorofce,even ifnoHouseequipment orsuppliesareused inthe
process.
Theseprohibitionsderivefrombothaprovisionofthefederalcriminalcode,
18U.S.C.§607,
37
aswellasfromrulesandstandardsofconductoftheHouse.The
criminalstatutemakesitunlawful“tosolicitorreceiveadonationofmoneyorother
thingsofvalueinconnectionwithaFederal,State,orlocalelectionfromaperson
35
See113Cong. Rec.25,703(Sept.11,1973),andH.Rep.96-422,supra note22,at25.
36
125Cong. Rec.36,754(1979)(statementofSen.Hateld).
37
Thestatutewasamendedby§302oftheBipartisanCampaignReformActof2002,Pub.L.
107-155,116Stat.96(March27,2002).
Campaign Activity 155
whoislocatedinaroomorbuildingoccupiedinthedischargeofofcialduties.”The
statuteprohibitsthesolicitationorreceiptofcontributions,including“softmoney”
contributions,byfederalofcialsandfromanyonewhoislocatedinafederalbuilding
occupied by federal ofcials or employees used to discharge ofcial duties. (The
provisionsofthisstatuteregardingthereceiptofsuchcontributionsinthoserooms
andbuildingsarediscussedbelow.)ThestatutebyitstermsappliestotheHouse
ofcebuildings,theCapitol,anddistrictofces.
In addition, the rules issued by the House Ofce Building Commission
concerningtheuseoftheHouseofcebuildingsprohibitthesolicitingofcontributions
inthebuildingsotherthanforcertaincharitablepurposes.
38
Moreover,asdiscussed
above,theHouserooms,ofces,andbuildingsareconsideredofcialresources,and
assuch,theyarenotbeusedfortheconductofanycampaignorpoliticalactivity,
includingthesolicitationofcontributions.
However,withoneexception,
39
therulesandstandardsofconductenforcedby
the Standards Committee do not prohibit Members from soliciting (or receiving)
campaignorpoliticalcontributionsfrom other MembersintheHousebuildings.
Long ago the House took the position that Member-to-Member solicitation is
permissible, notwithstanding a criminal statute (predecessor to current 18 U.S.C.
§607)thatgenerallybarredpoliticalsolicitationsinfederalbuildings.
40
TheStandards
Committeehasreiteratedthatpositioninanumberofadvisorymemorandaithas
issuedtotheHouse,therstofwhichwasdatedNovember21,1985.
Several points regarding Member-to-Member solicitation in the House
buildingsshouldbenoted:
• This guidance applies only to Member-to-Member solicitations. Staff
solicitationofMembersinHousebuildings,evenwhendoneatthedirectionof
aMember,orwhendonefromtelephoneslocatedinacampaignofce,isnot
permissible.
• MembersmaysolicitotherMembersinperson,overthetelephone,orthrough
themail,buttheuseofofcialstationeryinmakingwrittensolicitationsisnot
permissible.
• While the Justice Department has responsibility for enforcing the criminal
38
RulesoftheHouseOfceBuildingCommissionwerelastrevisedinFebruary1999(available
fromtheSpeaker’sofce).
39
SeeHouseRule4,cl.7(“AMember,...ofcer,oremployeeoftheHouse,oranyotherperson
entitledtoadmissiontotheHalloftheHouseorroomsleadingtheretobythisrule,maynotknowingly
distributeapoliticalcampaigncontributionintheHalloftheHouseorroomsleadingthereto.”).
40
6 Cannon’s Precedents of the House of Representatives§401(1936),concerningaresolution
onthismatterthatwasapprovedbytheHousein1913.
156 HOUSEETHICSMANUAL
statute in this area, 18U.S.C.§607, so far as the Standards Committee is
aware,the Department’s assentto the positionof the Houseon Member-to-
Membersolicitation,assummarizedabove,hasneverbeensought.
No Use of Other Ofcial Resources. The laws, rules, and standards of
conductdiscussedabovethatgenerallyprohibittheuseofofcial Houseresources
forcampaignorpoliticalactivitycertainlyprohibittheiruseinsolicitingcampaign
or political contributions. The resources subject to this prohibition include ofce
equipment, such as the computers, telephones and fax machines, ofce supplies,
ofcialstationery,andcongressionalstafftime.Houseemployeesmaybeinvolvedin
solicitingcampaigncontributionsonlyontheirowntimeandoutsideofcongressional
space,asdiscussedabove.
No Use of a Facsimile of Ofcial Stationery.Laterinthischapter,the
rulesonletterheadusedforcampaignpurposesarediscussed.Thoserulesclearly
applytoanyletterthatsolicitscampaignorpoliticalcontributions.
No Link With an Ofcial Action or Special Access. Thechapterongifts
makesthepointthataHouseMemberoremployeeshouldneveracceptanygiftthat
is linked to any ofcial action that he or she has taken or is being asked to take,
anditincludesadiscussiononthecriminalbriberyandillegalgratuitiesstatutes.
Similarly,nosolicitationofacampaignorpoliticalcontributionmaybelinkedtoan
actiontakenortobetakenbyaMemberoremployeeinhisorherofcialcapacity.
Anearlyworkoncongressionalethicsaddressesthissubjectasfollows:
Itisprobablynotwrongforthecampaignmanagersofalegislator...torequest
contributionsfromthoseforwhomthelegislatorhasdoneappreciablefavors,butthis
shouldnever be presentedas apayment for theservices rendered. Moreover, the
possibilityofsuchacontributionshouldneverbesuggestedbythelegislatororhis
staffatthetimethefavorisdone.Furthermore,adecentintervaloftimeshouldbe
allowedtolapsesothatneitherpartywillfeelthatthereisacloseconnectionbetween
thetwoacts.Finally,nottheslightestpressureshouldbeputupontherecipientsof
thefavorsinregardtothecampaign.
41
TheStandardsCommitteehaslongadvisedMembersandstaffthattheyshould
alwaysexercisecautiontoavoideventheappearancethatsolicitationsofcampaign
contributionsareconnectedinanywaywithanactiontakenortobetakenintheir
ofcialcapacity.
Example 8. A House staff member is working with representatives
of a corporation on legislation supported by that corporation. The
41
PaulH.Douglas,Ethics in Government89-90(1952).
Campaign Activity 157
staffmembermaydocampaignworkconsistentwiththerulessetout
above,includingsoliciting contributions. However, at least whilethe
staffmemberisdoingthatlegislativework,andforareasonableperiod
thereafter,heshouldnotsolicitcontributionsfromtherepresentatives
ofthatcorporation.
Example 9. As part of its decision-making process on whether to
continue to fund a particular Defense Department procurement, a
committee sponsors an ofcial fact-nding trip to the facilities of the
manufacturer.Companyofcialsproposetoholdacampaignfundraiser
foraparticipating Member whileheis in town.The Member should
declinethesuggestion.(Ifsuchatripwereinsteadsponsoredandpaid
forbythemanufacturer,Memberattendanceatafundraiserduringthe
course of the trip may be precluded in any event by FEC rules. See
Chapter3ontravel.)
Furthermore,aMembershouldnotsponsororparticipateinanysolicitation
thatoffersdonorsanyspecialaccesstotheMemberintheMember’sofcialcapacity.
In this regard, in 1987 a Senate Committee Chairman invited lobbyists and PAC
directorstojoina“Chairman’sCouncil,”themembersofwhichwoulddonate$10,000
to his campaign and have breakfast with him once a month, at which legislative
matterscouldbediscussed.
42
WhiletheSenatordissolvedtheclubsoonafteritwas
publicized,
43
laterintheyeartheSenateEthicsCommitteeissuedarulingonwhether
Senatorsmayoffermembershipinpolicydiscussiongroupsinreturnforcampaign
contributions.Indiscussingthematter,theSenateCommitteeobserved:
Offeringcampaigncontributorsaccesstothosediscussions[ofpolicyand
legislative issues] in direct return for campaign contributions creates
theappearancethatcontributorsreceivespecialaccesstotheMembers,
andtherebyexerciseundueinuenceonthelegislativeprocess.
TheSenateCommittee’srulingwasasfollows:
Whilesolicitationsofferingaccesstopolicydiscussiongroupsmay
violatenolaworSenaterule,theynonethelessaffectpubliccondence
intheSenate.Therefore,Senatorsshouldnotmakesolicitationswhich
may create the appearance that, because of a campaign contribution,
a contributor will receive or is entitled to either special treatment or
specialaccesstotheSenator.
44
42
Wash. Post,Feb.3,1987,atA1.
43
Id.,Feb.7,1987,atA1.
44
SenateSelectComm.onEthics,Interpretative Ruling No. 427(Sept.25,1987).
158 HOUSEETHICSMANUAL
HouseMembersshouldadheretothesamerulewithregardtoofcialaccess.
Do Not Direct Contributions to a House Ofce. A solicitation for
campaignorpoliticalcontributionsshouldnotinanywayrequestorsuggestthatthe
recipientmailordeliveracontributiontoaHouseofce.Asexplainedimmediately
below,federallawallowsthereceiptofacontributioninacongressionalofce,but
only if the contribution arrives there unexpectedly. Accordingly, for example, a
writtensolicitationshouldnotincludeanyHouseofceaddress.(Forthatmatter,
aHouseofceaddressortelephonenumbershouldnotbeincludedonanypolitical
communication.)Likewise,oralsolicitationsshouldnotcontainanysuggestionthat
responsemaybemadetothecongressionalofce.
Receipt and Acceptance of Contributions
The gift rule (House 25, clause 5) prohibits House Members and staff from
acceptinganygiftexceptasspecicallyprovidedintherule.Oneofthegiftsthat
Membersandstaffmayacceptunderaprovisionoftherule(clause5(a)(3)(B))is:
[a] contribution, as dened in section 301(8) of the Federal Election
CampaignActof1971(2U.S.C.431)thatislawfullymadeunderthat
Act,[and]alawfulcontributionforelectiontoaStateorlocalgovernment
ofce.
Accordingly, acceptance of an unlawful contribution under either FECA or
applicablestatelawmayviolatetheHousegiftruleaswell.
Receipt of a Contribution in a House Ofce. As indicated above, a
provisionofthefederalcriminalcode,18U.S.C.§607,generallyprohibitsthereceipt
offederalcampaigncontributions“inaroomorbuildingoccupiedinthedischargeof
ofcialdutiesbyanofceroremployeeoftheUnitedStates.”However,thestatute
includes,insubsection(b),anexceptionstatingthattheprohibitiondoesnotapply
tocontributionsreceivedbycongressionalstaff,providedthattworequirementsare
satised:
• “suchcontributionshavenotbeensolicitedinanymannerwhichdirectsthe
contributortomailordeliveracontributiontoany[federal]room,building,or
otherfacility,”and
• “suchcontributionsaretransferredwithinsevendaysofreceipttoapolitical
committee within the meaning of section 302(e) of the Federal Election
CampaignActof1971.”
Accordingly,receiptofacontributioninaHouseofceispermissibleunderthe
statuteonlyifthecontributionarrivesthereunexpectedly.Thus,asstatedabove,a
Campaign Activity 159
solicitationshouldneverrequestorsuggestthatacontributionbesentordeliveredto
aHouseofce,andfurthermore,Membersandemployeesmaynotassentinadvance
tothesendingordeliveryofacontributiontoaHouseofce.
Example 10.Inaconversationwithanindividualwhowillbevisiting
theMember inthe congressionalofce, astaff personlearns thatthe
individualintendstogivetheMemberacampaigncontributionduring
thevisit.ThestaffpersonshouldtelltheindividualthattheMember
will not be able to accept the contribution in the ofce and that an
alternativemeansoftenderingthecontributionwillhavetobeused.
However,merelybecause acontributiondoes notviolate18 U.S.C. §607 in
that it was presented or received in the ofce unexpectedly does not necessarily
meanthatthecontributionmaybeaccepted.Acontributionthatislinkedwithan
ofcialactionthataMemberoremployeehastakenorisbeingaskedtotakemay
notbeaccepted.Thiswouldoccur,forexample,ifapurposeofanindividual’svisitto
theofce,inadditiontopresentingacontribution,istourgetheMembertosupport
aparticularpieceoflegislation.Thispointisfurtherdiscussedbelow.
Therequirementof18U.S.C.§607thatacontributionbetransferredtothe
campaignwithinsevendaysmustbesatisedwithoutuseofanyofcialresources.
Campaign envelopes and stamps may be used to forward such contributions, and
thusitmaybedesirableforacongressionalofcetohaveasupplyofthoseenvelopes
andstampsforuseinforwardingbothcontributionsandcampaign-relatedinquiries
thatarereceivedintheofce.
A Contribution Linked to an Ofcial Action May Not Be Accepted.As
discussedabove,nosolicitationofacampaignorpoliticalcontributionmaybelinked
to anyactiontaken or to be taken by aMember or employee in his orherofcial
capacity.
Inasimilarvein,aMemberoremployeemaynotacceptanycontributionthat
thedonorlinkstoanyofcialactionthattheMemberoremployeehastaken,oris
beingaskedtotake.Inthisrespect,acampaignorpoliticalcontributionistreatedlike
anyothergift,andacceptanceofacontributioninthesecircumstancesmayimplicate
aprovisionofthefederalgiftstatute(5U.S.C.§7353)orthecriminalstatuteson
briberyandillegalgratuities.
FurtherinformationonthissubjectisavailableinChapter2ongifts.Please
note,however,thatwhilecertaintokengiftsofappreciation(suchascandyorowers)
foranofcialactionmaybeacceptable,nocampaigncontributionthatislinkedtoan
ofcialactioniseveracceptable.
160 HOUSEETHICSMANUAL
Example 11.Anofcereceivesaletterfromaconstituentrequesting
caseworkassistance. Acheckmade outtothe Member’scampaignis
enclosedwiththeletter,butthelettermakesnoreferencetothecheck.
Whiletheofcemayassisttheconstituent,thecheckmustbereturned
to the constituent. Because the check was sent with a request for
assistance,itisimpermissiblylinkedwithanofcialaction.
Prohibition Against Linking Ofcial Actions to Partisan or
Political Considerations
Asdetailedabove, a solicitationfor campaign orpoliticalcontributions may
not be linked with an ofcial action taken or to be taken by a House Member or
employee, and a Member may not accept any contribution that is linked with an
actionthattheMemberhastakenorisbeingaskedtotake.Acorollaryoftheserules
isthatMembersandstaffarenottotakeorwithholdanyofcialactiononthebasis
ofthecampaigncontributionsorsupportoftheinvolvedindividuals,ortheirpartisan
afliation. Members and staff are likewise prohibited from threatening punitive
actiononthebasisofsuchconsiderations.
Questionsinthisareahavearisenmostfrequentlyonthematterofcasework,
andonthissubject,theStandardsCommitteehaslongadvisedMembersandstaff
thattheyarenottogivepreferentialtreatmenttocaseworkrequestsmadebythe
Member’ssupportersorcontributors.Instead,allrequestsforcaseworkassistance
aretobehandledaccordingtotheirmerits.Advisory Opinion No. 1 oftheStandards
Committee,whichwasissuedin1970,statesthatoneofthebasicstandardsofconduct
regardingcaseworkisthefollowing:
AMember’sresponsibilityinthis areaistoall hisconstituents
equallyandshouldbepursuedwithdiligenceirrespectiveofpoliticalor
otherconsiderations.
45
EssentiallythesamepointwasmadeinareportissuedbytheSenateSelect
CommitteeonEthicsinconnectionwiththe“KeatingFive”case:
Thecardinal principlegoverning Senators’conduct inthis area
is that a Senator and a Senator’s ofce should make decisions about
whethertointervenewiththeexecutivebranchorindependentagencies
onbehalfofanindividualwithoutregardtowhethertheindividualhas
contributed, or promised to contribute, to the Senator’s campaigns or
other causes in which he or she has a nancial, political or personal
interest.
46
45
ThefulltextofAdvisory Opinion No. 1isreprintedintheappendicestothisManual.
46
SenateSelectComm.onEthics,Investigation of Sen. Alan Cranston,S.Rep.102-223,102d
(con’t next page)
Campaign Activity 161
Whiletheguidancesetforthaboveisspecicallyaddressedtothehandlingof
caseworkmatters,thatguidanceisapplicabletoallofcialactionstakenbyMembers
andstaff,includingwithregardtolegislation.Inthisregard,oneofthekeyprovisions
of the CodeofEthicsforGovernmentServicestates,in¶5,thatgovernmentofcials
should“[n]everdiscriminateunfairlybythedispensingofspecialfavorsorprivileges
toanyone, whetherfor remunerationor not.” TheCode furtherprovides,in¶10,
that“publicofceisapublictrust,”andthusthepublichasarighttoexpectHouse
Membersandstafftoexerciseimpartialjudgmentinperformingtheirduties.
Moregenerally,oneoftheultimatepurposesoftheethicsrulesistohelpensure
that each governmental action is taken on the merits of the particular question,
ratherthananyextraneousfactors.Onthispoint,onescholarongovernmentethics
hasstated:“Ethicsrules,ifreasonablydraftedandreliablyenforced,increasethe
likelihoodthatlegislators(andotherofcials)willmakedecisionsandpoliciesonthe
basisofthemeritsofissues,ratherthanonthebasisoffactors(suchaspersonalgain)
thatshouldbeirrelevant.”
47
Proper Use of Campaign Funds and Resources
TherstsectionofthischaptersummarizestherulestowhichHouseMembers
and staff are subject in their use of ofcial House resources, and in particular
the prohibition against using those resources for campaign or political purposes.
Campaignresources–campaignfunds,aswellasthegoodsandservicesacquired
withcampaignfunds–areanentirelyseparatesetofresourcesavailabletoMembers.
ThissectionaddressestherulestowhichHouseMembersandtheircampaignstaff
aresubjectintheiruseofcampaignresources.
Asdetailed in thissection, boththe House Rulesand the Federal Election
CampaignAct(“FECA”)includeprovisionsregulatingtheuseofcampaignfundsand
resources.TheprovisionsoftheHouserulesapplytoanycampaignfundsundera
Member’scontrol, includingthose forelectionstostateor localofce, whereasthe
provisionsofFECAapplyonlytocampaignfundsforfederalofce.AMember’suseof
campaignfundsforfederalofceispermissibleonlyifitcomplieswiththeprovisions
of boththeHouseRulesandFECA.
The major provision of the Houserules onproper useof campaign funds is
foundinthe HouseCodeof OfcialConduct,which issetforth inHouseRule 23.
HouseRule23,clause6providesasfollows:
Cong.,1
st
Sess.11-12(1991)(footnoteomitted).
47
CongressionalEthicsReform:Hearings BeforetheBipartisanTaskForceonEthics,U.S.
HouseofRepresentatives,101
st
Cong.,1
st
Sess.113(1989)(statementofDennisF.Thompson).
162 HOUSEETHICSMANUAL
AMember,Delegate,orResidentCommissioner–
(a)shallkeephiscampaignfundsseparatefromhispersonalfunds;
(b)maynotconvertcampaignfundstopersonaluseinexcessof
an amount representing reimbursement for legitimate and veriable
campaignexpenditures;and
(c)exceptasprovidedinclause1(b)ofruleXXIV,maynotexpend
fundsfromhiscampaignaccountthatarenotattributabletobonade
campaignorpoliticalpurposes.
In addition, use of campaign funds for ofcial House purposes is limited by
provisionsofboththeHouserulesandstatutorylaw,includingHouseRule24,clause
1and2U.S.C.§59e(d)(1).Atthebeginningofthe109
th
Congress,theHouserules
wereamendedtopermittheuseoffundsfromtheprincipalcampaignaccounttopay
forcertain,limitedtypesofofcialexpenses.Thepurposeoftheamendmentwasto
conformHouserulestocurrentlaw(seesection105,Pub.L.108-83,117Stat.1018
(2003)),andtheamendmentmirroredtheSenaterulesthattookeffectin2002.
48
Thus,brieystatedaMemberoftheHouse–
• Mayspendcampaignfundsfor“bona de campaign or political purposes”
only(withlimitedexceptionsdescribedbelow);
• Maynotconvertcampaignfundsorresourcestopersonal use,andmustbe
abletoverifythatcampaignresourceshavenotbeensomisused;and
• Maynotusecampaignfundsorresourcesforofcial House purposes,with
limitedexceptions.
The rules generally preclude personal or ofcial use of not only campaign
funds,butalsocertainequipment,goods,orservicesacquiredwithcampaignfunds–
including,forexample,equipmentsuchasafaxmachineorcomputer,andtheservices
ofpaidcampaignstaff.However,asdiscussedlaterinthischapter,aMembermay
usecampaign fundstopay fora cellphoneor“personaldigital assistant”and use
suchdevicesforofcialandcampaignpurposes.
Further elaboration is provided below. In addition, reference is made to the
provision of FECA on proper use of campaign funds (2 U.S.C. § 439a), and to the
regulationsandadvisoryopinionsissuedbytheFederalElectionCommission(“FEC”)
onthatsubject.In2002,throughtheBipartisanCampaignReformAct(Pub.L.107-155,
116Stat.81)(“BCRA”)(alsopopularlyreferredtoas“Shays-Meehan”oritspredecessor
measure“McCain-Feingold”),whichbecameeffectiveonNovember6,2002,Congress
48
SeeH.Res.5,109
th
Cong.,1
st
Sess.(151Cong. Rec.H13(dailyed.Jan.4,2005)).
Campaign Activity 163
retainedthebanonpersonaluseofcampaignfundsandcodiedforthemostpartthe
FEC’spreviouslyissuedregulationsonpersonaluse.OnDecember13,2002,theFEC
publishednewregulations,whicharefoundin11C.F.R.Part113,retainingitspre-
BCRApersonaluseregulations,withcertainexceptions(discussedbelow).
49
Members and staff should contact the FEC with questions regarding that
agency’srules.Twopointsonthoserulesthatareparticularlynoteworthy.
First, in addition to consulting the FEC regulations on the matter of
impermissible personal use of campaign funds, the FEC has issued numerous
advisoryopinionsandtheyconstituteanimportantbodyoflawinthisarea.
50
Second,whileFECAallowstheuseofcampaignfundstopayexpensesincurred
inconnectionwithone’sdutiesasafederalofceholder,Houserules,asnotedabove,
onlypermitthe useofcampaignfunds forcertainlimitedpurposes. Accordingly,
HouseMembersshouldnotrelyonFECmaterialsthatrefertoorarebasedonthe
FECA’s provision allowing the use of campaign funds to pay federal ofceholder
expenses.
51
However,asexplainedimmediatelybelow,becauseofthebroadmanner
inwhich “politicalpurposes” isdenedforpurposesof theHouse rules,particular
usesofcampaignfundsthattheFECapprovesasfederalofceholderexpensesmay
bepermissibleundertheHouserulesas“political”expenses.
Use for Bona Fide Campaign or Political Purposes
In General.WhileHouserulesprovidethatcampaignfundsmaybeusedfor
“bonadecampaignorpoliticalpurposes”only,therulesdonotincludeadenition
of that term. The Standards Committee has long advised that each Member has
widediscretiontodeterminewhetheranyparticularexpenditurewouldservesuch
purposes,providedthattheMemberdoesnotconvertcampaignfundstopersonalor
ofcialuses.
Put another way, the rule is not interpreted “to limit the use of campaign
fundsstrictlytoaMember’sreelectioncampaign,”butinsteadisinterpreted“broadly
toencompassthetraditionalpolitically-relatedactivitiesofMembersofCongress.”
52
Thus,
ifaMemberdetermines,forexample,thatadvertisementsinpublications
49
See67Fed. Reg.76962(Dec.13,2002).
50
But see67Fed. Reg.76972(notingthatFECAdvisoryOpinion1999-1(banningtheuseof
campaignfundstopaycandidatesalaries)hasbeensupersededbyBCRA).
51
See,inthisregard,HouseComm.onStandardsofOfcialConduct,Advisory Opinion No. 6,
whichisreprintedintheappendices,forafurtherdiscussion.
52
HouseSelectComm.onEthics,Final Report,H.Rep.95-1837,95
th
Cong.,2dSess.16(1979).
164 HOUSEETHICSMANUAL
ofcivicorganizations,themailingofholidaygreetingstoconstituents,or
traveltomeetingswithlocalpartyofcials,wouldconstituteapolitical
expenditure,assodened,orareotherwisepolitically-related,thenhe
mayusecampaignfundsforthatpurpose.
53
Accordingly,aMembermayusecampaignfundstopayforactivitiesthatare
not overtly political in nature – such as mailing birthday or holiday greetings to
constituents–if(1)theMemberdeterminesthattheactivityservesapoliticalpurpose,
and(2)theactivitydoesnotinvolveauseofcampaignfundsforanypersonalpurpose.
However,asdetailedearlierinthischapter,Membersandstaffmustbearinmind
that no ofcial House resources may be used in support of any campaign-funded
activity.Thus,forexample,holidaygreetingcardsthatarepurchasedwithcampaign
fundsmaynotbeaddressedeitherinthecongressionalofceorbycongressionalstaff
whileonofcialtime.ThesameappliestoU.S.CapitolHistoricalSocietycalendars
thatarepurchasedwithcampaignfunds.
Example 12.Asnotedinthetext,aMembermayusecampaignfunds
to mail holiday greetings to his or her volunteers and contributors.
However,aMembermaynotusecampaignfundstosendsuchgreetings
tofamilymembersorpersonalfriends(otherthanthosewhoarealso
volunteersorcontributors),astodosowouldconstituteapersonaluse
ofcampaignfunds.
ExamplesofspecicusesofcampaignfundsonwhichtheStandardsCommittee
hasreceivedinquiriesaresetforthbelow.Byandlarge,theseactivitiesmay,under
Houserules,bepaidforwithcampaignfunds,providedthattheMemberdetermines
thattheactivitywouldserveabonadepoliticalpurposeandraisesnoconcernabout
personaluse.
ThediscussionbelowalsonotestheapplicableFECadvisoryopinionsthathave
beenissuedtodate.WhenaMemberwishestousecampaignfundsforapurpose
onwhichtheStandardsCommitteehastakenapositionbuttheFEChasnot,the
MembershouldconsultwiththeFECbeforeproceeding.
Charitable or Community Service Projects.Asageneralmatter,campaign
fundsand resourcesmaybe usedto establishor support abona decharitable or
community service project in the Member’sdistrict. On thispoint, FECAdvisory
Opinion 1999-34 is instructive.
54
In that opinion, the FEC approved a Member’s
53
Id.
54
CopiesofthisandallotherFECAdvisoryOpinionsareavailablethroughtheFEC’swebsite
at www.fec.gov.TheFECissueswrittenadvisoryopinionsinresponsetospecicwrittenrequests,
andboththerequestsandtheadvisoryopinionsarepubliclyavailable.See2U.S.C.§437f;11C.F.R.
Part112.
Campaign Activity 165
useofcampaignfundstosupportafundraisingeventforelementaryschoolsinthe
Member’s district. Other participants in the event werelocalbusinesses,schools,
PTAs,andvolunteers.TheMember’scampaignfundsweretobeusedforprinting
andpostagecostsforpromotionalmaterials,aswellastomatchdonationsmadeby
individualsdollar-for-dollar,uptoamaximumdonationbythecampaignof$60,000.
OnefactorintheFEC’sdecisionwasthatnocampaignactivityontheMember’s
behalfwouldoccurattheeventorinthepromotionorotherarrangementsforthe
event.Forexample,nocampaigningwouldoccurattheevent,whetherbywayof
speeches,distributionofcampaignmaterial,orotherwise,andthecampaignwould
notattempttouseanyinformationontheevent’sdonorsforcampaignpurposes.The
opinionindicatesthat if suchcampaignactivity were planned, thenthe donations
for the event made by individuals and organizations might be deemed campaign
contributionstotheMemberunderFECA,andhencesubjecttothelimitationsand
prohibitionsofFECA.
ThatAdvisoryOpinion addresses onlythe requirements of FECAon proper
useofcampaignfunds,anditdoesnotaddresstheapplicableprovisionsoftheHouse
rules.However,intheviewoftheStandardsCommittee,aMembermayproperly
determine that expenditures for the purposes and in the circumstances described
inthatopinionserveabonadepoliticalpurposeandhencearepermissibleunder
Houserules.
55
AlsorelevantherearethefactsthatFECAgenerallyallowsMemberstodonate
campaignfundstoacharitableorganization,i.e.,anorganizationdescribedin§170(c)
oftheInternalRevenueCode,andsuchdonationsarelikewisepermissibleunderthe
HouseRules.
56
Example 13.AMemberwishestoestablisha“BooksforKids”program
inhisdistrict,inwhichdonationsofbooksforuseinlocallibrariesare
solicited,andthedonatedbooksarecollectedandthenmadeavailable
to libraries. The program may be operated by campaign staff, and
campaignfundsmaybeusedtopayprogramcostssuchasforprinting.
However, prior to soliciting for books, the Member must obtain the
permission of the Standards Committee to make the solicitation (see
Chapter 10 for a discussion of the restrictions and limitations on
solicitations).Inaddition,theprogrammustbeconductedincompliance
55
AnotherFEC Advisory Opinion,1996-45,approves a Member’s useofcampaign funds to
paytheexpensesofconsultantstotraveltoherdistrictforthepurposeofleadingaseminarthatthe
Memberwassponsoringonracialandethnicrelations.Theproposedseminarwastobeheldafter
the election and wasto include representativesof nonprot organizations and cityagencies in the
Member’sdistrict.
56
Final Report,H.Rep.95-1837,supranote52,at16-17.
166 HOUSEETHICSMANUAL
withFECrequirements,andnoofcialHouseresourcesmaybeusedin
furtheranceoftheprogram.
InAdvisoryOpinion2000-37,theFECadvisedaHouseMemberthathecould
usecampaignfundstopurchasereplica“LibertyMedals”fromaprivatecompanyand
awardthemtoveteransinhisdistrictwhohadparticipatedintheD-Daylandings
in France during World War II. The FEC characterized this undertaking by the
Memberas“aformofcommunityservice.”Signicantly,theFECcharacterizedthe
costoftheparticularmedals(about$13to$17each)as“relativelylow,”andwenton
tocautionthattheundertakingwouldbeproblematicunderFECrulesifitentailed
theuseofcampaignfundstoconfera“signicantpersonalbenet”upontherecipient
veterans.
Payment of Certain Legal Expenses. The Standards Committee has
determinedthatitisgenerallypermissibleunderHouseRulesforaMembertouse
campaignfundstodefendlegalactionsarisingoutofhisorhercampaign,election,
or the performance of ofcial duties. The basis of this determination is that the
protectionofaMember’spresumptionofinnocenceinsuchactionsisavalidpolitical
purpose.Useofcampaignfundstopaythelegalexpensesincurredinotherkinds
oflegalactionsmayalsobepermissible.However,campaignfundsmaynotbeused
when the action is primarilypersonalinnature, such as a matrimonial action, or
couldresultinadirectpersonalbenetfortheMember.
Before using campaign funds to pay any legal expenses, a Member should
consultwiththeStandardsCommitteetoensurethatthelegalservicesareonesthat
theMembermayproperlypaywithcampaignfunds.AMembershouldalsoconsult
withtheFECbeforeusingcampaignfundsforthispurpose.Inthisregard,under
theFECregulationsonproperuseofcampaignfunds,paymentoflegalexpensesis
amongtheusesforwhichtheFECmakesdeterminationsonimpermissiblepersonal
useonacase-by-casebasis.
57
However,theFEC hasissued anumber ofAdvisory
Opinionsonuseofcampaignfundstopaylegalexpenses,andanunderstandingof
theapproachthattheFECtakesonthissubjectcanbeobtainedthroughareviewof
thoseopinions.
58
In addition(or alternatively), a Member, ofcer,oremployee may choose to
setupa“legalexpensefund,”independentofanycampaignfund,forthepurposeof
payingtheexpensesofcertainlegalactions.Therequirementsfortheestablishment
ofalegalexpensefundaredescribedinChapter2ongifts.
57
11C.F.R.§113.1(g)(1)(ii)(A).
58
See, e.g.,FECAdvisoryOpinions2006-35,2005-11,2003-17,2003-15,1998-1,1997-27,1997-
12,1996-24,and1995-23.
Campaign Activity 167
InAdvisoryOpinion2000-40,theFECadvisedthatHouseMemberscoulddonate
campaignfundstoalegalexpensefundthathadbeenestablishedbyanotherHouse
Member.However,oneofthespecicbasesoftheFEC’sdecisionwasthenatureofthe
litigationforwhichthelegalexpensefundhadbeenestablished,andthustheopinion
shouldnotbereadtograntablanketapprovalofthedonationofcampaignfundsto
anyMemberlegalexpensefund.AnyMemberconsideringdonatingcampaignfundsto
alegalexpensefundshouldconsultwithboththeFECandtheStandardsCommittee.
Payment of Certain Travel Expenses.UnderHouseRules,campaignfunds
maybeusedtopaytravelexpenseswhentheprimary purpose ofthetripisactivity
thatservesabonadecampaignorpoliticalpurpose,providedthattheoutlaysare
limited to the expenses that are necessarily incurred in engagingin thatactivity.
Thus,quiteclearly,campaignfundsmaybeusedtopaytheexpensesofatripthe
primarypurposeofwhichistoattendacampaignorpoliticalevent,ortoengagein
othercampaignactivity.Thegeneralprohibitionontheuseofcampaignfundsfor
personaltravelisdiscussedinthenextsectionofthischapter.Theuseofcampaign
fundsforofcialtravelisalsodiscussedbelow.
Notwithstanding the general permissibility of using campaign funds for
campaigntravel,anamendmenttotheHouseRulesenactedduringthe110
th
Congress
59
generallyprohibitsHouse Membersfromusingcampaign funds(aswell asofcial
fundsandpersonalfunds)fortravelonanon-commercialaircraft.SeeHouseRule23,
clause15.Theprohibitionappliestotravelonanaircraftunlessoneoftheexceptions
totheruleapplies,includingonethatpermitstheuseofcampaignfundsforaight
when“theaircraftisoperatedbyanaircarrierorcommercialoperatorcerticatedby
theFederalAviationAdministrationandtheightisrequiredtobeconductedunder
air carrier safety rules.” In other words, campaign funds generally may be used
onlyforcommerciallyscheduledightsandightsprovidedbyacommercialcharter
service, and may not be used for travel on corporate or other privately-operated
aircraft.Thisprohibitionappliestotheuseoffundsfromanycampaigncommittee,
includingfundsfromapoliticalactioncommittee. Furtherguidanceontheuseof
non-commercialaircraftisfoundintheChapter3ontravel.
Therearecircumstancesinwhichcampaignfundsmayproperlybeusedtopay
travelexpensesofnotonlyaMember,butalsohisorherimmediatefamilymembers.
Forexample,whentheprimarypurposeofatriptakenbythespouseofaMember
istoaccompanytheMemberatapoliticalevent–suchasoneoftheannualparty
fundraisingdinnersinWashington–campaignfundsmaybeusedtopaythespouse’s
travelexpenses.
59
H.Res.363,110
th
Cong.,1
st
Sess.(May2,2007).Thisresolutionamendedinitsentiretyan
earlierprovisioncontainedinH.Res.6,110
th
Cong.1
st
Sess.(Jan.4,2007).
168 HOUSEETHICSMANUAL
Campaign funds may also be used to pay spouse travel expenses when the
primary purpose of the trip is to accompany the Member at certain non-political
eventsthattheMemberattendsinhisorhercapacityasaMember.Forexample,the
StandardsCommitteeapprovedtheuseofcampaignfundstopaythetravelexpenses
ofspousesandminorchildrenofMembersinattendingthebipartisancongressional
retreatsinHershey,Pennsylvania,andinotherlocations.TheFECalsoapprovedthe
useofcampaignfundstopaytheHersheytravelexpensesina1997advisoryopinion.
60
In several other advisory opinions as well, the FEC approved the use of
campaignfundstopaytravelandrelatedexpensesofaMember’sspouseandminor
children.
61
Another FEC advisory opinion approves the use of campaign funds to
payforchildcareexpensesincurredasaresultofaneedfortheMember’swifeto
accompanyhimtocertaincampaign-relatedevents.
62
However,theapprovalsgranted
in all of those opinionswere based on the specic circumstances presentedin the
underlyingadvisoryopinionrequest,andthusaMembershouldnotrelyonanyof
thoseopinionswithoutrstcarefullyreviewingthem.AnotherFECadvisoryopinion,
whichisdiscussedinfootnote 55above,addressesthe paymentoftravelexpenses
ofconsultantstoattendaseminarsponsoredby aMember,andanother(1996-20)
approvestheuseofcampaignfundstopaythetravelexpensesofaMember’sstaff
membertoattendanationalpartyconvention.
TheStandardsCommitteehasdeterminedthataMembermay,underHouse
Rules,usecampaignfundstopaytheMember’stravelexpensestoattendthefuneral
ofaretiredMember,oracolleague’simmediatefamilymember.
63
(Membertravelto
thefuneralofaMemberwhodieswhileinofceisgenerallyarrangedbytheHouse.)
Payment of Certain Meal Expenses. Campaignfundsmaybeusedtopayfor
amealinanumberofcircumstances,including,forexample,amealthatconstitutes
abonadecampaignfund-raisingevent,andamealincidenttoabonademeeting
oncampaignbusiness.Campaignfundsmayalsobeusedtopaythemealexpenses
incurred when a Member or campaign worker is traveling on campaign business.
CampaignfundsmayalsobeusedtopaymealexpenseswhenaMemberhasasocial
60
FECAdvisoryOpinion1997-2.
61
E.g., FEC Advisory Opinions 2005-09 (travel expenses for minor children accompanying
Senator and spouse from district to Washington when parents traveling to participate in function
directlyconnectedtoSenator’sbonadeofcialresponsibilities);1996-34(spousetraveltonational
partyconvention,andspouseandchildtraveltoaccompanytheMemberonacampaigntripthrough
hisdistrict);1996-19(spouseandchildtraveltonationalpartyconvention);1995-47(spousetravelto
nationalpartyconvention);and1995-20(childaccompanyingparentsintravelbetweenWashington
andtheMember’sdistrictforcampaignpurposes).
62
FECAdvisoryOpinion1995-42.
63
TheFEChasnotissuedaformaladvisoryopiniononthispointandshouldbeconsulted
beforecampaignfundsareusedforsuchapurpose.
Campaign Activity 169
mealwithconstituents(otherthanpersonalfriendsorrelativesoftheMember)who
arevisitingWashington.
Outlays for meal expenses can, in certain circumstances, raise questions of
impermissiblepersonaluseofcampaignfunds.Theapplicabilityoftheprohibition
againstpersonaluseofcampaignfundstothepaymentofsuchexpensesisaddressed
laterinthischapter.
Receptions and Related Activities for Visiting Constituents. Occasionally
when a group of constituents visits Washington, whether to tour or to lobby on
legislation,theMemberwishestoholdareceptionorsimilareventfortheparticipants.
UnderrulesoftheCommitteeonHouseAdministration,ofcialMemberand
committeefundsmaybeusedtopayforfoodandbeveragesonlywhenthoseexpenses
areincidentaltoan“ofcial”meetingthatincludesindividualswhoarenotHouse
Membersorstaff,suchasameetingwithconstituentstodiscussalegislativeissue.
OfcialHousefundsmaynotbeusedtopayfoodorbeverageexpensesrelatedtosocial
activitiesorsocialevents,includingthereceptionsheldbyMembersinconnection
withtheirswearing-in,oronInaugurationDay.However,Membersmay use their
campaignfundstopaythecostsofsuchevents.
A separate question is whether events of this nature, when paid for with
campaignfunds,maybeheldinaHouseroomorofce.Priortotheendofthe105
th
Congress,thepolicyoftheStandardsCommitteewasthatwithonlyoneexception,
campaign-fundedeventsmaynottakeplaceinHouseroomsorofces.Thatexception
wasforthereceptionsheldinhonorofanindividual’sswearing-inasaMemberof
Congress.
However,attheendofthe105
th
Congress,theStandardsCommitteechanged
thepolicysoastoallowMemberstousecampaignfundstopaynotonlyforswearing-
inreceptionsheldinaHouseroomorofce,butalsoforothereventsthataresocialin
nature,includingInaugurationDayreceptions,andsocialeventswithconstituents.
Membersandstaffshouldbearinmind,however,thatasstatedabove,Houserooms
andofcesarenottobeusedforanyeventsthatarepoliticalinnature,suchasa
meetingoncampaignbusiness,orareceptionforthecontributorstoone’scampaign.
Thisissoevenifmoniesotherthancampaignfundsareusedtopaytheevent’scosts,
orthereisnocosttotheevent.
Letters, Mailings, and Other Communications That Are Not Frankable
in Content. At times Members wish to send letters or mailings, or make other
communications, that are not frankable in content under the House Franking
Regulations, andhencemay not be created or sentusing ofcial House resources.
Examplesofsuchcommunicationsincludemessagestoconstituentsthatarenotofcial
170 HOUSEETHICSMANUAL
innature,suchasbirthdaygreetings,holidaygreetings,andlettersofcondolence.In
addition,whilelettersofcongratulationsforapublicdistinctionarefrankable,other
lettersofcongratulation,suchasforyearsofserviceatabusiness,orretirement,are
not.UnderHouserules,aMembermayusecampaignfundsandresourcestocreate
andsendcards,letters,andcerticatesofthesetypestoconstituents.
However,suchmaterialsmaynotbeproducedinorsentfromanyHouseofce,
andmaynotbeproducedorsentusinganyotherHouseresource,includingofce
equipmentorstaffwhileonofcialtime.
Example 14. Congressman A wishes to create a “Congressman A
Award of Merit” certicate that he will present to constituents who
performmeritoriousacts orservices. Thecerticates may beprinted
with campaign funds, but their content must comply with the same
restrictionsthatapplytocampaignletterhead(seediscussionbelowon
“LawsandRulesonCampaignLetterhead”).Inaddition,ofcialHouse
resourcesmaynotbeusedtopromotethecerticates,orinconnection
withtheirpresentation.
OccasionallyMemberswishtosendaletterormailingendorsingaparticular
candidateforelective ofce, orcommenting on alaborunion organizing campaign
orsomeotherkindoflabordisputeintheirdistrict.Asageneralmatter,campaign
funds and resources may likewise be used to create and send letters of this type.
However,theletterheadusedonsuchmailingsshouldcomplywiththeguidanceon
campaignletterheadfoundneartheendofthischapterandmaynotresembleofcial
letterhead.
Letters, Mailings, and Events for House Leadership Elections. As a
generalmatter,aMembermayusecampaignfundstopayforactivitiesinfurtherance
ofacampaignforoneoftheHouseleadershipofces.Forexample,aMembermay
usecampaignfundstopayforareceptiontopromoteone’scandidacyforoneofthose
ofces,andgenerallysuchaneventmaybeheldinaHouseroomorofce.Similarly,
a Member may use campaign funds or resources to send a mailing regarding a
leadershiprace.
A Member wishing to use any ofcial House resource in furtherance of a
campaignforaHouseleadershipofce–suchasofcialstationery,theInsideMail,
orofcialstafftime–shouldconsultwiththeCommitteeonHouseAdministrationor
theFrankingCommission,aswellaswiththeStandardsCommittee,ontheextent
towhichthoseresourcesmaybeusedforthispurpose.However,whenaparticular
activityrelatedtoaleadershipraceissupportedwithcampaignresources,noofcial
Houseresourcesmaybedevotedtothatactivityexcepttotheextentnotedabove.
Campaign Activity 171
Example 15. A Member who is sending a mailing on a leadership
racedecidestopaythe printingandmailing expenseswithcampaign
funds.NoofcialstafftimeoranyotherHouseresourcesmaybeused
infurtheranceofthemailing.
Special Events for the Member’s House or Campaign Staff. Under
Houserules,campaignfundsmaybeusedtopaythecostsofspecialeventsforthe
Member’sHouseorcampaignstaffthataresocialinnature.Exampleswouldinclude
aholidaylunch orafarewellparty foradepartingstaff member.AMembermay
also use campaign funds to pay for food and beverages for staff in other unusual
circumstances,suchaswhentheHouseisinsessionlateoronaweekend.However,
theuseofcampaignfundstopayforfoodorbeveragesforstaffinotherthanspecial
orunusualcircumstancesmayconstituteanimpermissibleuseoffundsforpersonal
purposes.
Member Moving Expenses To or From Washington, DC. Both the
StandardsCommitteeandtheFEChavelongadvisedthatanewlyelectedMember
may use campaign funds to pay the expenses incurred in moving to Washington,
D.C.
64
Suchexpensesaredeemedto becampaign-relatedinthattheyareadirect
resultofwinninganelection.
In addition, in 1996 the FEC advised a departing House Member that he
couldusecampaignfundstopaytheexpensesofmovingbothhiscongressionalofce
furnishings and his personal household furnishings and effects back to his home
state.
65
The Standards Committee has similarly advised that House Rules allow
a departing Member to use campaign funds for this purpose. It should be noted,
however, that the Standards Committee’s advice onthismatteris applicable only
totheextentthatsuchmovingexpensesarepaidpriortothetimethattheMember
leavesofce,atwhichtimetheCommitteelosesjurisdictionovertheMember.
As a related matter, FEC regulations provide that campaign funds may be
usedtodefraythecostsofwindingdowntheofceofaformerfederalofceholderfor
aperiodofsixmonthsafterheorsheleavesofce.11C.F.R.§113.2(a)(2).
Gifts and Donations.TheFECregulationsonuseofcampaignfundsprovide
that campaign funds may be used for“[g]iftsofnominal value and donations of a
nominalamountmadeonaspecialoccasionsuchasaholiday,graduation,marriage,
retirement,ordeath.”
66
SuchgiftsmayincludetherelativelyinexpensiveHouseor
64
RegardingtheFEC,seeAdvisoryOpinion1980-138.
65
FECAdvisoryOpinion1996-14;see alsoAdvisoryOpinion1996-44.
66
11C.F.R.§113.1(g)(4).Regardingthelimitationto“nominalvalue”gifts,seeFECAdvisory
Opinion2000-37.
172 HOUSEETHICSMANUAL
Capitol souvenir items sold by the House gift store or the U.S. Capitol Historical
Society,andthusaMembermayusecampaignfundstopurchasesuchnominal-value
giftsfortheMember’ssupportersorcontributors.Useofcampaignfundsforagift
ordonationispermissibleonlyiftheoutlayservesabonadecampaignorpolitical
purpose, and in this regard, the regulation species that a Member may not use
campaignfundstomakeagiftordonationtoafamilymember.Inaddition,asnoted
belowinthesectionofthischapterontheuseofcampaignfundsforofcialpurposes,
campaignfundsmayalsobeusedtopurchaseagiftforvisitingforeigndignitaries.
Other Permissible Uses of Campaign Funds. As noted above, FECA
generallyallowsMemberstodonatecampaignfundstoanyentityofthekindsdescribed
in § 170(c) of the Internal Revenue Code – including a charitable or educational
organization, or a governmental entity – provided that there is no conversion to
personal use through the donation. In one advisory opinion, the FEC concluded
that committee campaign funds, and funds from a nonconnected multicandidate
committee,couldbeusedforaportraitofacommitteechairmantobedonatedtothe
House of Representatives for display, because the House of Representatives is an
organizationqualiedunder§170(c).
67
FECAalsoallowsthetransferofcampaign
funds“withoutlimitationtoanynational,State,orlocalcommitteeofanypolitical
party.” Thus if otherwise lawful, campaign funds may be transferred to another
candidate,orinvested forusein afuturepoliticalcampaign, provided,again,that
thereisnoconversionoffundstopersonaluse.Campaignfundsmayalsobeusedfor
certainfuneralexpenses.
No Personal Use of Campaign Funds or Resources, and the Related
Verication Requirement
Asnotedabove,prohibitionsagainsttheuseofcampaignfundsforpersonal
purposes are found in both the House rules and the Federal Election Campaign
Act(“FECA”).Themannerinwhichtheseprohibitionshavebeenimplementedby
theStandardsCommitteeandtheFederalElectionCommission(“FEC”)isdiscussed
below.
House Rules.ThekeyprovisionoftheHouserulesbarringuseofcampaign
funds for personal purposes is House Rule 23, clause 6(b) which provides that a
Member
maynotconvertcampaignfundstopersonaluseinexcessofanamount
representingreimbursementfor legitimateandveriablecampaign
expenditures.[Emphasisadded.]
Two otherprovisions are pertinent hereas well. First,House Rule 23, clause6(a)
67
FECAdvisoryOpinion2007-18.
Campaign Activity 173
providesthateachMember“shallkeephiscampaignfundsseparatefromhispersonal
funds.” Second, House Rule 23, clause 7 provides that a Member “shall treat as
campaign contributionsall proceeds from testimonial dinnersor other fund-raising
events.”
Inaddition,theprovisionoftheruleprohibitingtheuseofcampaignfunds
forpersonalpurposesis,ofcourse,directlyrelatedtoanotherprovisionoftherule,
discussedabove,requiringtheuseofthosefundsforbonadecampaignorpolitical
purposes.TheStandardsCommitteehastakenthepositionthatMembers,inmaking
expendituresoftheircampaignfunds,mustobservetheseprovisionsstrictly:
[A]bonadecampaignpurposeisnotestablishedmerelybecausethe
useofcampaignmoneymightresultinacampaignbenetasanincident
tobenetspersonallyrealizedbytherecipientofsuchfunds....
68
The Committee has explained its reasons for taking this position in the
followingmanner:
[T]heCommitteebelievesthatanyotherinterpretation...wouldopen
thedoortoapotentiallywiderangeofabuseandcouldresultinsituations
where campaign moneys were expended for personal enjoyment,
entertainment,oreconomicwell-beingofanindividualwithoutanyclear
nexusthatthefundssoexpendedachievedanypoliticalbenet....
69
TheStandardsCommitteehasreiteratedthispositionanumberoftimes,
70
and
itwasincorporatedaswellintothe1989ReportoftheHouseBipartisanTaskForce
onEthics.
71
TherulebyitstermsrequiresthateachcampaignoutlaymadebyaMember
benotonly“legitimate,”butalsocapableofbeingveriedassuch.Thisrequirement
thattheproperpurposeofeachoutlaybe“veriable”isacommon-senserequirement.
WiththehugenumberofoutlaysthatMembers’campaignstypicallymake,oftenon
anearlycontinuousbasis,theproprietyofparticularoutlaysmaynotbesubjectto
reviewformonthsoryearsafterthefact,whenrecollectionsastothecircumstances
68
HouseComm.onStandardsofOfcialConduct,Investigation of Financial Transactions of
Rep. James Weaver with His Campaign Organization,H.Rep.99-933,99
th
Cong.,2dSess.13(1986)
(emphasisinoriginal).
69
Id.
70
E.g., House Comm. on Standards of Ofcial Conduct, In the Matter of Rep. Richard H.
Stallings,H. Rep.100-382,100
th
Cong., 1
st
Sess. 3-4(1987);House Comm. onStandardsof Ofcial
Conduct,In the Matter of Rep. Charles G. Rose III,H.Rep.100-526,100
th
Cong.,2dSess.23(1988).
71
Report on H.R. 3660,101
st
Cong.,1
st
Sess.(Comm.Print,Comm.onRules1989),reprinted in
135Cong. Rec.30740,30751(1989).
174 HOUSEETHICSMANUAL
or specic purposes of an outlay may well have faded. Absent a requirement for
verication,theprohibitionagainstconvertingcampaignfundstopersonalusewould
benullied insubstantial part. Furthermore,the vericationrequirement should
serveto causeMembers andtheir campaignstaffs toexercise cautionin spending
campaignfunds,andtoensurethatnooutlayisforanimpermissiblepersonalpurpose.
Members and their campaign staffs should bear in mind that the
verication requirement imposed by the House rules is separate from,
and in addition to, whatever recordkeeping requirements are imposed
by the Federal Election Commission on federal candidates generally (or,
with regard to Members who are candidates for a state or local ofce, the
requirements imposed by applicable state or local law).
Application of the House Rules. The Standards Committee has found
thatMembersviolatedtheHouserulesonproperuseofcampaignfundsinseveral
disciplinary cases. One case involved, among other things, transfers from the
Member’scampaignaccountthatweremadetorepaypersonalloansoftheMember
andtocoveroutstandingobligationsagainsthispersonalcheckingaccount.
72
That
caseresultedinacensureoftheMemberbytheHouse.
73
Therule’svericationrequirementwasimplicatedinaStandardsCommittee
disciplinary case that was completed in the 106
th
Congress.
74
In that case the
Committee determined that a Member had, through his campaign committee,
engaged in signicant misconduct by failing to keep records adequate to verify
thelegitimacyoftheexpendituresthathadbeenmadebyhiscampaignformeals,
including numerous meals in the Washington, D.C. area, and for private airplane
travel,particularlybetweenWashingtonandtheMember’sdistrict.
75
Accordingto
thereports thathis committeehadled withthe FEC,the expendituresfor those
purposes were extraordinarily high in number as well as dollaramount,
76
but the
InvestigativeSubcommitteefoundthatthecampaigncommitteehadnotmade“even
themostminimalefforttodocumentorverifythattheexpenditureswererelatedto
72
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. Charles H. Wilson,H.
Rep.96-930,96
th
Cong.,2dSess.5-6,7-10(1980).
73
Inaddition,inthe104
th
CongressaninvestigativesubcommitteeoftheStandardsCommittee
adoptedaStatementofAllegedViolationagainstaMember,twocountsofwhichallegedamisuseof
campaign resources, including the use of campaign funds to purchase appliances for the Member
andtopayforcleaningoftheMember’spersonalresidence.Nofurtheractionwastakeninthecase,
however,becauseasofthetimetheinvestigativesubcommitteecompleteditswork,theMemberwas
abouttodeparttheHouse.SeeH.Rep.104-876,supranote7.
74
H.Rep.106-979,supranote4.
75
Id.at3G-3H.
76
Id.at6-7,64-79,170-212.
Campaign Activity 175
legitimatecampaignactivity.”
77
Impermissible personal use of campaign funds can arise in a variety of
circumstances.
Example 16. A book written by a Member on his legislative agenda
hasbeenpublished.TheMember’scampaignmaynot purchase copies
ofthebooktogiveasgiftstocontributorsiftheMemberwouldreceive
royaltiesoranyotherpersonalbenetfromthecampaign’spurchaseof
thosecopies.
78
Inthisregard,theprohibitionisagainsttheuseofcampaignfundsforpersonal
purposes not only of the Member, but rather of anyone. Thus, in one of the cases
decidedbytheStandardsCommittee,aloanmadebyaMember’scampaigntooneof
theMember’scongressionalemployeesfortheemployee’spersonalpurposeswasfound
toviolatetherule.
79
Inanothercase,aMemberadmittedtoviolatingtheruleinthat
hehadauthorizedthemakingofloansofhiscampaignfundstothreeindividuals(each
ofwhomwasanemployeeofhiscongressionalofce,hiscampaign,oroneofhisprivate
businesses)fortheirpersonalpurposes.
80
Inthatcase,theMemberalsoadmittedtoviolatingtheruleincertainexpenditures
ofhiscampaignfundsthatweremadeto,orotherwisebeneted,businessesthatwere
ownedandcontrolledbytheMemberandmembersofhisfamily.Theyincluded(1)
expendituresforsalaryandbenetstoindividualswhoworkedforthecampaign,when
infactaportionofthecompensationthatthecampaignpaidtothemwasforservices
thattheyrenderedthosebusinesses,and(2)expendituresfortheutilityexpensesof
thosebusinesses.
81
Withregardtotheimproperexpendituresforutilityexpenses,the
Member’scampaignofcewaslocatedinabuildingownedbyacorporationthatwas
inturnownedbytheMemberandhisfamily,andinwhichothersuchbusinesseshad
ofces.Yet,forasignicantperiodoftime,theMember’scampaignpaidforallofthe
expensesincurredbythebuilding’stenantsforelectricity,gas,water,andtelephone–
ratherthanonlytheproratashareofthecampaignofce.
82
77
Id.at78.
78
RegardingpurchaseofaMember’sbookbyhisorhercampaigncommittee,seeFECAdvisory
Opinions2006-18,2004-18,and2001-8.
79
H.Rep.100-382,supranote70,at 2-3.FECA(2U.S.C.§439a(b)(1))istothesameeffect,as
itprovidesthatcampaignfundsmaynotbeconverted“byanypersontoanypersonaluse.”(Emphasis
added).
80
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. Earl F. Hilliard,H.
Rep.107-130,107
th
Cong.,1
st
Sess.13-17(2001).
81
Id.at17-25,58-66.
82
Id.at58-66.
176 HOUSEETHICSMANUAL
Notwithstandingthevarietyofcircumstancesinwhichimpermissiblepersonal
useofcampaignfundscanarise,questionsinthisareahavearisenmostfrequently
regardingcertainkindsofcampaignoutlays,specically–
• Borrowingofcampaignfunds;
• Expendituresfortravel;
• Expendituresformeals;and
• Expendituresforthepurchaseofgoodsorservices,ortherentalofproperty,
fromtheMemberoramemberofhisorherfamily.
As detailed below, it is now well established that borrowing of money from
one’scampaignisaseriousviolationoftheHouseRules.Astooutlaysfortravelor
meals–aswellasoutlaysfortheacquisitionofgoodsorservicesfromthemselves
ortheirfamilymembers–Membersmustexercisegreatcare,becausesuchoutlays
bytheirnatureraiseaconcernofpersonaluse.Thekindsofrecordsthatshouldbe
maintainedwithregardtothesekindsofoutlaysarealsoaddressedbelow.
Borrowing Campaign Funds Is Impermissible. In four cases the
Standards Committee determined that Members had violated the rules on proper
useofcampaignfundsbyborrowingmoneyfromhiscampaign.
83
TheCommitteehas
clearlystatedthatthispracticeisimpermissible:
TheCommitteefeelsthatthereisnocircumstanceinwhichaMember
couldborrowfromhiscampaign andsatisfytherequirementthat the
use of the funds would exclusively and solely benet the campaign.
Therefore,theCommitteetakesthermpositionthataMembermaynot
borrowfundsfromhiscampaign.Theactofborrowingshallbeconstrued
asaviolationof[currentHouseRule23,clause6],whichrequiresthat
allcampaignexpendituresmustbeforabonadecampaignexpense.
84
Inoneofthesecases,theMemberclaimedthatthewithdrawalshehadmade
fromhiscampaignwererepaymentsofloanshehadmadetothecampaignpreviously.
TheCommitteerejectedthatclaim,however,becausenoloanagreementshadbeen
executedatthetimetheMemberassertedlymadetheloanstohiscampaign,andthe
reportsthatthecampaignledwiththeFECdidnotshowtheamountsinquestion
asoutstandingobligationstotheMember.
85
Inthatcase,theCommitteealsofound
aseparateviolationoftherulesinthattheMemberhadusedacerticateofdeposit
83
H.Rep.99-933,supra note68;H.Rep.100-382,supra note.70;H.Rep.100-526,supran.70;
H.Rep.104-886,supranote7,at19-20.
84
H.Rep.100-526,supranote70,at23.
85
Id.at24.
Campaign Activity 177
belongingtohiscampaignascollateralonapersonalloan.
86
In another case, a loan to a Member from his campaign was found to be
improper when its purpose was to enable the Member to purchase an automobile
that the Member intended to useforbothpersonal and campaign purposes in his
district.
87
AnotheroftheloancasesdecidedbytheStandardsCommitteehadbeen
initiatedasaresultofatransmittalofinformationfromtheFEC.Theinformation
ontheMember’sreceiptofpersonalloansfromhiscampaignhadbeendevelopedby
theFEC inthecourse ofinvestigating allegationsthathis campaignhad failedto
reportcertaindisbursementsandreceipts.
88
Inaddition,asnotedabove,intwocasestheCommitteefoundaviolationofthe
rulewhenaMember’scampaignfundswereusedtomakeloanstootherindividuals
forpersonalpurposes.
89
In view of the Committee’s decisions in the above-noted cases, all of
which were publicly announced at the time they were issued, the Committee
believes that all Members are on notice that they may not borrow from their
campaigns, and their campaign funds may not be used to make a loan to
anyone for a personal purpose.
Expenditures for Travel.Asexplainedintheprecedingsection,campaign
funds may be used to pay airfare or similar transportation expenses when the
“primarypurpose”ofthetripiscampaignorpoliticalinnature.Asexplainedinthe
followingsection,campaignfundsalsomaybeusedforcertainofcialorofcially-
connectedtravel.However,whentheprimarypurposeofatripispersonalinnature,
the airfare of that trip may not be paid with campaign funds, and must be paid
withpersonalfunds.
90
WhileeachMemberhastheresponsibilitytodeterminethe
“primarypurpose”ofanytriptheMembertakes,thatdeterminationmustbemadein
a reasonablemanner,takingintoaccountalloftheactivitiesinwhichtheMember
intendstoengageduringthecourseofthetrip.
91
Example 17.AMembertakeshisfamilyonapost-electionvacationtrip.
Eventhoughthetripismadesothatthefamilycanrestafterthecampaign,
campaignfundsmaynotbeusedtopayanyofthetripexpenses.
86
Id.at24-25.
87
H.Rep.100-382,supranote70,at3,4.
88
H.Rep.104-886,supranote7,at19-20.
89
H.Rep.100-382,supranote67;H.Rep.107-130,supran.77.
90
SeeChapter3ontravel.
91
Id.
178 HOUSEETHICSMANUAL
Example 18.AMemberistakingaone-weektripthathasarecreational
purpose,exceptthatduringthetrip,shewillattendapartyfund-raising
dinner.Campaignfundsmaynotbeusedtopaytheairfareforthetrip,
andmaybeusedsolelytopaytheadditionalmealorlodgingexpenses(if
any)thattheMembernecessarilyincursinattendingthatdinner.
Asnotedabove,aMember’scampaignmustbeabletoverifythattherewasa
propercampaignpurposeforanytripthatispaidforwithcampaignfunds.Tothis
end,theStandardsCommitteestronglyadvisesthatcampaigncommitteesmaintain
recordsthatspecifythepoliticallyrelatedactivitiesinwhichtheMember(orother
tripparticipants)engagedduringeachcampaign-fundedtrip(forexample,“attended
partymeetingat[date/time],attendedreceptionforcampaigndonorsat[date/time]”).
Whencampaignoutlaysfortravelarefrequentandextensive,theneedtomaintain
specic,writtenrecordsisparamount.
92
Membersandtheircampaignstaffsshouldalsorefertotheprovisionsofthe
FEC “personal use” regulations regarding use of campaign funds for travel, and
shouldconsultwiththeFECaswellwhenaproposedoutlayfortravelexpensesmay
raiseaconcernofpersonaluse.TheFECregulationsarebrieynotedlaterinthis
chapter,andunderthem,paymentoftravelexpensesisoneoftheusesforwhichthe
FECmakesdeterminationsonimpermissiblepersonaluseonacase-by-casebasis.
AnumberofFECadvisoryopinionsonthepermissibilityofusingcampaignfundsto
paytravelexpensesinvariouscircumstancesarenotedintheprecedingsectionof
thischapter.
Expenditures for Meals.Circumstancesinwhichcampaignfundsmaybe
usedtopaymealexpensesarealsoaddressedintheprecedingsectionofthischapter.
However,useofcampaignfundstopayforanymealwhentheonlyindividualspresent
are a Member and the Member’s personal friends or relatives inherently raises
concerns ofconversion of campaign funds topersonal use. The onlycircumstance
inwhichpaymentforsuchamealwithcampaignfundsmaybepermissibleisifthe
otherattendeesactivelyworkintheMember’scampaign,andifthemealismerely
incidenttoameetinghavingaclear,specicagendaofcampaignbusiness.
In order to be able to verify that there was a proper campaign purpose for
mealoutlays,theStandardsCommitteestronglyadvisesthatcampaigncommittees
maintainrecordsthatnoteboththeindividualswhowerepresentateachmeal,and
thespeciccampaignorpoliticalpurposeservedbytheoutlay.Whentheattendees
include only friends or relatives, and the above-stated requirements for campaign
paymentforsuchamealaresatised,themaintenanceofspecic,writtenrecords
is essential. In these circumstances, the records should specically describe the
92
Inthisregard,seeH.Rep.106-979,supran.4,at3G-3H,6-7,64-79,170-212.
Campaign Activity 179
campaignagendaofthemeal.Aswithcampaignoutlaysfortravel,whentheoutlays
formealsarefrequentandextensive,theneedtomaintainspecic,writtenrecords
isparamount.
93
Purchase or Other Acquisition From the Member or a Member of His
or Her Family.AttimesaMember(oramemberofhisorherfamily)hasofce
spaceorotherpropertythatthepersonwishestoleasetotheMember’scampaign.
Similarly, at times a family member of a Member wishes to sell certain goods or
servicestotheMember’scampaign.
Suchatransaction ispermissibleunderthe HouseRulesonlyif(1) thereis
a bona decampaign need for the goods, services, or space,and (2) the campaign
doesnotpaymorethanfairmarketvalueinthetransaction.WheneveraMember’s
campaignisconsideringenteringintoatransactionwitheithertheMemberoroneof
hisorherfamilymembers,itisadvisablefortheMembertoseekawrittenadvisory
opiniononthetransactionfromtheStandardsCommittee.
IfaMember’scampaigndoesenterintosuchatransactionwiththeMemberor
amemberofhisorherfamily,thecampaign’srecordsmustincludeinformationthat
establishesboththecampaign’sneedforandactualuseoftheparticulargoods,services
orspace,andtheeffortsmadetoestablishfairmarketvalueforthetransaction.
InaStandardsCommitteedisciplinarycasethatwascompletedinthe107
th
Congress, a Member admittedto violating the prohibition against personal use of
campaignfundsinleasingspaceforhiscampaignofcefromabuildingownedbya
corporationthatwasinturnownedandcontrolledbyhimandhisfamily.Inthatcase,
theInvestigativeSubcommitteehaddetermined,onthebasisoftwoappraisalsdone
byprofessionalsthatithadengaged,thattherentpaidbytheMember’scampaign
forthatspacewassubstantiallyinexcessoffairmarketvalue.
94
Inaddition,asnoted
above,theMemberadmittedtoaseparateviolationofthepersonaluseprohibition
inthathiscampaignhadpaidnotonlyitsownutilityexpensesinthatbuilding,but
alsotheutilityexpensesofvariousfamily-ownedandcontrolledbusinessesthatwere
housedinthatbuildingaswell.
95
YetanotherviolationofthepersonaluseprohibitionthattheMemberadmitted
tointhatcaseconcernedleasepaymentsthathiscampaignhadmadeforcertainother
ofcespace.Thatspacehadpreviouslybeenleasedbyabusinessthatwasowned
insubstantialpartbytheMemberandmembersofhisfamily,andunderthatlease,
theMemberwaspersonallyliablefortheleasepayments.Thuseveryleasepayment
93
Id.
94
H.Rep.107-130,supranote80,at34-58.
95
Id.at58-66.
180 HOUSEETHICSMANUAL
thatthecampaignmadeforthatspacerelievedtheMemberandhisbusinessoftheir
obligationtomakethatpayment.Earlierinthecaseclaimsweremadeonbehalfof
theMemberthatthecampaignactuallyusedthatofcespaceduringtheperiodthat
itpaidtherent,butnocredibleevidenceestablishingcampaignuseofthespacewas
produced,i.e.,thevericationrequirementoftherulewasnotsatised.
96
A Member and the Member’s campaign staff should also review the FEC
regulationson campaign transactionswith a candidateor afamilymember ofthe
candidate before entering into any such transaction.
97
The FEC regulations also
essentiallyprecludeaMember’scampaignfrompayingfor useofanyspacein the
personalresidenceoftheMemberoramemberofhisorherfamily.Therulesissued
bytheFECthatdeneimpermissiblepersonaluseofcampaignfundsareaddressed
generallyinthefollowingsection.
The FEC Personal Use Regulations.Asnotedabove,FECA,asamended
in2002byBCRA,providesthatacontributionordonationacceptedbyacandidate
ortheholderofafederalofcemaynotbe“convertedbyanypersontoanypersonal
use.”2U.S.C.§439a(b)(1).CongresscodiedforthemostparttheFEC’spreviously
issuedregulationsonpersonaluseandretainedthebanonpersonaluseofcampaign
funds.SinceBCRA’spassage,theFEChaspublishednewregulationsthat,liketheir
predecessorregulations,both(1)provideageneraldenitionoftheterm“personal
use”and(2)determinethatcertainusesofcampaignfundsconstitutepersonaluse
andhenceareprohibited.
The general denition in the regulations provides that an impermissible
“personaluse”ofcampaignfundsisusetopayanexpenseofanypersonthatwould
beincurredevenintheabsenceofthecandidacyforofce:
Personal use means anyuseof funds in a campaign account of
a present or former candidate to fulll a commitment, obligation or
expenseofany personthatwould existirrespectiveofthecandidate’s
campaign....[11C.F.R.§113.1(g).]
Amongthe particular usesof campaignfunds thatarespecied inthe FEC
regulations as constituting an impermissible personal use are payments for the
following:
• Householdfooditemsorsupplies,orclothing;
• Mortgage,rentorutilitypaymentsforanypartofanypersonalresidenceofthe
96
Id. at25-34.
97
11C.F.R.§113.1(g)(1)(i)(E),(H);regardingthehiringofaMember’srelativeasaconsultant
totheMember’scampaigncommittee,seeFECAdvisoryOpinion2001-10.
Campaign Activity 181
candidateorafamilymember;
• Admissiontoasportingevent,concert,theaterorotherformofentertainment,
unlesspartofaspeciccampaignactivity;
• Dues,feesorgratuitiesatacountryclub,healthclub,recreationalfacilityor
othernon-politicalorganization,unlesspartofthecostsofaspecicfundraising
event;and
• Tuitionpayments,otherthanforthetrainingofcampaignstaff.
98
11 C.F.R. § 113.1(g)(1)(i). In addition, payments to the candidate or to
a member of the candidate’s family for real or personal property owned by any of
thoseindividuals,orforbonadeservicestothecampaign,constituteimpermissible
personaluseofcampaignfundstotheextentthepaymentsareinanamountthat
exceedsfairmarketvalue.Id.,§113.1(g)(1)(i)(E)(2),(H).
Asnotedpreviously,thedonationofcampaignfundstocharitableandsimilar
organizationsisgenerallypermissibleunderFECA.However,theFECpersonaluse
regulationsprohibitadonationtosuchanorganizationiftheMembermakingthe
donation“receivescompensationfromtheorganizationbeforetheorganizationhas
expendedtheentireamountdonatedforpurposesunrelatedtohisorherpersonal
benet.”Id.§113.1(g)(2).
As to other possible uses of campaign funds – including for meal expenses,
travelexpenses,vehicleexpenses,andlegalexpenses–theFECregulationsprovide
thattheCommissionwillmakeadeterminationastopersonaluseona“casebycase
basis.”Id.§113.1(g)(1)(ii).Theregulationsalsoaddresstwo“mixeduse”situations:
• Campaign-fundedtravel thatincludes bothcampaign-related activitiesand
personalactivities;and
• Useofacampaign vehicleforpersonalpurposesinanamountthatismore
than de minimis.
Inbothofthosesituations,theperson(s)benetingfromthepersonalusemust
reimbursethecampaigninanappropriateamountwithin30days.Id.§113.1(g)(1)(ii)
(C),(D).(Regardinguseofacampaignvehiclefornon-campaignpurposes,see below.)
Any questions on these rules should be directed to the FEC. In addition,
as noted above, the FEC will provide a written advisory opinion in response to a
98
However,inAdvisoryOpinion1997-11,theFECapprovedofaMember’sproposeduseof
campaignfundstocoverthecostsofaSpanishimmersionclassthatshewishedtotakeforthepurpose
ofenablinghertobettercommunicatewithherconstituents.TheMemberhadrepresentedthather
districtincludesalargenumberofconstituentswhospokelittleornoEnglish.
182 HOUSEETHICSMANUAL
specic,writtenadvisoryopinionrequestonanactivitythattherequestingpersonis
undertakingorplanstoundertake.11C.F.R.pt.112.Bothadvisoryopinionrequests
totheFECandtheopinionsthemselvesaremattersofpublicrecord.
In summary, under House rules, except for certain permitted ofcial uses
discussed in the following section, campaign funds are to be used for bona de
campaignorpoliticalpurposesonly.Campaignfundsarenottobeusedtoenhance
a Member’s lifestyle, or to pay a Member’s personal obligations. Members have
wide discretion in determining what constitutes a bona de campaign or political
purposetowhichcampaignfundsandresourcesmaybedevoted,butMembershave
nodiscretionwhatsoevertoconvertcampaignfundstopersonaluse.Furthermore,
HouserulesrequirethatMembersbeableto verifythatcampaignfundshave not
beenusedforpersonalpurposes.
Use of Campaign Funds or Resources for Ofcial House Purposes
Inadditiontoprohibitingtheuseofcampaignfundsandresourcesforpersonal
purposes, House rules generally restrict their use for ofcial House purposes. 
Asdiscussedbelow,theuseofcampaignfundsisspecicallyprohibitedforcertain
typesofofcialexpenses.However,federallawandHouserulespermittheuseof
campaignfundsincertaincircumstancesforotherofcialHousepurposes,whichare
detailedbelow.Inaddition,therearecertainactivitiesthataMembermay,athisor
herdiscretion,designateaseither ofcialorpolitical.WhentheMemberdesignates
anactivityaspolitical,theMembermay,subjecttocertainrequirements,payforthe
activitywithcampaignfunds,butmaynotuseanyofcialfunds.WhentheMember
designatesanactivityasofcial,theMembermaysupporttheeventwithcampaign
fundssubjecttothelimitationsbelow.
Restrictions on Ofcial Use of Campaign Funds.Since1977theHouse
rules have prohibited Members from maintaining an “unofcial ofce account,” or
havingsuchanaccountmaintainedfortheiruse.Thisprohibitionisnowsetforthin
HouseRule24,clause1.Thepurposeofthe1977amendmentswastocreatea“wall”
betweencampaignfundsandofcialallowances,with“campaignfundsusedonlyfor
politicallyrelatedexpensesononeside,andofcialallowancesusedonlyforofcial
purposesontheother.”
99
Theprohibitionagainstusingcampaignfundsforofcial
purposeswasenactedintostatutorylawin1990,andisfoundat2U.S.C.§59e(d).
In2003,§59e(d)wasamendedtonarrowtheprohibitionontheuseofcampaign
funds for ofcial purposes to certain categories of expenses. Section 59e(d) now
providesthatnoMemberoftheHouse“maymaintainoruse,directlyorindirectly,an
unofcialofceaccountordefrayofcialexpensesforfrankedmail,employeesalaries,
99
HouseComm’nonAdmin.Review,Financial Ethics,H.Doc.95-73,95
th
Cong.,1
st
Sess.17,
18(1977).
Campaign Activity 183
ofce space, furniture, or equipment and any associated information technology
services(excludinghandheldcommunicationdevices)”from–
(1)fundsreceivedfromapoliticalcommitteeorderivedfroma
contributionorexpenditure(assuchtermsaredenedin[theFederal
ElectionCampaignAct]);
(2)fundsreceivedasreimbursementforexpensesincurredbythe
SenatororMemberinconnectionwithpersonalservicesprovidedbythe
SenatororMembertothepersonmakingthereimbursement;or
(3) any other funds that are not specically appropriated for
ofcialexpenses.[Emphasisadded.]
Clause1ofHouseRule24wasamendedatthebeginningofthe109
th
Congressto
conformtocurrentlaw.Theeffectofthesechanges,asdescribedmorefullybelow,
wastoallowtheuseofcampaignfundsforofcialpurposesincertaincircumstances
toeliminatesomeinconveniencestoMembersunderthepreviousrules.Thefollowing
is adescriptionof the congressional expenses thatmaybe paid with funds ofthe
Member’sprincipalcampaigncommittee.
Expenses of a Motor Vehicle That Is Used for Ofcial House Travel. It
ispermissibleforaMembertoleaseorpurchaseamotorvehiclewithcampaignfunds
andtousethatvehicleonanunlimitedbasisfortravelforbothcampaignandofcial
Housepurposes.Campaignfundsmayalsobeusedtopaytheexpensesincurredin
operatingthevehicle,suchasinsurance,maintenanceandrepair,registrationfees,
andanypropertytax.
However, when a vehicle that is paid for with campaign funds is used for
personalpurposes–i.e., fordrivingtoandfromone’sofcialorcampaignofce–itis
necessarytoreimbursetheMember’scampaigncommitteeinanappropriateamount
withpersonalfunds.MembersshouldconsultwiththeFEConhowtheamountof
reimbursementshouldbedetermined.FECregulationsprovidethatreimbursement
should be made within 30 days of the personal use, and thus it appears that
reimbursementforregularpersonalusemustbemadeonamonthlybasis.
Example 19.AMemberhasthreeeventsscheduledinhisdistrictin
oneday. The rstand last arepolitical events, and thesecond is an
ofcialevent.Hemayusethecarleasedbyhiscampaigntotraveltoall
threeevents.
Example 20.AMemberwishestouseavehicleleasedbythecampaign
forregularcommuting–i.e.,fordrivingtoorfromtheMember’sofcial
184 HOUSEETHICSMANUAL
or campaign ofce. Such use would be a permissible use for which
reimbursementmustbemadefromtheMember’spersonalfunds.
Expenses of a Cell Phone or BlackBerry That Is Used for Ofcial House
Business.ItispermissibleforaMembertoacquirea“handheldcommunications
device” (e.g., a cell phone, a BlackBerry, or a combination cell phone/BlackBerry
device,andassociatedcommunicationsservices)withcampaignfunds,andtousethe
deviceonanunlimitedbasisonbothcampaignmattersandofcialHousematters.
MembersshouldcontacttheCommitteeonHouseAdministrationforinformationon
connectinganyhandheldcommunicationsdevicetotheHouseinfrastructure.
Theseamendmentsdiscussed abovedidnot changethegeneral restrictions
onengagingincampaignorpoliticalactivityinHouseroomsorofces,ortherules
thatgenerallyprohibitusingcongressionalofceresourcesforcampaignorpolitical
purposes. Inparticular,Membersandstaffshouldbeawareofthefollowing:
• AMemberor staff personmay not use acampaign-funded communications
devicetodownloaddataorinformationresidingintheHouseinfrastructure
(e.g., a correspondence management service (CMS) database, the global
addressbook,oraListservdatabase)andthenusethatdataorinformationfor
campaignpurposes;
• EventhoughacellphoneorBlackBerryispaidforwithcampaignfunds,itmay
notbeusedtomakeoranswercampaign-relatedcalls,ortosendorrespondto
e-mailsoncampaignmatters,whiletheuserisinaHouseroomorofce;
• Criminal law (18 U.S.C. § 607) prohibits soliciting campaign contributions
infederal roomsand buildingsand, thus,Members andstaff areprohibited
fromusingoneofthesedevicestosolicitacampaigncontributionwhileinthe
Capitol,aHouseofcebuilding,oradistrictofce;and
• Although it is permissible to use a campaign-funded BlackBerry to send or
respondtocampaignorpoliticale-mailswhentheuserisnotinaHouseroom
orofce,the use of one’s ofce desktop computer (including one’s “mail.
house.gov” e-mail address) to send or receive such communications
continues to be prohibited.
Expenses of Ofcial or Ofcially-Related Travel. A Member may use
campaignfunds topay ofcialorofcially-related travelexpenses. This authority
is especially useful for travel that is ofcial in nature, but the expenses of which
maynotbepayablefromofcialallowances(includingthoseforacongressionalofce
jobapplicant,anunpaidcongressionalofceinternwhileonofcialbusiness,anda
speakerorguestatanofcialHouseevent).Itisalsopermissibletousecampaign
fundsfortravelexpensesassociatedwithaproperofcially-connectedtripwhenthe
sponsorisnotabletocoveralloftheexpenses.
Campaign Activity 185
Expenses in Connection With Ofcial House Events. In a Committee
Advisory memoranda ofMay8, 2002, the Committee announced a policy allowing
Members to use funds of their principal campaign committee to pay for food and
beverage expenses at ofcial Houseevents, such as town hall meetings, briengs,
caucus events, conferences, and other events sponsored by their Member ofce,
whetherintheircongressionaldistrictoronCapitolHill.TheamendmenttoHouse
Rule24inthe109
th
CongressafrmedthispreviousCommitteeguidanceonfoodand
beverageexpenses,andalsopermitsMemberstopaycertainotherexpensesofsuch
aneventwithcampaignfunds,suchasroomrental,rentalofasoundsystem,andas
notedabove,thetravelexpensesofaguestspeakerorotherparticipant.
Gifts for Foreign Dignitaries. ItispermissibleforaMembertousecampaign
fundstopurchaseagiftforavisitingforeigngovernmentofcialasamarkofcourtesy.
Cautionary Points. Severalpointsshouldbekeptinmindinconsidering
whethertousecampaignfundstopayforcongressionalexpenses:
• The only campaign funds thata Member may use to pay forcongressional
expensesarefundsofhisorherprincipal campaign committee–not the
fundsofaleadershipPACoramulticandidatecommittee.
• Therehasbeennochangeintherulesinsofarastheygenerallyprohibitother
privateorganizationsorindividualsfromsubsidizinganycongressionalofce
oractivity,whetheronacashoranin-kindbasis.
• CongressionalMemberOrganizations(“CMOs”)areofcialHouseentitiesthat
havenoindependentfunding,andcampaignfundsmaynotbeusedtoprovide
fundingfor,orotherwisedirectlysupportsuchorganizations(otherthanfood
andbeverageexpensesatmeetings).However,Memberorstaffinvolvement
in CMOs may be supported with the use of campaign funds, subject to the
limitationsabove(e.g.,acampaign-paidcellphonemaybeusedtomakeCMO-
relatedphonecalls).Similarly,campaignfundsmaynotbeusedtodirectly
subsidizetheexpensesofaHousecommittee.
• NeitheraMembernoranyoneworkingonhisorherbehalfmayeithersolicit
campaigncontributionsforthepayment ofcongressionalexpenses oraccept
campaigncontributionsthatareinanywayearmarkedforthepaymentof
suchexpenses.
• Whileitappearsthattheuseofcampaignfundsasdescribedhereispermissible
under FECA, Members should nevertheless consult with the FEC on any
questions that arise under FECA, includinganyquestions on how payment
ofanycongressionalexpenseistobedisclosedonthereportsthataMember’s
campaigncommitteeleswiththeFEC.
186 HOUSEETHICSMANUAL
Congressional Expenses That May Not Be Paid With Campaign Funds.
HouseRule24setsforthvecategoriesofcongressionalexpensesthatmaynotbepaid
usingcampaignfunds.Theyare:ofcespace,furniture,equipmentandassociated
informationtechnologyservices(exceptforhandheldcommunicationdevices),mailor
othercommunications,andcompensationforservices.Asageneralmatter,expenses
inthesecategoriesmustbepaidwithofcialHousefundsunderregulationsissued
bytheCommitteeonHouseAdministration.Therstthreeofthesecategoriesare
generallyself-explanatory,whiletheothertworequirefurtherexplanation.
Useofcampaignfundstopayanyexpensesofcongressional mailisprohibited.
Whiletheprohibitionagainstuseofcampaignfundsclearlyappliestopaymentofthe
expenses of franked mail, the rules also prohibit a Member from using campaign
fundstopaytheexpensesofpreparingorsendinganynon-frankedmailfromhisor
hercongressionalofce.
100
As a general matter, the forms of congressional “communications” that
may not be paid with campaign funds are those set out in the regulations issued
bytheCommitteeonHouseAdministrationonuseofofcialallowancestopayfor
communications(e.g.,advertisementsofatownmeetingorotherHouseevents,the
congressionalofcewebsite,ofcialstationery,andofcialaudioandvideorecordings
andmaterials).
Asnotedabove,thelimitationontheuseofcampaignfundsextendstogoods
andservicesthatareacquiredwithcampaignfunds.Inthecontextofcommunications,
theStandardsCommitteehaslongadvisedthatnobrochuresoranyothermaterials
printedusingcampaignfundsmayincludetheaddressortelephonenumberofthe
congressionalofce.
Example 21.AMember’sofcebeginstoreceivealargeamountofmail
onalegislativeissuethatisbeforetheHouse,andtheMemberwants
theletterstobeansweredpromptly.TheMembermaynotreferanyof
theletterstohiscampaignstaffforresponse.Theonlycommunications
that a congressional ofce may refer to the campaign staff are those
relatingtothecampaign.
Withregardto websites,theStandardsCommitteehasadvisedasfollows:
100
InadditiontothelimitationinHouseRule24,clause1,theuseofcampaignfunds(orother
non-appropriated funds) to pay ofcial mailing expenses is specically prohibited by certain other
provisionsofstatutorylawandtheHouseRules.Oneofthese,2U.S.C.§59e(c),requiresthatofcial
mailexpensesbepaidonlyfromfundsspecicallyappropriatedforthatpurposeandprecludestheir
supplementationbyfundsfromanyothersource,publicorprivate.Underotherprovisions,amass
mailingmaynotbesentunderthefrankunlessthecostofpreparingandprintingthemailingarepaid
exclusivelyfromappropriatedfunds.See39U.S.C.§3210(f);HouseRule24,clause6.
Campaign Activity 187
• A Member’s campaign website may not include a link to the congressional
ofcesite;and
• AcongressionalofcesitemaynotbeadvertisedontheMember’scampaign
websiteoronmaterialsissuedbytheMember’scampaign.
The rules issued by the Committee on House Administration regarding
ofcialMemberandcommitteewebsitesaresummarizedabove.Thoserulesinclude
prohibitionsagainstthosesiteslinkingorreferringtoanysitecreatedoroperatedby
acampaignorcampaign-relatedentity.
A Member may not use campaign funds to pay any compensation for the
performance of ofcial duties or for services to his or her congressional
ofce.Thus,forexample,aMembermaynotusecampaignfundstopayanindividual
toassisttheMemberintheperformanceofhisorherofcialduties,evenifthework
wasperformedoutsidethecongressionalofce.
Activities That May Be Either “Ofcial” or “Political” at the Member’s
Option. While, as described above, Members are restricted in using campaign
fundstopayofcial Houseexpenses,therearea numberofactivitiesthatmay be
either“ofcial”or“political”attheMember’soption.Themajorexamplesareevents
sponsoredbyaMemberonlegislativeorothergovernmentaltopics,suchastownhall
meetingsandconferences;statementsorreleasesissuedbyaMemberonalegislative
orothergovernmentalissue;andactivitiesrelatingtoaraceforaHouseleadership
ofce.However,theStandardsCommitteehasstated:
[O]ncetheMembermakeshisdetermination[onwhetheranactivityis
tobeofcialorpolitical],heisboundbyit.Asingleeventcannot,for
purposesoftheHouserules,betreatedasbothpoliticalandofcial.
ThisrulewasoriginallyenunciatedbytheStandardsCommitteeinAdvisory
Opinion No. 6,whichwasissuedonSeptember14,1982andisreprintedinupdated
formintheappendices.ThatopinionaddressedaMember’sinquiryonwhetherhe
couldusecampaignfundstopromoteatownmeetinginareasaddedtohisdistrictby
reapportionmentafterhiscongressionalofcehadmailednoticeofthemeetingtohis
currentdistrictunderthefrank.TheCommitteeadvisedtheMemberthathecould
notdo so. TheMember couldhave designatedthe eventas apolitical (campaign)
oneorasanofcial(representative)one.Bysendingannouncementsofthemeeting
underthefrank,whichcanbeusedonlyintheconductofofcialbusiness,theMember
denedtheeventasanofcialone.Accordingly,theMemberwasprohibitedfrom
subsequentlyusing campaignfunds(or anyother privatefunds)to advertiseor to
conductthemeeting.
Conversely,ifaMemberdesignatesanevent(oranyotheractivity)aspolitical
188 HOUSEETHICSMANUAL
byusingcampaignfundsforit,noofcialresourcesmaythenbeused.Thismeans
thatcongressionalstaffshouldnotmakearrangementsforsuchanevent,invitations
toitmaynotgooutunderthefrank,andthecongressionaltelephonenumbermay
notbedesignatedforRSVPs.
Ofcourse,inusingofcialHousefundsor,alternatively,campaignfunds,to
paytheexpensesofanysuchactivity,aMembermustcomplywithanyrequirements
orrestrictionsimposedby,respectively,theCommitteeonHouseAdministrationand
theFrankingCommission,ortheFederalElectionCommission.
Other Applicable Laws, Rules, and Standards of Conduct
Laws and Rules on Campaign Letterhead
Letterhead and envelopes that a Member uses for campaign or political
purposes,includingthesolicitationoffunds,aresubjecttoatleastthreeauthorities.
First, the “facsimile rule,” which is set forth in House Rule 23, clause 11
prohibitsaMemberfrom–
authoriz[ing]orotherwiseallow[ing]anindividual,group,ororganization
not under the direction and control of the House to use the words
‘CongressoftheUnitedStates,’‘HouseofRepresentatives,’or‘Ofcial
Business,’ or any combination of words thereof, on any letterhead or
envelope.
A Member’s campaign committee is a group or organization “not under the
control and direction oftheHouse” and hence is subject to the restrictions of this
rule,i.e.,theletterheadsandenvelopesthataMemberusesforcampaignorpolitical
purposesmaynotincludetheinstitutionalnamescitedintheruleorotherwiseviolate
theprovisionsoftherule.Sinceitisreasonabletoexpect,however,thatcampaign
letterhead andenvelopes adequately describe the ofceforwhich the candidate is
running,institutionalnamesmaybeusedifclearlyinthatcontext.Inotherwords,
letterhead and envelopes may use phrases such as “Smith for Congress,” “Smith
forHouseofRepresentatives,”or“ReelectRepresentativeSmithtoCongressofthe
United States.” Campaign letterhead and envelopes should not in other respects
(suchasfontorlayout)resembleofcialstationery.
Second,aprovisionofthefederalcriminalcode,18U.S.C.§713,prohibitsthe
useofcertaingovernmentalsealson,amongotherthings,stationery,“forthepurpose
ofconveying...afalseimpressionofsponsorshiporapprovalbytheGovernment
oftheUnitedStatesorbyanydepartment,agency,orinstrumentalitythereof.”As
amendedin1997,thestatuteappliestonotonlytheGreatSealoftheUnitedStates,
Campaign Activity 189
butalsotheSealoftheHouseofRepresentativesandtheSealoftheUnitedStates
Congress.
Third,theDeceptiveMailingsPreventionActprovidesthatanysolicitation
byanongovernmentalentitythatreasonablycouldbeinterpretedasimplyingany
federal government connection, approval or endorsement must carry a disclaimer,
bothontheinternaldocumentsandontheenvelope,conspicuouslystatingthatitis
notanofcialmailing.
101
Amongthefeaturesthatmay,underthestatute,raisean
implicationofgovernmentalapprovalistheuseofasealorinsignia,orcitationto
afederalstatuteorthenameofafederalprogram.Inaddition,suchasolicitation
maynotincludeafalserepresentationstatingorimplyingthatfederalgovernment
benetsorserviceswillbeaffectedbyanycontributionorfailuretocontribute.
In summary, a letter sent by a Member on behalf of either the Member’s
campaignoranotherpoliticalorganizationmaynothave,intheletterheadoronthe
envelope,either–
• The institutional names “Congress of the United States” or “House of
Representatives,”unlessclearlyinthecontextdescribingtheofceforwhich
thecandidateisrunning,asdiscussedabove;
• Theterm“OfcialBusiness;”or
• Anylikenessofanyofcial seal,includingtheSealoftheUnitedStates,orthe
SealoftheHouseortheCongress.
Accordingly, such a letter may not be sent on a letterhead that resembles
ofcialstationery,evenifthestationerywasnotprintedatgovernmentexpenseand
bearsadisclaimertothateffect.
However,the letterhead andenvelope of acampaign or politicalletter may
use–
• Personaltitlessuchas“MemberofCongress,”“Representative,”“Congressman,”
or“Congresswoman;”
• A Member’stitle as a chair orrankingmember of a full committee,or as a
member of the House leadership, as those are considered personal titles as
well;
• ThedistrictservedbytheMember,andtheMember’scommitteeassignments;
and
• A likeness of the Capitol Dome; the Dome is in the public domain and is
101
39U.S.C.§3001(h),(i).
190 HOUSEETHICSMANUAL
thereforenotprotectedinthesamemannerasofcialseals.
AttimestheStandardsCommitteereceivesinquiriesregardingthestationery
thatissoldintheHousestationerystorethatbearsanembossedsealor“Houseof
Representatives”intheletterhead.Inaccordancewiththeadvicesetforthabove,
evenwhenthatstationeryispurchasedwiththeMember’spersonalfundsorwith
campaignfunds,itshouldnotbeusedtosolicitcampaignsupportorcontributions.
(However, it is permissible for a Member to use this stationery, purchased with
personalorcampaignfunds,tosendpersonal thankyounotesforcontributionsor
campaignassistance.)
Incertaincircumstances,FECAandimplementingregulationsissuedbythe
FECrequirethat letters senton behalf ofafederal campaign includea campaign
disclaimer.
102
AnyquestionsonthoserulesshouldbedirectedtotheFEC.
Finally,forreasonssetforthabove,theletterheadofstationeryprintedwith
campaignfunds–andinparticularanyletterheadusedforsolicitingcontributions–
maynotincludeanyaddressortelephonenumberofanyHouseofce.
Gift Rule Provisions Applicable to Campaign Activity
Members and staff are fully subject totheprovisionsof the House gift rule
(HouseRule25,clause5)whileengagingincampaignactivity.Thisincludesstaff
personswhogotopart-timestatusorLeaveWithoutPaystatusforthepurposeof
doingcampaignwork.AfullexplanationofthegiftruleisfoundinChapter2.Several
provisionsoftheruleapplyspecicallywithregardtocampaignandpoliticalactivity,
andthoseprovisionsarenotedbrieyhere.
First,theruleprovidesthatamongthegiftsthataMemberoremployeemay
acceptisacontributionthatislawfullymadeundertheFederalElectionCampaign
Act,oralawfulcontributionforelectiontoastateorlocalgovernmentofce(House
Rule25,clause5(a)(3)(B)).Seethediscussionon“NoLinkwithanOfcialActionor
SpecialAccess.”
Second, a Member or employee may accept “[f]ood, refreshments, lodging,
transportation,andotherbenets...providedbyapoliticalorganization...in
connectionwithafundraisingorcampaigneventsponsored bysuchorganization.”
(clause 5(a)(3)(G)(iii)). The political organizations to which this provision refers
are those described in § 527(e) of the Internal Revenue Code, which encompasses
entitiesorganizedandoperatedprimarilyforthepurposeofacceptingcontributions
ormakingexpendituresforthepurposeofinuencingtheelectionofanyindividual
toapublicorpoliticalofce.
102
2U.S.C.§441d;11C.F.R.§110.11.
Campaign Activity 191
Inordertoqualifyasafundraisingeventunderthisprovision,the primary
purposeoftheeventmustbetoraisecampaignfunds.Thus,Membersandemployees
mayparticipateinagolftournamentorattendashoworothereventsponsoredby
apoliticalorganizationonlyiftheeventisabonadefundraisingevent.Inother
words,itwouldnotbepermissibletoplayaroundofgolfatthirdpartyexpenseand
thenforthethirdpartytoseparatelymakeadonationtoapoliticalorganizationthat
isnottheeventorganizer.
Thisprovisionallows the acceptanceofa ticket toa political fundraising or
campaigneventonlyfromthepoliticalorganizationthatissponsoringtheevent.It
doesnotallowtheacceptanceofaticketfromapersonthatsimplydonatedmoney
orpurchasedticketstotheevent.However,itispossiblethataticketfromsomeone
otherthanthesponsoringpoliticalorganizationmaybeacceptableunderoneofthe
otherprovisionsofthegiftrule.Forexample,aMemberoremployeemayaccepta
ticketthathasavalueoflessthan$50,providedthatthedonorisnotaregistered
lobbyist,foreignagent,orentitythatemploysorretainssuchaperson,andthatthe
giftdoesnotexceedtheannual,per-sourcegiftlimitationoflessthan$100(clause
5(a)(1)(B)).Underlongstandingpolicy,atickettoapoliticalfundraisingdinner(as
wellasacharityfundraisingdinner)isvaluedatthecostofthedinner,ratherthan
thefacevalueoftheticket.Thus,dependingonthecircumstances,itispossiblefor
atickettoafundraisingdinnertobeacceptableundertheless-than-$50provisionof
thegiftruleeventhoughthetickethasafacevalueofgreaterthan$50.
AsmorefullydescribedinChapter2ongifts,duringthedaysofthenational
politicalparty conventions,a Membermay notparticipate inan eventheld inthe
Member’shonorpaidforbyaregisteredlobbyistoranentitythatemploysorretains
suchaperson.HouseRule25,clause8.
ThegiftrulealsoallowsMembersandstafftoaccepttravelexpensesfroma
privatesourcetoparticipateinafact-ndingtriporappearforaspeakingengagement.
OccasionallyaquestionarisesastowhetheraMemberorstaffperson,whileonsuch
a trip,may engage in incidentalcampaign activity, such as attendinga campaign
fundraiser.TheStandardsCommitteeunderstandsthatFECruleslimittheability
ofMembersandstafftoengageinfederalcampaignactivityinthecourseofprivately
paidtravel.Beforeundertakingsuchatripthatwouldincludecampaignactivity,
aMemberorstaffpersonshouldconsultwiththeFEContheapplicabilityofthose
rules.
Member Involvement With an Independent Redistricting Fund
Members are often interested in supporting organizations dedicated to
inuencingtheredistrictingprocessthatcanariseoutoftheoncein-a-decadecensus.
AMembermayassociatewithandraisemoneyforsuchafundonlyinaccordance
withtheguidanceonthesolicitationoffundscontainedinChapter10,oninvolvement
192 HOUSEETHICSMANUAL
withoutsideorganizations.Becausesuchorganizationstypicallyareneitherpolitical
organizationsunder§527oftheInternalRevenueCode,norqualiedunder§170(c)of
theCode,writtenCommitteeauthorizationtosolicitonbehalfofsuchanorganization
isgenerallyrequired.
Inaddition,theCommitteeunderstandsthattheBipartisanCampaignReform
Actimposedcertainlimitationsontheabilityoffederalofceholders,includingHouse
Members, to solicitonbehalf of outside organizations. FEC guidance on the status
under FECA of organizations dedicated to inuencing the redistricting process is
currentlyunclear,
103
and it istherefore advisable forany Member wishingto raise
fundsonbehalfofsuchanorganizationtoalsocontacttheFEC.
Other Provisions of the Federal Criminal Code Applicable to
Campaign Activity
Anumberoftheprovisionsofthefederalcriminalcodethatapplytocampaign
activity are discussed in the preceding sections of this chapter. There are other
provisionsofthecodethatHouseMembersandemployeesshouldbeawareofaswell.
Underthoseprovisions,aMemberoremployeemaynot–
• Promisetousesupportorinuencetoobtainfederalemploymentforanyonein
returnforapoliticalcontribution(18U.S.C.§211);
• Deprive,attempttodeprive,orthreatentodepriveanyoneofemploymentorany
otherbenetprovidedforormadepossiblebyanActofCongressappropriating
relieffundsbecauseofthatperson’spoliticalafliation(18U.S.C.§246);
• Payoroffertopayanypersontovoteortowithholdavoteortovoteforor
againstanycandidateinafederalelection(18U.S.C.§597);
• Solicit, accept, or receive an expenditure in consideration of a vote or the
withholdingofavoteinafederalelection(18U.S.C.§597);
• UseanyappropriationbyCongressforworkrelieforforincreasingemployment,
orexerciseanyauthorityconferredbyanyappropriationsact,forthepurpose
ofinterferingwith,restraining,orcoercinganyindividualintheexerciseofthe
righttovote(18U.S.C.§598);
• Asacandidate,directlyorindirectlypromisetoappointanypersontoanypublic
orprivatepositionforthepurposeofprocuringsupportforthatcandidacy(18
U.S.C.§599);
• Promiseemploymentoranyotherbenetprovidedforormadepossiblebyany
ActofCongressasarewardforpoliticalactivityorsupport(18U.S.C.§600);
103
SeealternateunapproveddraftsofFECAdvisoryOpinion2003-38.See alsoFECAdvisory
Opinions1990-23,1982-37,and1982-14.
Campaign Activity 193
• Causeorattempttocauseanyonetomakeapoliticalcontributionbydenying
orthreateningtodenyanygovernmentemployment,orbenetprovidedforor
madepossible,inwholeorinpart,byanyActofCongress(18U.S.C.§601);
• Solicitorreceivepoliticalcontributionsfrompersonsknowntobeentitledto
ortobereceivingreliefpaymentunderanyActofCongress(18U.S.C.§604);
• Furnish, disclose, or receive for political purposes the names of persons
receivingreliefpaymentsunderanyActofCongress(18U.S.C.§605);
• Intimidateanyfederalofceroremployeetosecurepoliticalcontributions(18
U.S.C.§606).
ElaborationoncertainoftheseprovisionsisfoundinapublicationoftheU.S.
Department of Justice, Federal Prosecution of Election Offenses, Seventh Edition,
May2007.
194 HOUSEETHICSMANUAL
195
OUTSIDE EMPLOYMENT AND INCOME
Overview
HouseMembersandemployeesaresubjecttovariouslaws,rules,andstandards
of conduct concerning their outside employment activities. For example, a key
provisionoftheHouseCodeofOfcialConduct(HouseRule23,clause3)generally
prohibits aMember,ofcer, or employee from using his orherofcial position for
personalgain.Anotherprovision(HouseRule25,clause1(a)(2))limits(andinsome
casesabsolutelyprohibits)thereceiptofhonoraria.Furthermore,provisionsofthe
federalcriminalcode(18U.S.C.§§203,205)generallyprohibitMembers,ofcers,and
employees fromprivately representing others beforethefederal government. The
laws,rules,andstandardsofconductapplicabletoallHouseMembersandemployees
arediscussedintherstpartofthischapter.
Membersandcertainhighlycompensatedstaff(referredtoas“seniorstaff”or
“veryseniorstaff”)aresubjecttoadditionalrestrictionsonthetypesofpaidoutside
employmenttheymayengagein,aswellasanannuallimitontheamountofearned
incometheymayreceivefromtheiroutsideemployment.Inaddition,Membersand
“seniorstaff”mustseekandreceivepriorCommitteeapprovalbeforeengaginginpaid
teachingorpublishingabook.Furthermore,Membersand“veryseniorstaff”must
notifytheCommittee onStandardsof OfcialConductwithin threebusinessdays
afterthecommencementofanynegotiationoragreementforfutureemploymentor
compensationwithaprivateentity(HouseRule27,clause1).Theseindividualsare
alsosubjecttocertainpost-employmentrestrictionsaftertheyleavetheHouse(18
U.S.C.§207(e),(f)).AdditionalrestrictionsapplyonlytoMembersthemselves.For
example,aMemberwhorequestsan“earmark”orlimitedtaxortariffbenetmust
certifythatneithertheMembernortheMember’sspousehasanancialinterestin
theprovisionbeingrequested.AlsoaddressedaretherulesonvotingbyMembersin
mattersinvolvingapersonalnancialinterest.TheprovisionsapplicabletoMember
and highly compensated staff are discussed later in this chapter. The outside of
employmentconsiderationsforthespousesofMembersandstaffarediscussedatthe
endofthischapter.
Laws, Rules, and Standards of Conduct Governing the Outside
Employment of Members and All Staff
Whilestaffmemberswhoarepaidbelowtheseniorstaffratearenotsubjectto
thespeciclimitationssetoutlaterinthischapter,theyaresubjecttoanumberof
otherrestrictionsontheiroutsideemployment.Thoserestrictionsaresummarized
inthissection.
Therestrictionssetoutherearealsoapplicabletotheoutsideemploymentof
196 HOUSEETHICSMANUAL
Membersandseniorstaff.Thus,whenaMemberorseniorstaffpersonisconsidering
undertakingoutsideemployment,theindividualmustensurethattheemployment
complieswithboththespeciclimitationsandthefollowingrestrictions.
Prohibition Against Use of One’s Position With the House for Personal Gain
ItisfundamentalthataMember,ofcer,oremployeeoftheHousemaynotuse
hisorherofcialpositionforpersonalgain,includinganygainthatwouldaccrueto
theindividualintheformofcompensationforoutsideemploymentactivities.Akey
provisionoftheHouseCodeofOfcialConduct(HouseRule23,cl.3)providesthata
HouseMember,ofcer,oremployee
may not receive compensation and may not permit compensation to
accruetohis benecial interestfrom any source,thereceipt of which
wouldoccurbyvirtueofinuenceimproperlyexertedfromhisposition
inCongress.
Asnotedinthedebateprecedingadoptionofthisrule,anindividualviolates
thisprovisionifheuses“hispoliticalinuence,theinuenceofhisposition...to
makepecuniarygains.”
1
Membersand staff,whenconsideringtheapplicability of
this provision to any activity they are considering undertaking, must also bear in
mindthatunderaseparateprovisionoftheCodeofOfcialConduct(HouseRule23,
cl.2),theyarerequiredtoadheretothespiritaswellastheletteroftheRulesofthe
House.Inanyevent,theStandardsCommitteeroutinelyadvisesMembersandstaff
toavoidsituationsinwhichevenaninferencemightbedrawnsuggestingimproper
conduct.
Inaddition,theCodeofEthicsforGovernmentService,whichappliestoHouse
Members,ofcers,andemployees,provides(at¶5)thatafederalofcialshouldnever
accept“benetsundercircumstanceswhichmightbeconstruedbyreasonablepersons
as inuencing the performance” of ofcial duties. The Committee found that this
standardwasviolated,forexample,whenaMemberpersuadedtheorganizersofa
privatelyheldbanktosellhimstockwhilehewasusinghiscongressionalpositionto
promoteauthorizationfortheestablishmentofthebank.
2
TheMemberalsosponsored
legislationtoremoverestrictionsonthedevelopmentofpropertyinwhichhehada
personalnancialinterest.Thus,theMemberwasfoundtohavewronglyusedhis
ofcialpositionforpersonalbenet.
In the same vein, the Code of Ethics for Government Service afrms (in
¶¶8and10)that“publicofceisapublictrust,”andprovidesthatafederalofcial
1
114Cong. Rec.8807(Apr.3,1968)(statementofRep.Price).
2
In the Matter of a Complaint Against Rep. Robert L.F. Sikes,H.Rep.94-1364,94
th
Cong.,2d
Sess.3-4(1976).
Outside Employment And Income 197
should“[n]everuseanyinformationcomingtohimcondentiallyintheperformance
ofgovernmentaldutiesformakingprivateprot.”
One of the purposes of these rules and standards is to preclude conicts
of interest. Although the term “conict of interest” may be subject to various
interpretationsingeneralusage,underfederallawandregulation,thisterm“islimited
inmeaning;itdenotesasituationinwhichanofcial’sconductofhisofceconicts
with his private economic affairs.”
3
The ultimate concern “is risk of impairment
ofimpartialjudgment,ariskwhichariseswheneverthereisatemptationtoserve
personalinterests.”
4
These rules and standards are applicable in a wide range of circumstances
relatingtooutsideemployment.Whenthereisapotentialforaconictofinterest
toariseinconnectionwithone’soutsideemploymentorotheractivities,itwouldbe
advisable to consult with the Standards Committee before accepting the position.
Forexample,aconictofinterestmayarisewhentheprospectiveoutsideemployer
isanentitywithinterestsbeforeCongress.InnoeventmayaMember,ofcer,or
employeeparticipate inlobbyingor advisingon lobbyingofeither Congressorthe
Executive Branch on behalf of any private organization or individual, even on an
uncompensated basis, as that would conict with a Member’s general obligation
to the public.
5
Other circumstances that implicate these rules and standards of
conductarediscussedbelow,regardingreceiptofexcessivecompensation,Member
ofcialactivitiesonmattersaffectingtheirpersonalinterests,outsideemployment
of one’s spouse, conict-of-interest concerns for staff members, and seeking future
employment.
Withregardto theoutsideemploymentof astaffperson,it maybepossible
for conict-of-interestconcernstobealleviatedthrougharequirementthatthestaff
personhavenoinvolvementinanymattercomingbeforethecongressionalofcethat
wouldbeofinteresttohisorheroutsideemployer.However,insomecircumstances,
such a requirement either is not feasible or would not be sufcient to satisfy the
applicablerulesandstandards.Inthosecircumstances,theremaybenoalternative
tothestaffpersondecliningorterminatingtheoutsideemployment.
Example 1. Anewly-hiredlegislativeassistantinaMember’sofce
whohadworkedforaconsultingandlobbyingrminWashingtonwishes
3
RobertS.Getz,Congressional Ethics3(1967);see alsoBaylessManning,Federal Conict of
Interest Laws2-5(1964);Black’s Law Dictionary319(8
th
ed.2004).
4
Association of the Bar of the City of New York Special Comm. on Congressional Ethics,
Congress and the Public Trust39(1970).
5
Thestatutory prohibition against representingothersbefore federal agenciesisdiscussed
laterinthischapter.
198 HOUSEETHICSMANUAL
tocontinuetoworkforthatrmonapart-timebasis.Hiscongressional
payisbelowtheseniorstaffrate.Thefederalissuesonwhichhewould
workforthermaredifferentfromthoseforwhichhehasresponsibility
inthecongressionalofce,andhewouldnotengageinanylobbyingfor
therm.Notwithstandingtheproposedlimitationsonhisworkforthe
rm,hemay notacceptany part-timeemploymentwith thatrm,as
itwould violate thegeneral principlethat Membersandstaff arenot
permittedtolobbyCongress.
Example 2. A Member is considering hiring an individual who is a
professional grant writer to research and handle constituent grant
requests in his district ofce. The individual would like to continue
to operate her grant-writing business on a part-time basis. Because
therewouldlikelybe,ataminimum,anappearanceofuseofherofcial
positionforpersonalgaininsuchcircumstances,shemustdiscontinue
heroutsidebusiness uponacceptingemployment inthecongressional
ofce.
Example 3. An outside organization that operates a congressional
internship program offers a congressional staff member part-time
employment as director of that program. Because such a position
wouldlikelyrequireuseofcontactsandinformationgainedthroughthe
individual’semploymentwiththeHouse,theoffermustbedeclined.
AttimesaMemberor staffpersonwishes toengagein outsideemployment
thatinvolvesthesellingofgoodsorservices.Onthebasisoftherulesandstandards
ofconductsetoutabove,aMembershouldnotundertakeanyoutsideemployment
thatwouldinvolvetheMemberpersonallyinthesellingorendorsementofanygoods
orservices.Onthesamebasis,ataminimum,anystaffpersonwhoengagesinsales
maynotsolicitpurchasesfromeither(1)anynon-congressionalpersonwithwhom
theemployeecameintocontactthroughthecongressionalofceorwhohasinterests
beforethecongressionalofce,or(2)anysubordinatestaffinhisorhercongressional
ofce.Inaddition,insolicitingsales,Houseemployeesmaynot,directlyorindirectly,
identify themselves as congressional staff, refer to their congressional duties, or
otherwisemakeuseoftheirstatusasacongressionalemployee.
The Standards Committee is available to advise Members, ofcers, and
employeesontheapplicabilityoftherulesandstandardsofconductinotherspecic
circumstances.
Rules on Receipt of Honoraria
UnderHouseRules,Members,aswellas Houseofcersandemployeeswho
Outside Employment And Income 199
arepaidabovethe“seniorstaff”rate,areprohibitedfromreceivinganyhonoraria.
6
Anhonorarium,asdenedintherules,is“apaymentofmoneyorathingofvaluefor
anappearance,speech,orarticle”(HouseRule25,cl.4(b)).TheHouseRulesfurther
providethatanofceroremployeewhoispaidbelowtheseniorratemayacceptan
honorarium,unlessanyoneofthreecircumstancesispresent:
• Thesubjectmatterofthespeech,article,orappearanceisdirectlyrelatedto
theofcialdutiesoftheindividual;
• ThepaymentismadebecauseofthestatusoftheindividualwiththeHouse;
or
• Thepersonoffering thehonorariumhas intereststhatmaybesubstantially
affected by the performance or nonperformance of the ofcial duties of the
individual(HouseRule25,cl.1(a)(2)).
AcomprehensivebanonhonorariawasoriginallyenactedaspartoftheEthics
ReformActof1989andtookeffectonJanuary1,1991.
7
Thereasonsforchanging
thelawonhonorariathenineffect–underwhichMembersandstaffweregenerally
free to accept honoraria of up to $2,000 per speech, appearance, or article – were
explainedbytheBipartisanTaskForceonEthicsReformasfollows:
Signicant increases in honoraria income in recent years have
heightenedthepublicperceptionthathonoraria[are]awayforspecial
intereststotrytogaininuenceorbuyaccesstoMembersofCongress,
particularlysinceinterestgroupsmostoftengivehonorariatoMembers
whoserveoncommitteeswhichhavejurisdictionovertheirlegislative
interests.
* * *
There is growing concern that the practice of acceptance of
honorariabyMembers,particularlyfrominterestgroupswithimportant
stakes in legislation, creates seriousconict of interest problems and
threatenstounderminetheinstitutionalintegrityofCongress.
8
In the Ethics Reform Act of 1989, the honoraria ban was both enacted as
statutorylaw(applicabletotheexecutivebranchaswellasthelegislativebranch)
6
HouseRule23,cl.5;HouseRule25,cl.1(a)(2).
7
Pub.L.101-194,§§601and804,103Stat.at1760,1776-78.
8
House Bipartisan Task Force on Ethics, Report on H.R. 3660, 101
st
Cong., 1
st
Sess. 13-14
(Comm.Print,Comm.onRules1989), reprinted in135Cong. Rec.H9253,H9256(dailyed.Nov.21,
1989)(hereinafter“Bipartisan Task Force Report”).
200 HOUSEETHICSMANUAL
and incorporated into the House Rules.
9
However, ina case brought on behalf of
certainexecutivebranchpersonnel,theSupremeCourtheldin1995thatthestatutory
honorariabanviolatedtheFirstAmendmentrightsofthosepersonnel.
10
Subsequently,
theU.S.DepartmentofJusticedeterminedthatthestatutoryprohibitioncouldnot
beenforced against anyfederal employee.
11
The provisionsof the HouseRules on
honorariawerenotaffectedbythoseactions,however,andthusHouse Members,
ofcers, and employees remain subject to those provisions.
12
Asnotedabove,forMembers,aswellasforofcersandemployeespaidator
abovetheseniorstaffrate,thebanisabsolute.Itencompassesevery appearance,
speech,orarticle,regardlessofitssubjectmatterorrelationshiptoofcialduties,and
theStandardsCommitteehasnoauthoritytograntwaiversunderanycircumstances.
13
Through 1998 the honoraria ban was likewiseabsolute forofcers andemployees
paidbelowtheseniorstaffrate.However,atthebeginningofthe106
th
Congressin
1999,thehonorariabanwasmodiedforstaffpaidbelowtheseniorstaffrate.Since
then,staffmemberspaidbelowthatratehavebeenallowedtoaccepthonorariathat,
underthecriteriaspeciedabove,areentirelyunrelatedtoeithertheirofcialduties
ortheirpositionwiththeHouse.
14
Example 4. A teacher’s union offers a staff member who works on
educationissues$2,000towriteanarticlefortheunionnewsletteron
legislativeinitiativestoimprovethequalityofpubliceducation.The
employee may write the article, but regardless of her House salary
level,shemaynotacceptanypayment.
Example 5. Astaff memberwritesanarticleonrare butteriesfor
anaturemagazine.Hewritesthearticleinhissparetime,usinghis
homecomputer.Thesubjectofthearticlehasnothingtodowithhis
9
5U.S.C.app.4§501(b);HouseRule43,cl.5(currentlynumberedasHouseRule23,cl.5);
HouseRule47,cl.1(a)(1)(B))(currentlynumberedasHouseRule25,cl.1(a)(2)).
10
United States v. Nat’l Treasury Employees Union,513U.S.454,470(1995).
11
Legality of Government Honoraria Ban Following U.S. v. National Treasury Employees
Union,Memorandum from Walter Dellinger,Ass’tAtt’yGen., U.S. Department of JusticeOfceof
LegalCounsel,toAttorneyGeneral(Feb.26,1996)(availableontheOfceofLegalCounselwebsite,
www.usdoj.gov/olc).
12
The SenaterulesprohibitingthereceiptofhonorarialikewisecontinueineffectforMembers,
ofcers,andemployeesoftheSenate.
13
Itshouldbenotedthatbecausetherulesdenehonorariumasapayment“foranappearance,
speechorarticle...by a Member ... ofcer or employee,”theCommitteedoesnotconstruetherules
toprohibitpaymentsforservicesrenderedbeforeanindividualbecameaMember,ofcer,oremployee
oftheHouse.SeeHouseRule25,cl.4(b)(emphasisadded).
14
Forafurtherexplanationofthisruleschange,see145Cong. Rec.H197-98(dailyed.Jan.6,
1999)(statementofRep.Hansen).
Outside Employment And Income 201
ofcialdutiesorstatus,andthemagazinehasnointereststhatcould
besubstantially affected bythe performance ofhis ofcial duties. If
theemployee’sHousepayisbelowtheseniorstaffrate,thehonorarium
rules do not prohibit him from accepting an otherwise permissible
paymentforthearticlefromthemagazine.However,ifhisHousepay
isatorabovetheseniorstaffrate,hemaynotacceptanypaymentfor
thearticle.
Denitions.TheCommittee denestheterms“speech,”“appearance,”and
“article”asfollows:
• A speech means an address, oration, talk, lecture, or other form of oral
presentation, whether delivered in person, transmitted electronically,
recorded, or broadcast over the media, but does not include teaching in an
establishededucationalprogramthatconformstoteachingcriteriaestablished
bytheCommittee(seesectionon“RequirementforPriorCommitteeApproval
ofCompensationforTeaching,”below).
• An appearance means attendance at a public or private conference,
convention, meeting, social event, or similar gathering, possibly but not
necessarilyinvolvingincidentalconversation,discussion,orremarks.
• Anarticlemeansawritingthathasbeenorisintendedtobepublished,for
which a payment, if made, would be other than a royalty received from an
established publisher pursuant to usual and customary contractual terms.
Theterm includesan articlethat isto bepublished inthe nameof another
person(i.e.,a“ghost-written”article).
OccasionallyHouseemployeesareinvitedtoparticipateinafocus groupand
areofferedafeeiftheyagreetoparticipate.Whentheinvitationisextendedbecause
oftheindividual’spositionwiththeHouse–anditmustbeassumedthatanysuch
invitationthatisreceivedinthecongressionalofceisextendedonthatbasis–the
employee may not accept the fee, regardless ofthe level ofhis or herHouse pay.
Participationinthefocusgroupwouldconstituteanappearanceforpurposesofthe
honorariarules,andacceptanceofpaymentforthatappearancewouldthereforebe
prohibited.
Theterm“honorarium,”asnotedabove,isdenedasapaymentofmoneyor
thingofvalueforanappearance,speech,orarticle(HouseRule25,cl.4(b)).However,
explicitly excluded from the denition of this term is “any actual and necessary
travelexpensesincurredby[a]Member...ofcer,oremployee(andonerelative)”in
connectionwiththeappearance,speech,orarticle“totheextentthatsuchexpenses
are paid or reimbursed by any other person.” The rule further provides that for
purposesoftherules,theamountofanyhonorariumistobereducedbytheamount
202 HOUSEETHICSMANUAL
ofanysuchexpenses tothe extentthattheyhavenot beenpaidorreimbursedby
anyoneelse.
Exclusions. Speaking, appearing, and writing are integral to many jobs.
Most jobs require the employee to “appear” at the work site in order to perform.
Thehonorariarulesclearlydonotprecludeoutsideemploymentmerelybecausethe
employeemustshow uptodo thework. TheCommittee has determinedthatthe
followingtypesofcompensationarenot honoraria.However,Members,ofcers,and
employeeswhoarepaidatorabovetheseniorstaffrateshouldbearinmindthatany
suchcompensationthattheyreceiveissubjecttotheoutsideearnedincomelimitation
discussedlaterinthischapter.
• Compensationforactivitieswhen speaking, appearing, or writing is only
an incidental partoftheworkforwhichpaymentismade(e.g.,conducting
research)isnotanhonorarium.
• Bona de awards and gifts generally are not honoraria. If a Member,
ofcer,oremployeeispresentedwithanaward,memento,orgiftatanevent,
theCommitteedoesnotconsidertheobjecttobeanhonorarium,unlessitis
specicallygiveninconsiderationofthespeechorappearance.Similarly,an
individualmayacceptanawardforartistic,literary,ororatoricalachievement
madeonacompetitivebasisunderestablishedcriteria.Ofcourse,eithersuch
itemmustotherwisebeacceptableunderthegiftrule.
• Paidengagementstoperformortoprovideentertainmentwhentheartistic,
musical, or athletic talentoftheindividualisthereasonfortheemployment,
ratherthantheperson’sstatusasaMemberoremployeeofCongressarenot
honoraria.
• Witness and juror feesbyacourtorothergovernmentalauthorityarenot
honoraria.However, undera CommitteeonHouse Administrationrule that
implementsstatutorylaw(2U.S.C.§130b),aHouseemployeemustremitto
theHouseFinanceOfceanyfeethatheorshereceivesforserviceaseithera
jurorinaUnitedStatesorDistrictofColumbiacourtorasawitnessonbehalf
oftheUnitedStatesortheDistrictofColumbia.
• Feestoaqualiedindividualforconductingworship services or religious
ceremonies (but not for delivering speeches or invocations at religious
conventions)arenothonoraria.
• Paymentsforworksofction, poetry, lyrics, or script,whenthepayment
isnotofferedbecauseoftheauthor’scongressionalstatusarenothonoraria.
• Salary or wages pursuant to an employer’s usual employee compensation
planwhenpaidbytheemployerforservicesonacontinuingbasisthatinvolve
appearing, speaking, or writing are not honoraria. Any Member, ofcer, or
Outside Employment And Income 203
employeeconsideringenteringintosuchanarrangementshouldrstcontact
theStandardsCommitteeforguidance.Thisexclusiondoesnotapplytoany
arrangementwithanagent,speakersbureau,orsimilarentitythatfacilitates
appearancesorspeakingorwritingopportunities.
Thus, not all jobs that involve speaking, appearing, or writing are barred.
Conducting religious ceremonies plainly involves speaking, yet qualied Members
andstaffmaystillacceptcompensationfortheseservices.Thefactthataspeechis
madebeforeareligiousgrouporatareligiousconvention,however,willnotsufceto
removeitfromtheban.Similarly,aMembermaynotacceptafeemerelyforoffering
aninvocationatthebeginningofanevent.
Writers,too,maycontinuetoplytheircraftinmanyways.Ifthewritingis
notforpublication,orthewritingisanincidentalpartofajob,paymentmaystill
bepermitted.Congressionalauthorsofction,poetry,lyrics,orscriptsmayaccept
compensation.
Priorto1999,HouseMembersandstaffwere,incertaincircumstances,allowed
to accept a stipend,denedaspaymentforaseriesofatleastthreeappearances,
speeches,orarticles.Undertherulesthenineffect,suchapaymentwasacceptable
unlesseitherthesubjectmatteroftheappearances,speeches,orarticleswasdirectly
relatedtotheindividual’sofcialduties,orthepaymentwasmadebecauseofhisor
herstatuswiththeHouse.
15
However,anamendmenttotheHouseRulesadoptedat
thebeginningofthe106
th
Congressabolishedtheexclusionforsuch“stipends.”That
amendmentexpandedthedenitionoftheterm“honorarium”intherulestoinclude
anypaymentforany“seriesofappearances,speeches,orarticles”(HouseRule25,
cl.4(b)).
Example 6. Astaffmemberhasanoutsidepart-timejobwithalocal
university,thedutiesofwhichincluderesearchandanalysisonsubjects
unrelatedtoherofcialduties.Inordertoinformherfacultysupervisor
ofherndings,shemustwritethemup.Sincethewritingisincidental
toherprimaryresponsibilities,heracceptanceofcompensationforher
servicesisnotprohibitedbythehonorariarules.
Example 7. Astaff member was a music major incollegeand is an
accomplished violinist. He is occasionally invited to play with the
local symphony orchestra at evening and weekend concerts and is
compensatedatthesamerateasothermusiciansofhiscaliberinthe
community.Providedthatheishiredbasedonhistalentandnothis
15
See5U.S.C.app.4§505(3),asamendedbytheLegislativeBranchAppropriationsAct,1992,
§314(b),105Stat.447,469(1991).
204 HOUSEETHICSMANUAL
statusasacongressionalemployee,hisacceptanceofcompensationfor
theseperformancesisnotprohibitedbythehonorariarules.
Example 8. A staff member works part-time in evenings and on
weekends playing the piano. In the course of lobbying her on some
legislation, a lobbyist learns of her avocation and, without knowing
anything about her musical abilities, offers to hire her to play at his
rm’s Christmasparty. He offersto pay her twice thegoing rate for
suchanengagement.Thestaffmembermustdeclinetheoffer.
Example 9.Astaffmemberwritesactionalstorythatispublished
byachildren’smagazine.Sinceitisaworkofction,hisacceptanceof
paymentforthearticleisnotprohibitedbythehonorariarules.
Example 10.AMemberwhoisaretiredprofessionalathleteisinvited
to appear at a sports-related event to sign autographs. The contract
providesthathemustsign500autographsandfordoingsowillbepaid
afeeof$2,000.Becausethepaymentisexplicitlybasedonthenumber
ofautographsto be signed,theMember’s acceptance ofthe fee is not
prohibitedbythehonorariumrules.
Example 11.Aphilatelicmagazinerequeststhatastaffmemberwhois
paidattheseniorstaffratewriteaseriesofarticlesonstampcollecting.
Eventhoughstampcollectingisunrelatedtothestaffmember’sofcial
duties and status, and the magazine has no interests that could be
affectedbyherperformanceofherofcialduties,thestaffmembermay
not, under the current honoraria rules, accept the payment for the
series,becauseasseniorstaffsheissubjecttotheabsoluteban.
Donations to Charity. Under House rules, the sponsor of a speech,
appearance,orarticlemaymakeapaymentinlieuofanhonorariumtoacharitable
organizationonbehalfofaMember,ofcer,oremployee(HouseRule25,cl.1(c)).The
sponsormaymakeadonationofupto$2,000perspeech,appearance,orarticle,as
longasthesponsormakesthepaymentdirectlytothecharitableorganization.Even
ifthesponsormakesthecheckpayabletothecharity,theMemberorstaffperson
maynotacceptthecheckandpersonallyforwardittothecharity.
TheMemberorstaffpersonmaysuggestaparticularcharitableorganizationto
receivethedonation,withinthefollowinglimits.Theterm“charitableorganization”
as used in the rule means an organization described in § 170(c) of the Internal
RevenueCode.
16
Theindividualmaynotreceiveanytaxbenetfromthedonation.
16
House Rule 25, cl. 4(e). Section 170(c) denes contributions that are tax deductible. It
(con’t next page)
Outside Employment And Income 205
Accordingly, the individual may neither add the donation to income nor deduct it
for income tax purposes (26 U.S.C. § 7701(k)). The charity may not be one from
whichtheindividualorhisorherimmediatefamily(parent,sibling,spouse,child,or
dependentrelative)derivesanynancialbenet(HouseRule25,cl.1(c)).TheTask
Forceconstruedthisrestrictionnarrowly:
Thetaskforceintendsthatanancialbenetforpurposesofthis
rulewouldbeadirectbenettotheindividualorafamilymemberthat
isseparatefromanygeneralbenetthattheinstitutionwouldderive.
Forexample,thisprovisionwouldnotprohibitapaymenttoauniversity
atwhichtheMember’schildisastudent,ortoahealthcarefacilityat
whichafamilymemberisapatient.
17
Thus,whentheMember,staffperson,orfamilymemberdrawsadirectnancial
benet(suchasasalary)fromaparticularcharity,theMemberorstaffpersonmay
notdesignatethatcharitytoreceivepaymentsinlieuofhonoraria.Inthecaseofa
nationalorinternationalcharity,however,thefactthatafamilymemberworksfora
localunitwouldnotprecludeaMemberorstaffpersonfromdesignatingtheparent
organization.Any remotebenettothe familymemberfromthe donationinthat
situationwouldbetooindirecttofallwithinthestatute’sprohibition.
Example 12.MemberAgivesaspeechtoatradeassociationinNew
Orleans.TheCommitteeapprovestheassociationpayingtheMember’s
travel, food,andlodging expenses. In connection with theevent, the
association sends a check for $2,000 to the Boy Scouts with a note
saying:“Inlieuofanhonorarium,MemberAhasaskedustomakethis
donationto theBoy Scoutsinhonorofhis speechto ourassociation.”
ThedonationonbehalfoftheMemberispermissibleundertherules.
Example 13. AMembergivesaspeechtoapoliticalclubinChicago.
Thefollowingweek,shereceivesacheckfor$1,500,payabletoher,with
anotefromtheclubsaying:“Thankyouforaddressingourclub.Wedo
notknowwhichcharitiesyousupport,sowearesendingyouthischeck,
includescontributions to the United States; the District of Columbia; any state or possession,ora
politicalsubdivision thereofif madeforexclusively publicpurposes;religious, charitable,scientic,
literary,oreducationalorganizations;andorganizationstofosteramateursportscompetitionorfor
thepreventionofcrueltytochildrenoranimals.Theseorganizationsmaynotbeoperatedforprot,
normaythey attemptto inuencelegislation orparticipate inpolitical campaignsforpublicofce.
26U.S.C.§170(c).Sinceanorganization’staxstatusisdeterminedbytheInternalRevenueService,
aMemberorstaffpersonwhowishestodesignateaparticularorganizationtoreceivepaymentsin
lieuofhonorariashouldverifywiththeorganizationthattheIRShasgrantedittaxdeductiblestatus
under§170(c).
17
Bipartisan Task Force Report,supranote8,at15,135Cong. Rec.atH9257.
206 HOUSEETHICSMANUAL
knowingthatyouwillpassitalongtosomeworthyorganization.”The
Membermaynot acceptthecheck,evenifsheintendstoendorseitover
toacharityimmediately.Shemustreturnthechecktotheclub.Ifshe
wishes,she may suggestthat the clubdonate the moneyto aspecic
charityofherchoiceortoanycharityoftheclub’schoicethatisqualied
under§170(c)ofthetaxcode.
Example 14.AMembergivesaspeechatanexecutives’roundtablein
KansasCity.Inhonoroftheevent,theexecutives’grouppresentsthe
Memberwithacheckfor$1,000,madeouttohisfavoritecharity.He
maynot sendthe checkontothecharity. The Membermust return
the check to the executives, who may then forward it to the charity
themselves.
Example 15. A staff member writes an article that is accepted for
publicationbyamagazine.Themagazinenormallywouldpay$500for
a comparablearticleand asks the staff memberif he would like that
amounttobedonatedtoacharity.Hisfavoritecharityisahomeless
shelterinhishometownatwhichhissisterworksforpayasacounselor.
Sincehissisterreceivesadirectnancialbenetfromtheshelter(her
salary),thestaffmembermaynotdesignatethesheltertoreceivethe
paymentfromthemagazine.Hemaydesignateanothercharity.
Example 16. A staff member writes an article that is accepted for
publicationbyamagazinethatofferstodonate$500tothecharityof
herchoice.Thestaffmember’shusbandisalabtechnicianatthelocal
RedCrossbloodbank.Nevertheless,shemay,ifshechooses,designate
thenationalorinternationalRedCrosstoreceivethepaymentinlieu
ofhonoraria.
At times Members cooperate with or help organize charitable foundations,
whichtheydesignatetoreceivepaymentsinlieuofhonorariaandsupplementwith
independentsolicitations.Typically,thesefoundationsattempttoaddressparticular
needsintheMember’sdistrict(suchas scholarshipfunds) ornational problemsof
particularconcerntotheMember.AMembermaydesignatesuchafoundationto
receivepaymentsinlieuofhonorariaifthefoundationisqualiedunder§170(c)of
thetaxcode.
Gift Rule Applicability to Compensation and
Other Things of Value Received From an Outside Employer
TheHousegiftruledenestheterm“gift”inanextremelybroadmanner.
18
The
18
SeeHouseRule25,cl.5(a)(2)(A);see alsoChapter2ongifts.
Outside Employment And Income 207
rulewouldbeimplicatedifaMember,ofcer,oremployeeweretoacceptcompensation
foroutsideemploymentinanamountthatexceedsthefairmarketvalueoftheservices
thatheorsherenders.Amongtherelevantfactorsindeterminingthatvaluearethe
specicnatureoftheservicesrenderedbytheindividual,theamountoftimethathe
orshedevotestotheoutsideemployment,theamountofcompensationcustomarily
paid for such services, and the individual’s qualications to render the particular
services.
Inaddition,aspecicprovisionofthegiftruleaddressestheacceptabilityof
“[f]ood, refreshments, lodging, transportation,andotherbenets” that result from
the outside business or employment activities of a Member, ofcer, or employee
(HouseRule25,cl.5(a)(G)(i)).Underthatprovision,suchabenetisacceptableonly
iftworequirementsaresatised:(1)Thebenethasnotbeenofferedorenhanced
becauseoftheofcialpositionoftheMemberorstaffperson,and(2)itisonethatis
“customarilyprovidedtoothersinsimilarcircumstances.”
Prohibition Against Use of Congressional Ofce Resources
Pursuanttofederalstatute(13U.S.C.§1301(a)),ofcialfundsmaybeused
onlyforthepurposesappropriated.Thus,Houseresourcesacquiredwithsuchfunds
– including the ofce telephones, computers fax machines and other equipment,
ofcesupplies,ofcespace,andstaffwhileonofcialtime–aretobeusedforthe
conductofofcialHousebusiness.Thoseresourcesmaynotbeusedtoperformor
infurtherance ofany outsideemployment ofanyMember, ofcer,or employee. A
provisionoftherulesissuedbytheHouseAdministrationCommitteeallowsminor,
incidentalpersonaluseofHouseequipmentandsupplies.However,theStandards
Committee understands that this provision allows such use of those resources for
personal purposes only, and does not allow their use for outside employment or
businesspurposes.
Practice of Law
Although the paid practice of law by Members and senior staff has been
severelycurtailedsince1991,thoseindividualsgenerallymaystillpracticewithout
compensation,andnon-senioremployeesmaypracticeforcompensation,withinthe
followingparameters.
No publicofcialshould take on a private obligation that conictswiththe
individual’sprimarydutytoservethepublicinterest.Thelawyer’sdutyofundivided
loyaltytoclients
19
makesthepracticeoflawparticularlysusceptibletoconictswith
thewide-rangingresponsibilitiesofMembersandstaff.Congressionallawyerswho
wishtomaintainaprivatepracticeshouldalsoconsulttheirlocalbarassociations
withrespecttoprofessionalrestrictionsonthem.
19
See, e.g.,ABA,Model Rules of Professional Conduct,Rule1.7(2007).
208 HOUSEETHICSMANUAL
Federal law prohibits Members from practicing in the United States Court
ofFederalClaimsortheUnitedStatesCourtofAppealsfortheFederalCircuit(18
U.S.C. § 204). In addition, Members and employees may not privately represent
othersbeforefederalagencies,asdescribedbelow.
Prohibition Against Representing Others Before Agencies or in
Court Cases in Which the Government Is a Party or Has an Interest
FederalcriminallawgenerallyprohibitsMembers,ofcers,andemployeesfrom
privatelyrepresentingothersbeforethefederalgovernment.Oneprovisionbarsthese
individualsfromseekingorreceivingcompensation(otherthanasprovidedbylaw)
for “representationalservices” before any federalgovernment agency, department,
court,orofcerinanymatterorproceedinginwhichtheUnitedStatesisapartyor
hasaninterest(18U.S.C.§203).
A second provision forbids any ofcer or employee from acting “as agent or
attorneyforanyone”(otherthanintheproperdischargeofofcialduties)beforeany
federalgovernmententityinanyparticularmatterinwhichthefederalgovernment
hasaninterest,whether or not the individual is compensated(18U.S.C.§205).
Theindividualneednotactuallybeanattorneyorhaveastrictcommonlawagency
relationship with another in order to be restricted by the statute.
20
While House
ofcersandemployeesarecoveredbythisprovision,Membersarenot.
Inaddition,aprovisionoftheHouseRulesstatesthataperson“maynotbe
anofceroremployeeoftheHouse,orcontinueinitsemployment,ifheactsasan
agentfortheprosecutionofaclaimagainsttheGovernmentorifheisinterestedin
suchclaim,exceptasanoriginalclaimantorintheproperdischargeofofcialduties”
(HouseRule25,cl.6).
Under18U.S.C.§203,aMember,ofcer,oremployeeoftheHousemaynot
receive compensation, other than congressional salary, for any dealings with an
administrativeagencyonbehalfofaconstituentoranyotherpersonororganization.
Evenifcontactingafederalagencyonbehalfofaprivateindividualororganizationis
withinthescopeofofcialduties,anindividualwhoacceptsadditionalcompensation
forsuchserviceshasviolatedthelaw.
21
Inthissense,Section203supplementsthe
lawagainstillegalgratuitiesdiscussedinChapter2.
Section 203prohibits the receipt ofcompensation “directly or indirectly” for
services before federal agencies. Therefore, if a Member or staff person, whether
throughparticipationinapartnershiparrangementorotherwise,sharesinfeesfrom
servicesrenderedbeforefederalagencies,aviolationofthisprovisionmayoccureven
20
United States v. Sweig,316F.Supp.1148,1157(S.D.N.Y.1970).
21
May v. United States,175F.2d994,1005(D.C.Cir.),cert. denied,338U.S.830(1949).
Outside Employment And Income 209
iftheindividualdidnotpersonallyperformtheservices.
22
Thissameopinionnotes,
however,thattheOfceofGovernmentEthicshasinterpreted§203nottoapplyto
apersonwhoreceivesaxedsalaryasanemployeeofarm(asopposedtosomeone
whosharesintherm’sprots),eventhoughsomeoftherm’soverallincomemay
beattributabletoservicecoveredby§203.”
23
Thisprovisioncanapplytoalawrm
retireewhentheretiree’spensionisbasedonapercentageoflawrmprotsifanyof
thoseprotsarederivedfromrepresentationactivitiesbeforethefederalgovernment.
Bothsections203and205carrythesamepossiblepenalties:Imprisonment
foruptooneyear(orveyearsiftheviolationiswillful);acivilneofupto$50,000
perviolationortheamountreceivedorofferedfortheprohibitedconduct(whichever
isgreater);oracourtorderprohibitingtheoffensiveconduct(18U.S.C.§216).In
onecase,afederalcourtheldaformerMemberofCongressliableforrepaymentof
compensationunlawfullyreceived.Thecourtruledthataviolationof§203
unquestionably demonstrates a breach of trust, for in order to fall
within its prohibition, a member of Congress must shed the duty of
disinterested advocacy owed the government and his constituents in
favorofchampioningprivateinterestspotentiallyinconsistentwiththis
charge.
24
Sections 203 and 205 exempt certain activities. Individuals may represent
themselvesbefore thefederal government.They mayalso representtheir spouse,
parent,child,oranypersonforwhomtheyserveasguardian,trustee,orpersonal
duciary(18U.S.C.§§203(d),205(e)).Evenonbehalfofthesepeople,however,the
individualmustrefrainifthematteratissueisoneinwhichheorsheparticipated
personally and substantially on behalf of the government or one that falls within
hisorherofcialresponsibilities.Thestatutesalsoprovidethatastaffpersonwho
wishestoengageinexceptedrepresentationalactivitiesmusthavetheapprovalof
hisorheremployingMember.Inaddition,onemay,withoutcompensation,represent
anyoneinadisciplinaryorpersonnelproceeding(18U.S.C.§205(d)).
Example 17. A staff member is a caseworker, and because of his
experience in dealing with federal government agencies, his brother
22
SeeU.S.OfceofGovernmentEthics(“OGE”)AdvisoryOpinion99x24(Dec.14,1999);see
alsoOGEAdvisoryOpinion88x3(Mar.2,1988)(same).
23
OGEAdvisoryOpinion99x24,supranote22;see alsoOGEAdvisoryOpinion99x25(Dec.
22, 1999) (permitting federal employee to accept compensation from rm that represented clients
beforefederalentitieswhereemployee’scompensationwasnotderivedfromorcontingentonthose
services).
24
United States v. Podell, 436 F. Supp. 1039, 1042 (S.D.N.Y. 1977), aff’d, 572 F.2d 31 (2d
Cir.1978);see also United States v. Eilberg,507F.Supp.267,271(E.D.Pa.1980)(statingthatthe
“purposeoftheremedyis...toprovideameansofenforcingtheloyaltyof[government]agents”).
210 HOUSEETHICSMANUAL
asks him to represent him in an FCC hearing at which the brother
is contesting the agency’s denial of his license application. The staff
membermustdecline,evenifhedoesnotreceivecompensationforhis
services.
Example 18.Astaffmember’sparentshaveadisputewiththeSocial
Security Administration. The staff member may represent them at
theirhearingifheremployingMemberapproves.
Example 19.Astaffmemberisataxlawyer.Hiscollegeroommatehas
adisputewiththeIRSandasksthestaffmembertoaccompanyhimand
toassisthimatthehearing.Thestaffmembermaynotdoso,evenifhe
receivesnocompensation.
Example 20.AMemberwhoisanattorneywishestorepresentinstate
court,onapro bono(unpaid)basis,unionmemberswhowerecharged
withstatelawviolationswhilepicketingtheiremployer.TheMember’s
uncompensated representation would not violate 18 U.S.C. §§ 203 or
205.
Contracting With the Federal Government
Paragraph 7 of the Code of Ethics for Government Service cautions all
government ofcials not to engage in any business with the federal government,
“eitherdirectlyorindirectlywhichisinconsistentwiththeconscientiousperformance”
ofgovernmentalduties.Todosowouldraisetheappearanceofundueinuenceor
breachofthepublictrust.
Under the federal criminal code, a Member of Congress may not enter into
a contract or agreement with the United States government. Any such contract
is deemed void, and both the Member andtheofceror employee who makes the
contractonbehalfofthefederalgovernmentmaybened(18U.S.C.§§431,432).
Inaddition,publiccontractinglaw providesthat“no MemberofCongress shallbe
admittedtoanyshareorpartofanycontractoragreementwith”theUnitedStates,
“ortoanybenettoarisethereupon”(41U.S.C.§22).
25
25
The criminal statute specically exempts contracts entered into under the Agricultural
AdjustmentAct,theFederalFarmLoanAct,theFarmCreditActof1933,theHomeOwnersLoan
Actof1933, theBankhead-JonesFarmTenantAct,cropinsurance agreements,and contractsthat
theSecretaryofAgricultureentersintowithfarmers(18U.S.C.§433).Inaddition,contractsunder
theFederalFarmMortgageCorporationActareexemptfrom41U.S.C.§22,asarecontractsthatthe
StateDepartmentmakesinforeigncountries(22U.S.C.§1472(a)(2)).Thepubliccontractingclause
mustappear,however,incontractsfortheacquisitionoflandpursuanttooodcontrollaws(33U.S.C.
§702m).
Outside Employment And Income 211
The criminal law precludes Members from “directly or indirectly” holding,
executing, undertaking, or enjoying “in whole or in part” any contract with the
federalgovernment.TheAttorneyGeneralhasinterpretedthislanguagetoprohibit
ageneralorlimitedpartnershipthatincludesaMemberofCongressfromentering
into a contract with the federal government.
26
In addition, it is possible that a
MemberofCongresswhoreceivescompensationunderanindependentorganization’s
governmentcontract–forexample,compensationintheformofasalaryfromthe
organization, or through a subcontract with it – may bedeemed to be improperly
benetingfromthatcontract.
Unlikeapartnership,acorporationwitharelationshiptoaMemberofCongress
mayenterintoacontractwiththefederalgovernmentforthegeneralbenetofthe
corporation(18U.S.C.§433).Thus,aMemberofCongressmaybeastockholder,even
aprincipalstockholder,oranofcerofacorporationthatholdsafederalgovernment
contract without incurring criminal liability.
27
Similarly, the spouse of a Member
mayenterintoacontractwiththefederalgovernment.Incorporatingfortheobvious
purpose of circumventing the statute’s prohibition, however, would disqualify an
entityfromthe§433exception.
28
Itwouldappearthatthestatutoryexceptioninthe
criminallawforcontractswithcorporationswouldlikewiseapplytothecontractlaw
provisionof41U.S.C.§22,sincealltheprovisionsdiscussed,andtheexceptionsto
them,wereoriginallypassedaspartofthesameact.
29
WhenaMemberoranentityinwhichaMemberhasanownershipinterest
(other than a publicly held corporation) is considering entering into a contract or
agreementwithafederalgovernmentagency,theMembershouldrstconsultwith
theagencyonthepossibleapplicabilityofthesestatutes.Similarly,anewlyelected
Memberwhohassucha contractshouldimmediatelyconsultwiththe contracting
agencyonthispoint.
While these statutes do not apply to House ofcers and employees, the
matterofgovernmentcontractswithfederalemployeesisaddressedintheFederal
AcquisitionRegulations.Theregulationsprovidethatacontractmaynotknowingly
beawardedtoafederalemployee(includinganofceroremployeeoftheHouse),or
armsubstantially owned orcontrolled by oneor more federalemployees, except
26
See22 Op. Off. Legal Counsel 33 (1988).But see 4 Op. Att’y Gen. 47 (1842) (permitting
company in which Member was a partner to enter sales contract with U.S. Navy, where Member
disclaimedanybenetfromthecontract).
27
See39Op.Att’yGen.165(1938)(Memberheld30%ofcorporation’sstockandwaspresident
of company); see also 33 Op. Att’y Gen. 44 (1921) (allowing corporations to accept loan from War
FinanceCorporation,securedbypromissorynoteofcompanyinwhichMemberwasastockholder).
28
22Op.Off.LegalCounsel33,supranote26.
29
RevisedStatutes§§3739-3741,2Stat.484,ch.48(Apr.21,1808).
212 HOUSEETHICSMANUAL
“ifthereisamostcompellingreasontodoso,suchaswhenthegovernment’sneeds
cannotreasonablybeotherwisemet.”
30
Example 21. Afederalagencyisholdinganauctionofproperties.A
HouseMembermaynot purchaseanythingattheauctionbecausethe
contractofsalewouldbeacontractwiththegovernment.
Example 22. AMemberisinvitedtospeakataconferencesponsored
by an executive branch agency. Although private sector speakers at
this conference are paidaspeaker’s fee, the Member may not accept
payment.(Notethatsuchapaymentalsowouldconstituteaprohibition
honorarium).
Comparable prohibitions on the use of Member ofce and committee funds
aresetoutinrulesissuedbytheHouseAdministrationCommittee.TheMember’s
Handbook issued by that Committee provides that “no Member, relative of the
Member,oranyonewithwhomtheMemberhasaprofessionalorlegalrelationship
maydirectlybenetfromtheexpenditureoftheMRA[Member’sRepresentational
Allowance],”unless“specicallyauthorizedbyanapplicableprovisionoffederallaw,
HouseRules,or[HouseAdministration]CommitteeRegulations.”TheCommittees’
Handbookprovidesthat,subjecttothesameexception,“noMemberofthecommittee,
relative of a committee Member, or anyone with whom a committee Member has
a professional or legal relationship may directly benet from the expenditure of
committeefunds.”Whiletheapplicationoftheserulesiswithinthejurisdictionof
theHouseAdministrationCommittee,itappearsthattheserulesprecludeaMember
orcommitteefromcontractingwithastaffmemberfortheacquisitionofgoods,orof
anyservicesoutsideoftheemploymentcontext.
Dual Federal Government Employment
AprovisionoftheConstitution(ArticleI,Section6,clause2)generallyprohibits
MembersoftheHouse(aswellastheSenate)fromholdinganyotherfederalofce:
[N]oPersonholdinganyOfceundertheUnitedStates,shallbe
aMemberofeitherHouseduringhisContinuanceinOfce.
Decisions of the House and the House Judiciary Committee applying this
provisiontoparticularfederalofcesandinvariouscircumstancesaresummarized
in the House Rules and ManualissuedbytheHouseParliamentarian.
31
30
48C.F.R.§§3.601-3.603.
31
See, e.g., John V. Sullivan, Parliamentarian, Constitution, Jefferson’s Manual, and Rules
of the House of Representatives, One Hundred Tenth Congress,H.Doc.109-157,109
th
Cong.,2dSess.
(2007),§§97-101(hereinafter“House Rules and Manual”).
Outside Employment And Income 213
Housestaffpersonsarenot absolutelyprohibitedfromholdinga non-House
federaljob,butaprovisionofstatutorylawseverelyrestrictstheirabilitytodoso.
Underthatprovision,aHouseemployeemaynotholdanon-Housegovernmentjobif
theannualpayofthetwopositionscombinedexceedsalimitationthatiscalculated
atthebeginningofeachyear(5U.S.C.§5533(c)(1)).In2007thiscombinedlimitation
was$30,826.
32
A“position”means“acivilianofceorposition(includingatemporary,
part-time,orintermittentposition),appointiveorelective,inthelegislative,executive,
orjudicialbranchoftheGovernment”(id.,§5531(2)).Thedualemploymentbardoes
notapplywhenthepositionsinvolvedareexpertorconsultantpositionsandpayis
receivedona“when-actually-employed”basisfordifferentdays(id.,§5533(c)(4)).
ThestatutefurtherprovidesthatanindividualmayholdtwoormoreHouse
jobs,providedthatthecombinedsalarydoesnotexceedthemaximumannualrateof
payauthorizedtobepaidoutofaMember’sclerkhireallowance(id.,§5533(c)(2)).
33
Thus,thelawallowsHouseemployeestoworkpart-timeinaHouseofceandallows
Houseofcestoshareanemployee,aslongastheemployeeperformsdutiesforeach
ofcethatarecommensuratewiththecompensationtheemployeereceivesfromthat
ofce,andtheemployee’scombinedHousesalariesdonotexceedthecap.
Holding Local Ofce
At times House employees wish to hold an elected or appointed local
governmentofce.WhilenostatutoryprovisionorHouseruleabsolutelyprohibitsa
HouseemployeefromholdingalocalofcewhileremainingontheHousepayroll,the
applicableprovisionsofstateorlocallawoneligibilityforofcemustbeconsulted.
In addition, House employees must take care to avoid any undertaking that is
inconsistentwithcongressionalresponsibilities.
The holding of a local ofce by a House employee is subject to all of the
restrictions and limitations on outside employment set out in this chapter. For
employeeswhoarepaidatorabovetheseniorstaffrate,thelimitationsincludethe
outsideearnedincomelimitationandallofthe“duciaryrelationship”restrictions.
Asaresult,aseniorstaffpersonisgenerallyprohibitedfromreceivingcompensation
forserviceasanelectedorappointedgovernmentofcial.Inaddition,regardlessof
theirrateofpay,allHouseemployeesmustadheretotheprohibitionagainstusing
anyHouseresourcestoperformthedutiesoftheirlocalofce,therequirementsthat
thosedutiesbeperformedoutsidethecongressionalofceandontheirowntime,and
theprohibitionagainstrepresentinganyoneelse–includingthelocalgovernmentby
32
Thecitedamountisthe$7,724limitprovidedbythestatute,asadjustedbytheHouseChief
AdministrativeOfcerinaccordancewithauthoritycontainedin2U.S.C.§60a-2.Asoftheprinting
ofthisManual,the2008maximumhasnotbeenset.
33
The maximum annual rates of pay for various House positions are set each year in the
Speaker’sPayOrder.
214 HOUSEETHICSMANUAL
whichtheyareemployed–beforefederalagencies.
Furthermore,inmakingpubliccommentonissuesorotherwisedealingwith
the public, an employee who serves in a local ofce should always make clear in
whichcapacitytheemployeeisacting.Inaddition,theemployeeisprohibitedfrom
providing any special treatment to constituents in a congressional capacity and
shoulddiscourageanysuggestionthattheywillreceivepreferentialtreatmentfrom
theemployee’scongressionalofce.
Astaffmemberconsideringrunningfororservinginalocalofceshouldrst
consultwithhisorheremployingMemberonthematter,andshouldrefrainfrom
doingsoiftheMemberobjects.Whenthedemandsofthelocalofcearesuchthatitis
impossibleasapracticalmatterfortheemployeetomaintainanabsoluteseparation
ofthetwopositions–orwhentheemployingMemberconcludesthatthetwopositions
are incompatible – then the employee will have no alternative but to decline or
terminateserviceinthelocalofce,ortoterminatecongressionalemployment.
Thelaws,rules,andregulationsgoverningcampaignactivityarediscussedin
detailinChapter4onCampaignActivity.Inparticular,employeesshouldbecognizant
ofrestrictionsthatprohibitperforminglocalelectiveserviceoranycampaignactivity
forlocalofceinHouseofcespace(includingdistrictofces),usingHouseresources,
or onofcialtime. In addition, bothfederalstatute and regulations of theHouse
BuildingCommissionprohibitanypoliticalsolicitation–includingoneforlocalofce
–frombeingconductedinaHouseofcespace.
34
Itisalsounlawfultosolicitfunds
fromotherfederalemployees.
35
Foranumberofreasons–includingthefull-timenatureofthepositionthata
HouseMemberassumes,andprovisionsofthelawsofvariousstatesoneligibilityto
holdofce–questionsregardingthepossibilityofaMemberholdingalocalofcerarely
arise.WhiletheConstitutiondoesnotprohibitHouseMembersfromsimultaneously
holding state or local ofce, the House has determined that“a high state ofce is
incompatiblewith congressionalmembership, duetothe manifestinconsistency of
therespectivedutiesofthepositions.”
36
AnyHouseMemberconsideringholdinga
state or local ofceshould rst consult with the Standards Committee and, when
theremaybe a questionofwhether the ofceinvolved is a “highstate ofce,” the
HouseParliamentarian.
34
See18U.S.C.§602andHouseOfceBuildingComm’n,Rules and Regulations Governing
the House Ofce Buildings, House Garages and the Capitol Power Plant(Feb.1999),at¶4(available
fromtheSpeaker’sOfce).
35
See18U.S.C.§602.
36
2Deschler’s Precedents of the U.S. House of Representatives,ch.7,§13,at125.
Outside Employment And Income 215
Prohibition Against Receiving Compensation from a Foreign Government
TheConstitutionprohibitsanyMemberoremployeeoftheHouse(aswellas
anyotherfederalofcial)fromreceivingan“emolument”of“anykindwhatever”from
aforeigngovernmentorarepresentativeofaforeignstate,withouttheconsentof
theCongress(ArticleI,Section9,clause8).AstheComptrollerGeneralhasnoted,
“it seems clear from the wording of the Constitutional provision that the drafters
intended the prohibition to have the broadest possible scope and applicability.”
37
Thus,an“emolument”hasbeendenedasany“prot,gain,orcompensationreceived
forservicesrendered.”
38
AlthoughCongresshasconsented,intheForeignGiftsandDecorationsAct,
to the acceptance by federal ofcers of certain gifts, no statute grants a general
consent for the receipt of emoluments or other compensation from foreign
governments.
39
TheComptrollerGeneralhasruledthattransportationorexpenses
fortravelgratuitouslygivenbyaforeigngovernmentwouldfallwithinregulations
promulgatedonthereceiptofforeigngifts(seeChapter2ongifts).However,ifthe
travelwasofferedbyaforeigngovernmentin return for or in connection with
some servicethataMemberoremployeewouldprovide,suchasmakingaspeech,
thensuchexpensescouldbedeemed“compensation”andthusbean“emolument.”
40
NotethedifferencebetweenthisConstitutionalprovisionandthehonorariarules:The
honorariarulesgenerallypermitonetoacceptnecessarytravelexpensestodelivera
speech;theConstitution,however,prohibitstheacceptanceofsuchexpensesfrom a
foreign government.
Membersandemployeesmaynotthereforereceiveanypaymentforservices
renderedtoofcialforeigninterests,suchasambassadors,embassies,oragenciesof
aforeign government.
41
Caution should thusbe exercisedin accepting expensesor
othercompensationfromanyforeignorganization(suchasafoundation)thatreceives
sponsorship, funding, or licensing from a foreign government, because it could be
37
49Comp.Gen.819,821(1970).
38
As used here, the term “local government ofce” includes not only ofces in a county,
municipal,ortowngovernment,butalsomembershipinastatelegislativebody.
39
5U.S.C.§7342.But see37U.S.C.§908(consentingtothecivilianemploymentofretired
military and military reserve members by foreign governments, when approved by the relevant
CabinetSecretaries).
40
OpinionoftheComptrollerGeneralB-180472(May9,1974)(copyonlewiththeStandards
Committee).
41
See, e.g., Memorandum of Walter Dellinger, Ass’t Att’y Gen., Ofce of Legal Counsel,
Dep’tofJustice,toGaryJ.Edles,GeneralCounsel,AdministrativeConferenceoftheU.S.(Oct.28,
1993)(Emoluments Clause prohibitsgovernmentemployees from acceptinga law rm partnership
distributionthatmayincludesomeincomereceivedfromforeigngovernmentclients)(availableonthe
OfceofLegalCounselwebsite,www.usdoj.gov/olc).
216 HOUSEETHICSMANUAL
consideredanofcialarmoraninstrumentalityofthegovernment.TheComptroller
Generalhas ruled,forexample, thataMember ofCongress couldnotaccept afee
fromtheBritishBroadcastingCorporationforparticipationinatelevisionprogram
todiscusstheAmericanPresidency.
42
TheBBC,becauseofitsfundingrelationship
withandregulationbytheBritishgovernment,wasconsideredaninstrumentality
oftheBritishgovernment,andthusa“foreignstate”undertheconstitutionalban.
Regardlessofcompensation,apublicofcialmaynotactasanagentorattorney
for either (1) a foreign principal required to register under the Foreign Agents
RegistrationActof1938,asamended,thatis,generally,thoseindividualsengaged
inlobbying,political,orpropagandaactivities,
43
or(2)alobbyistrequiredtoregister
undertheLobbyingDisclosureActof1995inconnectionwiththerepresentationofa
foreignentity(18U.S.C.§219).
Additional Considerations Applicable to Staff Outside Employment
Proper Performance of Congressional Duties.AHousestaffmemberwho
engagesinoutsideemploymentmaynotdosototheneglectofofcialcongressional
duties,noron“ofcialtime”forwhichheorsheiscompensatedwithpublicfunds.
The House Codeof Ofcial Conduct specically provides that a Member “maynot
retain an employee who does not perform duties for the ofces of the employing
authoritycommensuratewiththecompensationhereceives”(HouseRule23,cl.8).
Additionally,¶3oftheCodeofEthicsforGovernmentServiceinstructsgovernment
employeesto“[g]iveafullday’slaborforafullday’spay.”AHouseemployeeishired
andpaidfromtheUnitedStatesTreasuryfortheperformanceofofcialduties.Any
outside employment that would detract from the performance of, or full time and
attentionto,one’sgovernmentjobwouldbecontrarytothesestandards.Whenthe
demandsofastaffperson’soutsideemploymentresultinareductionoftheamount
oftimethatheorshedevotestocongressionalduties,acommensuratereductionin
theindividual’scongressionalpayisrequired.
Conversely,theprovisionsoftheHouseRulesprohibitingunofcialofceaccounts
generallyprecludeMembersfromacceptingprivatelynancedorunpaidservices(as
wellasotherin-kindsupport)fortheperformanceofofcialHousebusiness(HouseRule
24,cl.1).Accordingly,astaffpersonshouldnotperformcongressionaldutiesduring
time for which the individual is being compensated by a private outside employer,
andshouldnotuseanyresourcesofaprivateoutsideemployerfortheperformanceof
congressionalduties.Particularlywhereastaffpersondevotesasignicantamount
oftimetooutsideemployment,orengagesinoutsideemploymentactivitiesduringthe
regularbusinessday,heorsheshouldkeepcarefultimerecordsforbothpositionsin
ordertobeabletodemonstratecompliancewiththeapplicablerules.
42
Comp.Gen.Op.B-180472, supranote40.
43
SeeForeignAgentsRegistrationAct,22U.S.C.§§611-621.
Outside Employment And Income 217
Inaddition,becauseastaffperson’sspecicdutiesandtermsofemployment
arewithinthediscretionofhisorheremployingMember,theMember’sperspective
onastaffperson’soutsideemployment–andparticularlywhetheranyspecicoutside
employmentmayimpairtheindividual’sabilitytoperformhisorhercongressional
dutiesorwouldotherwisebeinappropriate–ismostimportant.Forthatreason,a
staffpersonshouldconsultwithhisorheremployingMemberorsupervisorbefore
undertakinganyoutsideemployment.
TheconsiderationsapplicabletotheperformanceofcampaignworkbyHouse
staffaredetailedinChapter4ofthisManual.
Outside Employment of Professional Committee Staff.Aprovisionofthe
HouseRulesstatesthattheprofessionalstaffmembersofeachstandingcommittee
“maynotengage inanyworkotherthan committeebusinessduringcongressional
workinghours”(HouseRule10,cl.9(b)(1)(A)).Thelegislativehistoryoftheprovision
statesthatitsintentistoconrmthattheHouseRulesonprofessionalcommittee
staff“[do]notprohibitsuchstafffromoutsideemploymentontheirowntime.”
44
Staff Who File Financial Disclosure Statements.AprovisionoftheHouse
CodeofOfcialConductthatwasaddedbytheEthicsReformActof1989restricts
the ofcial activitiesofemployeeswholenancialdisclosureforms(HouseRule
23, cl. 12). These staff persons may not contact other government agencies with
respecttonon-legislativemattersaffectingtheirownsignicantnancialinterests.
AnemployingMember may waivethis disqualication bynotifying the Standards
Committee,inwriting,thattheMemberisawareoftheemployee’snancialinterest,
butdeemsthisperson’sparticipationinthemattertobenecessary.
Example 23. StaffpersonA,whoisthebankingexpertonaMember’s
staff,ispartownerofabankintheMember’sdistrict.Anewbanking
regulationwilladversely affect allthe banks inthat district, andthe
Member wishes A to contact the banking regulators on his behalf to
urgereconsideration.TheMemberwritestotheStandardsCommittee
stating:“Iauthorizemystaffmember,A,tocontactbankingauthorities
concerningRegulation123.IunderstandthatA,aspartownerofCentral
Bank,maybenetiftheRegulationiswithdrawn.Nonetheless,Iwaive
theapplicationof House Rule23, clause (12)(a)becauseA’s expertise
in this area makes her participation necessary.” Uponreceipt of the
Member’sletterbytheCommittee,Aisfreetocontacttheagency.
Negotiating for Future Employment
TheCommittee’sgeneralguidanceregardingnegotiatingfornon-congressional
44
Bipartisan Task Force Report,supranote8,at34,135Cong. Rec.H9262.
218 HOUSEETHICSMANUAL
employment is that House Members and employees are free to pursue future
employmentwhilestillemployedbytheHouse,subjecttocertainethicalconstraints.
However,HouseRule27,whichwasenactedduringthe110
th
Congress,
45
established
anadditionalrestrictionforHouseMembers.PursuanttoHouseRule27,clause1,
aMembermaynot“directlynegotiateorhaveanyagreementoffutureemployment
untilafterhisorhersuccessorhasbeenelected”unlesstheMemberdisclosesthose
negotiationsasrequiredbytherule.HouseRule27alsorequiresofcers,verysenior
staff, and thoseMembers who are subject to the rule todisclose to the Standards
Committeeanyjobnegotiationsmadewithaprivateemployerwhiletheindividual
isstillemployedbythe House,aswellasanyrecusal fromofcialmattersthatis
necessitatedbythosenegotiations.
Theterm“negotiation”isnotdenedinthelegislationorHouserule.Inits
past guidance, the Committee has given deference to court decisions interpreting
a related federal criminal statute. That statute (18 U.S.C. § 208) bars executive
branch employees from participating in matters affecting the nancial interests
of an entity with which the employee is “negotiating or has any arrangement”
concerningfuture employment. Thosedecisionsfound thatthe term“negotiation”
shouldbeconstruedbroadly.
46
However,theCommitteemakesadistinctionbetween
“negotiations,”whichtriggertherule,and“[p]reliminaryorexploratorytalks,”which
donot.“Negotiations”connotes“acommunicationbetweentwopartieswithaview
towardreachinganagreement”andinwhichthereis“activeinterestonbothsides.”
47
Thus, merely sending a copy of one’s résumé to aprivate entity is not considered
“negotiating”forfutureemployment.
The general guidance applicable to all Members and House employees –
regardlessofsalarylevel–whowishtoengageinnegotiationsforfutureemployment
isasfollows.Firstandforemost,aMemberorHouseemployeemaynotpermitthe
prospect of future employment to inuence the ofcial actions of the Member or
employee,ortheemploying ofceoftheemployee. SomeMembers andemployees
maydeterminetouseanagent(a“headhunter”)tosolicitjoboffersontheirbehalf
in order to avoid any appearance ofimproper activity. Regardless of whether job
negotiationsareundertakenpersonallyorthroughanagent,thefollowinggenerally
applicableprinciplesmustbeobserved.
Other, more general, ethical rules also bear on the subject of employment
45
HouseRule27wascreatedbytheHonestLeadershipandOpenGovernmentActof2007
(“HLOGA”),Pub.L.110-81,§105,121Stat.735,741(Sept.14,2007).
46
See, e.g., United States v. Schaltenbrand,930F.2d1554,1559(11thCir.1991), cert. denied,
502U.S.1005(1991)andUnited States v. Conlon,628F.2d150,155(D.C.Cir.1980),cert. denied,454
U.S.1149(1982).
47
United States v. Hedges,912F.2d1397,1403n.2(11thCir.1990)(quotingjuryinstruction);
see also Schaltenbrand,supranote46,at1559n.2.
Outside Employment And Income 219
negotiations.TheHouseCodeofOfcialConductprohibitsHouseMembers,ofcers,
and employees from receiving compensation “by virtue of inuence improperly
exerted” from a congressional position.
48
Paragraph 5 of the Code of Ethics for
Government Service forbids anyone in government service from accepting “favors
orbenetsundercircumstanceswhichmightbeconstruedbyreasonablepersonsas
inuencingtheperformance”ofgovernmentalduties.Federalcriminallawprohibits
afederalofcialfromsolicitingoracceptinga“bribe”–i.e.,somethingofvaluegiven
in exchange for being inuenced in an ofcial act.
49
Although bribery necessarily
entailsaquid pro quoarrangement,thesamestatutealsobansseekingoraccepting
“illegalgratuities”–i.e.,anythinggivenbecauseof,orinrewardfor,afutureorpast
ofcialact, whetherornot theofcial actionwould be, orwould havebeen, taken
absentthereward.
50
Inlightoftheserestrictions,Membersandemployeesshouldbeparticularly
careful in negotiating for future employment, especially when negotiating with
anyindividualorentitythatcouldbesubstantiallyaffectedby theperformance of
ofcialduties.ItmaybeprudentfortheMemberoremployeetohaveanexchangeof
correspondencewithanyseriousnegotiatingpartner,stipulatingthattheprospective
employerwillreceivenoofcialfavorsinconnectionwiththejobnegotiations.Members
andthoseemployeeswhowillbesubjecttothepost-employmentrestrictions
51
may
also wish to establish in correspondence with any prospective employer that the
futureemployerunderstandsthat(1)itwillreceivenoofcialfavorsasaresultof
thejobnegotiations,and(2)theMemberoremployeeissubjecttopost-employment
restrictions,whichshouldbebrieyoutlined.
52
FormerMembersandemployeeswho
arelawyersshouldconsulttheirlocalbarassociationconcerningtheapplicationof
rulesgoverningtheirinvolvementinmattersinwhichtheyparticipatedpersonally
andsubstantiallyduringtheirtimewiththeHouse.
53
Inaddition,asaddressedmore
48
HouseRule23,cl.3.
49
18U.S.C.§201(b)(2)(A).
50
Id.§201(c)(1)(B).
51
The post-employmentrestrictionsarediscussedindetailinapairofadvisorymemoranda–
oneforMembersandofcersandanotherforemployees–issuedannuallybytheCommittee.Copies
ofthememorandaareavailableontheStandardsCommitteewebsite.
52
Briey,HouseMembersmaynotcontactanyMember,ofcer,oremployeeoftheHouseor
Senateonofcialbusinessforoneyearafterleavingofce,normaytheyassistanyforeigngovernment
insecuringofcialactionfromanyfederalofcialduringthatyear.Houseofcersandemployeesmay
neithercontacttheindividual’sformercongressionalofceorcommitteemembersonofcialbusiness
foroneyearafterleavingHouseemployment,norassistanyforeigngovernmentinsecuringofcial
actionfromanyfederalofcialduringthatyear.Detailedguidanceontherestrictionsiscontainedin
thememorandareferencedinnote51above.
53
A former employee who joins a law rm should also be aware that a separate statutory
provision,18U.S.C.§203,hasbeeninterpretedtoprohibitaformerfederalofcialwhojoinsarm
fromsharinginfeesattributabletorepresentationalservicesinfederallyrelatedmatterswherethose
(con’t next page)
220 HOUSEETHICSMANUAL
fullybelow,Members,ofcers,andveryseniorstaffmustdisclosetheemployment
negotiationstotheStandardsCommittee.
ProvidedthatMembersandemployeesconductthemselvesinaccordancewith
theconsiderationsdiscussedabove,theymayengageinnegotiationsforemployment
inthesamemannerasanyotherjobapplicant.Discussionsmayspecicallyaddress
salary,duties,benets,andotherterms.
Notication Requirements. Pursuant to House Rule 27, Members,
ofcers, and very senior staff must notify the Committee on Standards of Ofcial
Conductwithinthree(3)businessdaysafterthecommencementofanynegotiation
or agreement for future employment or compensation with a private entity. The
noticationrequirementappliestoalljobnegotiationscommenced,andemployment
orcompensationagreementsenteredinto,onoraftertheeffectivedateoftherule
(September14,2007).
54
For2008,veryseniorstaffarethoseHouseemployeeswho
arepaidatanannualrateof$126,975foratleast60daysduringtheirlasttwelve
monthsofHouseemployment.
55
In addition, ofcers, very senior staff, and those Members subject to the
noticationrequirementmustrecusethemselvesfrom“anymatterinwhichthereis
aconictofinterestoranappearanceofaconict”withtheprivateentitywithwhich
theyarenegotiatingorhaveanagreementforfutureemploymentorcompensation,
andtheymustnotifytheStandardsCommitteeinwritingofsuchrecusal.
56
Members
whomakesucharecusalalsomustletheirnegotiationnoticationwiththeClerk
forpublicdisclosure.ThesubjectofMemberrecusalfromvotingisaddressedinmore
detaillaterinthischapter.Formstobeusedforthesenoticationrequirementsare
availableontheCommitteewebsite(www.house.gov/ethics).
OtherprovisionsoftherulesrelevanttofutureemploymentofMembersand
staff include the following. For Members and for staff persons required to le a
termination Financial Disclosure Statement, any agreement they reach on future
serviceswereprovidedbythermwhiletheindividualwasstillemployedbythegovernment.OGE
AdvisoryOpinion99x24,supran.22.
54
AMember,Delegate,orResidentCommissionerisnotsubjecttothisrequirementifhisor
hersuccessorhasbeenelected.
55
For employees of “other legislative ofces,” the salary triggering the post-employment
restrictionsislevelIVoftheExecutiveSchedule.See18U.S.C.§207(e)(7)(B).For2008,thatamount
is$149,000.“[O]therlegislativeofces”includetheArchitectoftheCapitol,UnitedStatesBotanic
Garden,GovernmentAccountabilityOfce,GovernmentPrintingOfce,LibraryofCongress,Ofceof
TechnologyAssessment,CongressionalBudgetOfce,andCapitolPolice.Italsoincludesanyother
Houselegislativebranchofcenotcoveredbytheotherprovisions,suchastheClerk,Parliamentarian,
OfceofLegalCounsel,andChiefAdministrativeOfcer.See18U.S.C.§207(e)(9)(G).
56
HouseRule27,cl.4.
Outside Employment And Income 221
employment, whether oral or written, before terminationof their service with the
HousemustbedisclosedonScheduleIXofthatform.Thegiftruleprovidesthata
Member,ofceroremployeemayaccept“[f]ood,refreshments,lodging,transportation,
andotherbenets...customarilyprovidedbyaprospectiveemployerinconnection
with bona de employment discussions” (House Rule 25, cl. 5(a)(3)(G)(ii). More
informationonthisprovisionisprovidedinChapter2ofthisvolume.Ifanindividual
accepts travel exceeding $335 in value from a prospective employer in connection
withemploymentnegotiations,thattravelmustbedisclosedonScheduleVIIofthe
individual’sFinancialDisclosureStatement.
Background on the Restrictions on Outside Employment and
Income
AttimesanewlyelectedHouseMemberoranewHouseemployeewishesto
continue, insomelimited form, the private orotheroutside employment in which
heorshehadbeenengaged.Also,aHouseMember,ofcer,oremployeemaywish
toacceptapart-timejoborapositionwithanoutsideentityorotherwisecommence
outsideemploymentsimultaneouslywiththeirserviceintheHouse.
As detailed in the remainder of this chapter, federal law and House rules
includerestrictionsonthetypesofoutsideemploymentandalimitontheamount
ofoutsideearnedincome thatMembers,ofcers,andemployees ofthe Housemay
accept.“Earned”incomeisincomethatconstitutescompensationforservices.The
fundamentalpurposeoftherestrictionsandlimitistoensurethatMembersandstaff
donotusetheinuenceorprestigeoftheirpositionwiththeHouseforpersonalgain,
andtoprecludeconictsofinterest.
Whilecertainlaws,rules,andstandardsofconductapplytoall HouseMembers
andstaff(asdiscussedpreviouslyinthischapter),other,morespecicrestrictionson
outsideearnedincomeandemploymentapplyonlytoMembersandcertainhighly
paidstaff,whoarereferredtointhischapteras“seniorstaff,”“senioremployees,”or
individuals“paidattheseniorstaffrate.”Asdetailedbelow,thesalaryrateatwhich
aHouseofceroremployeebecomessubjecttothesespeciclimitationsisdetermined
foreachcalendaryearbyaformulaestablishedinbothfederallawandHouserules.
Incalendaryear2008the“seniorstaffrate”isanannualrateof$114,468.Thesenior
staffrateforotheryearsisavailablefromthestaffoftheStandardsCommittee.
TherestrictionsontheoutsideearnedincomeofHouseMembersandsenior
staffarefarmoredetailedandextensivethanthoseapplicabletoso-called“unearned”
income–thatis,incomethatconstitutesareturnoncapital.TheHouseapproved
the establishment of an annual limitation on outside earned income in 1977 at
therecommendation ofthe HouseCommission onAdministrative Review,and the
Commission’sreportexplainsthebasicreasonsthatoutsideearnedincomepresents
222 HOUSEETHICSMANUAL
signicantlygreaterethicalconcerns:
Earned incomecreatesa variety of more seriouspotentialconicts of
interestthandoesinvestmentincome,rangingfromovertattemptsto
curryfavor byprivate groupsto subtledistortions inthe judgmentof
Membersonparticularissues....TheMemberwhohasstockholdings
cantransferhis holdings atany time toanother company, and, thus,
isnotassubjecttothesamedegree ofpotentialconictasaMember
whose...salary[fromaprivatecompany]couldbecutoffarbitrarily.
Outside earned income also presents a “time conict” between the
Member’sprivateinterestandthepublicinterest.Supplementingsalary
withoutsideearnedincomecandetractfromaMember’sfulltimeand
attentiontohisofcialdutiesandcreatessubtledistortionsinjudgment
astohowMembersshouldusetheirtime....
Moreover, many citizensperceiveoutside earned income as providing
Memberswithanopportunityto“cashin”ontheirpositionsofinuence.
Evenifthereisnoactualimpropriety,suchsourcesofincomegivethe
appearanceofimproprietyand,in sodoing,further underminepublic
condenceandtrustingovernmentofcials.
57
Twelve years later, in 1989, the House approved additional, signicant
restrictionsonoutsideemploymentandearnedincomeofMembersandseniorstaff
upontherecommendationoftheHouseBipartisanTaskForceonEthics.Thereport
oftheTaskForceexplainedthepurposesofthelimitationsthenineffectasfollows:
Thecurrentlimitationsonoutsideearnedincomeandhonorariawere
prompted by three major considerations: First, substantial payments
to a Member of Congress for rendering personal services to outside
organizationspresentsasignicantandavoidablepotentialforconict
of interest; second, substantial earnings from other employment is
inconsistent with the concept that being a Member of Congress is a
full-time job; and third, substantial outside earned income creates at
least the appearance of impropriety and thereby undermines public
condenceintheintegrityofgovernmentofcials.
* * *
Theearnedincomelimitationwasintendedtoassurethepublic
that(1)Membersarenotusingtheirpositionsofinuenceforpersonal
gainorbeingaffectedbytheprospectsofoutsideincome;and(2)outside
activitiesarenotdetractingfromaMember’sfull-timeattentiontohis
57
Comm’nonAdmin.Review, Financial Ethics,H.Doc.95-73,95
th
Cong.,1
st
Sess.10(1977).
Outside Employment And Income 223
orherofcialduties.
58
Restrictions on Outside Employment Applicable to
Members and Senior Staff
AMember...[oran]ofcer,oremployeeoftheHouse[paidator
abovethe“seniorstaff”rate],maynot–
(a)receive compensationforafliatingwithor beingemployed
by a rm, partnership, association, corporation, or other entity that
providesprofessionalservicesinvolvingaduciaryrelationship,except
forthepracticeofmedicine;
(b) permit his name to be used by such a rm, partnership,
association,corporation,orotherentity;
 (c)receivecompensationforpracticingaprofessionthatinvolves
aduciaryrelationship,exceptforthepracticeofmedicine;
 (d)serveforcompensationasanofcerormemberoftheboardof
anassociation,corporation,orotherentity;or
 (e)receivecompensationforteaching,withoutthepriornotication
andapprovaloftheCommitteeonStandardsofOfcialConduct.[House
Rule25,clause2.See also5U.S.C.app.4§502(a).]
Who Is a “Senior Staff” Person for Purposes of the Restrictions on
Outside Employment and Outside Earned Income Limitations?
TheEthicsReformActof1989enactedsignicantlimitationsontheoutside
employment and earned income of House Members – primarily with respect to
compensationfromthepracticeofanyprofessionandthereceiptofhonoraria–and
alsoextendedthoselimitationstohighlypaidstaff.Theofcersandemployeesto
whomthoselimitationsareapplicablearethosepaid,for more than 90 days in a
calendar year,atarateequaltoorexceeding120%oftheminimumrateofbasic
payforGS-15oftheexecutivebranch’sGeneralSchedule(HouseRule25,cl.4(a)(1)).
Theselimitationsdonotapplytoanyofceroremployeewhoispaidatorabovethat
ratefor90daysorlessinacalendaryear.
Incalendaryear2008,theGS-15rateofbasicpayis$95,390(localitypayis
notconsideredinmakingthisdetermination).Accordingly,incalendaryear2008,
the outside employment and earned income limitations apply to House staff paid
atorabovetherateof$114,468.Asnotedabove,thischapterreferstotheofcers
and employees paid at or above this rate as “senior staff,” “senior employees,” or
individuals“paidat the seniorstaffrate.” Theseniorstaff rate forother years is
availablefromthestaffoftheStandardsCommittee.
58
Bipartisan Task Force Report, supra note 8, at12,135Cong. Rec.atH9256.
224 HOUSEETHICSMANUAL
Under federal law and House rules, the outside earned income of House
Membersandseniorstaffissubjecttoanoverallannuallimitation,whichisexplained
inmoredetaillaterinthischapter.Incalendaryear2008,thatlimitationis$25,830. 
In addition, the provisions of law and rules enacted by the Ethics Reform Act of
1989restrict,andinsomecasesprohibit,compensationforcertaintypes ofservices,
regardlessofwhethertheindividual’sincomehasreachedthecap,asfollows.
Prohibition Against Receipt of Compensation for the
Practice of Law or Other Professions, and Related Prohibitions
UndertheEthicsReformAct,Membersandseniorstaffareprohibitedfrom
engaging in professions that provide services involving a duciary relationship,
including the practice of law and the sale of insurance or real estate. There were
essentiallytworeasonsfortheestablishmentoftheduciaryrelationshipprohibitions.
First,theseprofessionalactivitieswerebelievedtoposeaparticularriskofconict
ofinterest:
Thereisalsoconcernthatreceiptoflegalfeesandothercompensation
forprofessionalservices,and directors’feesfromservingon boardsof
corporations, associations,nonprotorganizations, and other entities,
creates at least the appearance of impropriety and the potential for
conictsofinterest.Basedonthefundamentalprinciplethatapublic
ofce is a public trust,all ofcials of the government are expected to
actintheinterestsofthebeneciariesofthattrust,thatis,thegeneral
public.
When certain private positions and employment create for the
Memberorpublicofcialaduciaryorarepresentationalresponsibility
to a private client or a limited number of private parties, then such
outsideactivitiescreatethepotentialforaseriousconictofinterest.The
conictoccursintheclashofthoseresponsibilitiesandthedivergenceof
publicandprivateinterestsonaparticulargovernmentalmatterorin
generalgovernmentpolicy.
59
Second,therewasadesiretoensurethathonoraria–which,asdetailedabove,
wasbannedunder otherprovisionsof theAct– “not reemergein various kindsof
professionalfeesfromoutsideinterests.”
60
Professions Covered by the Prohibitions. What types of professional
activitiesareembracedbytheseprohibitions?Thestatutedoesnotdene“duciary,”
atermgenerallydenotinganobligationtoactinanotherperson’sbestinterestsorfor
59
Id. at14,135Cong. Rec.atH9256.
60
Id.at16,135Cong. Rec.atH9257.
Outside Employment And Income 225
thatperson’sbenet,orarelationshipoftrustinwhichonereliesontheintegrity,
delity,andjudgmentofanother.
61
However,theBipartisanTaskForceReportstates
thatinorderfortheunderlyingpurposestobeachieved,“thetermduciary[should]
notbeappliedinanarrow,technicalsense.”
62
Thereportfurtherstates:
The task force intends the ban to reach, for example, services such
as legal, real estate, consulting and advising, insurance, medicine,
architecture,ornancial.
63
In the same vein, in the debate preceding passage of this law, one of the
MemberswhoservedontheBipartisanTaskForceexplainedthat“iteliminatesthe
ability of Members of Congress to earnincomefromprofessional fees such as law
practice,insurance,oraccounting,anyincomethatcouldbefunneledfromlobbyists
toMembersundertheguiseofpersonalservices.”
64
A Standards Committee advisory memorandum of February 23, 1998
(includedintheappendices)containsaCommitteedeterminationthatthepractice
of medicine is a profession involving a duciary relationship and hence is subject
totheduciaryrelationshipprohibitions.Thatmemorandumfurtheradvisedthat
henceforth,indeterminingwhetheraprofessioniscoveredbytheseprovisions,the
Committeewouldrelyontheabove-quotedlistofprofessionsintheBipartisanTask
Force Report, and would also look to (1) whether applicable state law establishes
anyduciaryrelationshipwithregardtothatprofession,and(2)theregulationson
coveredprofessionsissuedfortheExecutiveBranchbytheU.S.OfceofGovernment
Ethics(5C.F.R.§2636.305(b)(2)(2006)).
65
However,asdiscussedfurtherbelow,the
CommitteehasissuedguidancepermittingMemberstoacceptfeesforthepracticeof
medicineincertainlimitedcircumstances.
The applicability of the duciary relationship prohibitions to consulting or
advising on business matters and political consulting, and to medical practice, is
furtheraddressedinthisnextsectionofthischapter.
There are three separate prohibitions relating to professions involving
a duciary relationship. Except with regard to the practice of medicine, these
61
See Black’s Law Dictionary658,1315(8thed.2004);Bipartisan Task Force Report,supra
note8,at16,135Cong. Rec.atH9257.
62
Bipartisan Task Force Report,supranote8,at16,135Cong. Rec.atH9257.
63
Id.
64
135Cong. Rec.H8751(dailyed.Nov.16,1989)(statementofRep.Obey).
65
Thisapproachsupersededa“three-prongedtest”thattheStandardsCommitteehadusedto
thattimetodeterminewhetheraparticularemploymentopportunityinvolvedaduciaryrelationship.
See House Ethics Manual,102dCong.,2dSess.(April1992),at103.
226 HOUSEETHICSMANUAL
prohibitionsare setforthin virtuallyidentical forminboth statutorylaw andthe
Houserules,asfollows.
Prohibition Against Receiving Compensation From Practice of a
Covered Profession. Members and senior staff are prohibited from “receiv[ing]
compensation for practicing a profession that involves a duciary relationship.”
66
Accordingly,Membersandseniorstaffmaynotreceivecompensationforproviding
professional services in the elds noted above, and may not participate in any
arrangementunderwhichfeesforanysuchservicesthattheyrenderarepaidtoany
otherindividualorentity.
Theprohibitionappliesonlytocompensationforservicesthattheindividual
provides while serving as a Member or senior employee, and it does not apply to
compensation for services provided prior to assuming ofce. Thus, for example,
a Member who had been an insurance agent may accept renewal commissions
generatedbypoliciessoldpriortobecomingaMember,andaMemberwhohadbeen
a leasing agent may accept renewal commissions with respect to leases that were
enteredintopriortothattime.Itappearsthatinmostsucharrangements,payment
ofthecommissionisnotcontingentupontheperformanceofanyfutureservicesby
therecipient,andtheonlycontingencyisthattheinsuredorthelesseecontinueto
paypremiumsorrent,asthecasemaybe.
67
Similarly,aMemberwhohadbeenan
attorneymayacceptafeeforlegalworkcompletedpriortobecomingaMember.
68
AnysuchrenewalcommissionorotherincomereceivedbyaMemberorsenior
employeeforservicesprovidedpriortoassumingofcemustbereportedonSchedule
IoftheFinancialDisclosureStatementoftheMemberorseniorstaffpersonforthe
yearinwhichtheincomewasreceived.However,asdetailedbelow,suchincomedoes
notcountagainsttheindividual’soutsideearnedincomelimitationforthatyear.
66
HouseRule25,cl.2(c);5U.S.C.app.4§502(a)(3).
67
Italsoappearsthatinmostsucharrangements,thelevelofarenewalcommissionwasset
atthetimethattheoriginalpolicyorleasewasenteredinto.Inanyinstanceinwhichthelevelofa
renewalcommissionwasnotsetatthattime,butinsteadistobedeterminedbythepartiesatalater
time,theMemberorsenioremployeeshouldcontacttheStandardsCommitteeforadvice.
68
However,suchaMembercouldnotparticipateinanarrangementwithhisorherformer
rminwhich theMember wouldbe paidincomederivedfromthecontinuingor futurebusiness of
clientsthattheMemberhadbroughtintotherm.
Regardingthepossibilitythatreceiptofattorney’sfeesforworkinacaseagainsttheUnited
Statesperformedpriortothecommencementofone’sservicewiththeHousemaybeprohibitedby
18U.S.C.§§203,205,seeAttorney’s Fees for Legal Services Performed Prior to Federal Employment,
Memorandum of BethNolan, Deputy Ass’t Att’y Gen., Ofce of Legal Counsel, Dep’t of Justice, to
Director,DepartmentalEthicsOfce(Feb.11,1999)(availableontheOfceofLegalCounselwebsite,
www.usdoj.gov/olc).Theprovisionsof18U.S.C.§§203and205arediscussedearlierinthischapter.
Outside Employment And Income 227
As noted above, the prohibition extends generally to “consulting and
advising.”Theyclearlyapplytoconsultingandadvisinginprofessionaleldssuch
as law, accounting, investing, and real estate or insurance sales. In addition, as
a general matter, the prohibition extends to consulting or advising on business
matters.However,wherecertainrequirementsaresatised,aMemberorseniorstaff
person is not prohibitedfromacceptingcompensationforbusinessconsultingfroma
businessinwhichtheMemberorstaffperson(orhisorherfamily)holdsacontrolling
interest.Inorderforbusinessconsultingonapaidbasistobepermissible,(1)the
family-owned business may not be a law rm, an insurance agency, or any other
entitythatprovidesprofessionalservicesinvolvingaduciaryrelationship,(2)the
servicesprovidedbytheMemberorseniorstaffpersonmaynotbeinaprofessional
eldsuchaslaworaccounting,and(3)theotherlimitationsonoutsideearnedincome
andemploymentsetforthinthischaptermustbeobserved.AnyMemberorsenior
staffpersonwhowishestoreceivecompensationforconsultingservicesprovidedtoa
family-ownedbusinessshouldrstconsultwiththeStandardsCommittee.
As a general matter, the prohibition also extends to consulting or advising
on political mattersandpublic relations.However,aseniorstaffpersonisnot
prohibitedfrom acceptingcompensation forpolitical consultingservices thathe or
sheprovidesto either a candidate(including one’s employing Member),a political
party,ora Member’sleadershipPAC.
69
Seniorstaff whowishto consultforany
othertypeofpoliticalorganizationorentityshouldconsulttheStandardsCommittee
forguidancebeforeundertakinganysuchemployment.Inaddition,inordertobe
permissible, the political consulting services for which the senior staff person is
compensatedmaynotbeinaprofessionaleldsuchaslaworaccounting,andthe
otherlimitationsonoutsideearnedincomeandemploymentsetforthinthischapter
mustbeobserved.
With regard to the practice of medicine, as noted above, in 1998 the
Standards Committeedeterminedthat medical practice is aprofessioncovered by
theprohibitions.In2003theHouseamendeditsrulestoexemptmedicalpractice
from the duciary relationship prohibitions, but no corresponding change has yet
beenmadeintheprohibitionsassetoutinstatutorylaw.
70
Notwithstandingthe
existing statutory prohibition, the Standards Committee has authorized Member-
physicianstopracticemedicineforalimitedamountofcompensation.Specically,
69
Asindicatedinthetext,suchcompensationispermissibleforseniorstaffpersonsonly,and
notfor Members.It should alsobe noted thatFederalElection Commissionregulationsthat were
promulgated in 2002 prohibitMembers from receiving compensationfrom their own campaign (11
C.F.R.§113.1(g)(1)(i)(I)).AMember’sreceiptofcompensationfromhisorherowncampaignisalso
barredbytheprovisionoftheHouseRulesthatprohibitstheconversionofcampaignfundstopersonal
use(HouseRule23,cl.6).
70
149Cong. Rec.H9,H12(dailyed.Jan.7,2003).Thisamendmentisreectedintheexcerpt
fromtherulethatisquotedatthebeginningofthissection.
228 HOUSEETHICSMANUAL
theCommitteeadvisedthataMemberwhoisadoctordoesnotviolatetheprohibition
ifheorshereceives,inanycalendaryear,feesorotherpaymentsformedicalservices
that do not exceed the actual and necessary expenses incurred by the Member
duringtheyearinconnectionwiththepractice.Theparticularsofandthereasons
forthatCommitteedeterminationaresetforthintheFebruary1998memorandum
includedintheappendicestothisManual.AnyMember-physicianwishingtoaccept
paymentforprovidingmedicalservicesshouldreviewthatmemorandumandconsult
withtheStandardsCommittee.Inparticular,Memberswhopracticemedicinefor
compensation must lean annual accounting with the Standards Committee that
describesthetotalfeescharged,paymentsreceived,andanyexpenses.
OccasionallyaMemberorseniorstaffpersonisnamedorrequestedtoactas
the personal representative or executor of the estateofadeceasedindividual.
If the Member or senior staff person is an attorney, then any fees for serving as
personalrepresentativeorexecutorwouldbedeemedtoconstitutecompensationfor
legalservicesandhencecouldnotbeaccepted.However,theStandardsCommittee
hasrecognizedanexceptiontothisrulewhenthedeceasedindividualisanimmediate
familymemberoftheMemberorseniorstaffperson.Inthatcircumstance,thefees
normally paid to apersonal representative or executor may be accepted, but they
wouldcountagainsttheindividual’soutsideearnedincomelimitationfortheyear(s)
inwhichtheservicesarerendered.
Finally,occasionallyanincomingMemberorseniorstaffpracticedaprofession
involving a duciary relationship prior to taking ofce, and wishes to complete a
matteraftertakingofce.Asageneralrule,anysuch“windingup”workmustbedone
on an uncompensated basis. Nevertheless, in certain very limited circumstances,
the Standards Committee may allow the Member or senior staff person to accept
compensationforthatwork.AnyincomingMemberoremployeewishingtocontinue
workunderthesecircumstancesshouldconsultwiththeStandardsCommitteefor
moredetailedguidance.
Example 24. A Member, before his election to the House, was vice
presidentandgeneralcounselofasmallmanufacturingcompany.After
heassumesofce,thecompanywouldlikehimtocontinueinhisprior
capacities,butatareducedsalarytoreecthisreducedtimecommitment
tothecompany.TheMembermaynotacceptanycompensationfrom
the company under these circumstances since the payment would
be compensation for providing legal advice, a professional service
involvingaduciaryrelationship.(Suchcompensationwouldalsobean
impermissibleofcer’sfee(seebelow).)
Example 25. A political consulting rm that specializes in advising
candidates for state ofce offers a consulting contract to a Member.
Outside Employment And Income 229
The rm is hoping to attract new clients by making available the
demonstratedpoliticalsavvyandexpertiseoftheMember.TheMember
may not enter into the contract because the consulting services the
MemberwouldprovideareamongthoseforwhichaMembermaynot
receivecompensation,andinanyevent,itappearsthatthepurposeof
thecontractistocapitalizeontheindividual’sstatusasaMember.
Example 26. AMemberwhoisalawyerwouldliketorepresentan
indigent client on a pro bono (unpaid) basis. Since she will not be
compensated,shemaydoso,providedthatsheobservesallotherlimits
onthepracticeoflawbyMembers(seethesectiononlawpracticeearlier
inthischapter).
Example 27. TheHousepayofastaffpersonisincreasedtoarate
abovetheseniorstaffrate.Whileshewaspaidbelowtheseniorstaff
rate,sheearnedoutsideincomeasaninsuranceandrealestatebroker.
Asofthetimeshebecomesasenioremployee,shemaynolongerdoso.
Example 28. AMemberwhoisanattorneyisnamedtheexecutorofhis
lateuncle’sestate.Becausetheservicewouldbeonbehalfofafamily
member, he may accept payment of executor’s fees at the customary
rate.
Prohibition Against Receiving Compensation for Afliating With an
Entity That Provides Covered Professional Services. Members and senior
staffarealsoprohibitedfrom“receiv[ing]compensationforafliatingwithorbeing
employedbyarm,partnership,association,corporation,orotherentitythatprovides
professional services involving a duciary relationship.”
71
Under this prohibition,
Membersandseniorstaffmaynotreceivecompensationforafliatingwithorbeing
employedbysuchanentityin any capacity.
Under this prohibition, a Member or senior staff person may not receive
compensation for serving as, for example, a business manager or administrative
assistantofalawrm,amedicalpractice,orarealestateorinsuranceagency.As
to whether a particular rm provides professional services involving a duciary
relationship(meaningthatcompensationfortheserviceswouldbecoveredbythis
prohibition),seethedescriptionofcoveredprofessionsthatisprovidedaboveinthis
chapter.
Example 29. A Member is in her nal year in the House, having
announcedherretirement.UponleavingtheHouseshewilljoinalaw
71
HouseRule25,cl.2(a);5U.S.C.app.4§502(a)(1).
230 HOUSEETHICSMANUAL
rmandwillopenanewofcefortherm.Beforehertermexpires,she
wishestobeginorganizingtheofceby,forexample,arrangingforofce
spaceandinterviewingpotentialemployees.Shemaynotreceiveany
compensationfromthelawrmevenforanynon-legalworkthatshe
doesinthetimebeforeherHousetermexpires.
Example 30. AstaffpersonwhoseHousepayexceedstheseniorstaff
rateceasedsellingrealestateprioraftercomingtoworkontheHill.In
ordertomaintainhislicense,however,hemustremainafliatedwitha
realestaterm.Aslongasheisnotactivelysellingandhereceivesno
compensation,hemaymaintainthisafliation.However,thermmay
notpubliclyusehisname(seebelow).
Prohibition Against Permitting One’s Name To Be Used by an Entity
That Provides Covered Professional Services.AMemberorseniorstaffperson
isfurtherprohibitedfrom“permit[ting]hisnametobeusedby...arm,partnership,
association, corporation, or other entity” that “provides professional services
involving a duciary relationship.”
72
While the other two duciary relationship
prohibitionsrelatetoreceiptofcompensation,thebanonallowingone’snametobe
usedbyacoveredorganizationappliesregardless of whether the organization
compensates the Member or employee. The ban extends, forexample,to use
ofthenameoftheMemberorseniorstaffpersonontheletterhead,advertising,or
signageofanycoveredorganization.
Under this provision, when the name of an incoming Member or senior
staffpersonhad beenusedinthe nameofalaw rm,realestateagency, orother
organizationthatprovidesduciaryservices,thenameofthatorganizationmustbe
changedtoeliminatethenameoftheMemberorseniorstaffperson.However,the
requirementdoesnotapplywhentheorganization’snameinfactreectsa“family”
name,asopposedtothatoftheindividualMemberorstaffperson.Onthispoint,the
BipartisanTaskForceReportstates,“thefactthataMember,ofcer,oremployeeis
presentlyassociatedwithalawrmfoundedby,andstillbearingthenameof,his
fatherwouldnotrequirethermtodropthe‘family’name.”
73
Inaddition,federal lawat5 U.S.C.§ 501 providesthat a rm,business, or
organizationthatpracticesbeforethefederalgovernmentmaynotusethenameof
a Member of Congress to advertise the business. These limitations are in accord
withmodelrulesoftheAmericanBarAssociation(ABA)thatprohibitthefacadeof
retainingagovernmentlawyer’snameinarmwhentheindividualisnotactively
72
HouseRule25,cl.2(b);5U.S.C.app.4§502(a)(2).
73
Bipartisan Task Force Report,supranote8,at16,135Cong. Rec.atH9257.
Outside Employment And Income 231
andregularlypracticing.
74
Example 31. A Member was a name partner in a law rm before
electiontoCongress.Uponhiselection,thermchangeditsnameto
reecthisresignationbutrequestedthatitbeallowedtolisthimas“of
counsel”onitsletterheadsoastomaintainthegoodwillofhisformer
clients.Evenifheacceptsnocompensationfromtherm,theMember
mustrefusetherequest.
Example 32.MemberJaneDoeisacertiedpublicaccountant.Prior
toherelection,shewasemployedbytheaccountingrmofDoe&Moe,
namedforitsfounderandherfather,JoeDoe.Sincethermwasnot
actuallynamedforher,itdoes nothave tochangeitsnameuponher
election.
Prohibition Against Serving for Compensation as an Ofcer
or Board Member of Any Organization
Thebanonpaidboardservice–liketherestrictionsonpaidteachingdiscussed
inthenextsection–arisesfromthesamesetofconcernsastheduciaryrelationship
prohibitions.Thebanonacceptingcompensationforservingasanofcerorboard
memberappliestoallentities,includingnonprotandcampaignorganizations,and
governmentalentities.Asageneralmatter,Membersandseniorstaffmayservein
suchcapacities,buttheymaynotbepaidanydirectors’feesorothercompensation
forthat service.
75
Theymay acceptreimbursements fortravel andother expenses
incarryingoutthedutiesofaboardmemberandmaybecoveredbyaninsurance
policyasamemberofaboard,
76
providedthatacceptanceispermissibleunderthe
applicableprovisionofthegiftrule(HouseRule25,cl.5(a)(3)(G)(i)).
Example 33. AMemberservesontheboardofahospitalinhisdistrict.
Hereceivesnosalary,butthehospitalpaysforhistravelexpensesifhe
makesaspecialtriptoattendaboardmeeting,andheiscoveredunder
thehospital’sofcers’anddirectors’liabilitypolicy.Thesearrangements
donotviolatetheprohibitionagainstcompensatedboardservice.
74
SeeABA,Model Rules of Professional Conduct, Rule7.5(c)(2007).
75
The Internal Revenue Code specically excludes from income any payments in lieu of
honorariamadetocharitiesataMember,ofcer,oremployee’sbehestanddisallowsanytaxdeduction
forthembythatindividual(26U.S.C.§7701(k)).Nocomparableprovisionaddressespaymentsto
charityinlieuofdirectors’fees.Thus,evenifadirectortriedtohavehisorherfeesdonatedtocharity,
those fees could stillbe deemed constructive incometo the individual undertax law, which would
permittheindividualtotakeanitemizeddeduction.AnyarrangementwherebyaMember,ofcer,or
coveredemployeereceivesadirectorindirectnancialbenetfromboardserviceisprohibitedunder
theEthicsReformAct.
76
See Bipartisan Task Force Report,supranote8,at16,135Cong. Rec.atH9257.
232 HOUSEETHICSMANUAL
Example 34. A staff person whose pay is above the senior staff
rate works on a Member’s campaign on her own time and outside of
congressional space. The staff person may be paid for her campaign
work,subjecttotheoutsideearnedincomecap,aslongassheisnotpaid
asthecampaign’streasureroranyotherofcerforthecampaign.
Requirement for Prior Committee Approval of Compensation for Teaching
Membersandseniorstaffmaynotteachforcompensationunlesstheyreceive
priorwrittenapprovalfromtheStandardsCommitteeforeachsemesteroracademic
yearinwhichtheteachingwilloccur.Thisrequirementensuresthatteachingdoes
not become an avenue for circumventing the honoraria ban. In order to receive
approval,theteachingmustconformtothefollowingcriteria:
(1)Theteachingispartofaregularcourseofinstructionatanestablished
academicinstitution.
(2)Allcompensationcomesfromthefundsoftheinstitutionandnoneis
derivedfromfederalgrantsorearmarkedappropriations.
(3)Thepaymentisforservicesonanongoingbasis,notforindividual
presentationsorlectures.
(4)Theteacher’sresponsibilitiesincludeclasspreparationandstudent
evaluation(forexample,gradingpapers,testing,andhomework).
(5)Thestudentsreceivecreditforthecoursetaught.
(6)Thecompensationdoesnotexceedthatnormallyreceivedbyothers
atthe institutionfor acomparable levelof instructionand amountof
work.
(7) No ofcial resources, including staff time, areused in connection
withtheteaching.
(8)Theteachingdoesnotinterferewithofcialresponsibilitiesnoris
itotherwiseinconsistentwiththeperformanceofcongressionalduties.
(9) The employment or compensation does not present a signicant
potentialforconictofinterest.
Items1through6shouldbeconrmedinwritingbytheinstitutionatwhich
thepaidteachingwilloccur.Documentationmaybeintheformofanexplanatory
letterorcopyofateachingcontractattachedtotherequestforCommitteeapproval.
Outside Employment And Income 233
Items7through9shouldbeafrmedinwritingbytheindividualseekingtoteach.
The Standards Committee also normally approves requests to teach for
compensationinlessformalsettingssuchasSundayschool,pianolessons,aerobics
classes, and other situations clearly unrelated to ofcial duties or an individual’s
status in Congress. No documentation need be submitted from the employing
institution in such instances, but Committee approvalis required. Compensation
receivedforteachingatanyinstitutionissubjecttotheoutsideearnedincomelimit
forMembersandcoveredstaff,discussedlaterinthischapter.
Requirement for Committee Approval of Publishing Contracts, and
Prohibition Against Receipt of Any Advance Payment of Royalties
ThreeprovisionsofHouseRule25applywhereaMemberorstaffpersonpaid
attheseniorstaffratewishestoenterintoacontractforthepublicationofabook.
Brieystated,thoseprovisions:
• Prohibitthereceiptofcopyrightroyaltiesunlessthecontractisrstapproved
by the Standards Committee, with the criteria for approval being that the
royaltiesaretobereceivedfromanestablishedpublisherpursuantto“usual
andcustomarycontractualterms;”
• Prohibitthereceiptofanyadvancepaymentoncopyrightroyalties(aresearcher
orotherindividualworkingforaMemberonabookmayreceiveanadvance
directlyfromthepublisher,providedthattheindividualneitherisemployed
bytheHousenorisarelativeofanyHouseMember,ofcer,oremployee);and
• Exempt from the outside earned income limitation any copyright royalties
receivedunderapublishingcontractthatcomplieswiththeaboverules.
Elaborationontheseprovisionsfollows.
The Requirement for Prior Approval of Publishing Contracts.A
Member or senior employee may not “receive copyright royalties under a contract
...unlessthatcontractisrstapproved”bytheStandardsCommittee(HouseRule
25,cl.3(b)).ThecriteriaforCommitteeapprovalarethattheroyalties“arereceived
fromanestablishedpublisherunderusualandcustomarycontractualterms”(id.cl.
3(b),4(d)(1)(E)).
Indeterminingwhetherapublisherisan“established”oneforpurposesofthe
rule,theCommitteewillconsider,amongotherthings,informationonthecompanythat
isavailableinstandardindustryreferencebooks,suchastheyearthatthecompany
wasfoundedandthenumberoftitlesthatithasinprint.Indeterminingwhetherthe
termsofaproposedcontractare“usualandcustomary”ones,theCommitteerequires
representationsfromthepublisherastothecontracttermsthatitofferstosimilarly
234 HOUSEETHICSMANUAL
situatedauthorsandwhetherthetermsofferedtotheMemberoremployeedifferinany
wayfromitsstandardterms.Inreviewingcontractterms,theCommitteeconsiders,
among other terms, those that benet the author, including the royalty rates, any
provisionthatentitlestheauthortocopiesofthebookeitherwithoutchargeorata
reducedprice,andanyprovisionforabooktoursponsoredbythepublisher.
Attimesa Memberwishestoenterintoapublishing contractthatprovides
thatany royaltiesare tobe paiddirectly toa charitythat theMember designates
in the contract. Any publishing contract of a Member or senior staff person that
providesforthepaymentofroyaltiestoacharityorotherpersonmustnevertheless
besubmittedtotheStandardsCommitteeforpriorapproval.
Contractswithapublisherforacongressionalauthortoself-publishabookare
permitted,providedthecontractcontainsthepublisher’sstandardterms,available
toallauthors.Suchcontractsmaynotprovideanyadvanceonroyalties.
The Prohibition Against Receipt of an Advance on Copyright Royalties.
Underaprovisionoftherulesthatwasapprovedinlate1995,Membersandsenior
staff are prohibited from “receiv[ing] an advance payment on copyright royalties”
(HouseRule25,cl.3(a)).However,theruledoesnotprohibitanindividualwhois
workingwithaMemberorsenioremployeeonapublication,suchasaliteraryagent
orresearcher,from receiving anadvance on copyrightroyalties, provided that the
individualisneitheraHouseemployeenorarelativeofaMemberoranemployee.
Specically,theruleagainstadvancesoncopyrightroyalties
doesnotprohibitaliteraryagent,researcher,orotherindividual(other
thananindividualemployedbytheHouseorarelativeofaMember,
...ofcer,oremployee)workingonbehalfofaMember,...ofcer,
or employee with respect to a publication from receiving an advance
paymentofacopyrightroyaltydirectlyfromapublisherandsolelyfor
thebenetofthatliteraryagent,researcher,orotherindividual.
77
Exemption of Certain Copyright Royalties From the Outside Earned
Income Limitation.TheoutsideearnedincomeofMembersandseniorstaffare
subject to the outside earned income limitation discussed later in this chapter.
However,amongthetypesofincomethatareexempt fromtheannuallimitationare
“copyrightroyaltiesreceivedfromestablishedpublishersunderusualandcustomary
contractualterms”(HouseRule25,cl.4(d)(1)(E)).Underlyingthisprovisionofthe
rules is the concept that such royalties are a return on the author’s intellectual
property,akintootherunrestrictedreturnsonproperty.
78
77
HouseRule25,cl.3(a).
78
SeeSenateSpecialComm.onOfcialConduct,Senate Code of Ofcial Conduct,S.Rep.95-49,
(con’t next page)
Outside Employment And Income 235
Itisimportanttonotethattheonlycopyrightroyaltiesthatareexemptfrom
the outsideearned income limit arethose “received from anestablished publisher
underusualandcustomarycontractualterms.”Inthe104
th
CongresstheStandards
CommitteedeterminedthattheamountsaMemberhadreceivedforthesalesofhis
bookdidnotsatisfytherequirementsoftheruleandhencewerenotexemptfrom
theoutsideincomelimitation.
79
Inthatinstance,theMember’sbookwaspublished
inaforeigncountryunderanarrangementinwhichtheMemberreceivedaatfee
of$25,000,aswellasadditionalpaymentsfromamarketingagentbasedonarateof
40%oftheproceedsofsales.Moreover,allofthepaymentsfromthemarketingagent
derivedfrombulkbooksalestobusinesses,tradeassociations,andotherentitiesin
that country. The payments that theMemberhad received for his bookexceeded
theoutside earnedincome limitby$112,258. Because refundof theexcess tothe
purchasersof thebook wasimpracticable,the Committeerequired theMember to
donatetheamountinexcessoftheoutsideearnedincomelimitationeithertoqualied
charitiesortheU.S.Treasuryfordebtreduction.
Other Rules on Book-Related Activities.ThewritingofabookbyaMember
or staff person is notconsideredofcialHousebusiness,evenwhenthesubjectofthe
bookiscongressionalissuesorone’sexperiencesinCongress.Thesameappliestoother
book-relatedactivities,suchasseekingandenteringintoacontractwithapublisher
orothers,andpromotingone’sbook.Instead,suchactivitiesareconsideredoutside
businessactivities,andthisissoeveniftheMemberoremployeehascontractedthat
anyroyaltieswillbepaidtocharity.Accordingly,thoseactivitiesaresubjecttothe
laws,rules,andstandardsofconductgoverningtheoutsideemploymentofMembers
andallstaffthatarediscussedearlierinthischapter.
Thus,forexample,aMemberorstaffpersonmaynotuseanyHouseresources
–includingofcesuppliesorequipment,orstafftime–inanybook-relatedactivity
inwhichheorsheisengaging.Inaddition,attimesthepublisherwishestoarrange
abooktour,oranindividualororganizationwishestohostabook-relatedeventor
otherwiseassistorfurthersalesofone’sbook.ForMembersandstaff,theacceptability
ofsuchanofferisgovernedbythegiftrule(HouseRule25,clause5).Asageneral
matter,theprovisionofthegiftruleimplicatedbysuchoffersisthatwhichallowsa
Memberorstaffpersontoacceptbenetsresultingfromhisorheroutsideactivities,
providedthattworequirementsaresatised:(1)Thebenetshavenotbeenofferedor
enhancedbecauseoftheindividual’spositionwiththeHouse,and(2)thosebenets
arecustomarilyprovidedtoothersinsimilarcircumstances(HouseRule25,cl.5(a)
(3)(G)(i)).
95
th
Cong.,1
st
Sess.39(1977),quoted in HouseComm.onStandardsofOfcialConduct,Statement in
the Matter of Rep. James C. Wright, Jr.,101
st
Cong.,1
st
Sess.32(1989).
79
SeeHouseComm.onStandardsofOfcialConduct,In the Matter of Rep. Jay Kim,H.Rep.
105-797,105
th
Cong.,2dSess.56-66(1998).
236 HOUSEETHICSMANUAL
Inaddition,underprovisionsoftheHouseRulesandstatutorylawthatprohibit
theconversionofcampaignfundstopersonaluse,aMemberisprohibitedfromusing
campaignfunds orresourceseithertopurchase copiesof abook fromwhich heor
shereceivesroyalties,orinfurtheranceofanyactivitythatinvolvessalesofsucha
book(HouseRule23,cl.6;2U.S.C.§439a).Chapter8regardingcampaignactivity
providesfurtherdetailonthispoint.
Anotherrelevantprovisionoftherulesisthehonorariaban,whichisdiscussed
inmoredetailearlierinthischapter.WhilethebangenerallyprohibitsMembers
andstafffrom receivingpaymentfor, amongotherthings,anarticle, adistinction
ismadebetweenbooksandarticles.Abookauthor’sroyaltiesgenerallyreectthe
book’ssales,thatis,thepublic’sassessmentofthebook’sworth.Anarticle,onthe
other hand, typically garners a one-time fee, based only on what the publisher is
willingtopaytheparticularauthor(andnotnecessarilyrelatedtothemarketability
ofthepiece).Tobeexemptfromthehonorariaprohibition,abookmustbepublished
byanestablishedpublisherpursuanttoausualandcustomaryroyaltyagreement,
asdiscussedabove.
In an investigation in the 101
st
Congress, the Committee found reason to
believethatcertainincomethataMemberreportedasbookroyaltieswasactually
excessivehonoraria.TheCommittee’sStatementofAllegedViolationschargedthat
the Member, having reached his outside earned income limit, arrangedbulk book
salestogroupsbeforewhomhespokeinlieuofcollectinghonoraria.
80
TheMember
resignedbeforetheCommitteecouldproceedfurther.
Bulkbooksalesarenot,however,invalidper se.Inanothercase,theCommittee
declinedtoinitiateaPreliminaryInquirybasedonallegations(amongothers)thata
bulkbooksalemighthavebeenanimpropergiftorpoliticalcontribution,wherethe
Memberreceivednopersonalnancialbenetfromthesale.
81
Unliketheprevious
case,therewerenoallegationsthatthesalewasarrangedtocompensatetheMember
forpersonalservices.
Example 35.AMemberwritesabookofmemoirsabouthisyearsin
public service. An established publisher offers the Member its usual
and customary royalty terms for the right to publish the book. The
Membermayhavethebookpublishedandcollectroyaltiesunderthe
contract,oncehereceives writtenapprovalfromtheCommittee. The
royaltieswillbedeemed“unearnedincome”andwillnotcountagainst
theMember’soutsideearnedincomecap.
80
Statement in the Matter of Rep. James C. Wright, Jr.,supranote78,at19-42.
81
House Comm. on Standards of Ofcial Conduct, Statement Regarding Complaints Against
Rep. Newt Gingrich, 101
st
Cong.,2
d
Sess.41-43(1990).
Outside Employment And Income 237
The Outside Earned Income Limitation Applicable to Members
and Senior Staff
Amount of the Annual Limitation
Inadditiontothelimitationsonoutsideemploymentsetforthabove,House
Members,aswellasofcersandemployeespaidatthe“seniorstaff”rateformore
than90daysinacalendaryear,aresubjecttoanannuallimitationontheamount
oftheiroutsideearnedincome.
82
Theamountofthelimitforanyyearis15%ofthe
rateofpayforLevelIIoftheExecutiveScheduleineffectonJanuary1oftheyear.
TherateofpayforExecutiveLevelIIin2008is$172,200.Accordingly,theoutside
earned income limit for calendar year 2008 is $25,830. The limitations for other
yearsareavailablefromtheStandardsCommittee.
Income Subject to the Annual Limitation, and Income Excluded From
the Limitation. Thelimitationappliesonlytoearnedincome,thatis,compensation
for services, and not to investment income. The term “outside earned income” is
denedintherulesas–
wages,salaries,fees, andotheramountsreceived ortobereceivedas
compensationforpersonalservicesactuallyrendered.
HouseRule25,cl.4(d)(1).Inthedebateprecedingadoptionoftherule,oneMember
distinguishedearnedincomeasthatwhichoneearns“bythesweatof[one’s]brow.”
83
Thematterofearnedversusunearnedincomeisdiscussedfurtherbelow.
Thelimitationappliesbyitstermstooutsideearnedincomethatis“attributable”
toacalendaryear.Inattributingoutsideearnedincome,theStandardsCommittee
usestheapproachreectedinregulationsissuedbytheU.S.OfceofGovernment
Ethicsfortheexecutivebranch,i.e.,“[r]egardlessofwhenitispaid,outsideearned
incomeisattributabletothecalendaryearinwhichtheservicesforwhichitispaid
wereprovided.”5C.F.R.§2636.304(d)(2006).
In addition, in 1978 the House Select Committee on Ethics issued a major
advisoryopinionontheoutsideearnedincomelimitation,andacopyofthatopinionas
updatedtoreectchangestoapplicablelawsandrulesisreprintedintheappendices
82
5U.S.C.app.4§501(a)(1);HouseRule25,clause1(a)(1).TheHouserulelimitingoutside
earnedincomewasadoptedoriginallyonMar.2,1977(H.Res.287,95
th
Cong.,1
st
Sess.)andamended
onDec.15,1981(H.Res.305,97
th
Cong.,1
st
Sess.),andagain,asaresultoftheEthicsReformActof
1989,Pub.L.101-194,§804,103Stat.1716,1776(1989).
83
123Cong. Rec.5902(Mar.2,1977)(statementofRep.Frenzel).
238 HOUSEETHICSMANUAL
tothischapter.
84
Thatopinionstates,“[o]utsideearnedincomeisattributedtothe
yearinwhichtheMember’s,ofcer’soremployee’srighttoreceiveitbecomescertain
(i.e., undertheaccrual method) rather than to the yearof receipt.”
85
Accordingly,
for purposes ofthelimitation, income that a Member or senior employee earns in
aparticularyearmaynotbedeferredtoafutureyearinwhichheorshehasless
outsideearnedincome,oruntilaftertheindividualretiresfromCongress.
Theruleexplicitlyexcludesthefollowingtypesofincomefromthedenition
of“outsideearnedincome,”andhencefromtheoutsideearnedincomelimitation:
• Theindividual’scongressionalsalary;
• Compensationforservices“actuallyrendered”beforetheindividualbecamea
Memberorsenioremployee,orbeforetheeffectivedateoftherule;
• Amountspaidby,oronbehalfof,aMemberorsenioremployeetoatax-qualied
pension, prot-sharing, or stock bonus plan, and received by the individual
fromthatplan;
• Amounts received from a family-controlled trade or business in which both
personalservicesandcapitalareincome-producingfactors,providedthatthe
personalservicesactuallyrenderedbytheMemberorsenioremployeedonot
generateasignicantamountofincome;and
• Copyright royalties received from established publishers under usual and
customarycontractualterms(HouseRule25,cl.4(d)(1)).
Withregardtotheexceptionforincomefromafamily-ownedfarmorbusiness,
the CommissiononAdministrativeReviewinthe95
th
Congressofferedthefollowing
explanation:
[T]he Commission believes that Members should be able to
renderpersonalservicestomanageorprotecttheirequityinafamily
trade or business without having to allocate these personal services
toward the 15-percent limitation. However, if the personal services,
in and of themselves, generate any signicant amount of income, the
resultingincomeshouldbesubjecttothe...limitation.Conversely,the
Commissionbelievesthatinimplementingthislimitationcareshould
be taken to prevent Members from circumventing itby incorporating
themselves into a “family business” and then withdrawing what in
84
HouseSelectComm.onEthics,Advisory Opinion No. 13(Oct.1978),reprinted inH.Rep.
95-1837,andreprintedinupdatedformintheappendicestothisManual.
85
Id.
Outside Employment And Income 239
realityarefeesforpersonalservicesintheformofdividendsorprots.
86
The debate preceding the adoption of this rule emphasized that personal
servicesthatgenerateincomedonotcomewithintheexemptionandwouldthusbe
subjecttotheearnedincomelimitation:
Thecrucialelementindeterminingwhetherthelimitationapplies
...isthis:Ifthepersonalservicesproducetheincome,thenitdoesnot
matterwhetheritisafamilybusiness...oranythingelse.Ifthose
personalservicesactuallyproducetheincome,thenitcomesunderthe
limitation.
87
Additionally, Advisory Opinion No. 13 of the House Select Committee on
Ethics(reprintedinupdatedformintheappendicestothisManual)emphasizesthe
followingwithrespecttothe“familybusiness”exemption:
[T]he denition of earned income in Rule 25, which excludes
amounts received by a Memberfrom a family controlled business “so
long as the personal services actually rendered by theindividual . ..
donotgenerateasignicantamountofincome,”wassimplyintended
toassureMembers,ofcers,andemployeesthattheycouldcontinueto
makedecisionsandtakeactionsnecessarytomanageorprotecttheir
equityinafamilytradeorbusiness,andwouldnotbeforcedtodivest
themselvesoftheirfamilybusinessinterests.Aswithanybusiness,a
Member,ofcer,oremployeewouldnotberequiredtoallocateashareof
theprotsofthebusinessasoutsideearnedincomewhenthefactsand
circumstancesshowthattheincomeisinrealityareturnoninvestment.
Earned vs. Unearned Income. Theannuallimitationappliestocompensation
for personal services (termed “earned income”), but not to moneys received from
ownership or other investments of equity (so-called “unearned income”).
88
In this
regard,Advisory Opinion No. 13emphasizesthatthe“realfacts”ofaparticularcase
wouldcontrolastowhethermoneysreceivedwouldbedeemedearnedincome:
[T]he label or characterization placed on a transaction,
arrangement or payment by the parties may be disregarded for
purposesoftheRule.Thus,ifamountsreceivedortobereceivedbya
Member,ofcer,oremployeeareinfactattributabletoanysignicant
86
Financial Ethics,H.Doc.95-73,supranote57,at11.
87
123 Cong. Rec. 5897 (Mar. 2, 1977) (statement of Rep. Hamilton); see also id. at 5902
(statementofRep.Obey).
88
See123Cong. Rec.5901-02(Mar.2,1977)(statementofRep.Frenzel).
240 HOUSEETHICSMANUAL
extent to services rendered by the Member, ofcer, or employee the
characterization of such amounts as partnership distributive share,
dividends,rent, interest, paymentfor acapital asset,orthe like,will
notservetopreventtheapplicationofRule25tosuchamounts....
ForpurposesofthisOpinion,therearetwotypesofincome–earned
andunearned.Ifthecompensationreceivedisessentiallyareturnon
equity,thenitwouldgenerallynotbeconsideredtobeearnedincome.If
theincomeisnotareturnonequity,thensuchincomewouldgenerally
beconsideredtobeearnedincomeandsubjecttothelimitation.
Personal Service Businesses. In businesses for which capital is not a
materialincome-producingfactor,theAdvisoryOpinionstatesthattheentireshareof
protsisgenerallyconsideredearnedincome,unlessitcanbeshownthatsomeincome
actuallyderivesfromareturnoninvestment.EvenwhentheMemberperformsno
personalservices,itispresumed,lackingastrongshowingtothecontrary,thatthe
Member’sshareofprotsfromaservicebusinessisforattractingorretainingclients
andthusisconsideredearnedincome.Astolawpracticesspecically,theAdvisory
Opinionstatesthat“buy-out”arrangementsarepermittedandwillnotbecounted
towardtheearnedincomelimitwhenfairandreasonableinrelationtocomparable
practices.Toensurethatthesecriteriaaresatised,itisadvisableforaMemberto
consultwiththeStandardsCommitteebeforeacceptinga“buy-out.”
Business Corporations.Inbusinesscorporations,onlypaymentforservices
theMemberperformsisconsideredearnedincome.Anincreaseinthevalueofthe
rm’sstockordistributionofprotsisnotconsideredearnedincome.Thispractice,
however, cannotbeused as a subterfuge, such asaMember incorporating for the
purposeofmakingspeechesorwritingarticles,thenhavingallfeesdirectedtothe
corporationandlaterdistributedtotheMemberas“prots.”
Close Corporations, Partnerships, and Unincorporated Businesses.
WhenaMemberhasanownershipinterestandalsoperformssomeservices,asina
closecorporation,partnership,orunincorporatedbusiness,someoftheprotsmight
resultfromthepersonalservicesoftheMemberandthereforewouldbeconsidered
earnedincome. Advisory Opinion No. 13(included in theappendices) states,“the
determiningfactor is whetherthe Member’spersonalservices generatesignicant
incomeforthebusiness.”TheMembermayprotecthisorherinterestandinvestments
inthebusinessthroughgeneraloversightandmanagementofinvestmentswithout
generating earned income. However, fees, compensation, or salaries from such a
businessareearnedincome.WhentheMember’sprincipalfunctionistoreferortohelp
retainclients,then“theMemberwouldbedeemedtoberenderingincome-producing
services,eventhoughtheactualtimeinvolvedmightbeminimal.”
Outside Employment And Income 241
Administration and Enforcement of the Outside Employment
and Outside Earned Income Limitations, and Impact of the
Limitations
Administration and Enforcement
Statutory law provides that with respect to House Members, ofcers, and
employees,theoutsideemploymentandearnedincomelimitationsareadministered
byandsubjecttotherulesandregulationsoftheStandardsCommittee(5U.S.C.app.
4§503(1)).
89
ThatstatutealsoauthorizestheCommitteetorenderwrittenadvisory
opinionsontheseprovisionstoMembersandstaff.Underthestatute,anyMember
orstaffpersonwhoactsingoodfaithinaccordancewithawrittenadvisoryopinion
from the Committee is not subject to sanction under the statute. The Committee
thereforeencouragesanyonewithquestionsregardingoutsideemploymentorincome
tocontacttheCommitteeforguidance.
Statutory law further provides thatthe Attorney General may bring a civil
actionagainstanyindividualwhoviolatestheoutsideemploymentorearnedincome
limitations,andthatthecourtmayassessacivilpenaltyofupto$11,000ortheamount
of compensation for the prohibited conduct, whichever is greater (5 U.S.C. app. 4
§504(a)).AMember,ofcer,oremployeewhoviolatesanyofthelimitationsisalso
subjecttodisciplinaryactionbytheHouse.Inanyevent,theStandardsCommittee
mayrequireaMemberorstaffpersonwhoreceivescompensationinviolationofany
of thelimitations to return theimpermissible amount to thepayor. When return
wouldbeimpracticable,theCommitteemaypermittheindividualinsteadtomake
a donation in that amount to a charitable organization, with that donation being
explicitlydesignatedbytheindividualashavingbeenmadetoremedytheviolation.
Astowhether,inagivencase,thisremedyispermissibleisfortheCommittee,not
theindividual,todecide.
Impact of the Limitations
Theoveralleffectoftheoutsideemploymentlimitationsassummarizedabove
–particularlywhenconsideredwiththehonorariabanandtheotherprovisionson
outsideemploymentdiscussedinthischapter–istoseverelyrestricttheabilityof
Membersandseniorstafftoearnoutsideincome.Asapracticalmatter,relatively
fewMembersreceiveoutsideearnedincomeforservicestheyprovideonacurrent
basis.
90
Forthemostpart,thosehavingsuchincomereceiveiteitherfromanapproved
89
Underthatstatute,theStandardsCommitteealsoadministerstheseprovisionsforcertain
legislativebranchagencies,butitmaydelegatethisauthoritytothoseagencies.
90
AnumberofMembersreceiveearnedincomefromservicestheyrenderedinthepast,such
aspaymentsfromapensionplan,or,forexample,inthecaseofaMemberwhohadbeenaninsurance
agent,renewalcommissionsgeneratedbypoliciesthatheorshesoldpriortobecomingaMember.
242 HOUSEETHICSMANUAL
teachingpositionorfromabusinessthatiscontrolledbyeithertheMemberorthe
Member’s family. By and large, the senior staff members who have such income
receive it for outside political work for either theiremploying Member or another
candidate,orapoliticalparty.
91
Member Voting and Other Ofcial Activities on Matters of
Personal Interest
Voting on matters before the House is among the most fundamental of a
Member’s representational duties, and historical precedent has taken the position
that there is no authority to deprive a Member of the right to vote on the House
oor.
92
Thus,asageneral matter,thedecisionon whethertorefrainfromvoting
onaparticularmatterrestswithindividualMembers,ratherthan theSpeakeror
theCommittee.However,generalethicalprinciplesandhistoricalpracticeprovide
specicguidanceastothelimitedcircumstanceswhenitisadvisablethataMember
abstainfromvotingonaparticularmatter.AmongtheseprinciplesisthatMembers
maynotusetheircongressionalpositionforpersonalnancialbenet.
General Requirement That Members Vote on Questions Before the House
Certain matters go to the very heart of a Member’s ofcial responsibilities.
Chiefamongthemisvotingonlegislation.HouseRule3provides:
1.EveryMember...shallvoteoneachquestionput,unlesshe
hasadirectpersonalorpecuniaryinterestintheeventofsuchquestion.
2.(a)AMembermaynotauthorizeanyotherpersontocasthis
voteorrecordhispresenceintheHouseortheCommitteeoftheWhole
HouseonthestateoftheUnion.
(b)NootherpersonmaycastaMember’svoteorrecordaMember’s
presenceintheHouseortheCommitteeoftheWholeHouseonthestate
oftheUnion.
Inthe100
th
Congress,priortotheadoptionofthisrule,theHousereprimanded
aMemberforallowinganothertovoteontheoorinhisplace.Inrecommending
disciplinaryaction,theStandardsCommitteeexpresseditsrmbeliefthat“nothing
ismoresacredtothedemocraticprocessthaneachpersoncastinghisownvote.”
93
91
While Members and senior staff are generally prohibited from receiving income for any
consultingservices,thereisanexceptionforpoliticalconsultingforacandidate,apoliticalparty,ora
Member’sleadershipPAC.
92
House Rules and Manual, supra note31,§672.
93
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. Austin J. Murphy,H.
Rep.100-485,100
th
Cong.,1
st
Sess.3(1987).
Outside Employment And Income 243
Voting and Other Activities on Matters of Personal Interest
No statute or rule requires the divestiture of private assets or holdings by
Members or employees of the House upon entering their ofcial position. Since
legislation considered by Congress affects such a broad spectrum of business and
economicendeavors,aMemberoftheHousemaybeconfrontedwiththepossibility
ofvotingonlegislationthatwouldhaveanimpactuponapersonaleconomicinterest.
Thismayarise,forexample,whereabillauthorizesappropriationsforaprojectfor
whichthecontractorisacorporationinwhichtheMemberisashareholder,orwhere
aMemberholdsakindofmunicipalsecurityforwhichabillwouldprovidefederal
guarantees.
Longstanding House precedents have not found such interests to warrant
abstentionundertheabove-quotedHouseRulethatinstructsMemberstovoteoneach
questionpresentedunlesstheyhave“adirectpersonalorpecuniaryinterestinthe
eventofsuchquestion.”Rather,ithasgenerallybeenfoundthat“wherelegislation
affectedaclassasdistinctfromindividuals,aMembermightvote.”
94
Therulehas
beenexplainedasfollows:
Itisaprincipleof‘immemorialobservance’thataMembershould
withdraw when a question concerning himself arises; but it has been
heldthatthedisqualifyinginterestmustbesuchasaffectstheMember
directly,andnotasoneofaclass.Inacasewherequestionaffectedthe
titlesofseveralMemberstotheirseats,eachrefrainedfromvotingin
hisowncase,butdidvoteontheidenticalcasesofhisassociates.While
aMembershouldnotvoteonthedirectquestionsaffectinghimself,he
hassometimesvotedonincidentalquestions.
95
Thus, Members holding stock in national banks have voted on legislation
“providinganationalcurrencyandtoestablishfreebanking”sinceMembers“donot
have that interest separate and distinct from a class, and, within the meaning of
therule,distinct fromthepublic interest.”
96
Veterans intheHouse haveproperly
votedonquestionsofpayandpensionsinthemilitarysincesuchMembers“didnot
enjoythebenetarisingfromthelegislationdistinctandseparatefromthousands
ofmeninthecountrywhohadheldsimilarpositions.”
97
TheSpeakerwouldnotrule
thataMember owning stocksinbreweries or distilleriesshould be disqualied in
votingontheproposedamendmenttotheConstitutionconcerningprohibitionofthe
94
See5Hinds’ Precedents of the House of Representatives§5952,at504(1907)(hereinafter
“Hinds”).
95
House Rules and Manual,supranote31,§673(citationsomitted).
96
5Hinds,supranote94,§5952,at503-504.
97
Id. at504.
244 HOUSEETHICSMANUAL
manufactureandsaleofliquor.
98
Memberswhowerestockholdersinorhadinterests
in importbusinesses voted on atariff bill affecting theimportbusiness since “the
billbeforeusaffectsaverylargeclass....TheChairwouldbesurprisedifthere
werenothundredsofthousandsofAmericancitizenswhowerestockholdersinthese
companies....”
99
AlthoughtherulehasbeenfoundnottoapplywhenaMemberisaffectedonly
asamemberofaclassratherthanasanindividual,someprecedentsintheHouse
haveindicatedthattherulemightapplyiflegislationaffectsonlyonespecicbusiness
orproperty,ratherthanaclassorgroupofbusinessesorproperties.Thus,although
theSpeakerfoundthataMemberinterestedinbreweriesordistilleriescouldvoteon
“prohibition”becauseitaffectedaclassofbusinesses,theSpeakerspecicallynoted,
[n]ow, if there was a bill here affecting one institution, if you call it
that,theChairwouldbeinclinedtorulethataMemberinterestedin
itpecuniarilycouldnotvote,butwhereitaffectsawholeclasshecan
vote.
100
Similarly,inruling thatMemberswith interestsinimportbusinessescould
vote on a tariff bill, the Speaker observed, “Certainly it would not be within the
poweroftheChairtodenyaMembertherighttovoteexceptinthecasewherethe
legislationappliedtooneandonlyonecorporation.”
101
Inthecaseofanamendment
toabillspecicallyrelatingtotheCentralPacicRailroad,theSpeakersuggested
thatastockholderMembershoulddisqualifyhimselffromvoting,althougharuling
disqualifyingsuchMemberwasnotmadebytheChair:
InthiscaseifthegentlemanfromMassachusettsbeastockholder
in that road the Chair would rule he had noright to vote. It differs
fromthecaseofnationalbanks,whichhasbeenbroughtupinseveral
instances, in the fact that this is a single corporation, and is not of
generalinterestheldthroughoutthecountrybyallclassesofpeoplein
allcommunities....Butifastockholderinasinglerailroadcorporation,
asinthiscase,hashisvotechallengeditwouldbethedutyoftheChair
tohold,ifheisactuallyastockholderoftheroad,thathehasnorightto
vote.***TheChairsodecideswithoutanyknowledgeinthisparticular
case. It is for the gentleman from Massachusetts whose delicacy the
Chair knowsandcheerfully recognizes to relieve the Housefrom any
98
8Cannon’s Precedents of the House of Representatives§3071,at620(1936).
99
Id.§3072,at623.
100
Id.§3071,at621.
101
Id.§3072,at623.
Outside Employment And Income 245
embarrassmentonthatquestion.
102
Asshown by morerecent applications ofthe rule, however,even where one
corporationorentityisprimarilyaffectedbylegislation,aMember’sinterestinsuch
corporationorentitymightnotbefoundtobeadisqualifyinginterestinthesubject
matter.AstheStandardsCommitteenotedinareportinadisciplinarycase:
House precedents establish the rule that “where the subject
matter before the House affects a class rather than individuals, the
personalinterestofMemberswhobelongtotheclassisnotsuchasto
disqualifythemfromvoting.”ThisprinciplewasfollowedbytheHouse
as recently as December 2, 1975, when the question arose whether
HouseRuleVIII(1)[currentlynumberedasHouseRule3,cl.1]would
disqualifyMembersholdingNewYorkCitysecuritiesfromvotingona
billtoprovidefederalguaranteesforthesesecurities.SpeakerAlbert
ruledthatapointofordertodisqualifyMembersholdingsuchsecurities
wouldnotbesustained....
103
TheCommittee foundin thatcase thatthe respondent’sownership of1,000
sharesofcommonstockinadefensecontractorcorporation,outofmorethan4,550,000
sharesoutstanding,“wasnot,underHouseprecedents,sufcienttodisqualifyhim
fromvotingon”anappropriationsbillauthorizingfundsforaprojectforwhichthe
corporationwasundercontractwiththegovernmenttoperform.
104
Inaddition,Houseprecedentsfavor“theideathatthereisnoauthorityinthe
HousetodepriveaMemberoftherighttovote.”
105
Giventhesizeoftoday’sdistricts,
whena Member refrainsfrom voting, wellover half amillionpeople aredenieda
voiceonthependinglegislation.
However, while the Standards Committee has endorsed the principle that
“eachindividualMemberhastheresponsibilityofdecidingforhimselfwhetherhis
personalinterestinpendinglegislationrequiresthatheabstainfromvoting,”
106
itdid
soafterinvestigatingallegations(amongothers)thataMemberhadviolatedtherule
bynotrefrainingfromvotinginaparticularinstance.TheCommitteeclearedthe
Memberofthischarge,butithasoccasionallyadvisedMembers,inprivateadvisory
opinions,thatitwouldbeinappropriateforthemtovoteortointroducelegislation
102
5Hinds,supranote94,§5955,at506.
103
H.Rep.94-1364,supranote2,at15.
104
Id.at14-16.
105
House Rules and Manual, supranote 31, § 672, at 374; see also 5Hinds, supra note 94,
§5956,at506.
106
H.Rep.94-1364,supranote2,at15-16;see also121Cong. Rec.38135(Dec.2,1975).
246 HOUSEETHICSMANUAL
directlyaffectingsignicantanduniquelyheldnancialinterests.Attimesaquestion
arisesastowhetherthe“class”towhichaMemberbelongswithregardtoapieceof
legislation–suchas,forexample,theclassofownersofaparticularareaoflandthat
wouldbeacquiredbythegovernmentunderthelegislation–issufcientlylargeto
warranttheMembervotingundertheauthoritiessetoutabove.
TheprovisionsofHouseRule3,clause1,asdiscussedinthissection,apply
onlytoMembervotingontheHouseoor.Theydonotapplytootheractionsthat
Membersmaynormallytakeonparticularmattersinconnectionwiththeirofcial
duties,suchassponsoringlegislation,advocatingorparticipatinginanactionbya
Housecommittee,orcontactinganexecutivebranchagency.Suchactionsentaila
degreeofadvocacyaboveandbeyondthatinvolvedinvoting,andthusaMember’s
decisiononwhethertotakeanysuchactiononamatterthatmayaffecthisorher
personalnancialinterestsrequiresaddedcircumspection.Moreover,suchactions
mayimplicatetherulesandstandards,discussedabove,thatprohibittheuseofone’s
ofcialpositionforpersonalgain.WheneveraMemberisconsideringtakinganysuch
actiononamatterthatmayaffecthisorherpersonalnancialinterests,theMember
shouldrstcontacttheStandardsCommitteeforguidance.AMembershouldalso
exercisecautionbeforeacceptingapositionontheboardofanorganizationthatis
subjecttotheoversightofacommitteeonwhichtheMembersits.
In addition, as described earlier in this chapter, House Rule 27, clause 4
imposesanew,additionalrequirementthatMemberswhoarenegotiatingforfuture
employment“shallrecuse”themselves“fromanymatterinwhichthereisaconict
ofinterestoranappearanceofaconictforthatMember.”Historicalpracticehas
establishedthat,withregardtoHouseRule3,thereisnoauthoritytoforceaHouse
Membertoabstainfromvoting,andthedecisiononwhetherabstentionfromvoting
was necessary has been left for individual Members to determine for themselves
underthecircumstances.
107
Ataminimum,Membersfacedwithavoteonamatter
thatdirectly impactsa privateentitywith whichthey arenegotiating wouldhave
difcultybalancingthedutytheyowetotheirconstituentswiththerecusalprovisions
ofRule27.Memberswhowishtoavoidsuchconictsareencouragedtodelayany
negotiationsforfutureemploymentuntilaftertheirsuccessorhasbeenelected.
Certication of No Financial Interest in Fiscal Legislation
TheHouseRulesadoptedatthebeginningofthe110
th
Congressaddedanew
provisionintheCodeofOfcialConductrequiringMemberstomakeanafrmation
regardingtheirnancialintereststothecommitteeofjurisdictionwhenrequesting
certaintypesofscallegislativeprovisions.Specically,HouseRule23,clause17
requiresanyMemberwho“requestsacongressionalearmark,alimitedtaxbenet,
107
See5Hinds,supranote94, §§5950,5952at502,503-04.
Outside Employment And Income 247
oralimitedtariffbenetinanybillorjointresolution(oraccompanyingreport)orin
anyconferencereportonabillorjointresolution(oranaccompanyingjointstatement
ofmanagers)”to certifythatneither theMembernor theMember’sspouse havea
“nancialinterestinsuchcongressionalearmarkorlimitedtaxortariffbenet.”
Thecommitteeswithjurisdictionoverearmark,tax,andtariffbenetrequests
areresponsiblefordeterminingwhetheranyparticularspendingprovisiontriggers
thecerticationrequiredbytherule.AMemberwhorequestsanearmarkorother
provisioncoveredbytherulemustprovideawrittenstatementtothechairmanand
rankingmemberofthecommitteeofjurisdictionofthebill,resolution,orreportthat
containsthefollowinginformation:
• ThenameoftheMember;
• Inthecaseofanearmark,thenameandaddressoftheintendedrecipientorif
thereisnointendedrecipient,thelocationoftheactivity;
• Inthecaseofalimitedtaxortariffbenet,thenameofthebeneciary;
• Thepurposeoftheearmarkorlimitedtaxortariffbenet;and
• AcerticationthatboththeMemberandtheMember’sspousehavenonancial
interestintheearmarkorlimitedtaxortariffbenet.
WhetheraMemberoraMember’sspousehasanancialinterestinanearmark
willmostfrequentlydependonthespecicfactsandcircumstancesregardingboth
theproposedprovisionandthepersonalnancialcircumstancesoftheMemberand
spouse.InthegreatmajorityofcasesMembersshouldreadilybeabletodetermine
whethertheyhaveanancialinterestinanearmark.Membersareencouragedto
consulttheCommitteeforguidancewithanyfact-specicquestionstheymayhave.
The Committee nevertheless provides the following general guidance. As
ageneralmatter,anancialinterestwouldexistinanearmarkwhenitwouldbe
reasonabletoconcludethattheprovisionwouldhaveadirectandforeseeable
108
effect
onthepecuniaryinterestsoftheMemberortheMember’sspouse.Suchinterests
mayrelatetonancialassets,liabilities,orotherinterestsoftheMemberandspouse,
suchasinvestmentsinstocks,bonds,mutualfunds,orrealestate.Anancialinterest
mayalsoderivefromasalary,indebtedness,joboffer,orothersimilarinterest.
Anancialinterestwouldnotincluderemote,inconsequential,orspeculative
interests. For example, if a Member proposed an earmark or tax or tariffbenet
assistingacertaincompany,theMembergenerallywouldnotbeconsideredtohave
108
Aneffectis foreseeableifitisanticipatedorpredictable. Foradditionalguidance,see5
C.F.R.§2640.103(a)(3)(deningtheterm“predictable”as“real,asopposedtoaspeculative,possibility
thatthematterwillaffectthenancialinterest”).
248 HOUSEETHICSMANUAL
anancialinterestintheprovisionbyowningsharesinadiversiedmutualfund,
employeebenetplan(e.g.,theThriftSavingsPlanorsimilarstatebenetplan),or
pensionplanthat,inturn,holdsstockinthecompany.However,aMember’sdirect
ownershipofstock,evenasmallnumberofsharesinawidelyheldcompany,likely
wouldconstituteanancialinterestunderRule23.
A contribution to a Member’s principal campaign committee or leadership
PACgenerallywouldnotconstitutethetypeof“nancialinterest”referredtointhe
rule.Nevertheless,apoliticalcontributiontiedtoanofcialactionmayraiseother
considerations.Itisimpermissibletosolicitoracceptacampaigncontributionthat
is linked to any action taken or asked to be taken by a Member in the Member’s
ofcial capacity – such as an earmark request that a Member has made or been
askedtomake.Acceptingacontributionunderthesecircumstancesmayimplicate
the federal gift statute or the criminal provisions on illegal gratuities or bribery,
whicharedescribedinChapters2and4ongiftsandcampaignactivity,respectively.
Post-Employment Restrictions
Applicability of the Restrictions
The EthicsReformActof1989enacted,forthersttime,post-employment
restrictionsonMembers,theelectedofcers,andcertainemployeesoftheHouseand
Senate,andcertainofcersandemployeesofotherlegislativebranchofces.These
restrictionsaresetoutinacriminalstatute,18U.S.C.§207,andtheytookeffect
in 1991. Therestrictionswere amended slightly by Honest Leadership and Open
GovernmentActof2007,
109
whichwasenactedduringthe110
th
Congress.
HousestaffwhoareemployedinaMember,committee,orleadershipofceare
coveredbytherestrictionsiftheywerepaid,foraperiodof60daysormoreinthe
one-yearperiodprecedingterminationoftheirHouseemployment,atarateequalto
orgreaterthan75%ofMembers’pay(18U.S.C.§207(e)(7)(A)).In2008thebasicrate
ofMembers’payis$169,300,andthusthepost-employmentthresholdforemployees
who leave their House employment in 2008 is $126,975. The threshold for other
yearsisavailablefromtheStandardsCommittee.Foremployeesofotherlegislative
ofces,
110
thebasicrateofpaytriggeringtherestrictionsislevelIVoftheExecutive
109
HonestLeadershipandOpenGovernmentActof2007,supranote45.
110
“[O]therlegislativeofces”includeemployeesoftheArchitectoftheCapitol,UnitedStates
BotanicGarden,GovernmentAccountabilityOfce,GovernmentPrintingOfce,LibraryofCongress,
OfceofTechnologyAssessment, CongressionalBudget Ofce,and CapitolPolice.Italso includes
any other House legislative branch ofce not covered by the other provisions, such as the Clerk,
Parliamentarian,OfceofLegalCounsel,andChiefAdministrativeOfcer.See18U.S.C.§207(e)(9)
(G).
Outside Employment And Income 249
Schedule,whichfor2008is$149,000.
111
Becauseanemployeebecomessubjecttothe
restrictionswheretheemployee’spayisatthethresholdrateforaperiodasbriefas
twomonths,aHouseemployeemaybecomesubjecttotherestrictionsasaresultof
temporarychangesinthebaserateofpay,suchasthosemadetopayabonus.
112
The post-employment restrictions of 18 U.S.C. § 207 are the only such
restrictionsapplicabletoformerHouseemployees.Houseemployeeswhosepaywas
below the threshold are not subject to the post-employment restrictions set out
inthestatute, andnoother provisionoffederal statutory lawor the HouseRules
establishesanycomparablerestrictionsonpost-employmentactivities.
Section103(a)oftheHonestLeadershipandOpenGovernmentActrequires
theClerkoftheHousetoprovidealldepartingMembersandcoveredemployees(i.e.,
thoseemployeeswhoaresubjecttothepost-employmentrestrictions)withaletter
notifyingtheindividual“of thebeginningandendingdate ofthe prohibitionsthat
apply.”Section103(b)oftheActmandatesthatthesameinformationbeavailableon
apublicinternetsite.
Set out below is a brief summary of the provisions of 18 U.S.C. § 207 as
applicableto HouseMembers, ofcers,and employees.The StandardsCommittee
has also prepared a pair of advisory memoranda – one for House Members and
ofcersandoneforHouseemployees–thatdetailtheapplicabilityandscopeofthe
restrictionsof18U.S.C.§207.Copiesofthosememorandaareavailablefromthe
StandardsCommitteeoritswebsite.Anyonewishingadetailedexplanationofthe
statuteshouldrefertothoseadvisorymemoranda.
Scope of the Restrictions
Section 207 imposesaone-year “cooling-off period” on the former Members,
ofcersandcoveredemployees.Asageneralmatter,foroneyearafterleavingofce,
those individuals may not seek ofcial action on behalf of anyone else by either
communicating with or appearing before specied current ofcials with the
intenttoinuencethem.Thus,
111
18U.S.C.§207(e)(6),(e)(7)(B).
112
Regarding the post-employment implications of paying such an increase in the form of
“lumpsum”payments,ratherthanthroughatemporaryadjustmentintheemployee’sregularsalary,
seeChapter7onStaffRightsandDuties.Brieystated,theCommitteedeterminedthatlumpsum
payments,whenproperlyusedbyanemployingofce,donotconstitutepartoftherecipient’s“rate
ofbasicpay.”Keyfactorsinmakingthisdeterminationarethatlumpsumpaymentsarenottreated
assalaryforpurposesofemploymentbenets,donotcountindeterminingthemaximumamountan
employeecancontributetotheThriftSavingsPlan,ortheamountoflifeinsurancethattheemployee
maypurchase, and likewise they do not countindeterminingan employee’s “high three” years for
purposes of calculatingretirementbenets.
250 HOUSEETHICSMANUAL
• A former Member may not seek ofcial action from any current Member,
ofcer,oremployeeofeither the Senate or the House,orfromanycurrent
employeeofanyotherlegislativeofce(§207(e)(1)(B)).
• Aformerelected ofceroftheHousemaynotseekofcialactionfromany
currentMember,ofcer,oremployeeoftheHouse(§207(e)(1)(B)).
• Acoveredformeremployeeonthepersonal staffofaMembermaynotseek
ofcialactionfromthatMemberorfromanyoftheMember’scurrentemployees
(§207(e)(3)).
• A covered former employee of a committee may not seek ofcial action
from any current Member or employee of the employing committee or from
anyMemberwhowasonthecommitteeduringthelastyearthattheformer
employeeworkedthere(§207(e)(4)).
• Acoveredformeremployeeontheleadership staff(i.e.,anemployeeofany
leadershipofce)maynotseekofcialactionfromanycurrentMemberofthe
leadershipoftheHouse
113
oranycurrentleadershipstaffemployees(§207(e)
(5)).
• Acoveredformerofceroremployeeofanyotherlegislative ofcemaynot
seekofcialactionfromacurrentofceroremployeeofthatlegislativeofce
(§207(e)(6)).
114
For the purposes of the statute, a detailee is deemed to be an employee of
boththeentityfromwhichheorshecomesandtheentitytowhichtheindividualis
detailed(§207(g)).
These restrictions bar certain types of contacts with certain categories of
ofcials, basically former colleaguesand those most likely to be inuenced on the
basisoftheformerposition.Thelawfocusesoncommunicationsandappearances.
Bycontrast,ifaformerofcialplaysabackgroundrole,doesnotappearinpersonor
conveyhisorhernameonanycommunications,thelawdoesnotappeartoprohibit
thatpersonfromadvisingthosewhoseekofcialactionfromtheCongress.Sucha
backgroundroledoesnotposetheriskofimproperinuencesincethecurrentofcials
113
The “leadership” of theHouse consists of theSpeaker; majority leader; minority leader;
majoritywhip;minoritywhip;chiefdeputymajoritywhip;chiefdeputyminoritywhip;chairmanofthe
DemocraticSteeringCommittee;chairmanandvicechairmanoftheDemocraticCaucus;chairman,
vice chairman, and secretary of the Republican Conference; chairman of the Republican Research
Committee;chairmanoftheRepublicanPolicyCommittee;andanysimilarpositioncreatedafterthe
statutetookeffect.18U.S.C.§207(e)(9)(L).
114
Fortheseemployees,post-employmentrestrictionsdonotapplyunlesstheirrateofbasic
payequaledorexceededthatineffectforlevelIVoftheExecutiveSchedule($149,000in2008).18
U.S.C.§207(e)(7)(B).
Outside Employment And Income 251
arenotevenawareoftheformerofcial’sparticipation.
115
Thelawdoes, however,
absolutelyprecludeonesetofactivitiesregardlessofwhethertheformerofcialacts
openlyorbehindthescenes.Noneoftheofcialssubjecttothelimitationsdescribed
abovemayrepresent,aid,oradviseaforeigngovernmentorforeignpoliticalparty
before any federal ofcial (including any Member of Congress) with the intent to
inuenceadecisionofsuchofcialincarryingouthisorherofcialduties(§207(f)).
Exceptions
Under18U.S.C.§207(j),theserestrictionsdonotapplytoofcialactionstaken
byemployeesorofcialsofthefollowing:theUnitedStatesgovernment;theDistrict
of Columbia; state and local governments; accredited, degree-granting institutions
ofhighereducation;andhospitalsormedicalresearchorganizations.Theyfurther
do not preclude activities on behalf of international organizations in which the
United States participates where the Secretary of State certies in advance that
suchactivitiesservetheinterestsoftheUnitedStates.Inaddition,section207does
notpreventindividualsfrommakinguncompensatedstatementsbasedontheirown
special knowledge, from furnishing scientic or technological information in areas
where they possess technical expertise, or from testifying under oath. Under 18
U.S.C.§207(e)(8),individualsarealsopermittedtocontacttheOfceoftheClerk
regarding compliance with lobbying disclosure requirements under the Lobbying
DisclosureAct.
Penalties
Violation of § 207 is a felony, carrying penalties of imprisonment, nes, or
both.Section216ofTitle18authorizesimprisonmentforuptooneyear(oruptove
yearsforwillfullyengagingintheproscribedconduct).Additionally,anindividual
maybenedupto$50,000foreachviolationortheamountreceivedorofferedfor
the prohibited conduct, whichever is greater. The statute further authorizes the
AttorneyGeneraltoseekaninjunctionprohibitingapersonfromengaginginconduct
thatviolatestheact.
Theprovisionsof18U.S.C.§207summarizedabovegoverntheconductofformer
Members,ofcers,andemployeesonly, anddonot applyto theconductof current
Members,ofcers,oremployees.However,currentMembersandstaffwhoreceive
impropercontactsshouldbeawarethat,dependingonthecircumstances,theymay
besubjecttoHousedisciplinaryaction.InaStandardsCommitteedisciplinarycase
thatwascompletedinthe106
th
Congress,aMemberadmittedtoengaginginseveral
formsofconductthatviolatedtherequirementoftheHouseCodeofOfcialConduct
thateachMemberandstaffperson“conducthimselfatalltimesinamannerthat
115
Formerofcialswhoarelawyersshouldconsulttheirlocalbarassociationconcerningthe
applicationofrulesgoverningtheirinvolvementinmattersinwhichtheyparticipatedpersonallyand
substantiallyintheirofcialcapacity.
252 HOUSEETHICSMANUAL
shallreectcreditablyontheHouse.”(HouseRule23,cl.1).Oneofthoseviolations
washisengaginginapatternandpracticeofknowinglyallowinghisformerchiefof
stafftoappearbeforeandcommunicatewithhiminhisofcialcapacityduringthe
one-year period following theterminationof her House employment “in a manner
thatcreatedtheappearancethathisofcialdecisionsmighthavebeenimproperly
affected.”
116
AMemberor employee whohasany concerns aboutthe applicability of the
post-employment restrictions to his or her proposed conduct should contact the
StandardsCommitteeforspecicguidance.WhileCommitteeinterpretationsof18
U.S.C.§207arenot bindingontheJustice Department,thoseinterpretationsare
basedontheCommittee’sanalysisofthetermsandpurposesofthestatute,aswell
asanyapplicableopinionsorguidanceoftheJusticeDepartmentortheU.S.Ofceof
GovernmentEthicsofwhichtheCommitteeisaware.
117
Employment Considerations for Spouses of Members and Staff
BeingmarriedtoaHouseMemberorstaffpersondoesnot,ofcourse,preclude
onefromearningasalary.Nevertheless,certainaspectsofaspouse’semployment
mayhaveimplicationsfortheMemberorstaffperson.
118
Federal law, at 5 U.S.C. § 3110, generally prohibits a federal ofcial from
hiringorpromotingarelative,includingaspouse.Priortothe107
th
Congress,ifa
HouseemployeemarriedhisorheremployingMember,theemployeecouldremain
onthe Member’s personalor committee staff,but could notthereafter receive any
promotionsorraisesotherthancost-of-livingorotheracross-the-boardadjustments.
However,atthebeginningofthatCongressin2001,theHouseamendedtheCode
ofOfcialConducttoprovidethataMembermaynotretainhisorherspouseina
paidposition,andthataHouseemployeemaynotacceptcompensationforworkfor
a committee on which his orher spouseserves asa member.
119
Accordingly, as a
generalrule,aMember’sspousemayworkintheMember’sofceonanunpaidbasis
only.
120
116
HouseComm.onStandardsofOfcialConduct,Summary of Activities, One Hundred Sixth
Congress,H.Rep.106-144,106
th
Cong.,2dSess.,at10(2001).
117
Itshouldbenotedthatonecourtheldthatitisacompletedefensetoaprosecutionforconduct
assertedly in violation of a related federal criminal strict-liability statute (18 U.S.C. § 208) that the
conductwasundertakeningoodfaithrelianceuponerroneouslegaladvicereceivedfromtheofcial’s
supervisingethicsofce.United States v. Hedges,912F.2d1397(11thCir.1990).
118
See generallyMarcE.Miller,Politicians and Their Spouses’ Careers (1985).
119
House Rule 23, cl. 8(c). The provision by its terms does not apply to a spouse whose
employmentpredatesthe107
th
Congress.
120
SeeChapter7forafurtherdiscussionofthelawagainstnepotism.
Outside Employment And Income 253
Spouses who accept civil service positions with federal, state, or local
governmentsshouldbeawareofpossiblelimitationsrelatingtotheiroutsidepolitical
activity under the Hatch Act
121
or a similar law of the employing authority. An
individualemployedinsuchapositionmaybelimitedinthecampaigneffortsthat
maybemadeonbehalfofhisorherspouse.Aspouseholdingsuchagovernmental
position should consult with his or her supervising ethics ofce to determine the
proprietyofproposedcampaignactivities.
Neither federal law nor House rules specically precludes the spouse of a
Member or staffperson from engaging in any activity on thegroundthat it could
createaconictofinterestwiththeofcial’scongressionalduties.However,House
rulesandstatutoryprovisionsimputetoaMemberorstaffpersoncertainbenets
thatarereceivedbyhisorherspouse.Thus,aquestionmayariseastowhetherthe
ofcialisimproperlybenetingasaresultofthespouse’semployment.
The rules and standards that prohibit the use of one’s ofcial position for
personal gain, which are set out in this chapter, are fully applicable to Members
andstaffpersonswithregardtotheirspouse’semployment.Specically,aprovision
of the House Code of Ofcial Conduct, prohibits a Member from receiving any
compensation, or allowing any compensation to accrue to the Member’s
benecial interest,fromanysourceasaresultofanimproperexerciseofofcial
inuence (House Rule23,cl. 3). Additionally, the Code of Ethics for Government
Service(¶5)admonishesofcials nevertoaccept benetsfor themselvesor their
families“undercircumstanceswhichmightbeconstruedbyreasonablepersonsas
inuencingtheperformance”ofofcialduties.Theincomereceivedbyaspousefrom
employmentusuallyaccrues,albeitindirectly,toaMember’sinterest.Nonetheless,
neitheroftheseprovisionsistriggeredbyaspouse’semploymentunlessaMemberor
staffpersonexertsinuenceorperformsofcialactsinordertoobtaincompensation
for,orasaresultofcompensationpaidto,hisorherspouse.
Twootherprovisions of theCodeof Ethics forGovernmentService are also
applicable to a Member or staff person with regard to the employment activities
ofone’sspouse or anyother family member. These are provisionsthat prohibit a
governmentofcialfrom–
• Using “any information coming to him condentially in the performance of
governmentaldutiesasameansofmakingprivateprot”(¶8);and
• “[D]iscriminat[ing]unfairlybythedispensingofspecialfavorsorprivilegesto
anyone,whetherforremunerationornot”(¶5).
The prohibition against doing any special favors for anyone in one’s ofcial
121
5U.S.C.§§7321-7326,1501-1508.
254 HOUSEETHICSMANUAL
capacityisafundamentalstandardofconduct,anditappliestoanofcial’sconduct
withregardtonotonlyhisorherspouseorotherfamilymembers,butmorebroadly
toanyperson.
SpecialcautionmustbeexercisedwhenthespouseofaMemberorstaffperson,
oranyotherimmediatefamilymember,isalobbyist.Ataminimum,suchanofcial
should not permit the spouse to lobby either him- or herself or any of his or her
subordinates.Whenthespouseofastaffpersonisalobbyist,thestaffpersonshould
informhisorheremployingMemberbeforethespouseoranyonewiththespouse’s
rmmakesalobbyingcontactwithanyoneonthestaff,andnosuchcontactsshould
occurwithouttheMember’sapproval.Furthermore,arecentlyenactedprovisionof
theHouserules(HouseRule25,clause7)requiresthattheMemberprohibithisor
herstafffromhavinganylobbyingcontactswiththatspouseifsuchindividualisa
registeredlobbyistor isemployedor retained bya registered lobbyistto inuence
legislation.
122
Incertainlimitedcircumstances,thegiftruleallowsaMemberorstaffperson
toacceptameal,travel,orotherbenetsthatresultfromhisorherspouse’sbusiness
oremploymentactivities(HouseRule25,cl.5(a)(3)(G)(i)).Thisprovisionoftherule
isexplainedinChapter2ofthisvolume,asistherule’sapplicabilitytogiftsgivento
thespouseoranotherfamilymemberofaMemberorstaffperson.
Asexplainedearlierinthischapter,ofcialresourcesaretobeusedforofcial
purposes.ThusaMembermaynotuseanycongressionalresources(including,e.g.,
staff time or the ofce computer) on behalf of any private enterprise, including a
spouse’sprofessionalactivities.
Occasionally the Standards Committee has looked into allegations that
spouseswere notearning theirincome, butrather thattheir salariesand benets
wereprovidedasindirectgiftstotheMembers.Inonecase,theCommitteeissueda
StatementofAllegedViolationsstating,amongotherthings,thattherewasreason
tobelievethattheMemberhadviolatedthegiftandnancialdisclosurerulesinthat:
• CompensationreceivedbytheMember’swifefromabusinesswasnotinreturn
foridentiableservicesorworkproductsthatsheprovidedtothebusiness;
• Thefreeuseofacarthatshereceivedfromthatbusinesswasnotrequiredfor
heremploymentwiththatbusiness;and
• Theseapparentgiftswerenotprovidedwhollyindependentofherrelationship
totheMember.
123
122
Thatprovisionwasaddedby§302ofHLOGA(seenote45,supra).
123
Statement in the Matter of Rep. James C. Wright, Jr.,supranote78,at70-81.
Outside Employment And Income 255
Inthatcase,theMemberresignedbeforetheCommitteecouldproceedfurther.
However,inanothercaseinwhichtherewasacomplaintagainstaMemberalleging
thatfeespaidtoaMember’sspousebyabusinesswereagiftreceivedbytheMember
inviolationofthegiftrule,theCommitteedeclinedtoinitiateapreliminaryinquiry
uponreceivingdocumentationoftheservicesthatthespousehadperformedforthe
business.
124
124
See Statement Regarding Complaints Against Rep. Newt Gingrich,supranote81,at34-36.
256
FINANCIAL DISCLOSURE
The Financial Disclosure instructions are updated annually.
Find the most current guidance, including salary thresholds
and outside employment requirements, online at
https://ethics.house.gov/nancial-disclosure.
257
FINANCIAL DISCLOSURE
Overview
TheprivatenancialinterestsandinvestmentsofMembersandemployees,as
wellasthoseofcandidateswhoareseekingelectiontotheHouseofRepresentatives,
maypresentpotentialconictsofinterestwithofcialduties.TheNewYorkCity
BarAssociationundertookacomprehensivestudyofCongressionalethicsbeginning
in1967.TheBarcommission’sstudyfoundthat
[t]hemostseriouschargewhichcanbemadeagainstapublicofcial’s
ethicsisthathebetraysthepublic’strustinhimbyusingtheofceto
advancehisownnancialinterestsatthepublic’sexpense....Much
distrustofgovernmentowsfromambiguouscircumstanceswherethere
is ground for suspicion that ofcials are promoting their ownwelfare
ratherthanthepublic’s.
1
ThenancialdisclosurerequiredofHouseMembers,ofcers,senioremployees,
andcandidateswasinstitutedinparttoaddressthisconcern.
Inaddition,allMembers,ofcers,andemployeesareprohibitedfromimproperly
usingtheirofcialpositionsforpersonalgain.Asageneralmatter,however,Members
andemployeesneednotdivestthemselvesofassetsuponassumingtheirpositions,
normustMembersdisqualifythemselvesfromvotingonissuesthatgenerallyaffect
their personal nancial interests. Instead, public nancial disclosure provides a
meansofmonitoringanddeterringconicts.
To accomplish this disclosure, Members, ofcers, candidates, and certain
employeesmustleannualFinancialDisclosureStatements,summarizingnancial
informationconcerningthemselves,theirspouses,anddependentchildren.Among
otherinformation,thesestatementsmustdiscloseoutsidecompensation,investments
andassets,andbusinesstransactions.
This chapter is intended to provide only a basic overview of the nancial
disclosurerequirements.Eachyear,theCommitteeonStandardsofOfcialConduct
publishescomprehensiveinstructionbookletsdetailingtheinstructionsforcompleting
aFinancialDisclosureStatement.OnebookletcoverstheinstructionsforFormA,
which is used by current and terminating Members, ofcers, and employees, and
theotherisforFormB,whichisusedbycandidatesfortheHouseandcoverednew
Houseemployees.Copiesofthecurrentinstructionbookletsareavailablefromthe
StandardsCommitteeortheLegislativeResourceCenter.
1
SpecialComm.onCongressionalEthics,Ass’noftheBaroftheCityofNewYork, Congress
and the Public Trust34(J.Kirby,Jr.,exec.director1970)(hereinafter“Congress and the Public Trust”).
258 HOUSEETHICSMANUAL
Statutes and Rules Governing Disclosure of Financial Interests
No federal statute, regulation, or rule of the House absolutely prohibits a
MemberorHouseemployeefromholdingassetsthatmightconictwithorinuence
the performance of ofcial duties. However, acting partly to address the issues
identiedby the BarCommission, Congresspassed the Ethicsin GovernmentAct
of1978(“EIGA”),
2
whichmandatedannualnancialdisclosurebyallseniorfederal
personnel,includingallMembersandsomeemployeesoftheHouse.TheEthicsin
GovernmentAct,asamended,providesthestatutorybasisforthedisclosurecurrently
requiredofHouseMembers,candidates,andseniorHouseemployees.
3
HouseRule26adoptsTitleIofEIGAasaruleoftheHouse.
4
HouseRule26,
clause1requirestheClerkoftheHousetopublishareporteachAugust1compiling
allMemberFinancialDisclosureStatementsledbyJune15ofthatyear.
Inaddition,statutes and Houserules restrict income fromoutside nancial
interestsorgovernaspectsofthebusinessdealingsorinvestmentsofHouseMembers
andemployees,asfollows:
• Membersand employees ofCongress may notuse their ofcialpositions for
personalgain;
5
• Membersmaynotenterintoorenjoybenetsundercontractsoragreements
withtheUnitedStates;
6
• Membersandemployeesshouldnotengageinanybusinesswiththefederal
government, either directly or indirectly, that is inconsistent with the
conscientiousperformanceoftheircongressionalduties;
7
• Members and employees may not receive any compensation or allow any
compensation to accrue to their benecial interests from any source if its
receiptwouldoccurbyvirtueofinuenceimproperlyexertedfromaposition
intheCongress;
8
• Members and employees of the House may not accept benets under
2
Pub.L.95-521,92Stat.1824(Oct.26,1978).Legislativebranchdisclosurerequirements
werethencodiedat2U.S.C.§701et seq.
3
SeeEthicsinGovernmentActof1978,asamended,5U.S.C.app.4§101et seq.
4
HouseRule26(2).
5
SeeHouseRule23,cl.3;CodeofEthicsforGovernmentService¶5,H.Con.Res.175,72
Stat.,Part2,B12(1958).
6
18U.S.C.§431.
7
CodeofEthicsforGovernmentService,supranote5,at¶7.
8
HouseRule23,cl.3.
Financial Disclosure 259
circumstancesthatmightbeconstruedbyreasonablepersonsasinuencing
theperformanceoftheirgovernmentalduties;
9
and
• Members and employees should never use any information received
condentially in the performance of governmental duties as a means for
makingprivateprot.
10
Initsveryrstcase,inthe94
th
Congress,theStandardsCommitteefoundthat
aMemberhadviolatedtheprohibitionontheuseofone’sofcialpositionforpersonal
gainwhenhesoughtbenetsfromanorganizationafterhehadactivelypromoted
theestablishmentofthatorganizationinhisofcialcapacity.TheCommitteefound
thatthe Member hadworked, throughhis congressionalofce,to helpestablish a
bankonamilitarybase.Duringthetimehewasactivelyassistinginthateffort,he
approachedorganizersofthebankandinquiredaboutthepossibilityofbuyingstock
init.
11
Hesubsequentlypurchased2,500sharesofthebank’sprivatelyheldstock.
TheCommitteenotedthat“[i]fanopinionhadbeenrequestedofthisCommitteein
advance aboutthe propriety of theinvestment, it would havebeendisapproved.”
12
TheMemberwasalsofoundtohaveusedpublicofceforprivategaininthathehad
sponsoredlegislationtoremovea reversionaryinterestandrestrictionsonland in
whichhehadapersonalnancialinterest.
13
TheMemberwasreprimandedbythe
House.
14
Policies Underlying Disclosure
Members, ofcers, and certain employees must annually disclose personal
nancialinterests,includinginvestments,income,andliabilities.
15
Financialdisclosure
provisionswereenactedtomonitorandtodeterpossibleconictsofinterestdueto
outsidenancialholdings.Proposalsfordivestitureofpotentiallyconictingassets
andmandatorydisqualicationofMembersfromvotingwererejectedasimpractical
or unreasonable.
16
Such disqualication could result in the disenfranchisement of
aMember’sentireconstituencyonparticularissues.
17
AMembermayoftenhavea
9
CodeofEthicsforGovernmentService,supranote5,at¶5.
10
Id.at¶8.
11
SeeHouseComm.onStandardsofOfcialConduct, In the Matter of a Complaint against
Representative Robert L.F. Sikes, H.Rep.94-1364,94
th
Cong.,2dSess.3(1976).
12
Id.at4.
13
Id.at3-4.
14
122Cong. Rec.24379-83(July29,1976).
15
TitleIoftheEthicsinGovernmentActof1978,asamended,5U.S.C.app.4§§101-111.
16
SeeHouseComm’nonAdmin.Review,Financial Ethics,H.Doc.95-73,95
th
Cong.,1
st
Sess.
9-10(1977)(hereinafter“Financial Ethics”).
17
Congress and the Public Trust,supranote1,at40.
260 HOUSEETHICSMANUAL
communityofinterestswiththeMember’sconstituency,andmayarguablyhavebeen
electedbecauseofandtoservethesecommoninterests,andthuswouldbeineffective
inrepresentingtherealinterestsoftheconstituentsiftheMemberwasdisqualied
fromvotingonissuestouchingthosemattersofmutualconcern.Inrareinstances,
theHouseruleonabstainingfromvotingmayapplywhereadirectpersonalinterest
inamatterexists.
18
MembersofCongressenterpublicserviceowningassets andhavingprivate
investmentinterestslikeothercitizens.Membersshouldnot“beexpectedtofully
strip themselves of worldly goods.”
19
Even a selective divestiture of potentially
conictingassetscouldraiseproblemsforalegislator.Unlikemanyofcialsinthe
executivebranch,whoareconcernedwithadministrationandregulationinanarrow
area, a Member of Congress must exercise judgment concerning legislation across
the entire spectrum of business and economic endeavors. Requiring divestiture
mayalsoinsulatelegislatorsfromthepersonalandeconomicinterestsheldbytheir
constituencies,orsocietyingeneral,ingovernmentaldecisionsandpolicy.
AsnotedbytheBipartisanTaskForceonEthics:
Theproblemofconictsofinterestinvolvescomplexanddifcult
issues, especially with respect to the legislativebranch. A conict of
interestisgenerallydenedasasituationinwhichanofcial’sprivate
nancialinterestsconictorappeartoconictwiththepublicinterest.
Some conicts of interest are inherent in a representative system
of government, and are not in themselves necessarily improper or
unethical.MembersofCongressfrequentlymaintaineconomicinterests
thatmergeorcorrespondwiththeinterestsoftheirconstituents.This
communityofinterestsisinthenatureofrepresentativegovernment,
andisthereforeinevitableandunavoidable.
At the other extreme, a conict of interest becomes corruption
whenanofcialuseshispositionofinuencetoenhancehispersonal
nancial interests. Between these extremes are those ambiguous
circumstanceswhichmaycreatearealorpotentialconictofinterest.
Theproblemisidentifyingthoseinstancesinwhichanofcialallowshis
personaleconomicintereststoimpairhisindependenceofjudgmentin
theconductofhispublicduties.
20
18
HouseRule8,cl.1;seeChapter5ofthisManualforfurtherdiscussionofthisprovision.
19
Congress and the Public Trust, supranote1,at47.
20
HouseBipartisanTaskForceonEthics,Report on H.R. 3660,101
st
Cong.,1
st
Sess.22(Comm.
Print, Comm. on Rules1989), reprinted in 135 Cong. Rec.H9253, H9259(daily ed. Nov. 21,1989)
(hereinafter“Bipartisan Task Force Report”).
Financial Disclosure 261
Eachsituationmust bereviewedon acase-by-casebasis todetermineif anactual
conictofinterestexists.TheStandardsCommitteehasadmonishedallMembers
“toavoidsituationsinwhichevenaninferencemightbedrawnsuggestingimproper
action.”
21
Thus, public disclosure of assets, nancial interests, and investments has
beenrequiredasthepreferredmethodofregulatingpossibleconictsofinterestof
MembersoftheHouseandcertaincongressionalstaff.Publicdisclosureisintended
toprovidetheinformationnecessarytoallowMembers’constituenciestojudgetheir
ofcialconductinlightofpossiblenancialconictswithprivateholdings.Review
of a Member’s nancial conduct occurs in the context of the political process. As
statedbytheHouseCommissiononAdministrativeReviewofthe95
th
Congressin
recommendingbroadernancialdisclosureinlieuofotherrestrictionsoninvestment
income:
In the case of investment income, then, the Commission’s
belief is that potential conicts of interest are best deterred through
disclosureandthedisciplineoftheelectoralprocess.Otherapproaches
areawedbothintermsoftheirreasonablenessandpracticality,and
threatentoimpair,ratherthantoprotect,therelationshipbetweenthe
representativeandtherepresented.
22
The House has required public nancial disclosure by rule since 1968, and
by statute since 1978. The Commission on Administrative Review noted: “The
objectivesofnancialdisclosurearetoinformthepublicaboutthenancialinterests
of government ofcials in order to increase public condence in the integrity of
governmentandtodeterpotentialconictsofinterest.”
23
TheBipartisanTaskForce
onEthicscitedtwofurthergoalsunderlyingstatutorydisclosurerequirements:(1)
Requiring disclosure of only those items that are relevant to potential conicts of
interest;and(2)developingreportingrequirementsthatavoidunnecessaryinvasions
ofprivacyorexcessivelyburdensomerecordkeeping.Inshort,thenancialdisclosure
requirementsmusteffectivelybalancetheprivacyrightsofthereportingindividual
with the governmental interests in informing thepublic and deterring conicts of
interest.
24
21
House Comm. on Standards of Ofcial Conduct, Investigation of Financial Transactions
Participated in and Gifts of Transportation Accepted by Representative Fernand J. St Germain,H.
Rep.100‑46,100
th
Cong.,1
st
Sess.3,9,43(1987).
22
Financial Ethics,H.Doc.95-73,supranote16,at9.
23
Id.at4.
24
Bipartisan Task Force Report,supranote20,at22;135Cong. Rec.H9259.
262 HOUSEETHICSMANUAL
Specic Disclosure Requirements
EIGA mandated annual nancial disclosure by all senior federal personnel,
including all Members and some employees of the House.
25
The Ethics Reform
Act of 1989
26
substantially revised these provisions and condensed what had been
different requirements for each branch into one uniform title covering the entire
federalgovernment.Assuch,FinancialDisclosureStatementsmustdiscloseoutside
compensation,holdings,andbusinesstransactions,generallyforthecalendaryear
precedingthelingdate.Inallinstances,lersmaydiscloseadditionalinformation
orexplanationattheirdiscretion.
The Standards Committee develops forms and instructions for nancial
disclosure and reviews the completed statements of House Members, ofcers,
employees,candidates,andcertainotherlegislativebranchpersonnelforcompliance
withapplicablelaws. TheClerkoftheHouse isresponsibleformakingthe forms
available for public inspection. The discussion that follows focuses primarily on
those requirements that apply to Members, ofcers, and employees of the House.
The instructionbookletsissuedbytheStandardsCommitteeshouldbeconsultedfor
specicguidancewhencompletingaFinancialDisclosureStatement.
Who Must File
All Members of the House and those House employees earning “above GS-
15,”thatis,atleast120%ofthefederalGS-15baselevelsalary,foratleast60days
duringthecalendaryearmustleaFinancial DisclosureStatementby May15of
each year. For 2008, the triggering salary, referred to as the “senior staff rate,”
is$114,468.Employeeswhoarepaidatthisratearetermed“senior”or“covered”
employees. Each Member’s ofce must also have at least one employee who les
(thisindividualisreferredtoasthe“principalassistant”).Thus,ifaMemberhasno
employeeonhisorherpersonalstaffwhoispaidattheseniorstaffrate,theMember
must designate at least one member of his orherstaffas a principal assistant to
le.AstheCommitteerststatedinits1969nancialdisclosureinstructions,this
personwillusuallybeanemployeewhoserelationshipwiththeMemberpermitsthe
person,undersomecircumstances,toactintheMember’snameorwiththeMember’s
authority.
AnindividualwhoqualiesasacandidatefortheHousemustlewithin30
days of becoming a candidate, or on or before May 15, whichever is later, but in
anyeventatleast 30daysbeforeanyelection (includinga primary)inwhichthat
25
Pub.L.95-521,92Stat.1824(Oct.26,1978).Legislativebranchdisclosurerequirements
werethencodiedat2U.S.C.§701et seq.
26
Pub.L.101-194,103Stat.1716(Nov.30,1989),amended byPub.L.101-280,104Stat.149
(May4,1990),andPub.L.102-90,105Stat.447(Aug.14,1991).
Financial Disclosure 263
individualisseekingofce.Individualswhodonotqualifyascandidatesuntilwithin
30daysoftheelectionmustleassoonastheydoqualify.Anindividualseeking
ofcequaliesasacandidatefornancialdisclosurepurposesbyraisingorspending
morethan$5,000forhisorhercampaign.
27
Boththeofce-seeker’sownfundsand
contributions from third parties count towards the threshold. An individual who
never raisesorspendsmorethan$5,000hasnonancialdisclosureobligationswith
theHouse,evenifthatperson’snameappearsonanelectionballot.Allindividuals
whodomeetthisdenitionmustleeachyearthattheycontinuetobecandidates.
Spouse and Dependent Information
Ingeneral,reportingindividualsmustdisclosethenancialinterestsoftheir
spousesanddependentchildren,inadditiontotheirown.
28
Onlyinrarecircumstances,
whenthenancialinterestofaspouseordependentchildmeetsall threestandards
listedbelow,mayaleromitdisclosureofanasset:
(1) The item is the sole interest or responsibility of the spouse or
dependentchild,andthereportingindividualhasnoknowledgeofthe
item;
(2) The item was not in any way, past or present, derived from the
income,assets,oractivitiesofthereportingindividual;and
(3)Thereportingindividualneitherderives,norexpectstoderive,any
nancialoreconomicbenetfromtheitem.
29
Anindividualisnotrequiredtodisclosenancialinformationaboutaspouse
fromwhomheorshehasseparatedwiththeintentionofterminatingthemarriageor
providingforapermanentseparation.
30
Example 1.MemberAsetsupanaccountinhis10-year-olddaughter’s
name,intowhichhedepositsfundsthathehasearmarkedtopayforher
collegeeducation.MemberAmustdisclosetheaccount.
27
The“morethan$5,000”thresholdisthesameasthatprovidedforintheFederalElection
CampaignActasrequiringregistrationasacandidatewiththeFederalElectionCommission.See2
U.S.C.§431(2).
28
5U.S.C.app.4§102(e)(1).
29
Id.§102(e)(1)(E).See also HouseComm.onStandardsofOfcialConduct,In the Matter of
Representative Geraldine A. Ferraro,H.Rep.98-1169,98
th
Cong.,2dSess.(1984)(nding,inpart,that
theMemberwasunabletoclaimspousalexemptionwhenshederivedsomepersonalbenet–suchas
paymentofmortgageorhouseholdexpenses–fromspouse’semploymentornancialinterests).
30
5U.S.C.app.4§102(e)(2).
264 HOUSEETHICSMANUAL
Example 2.MemberB’shusbandhasastockportfolio,entirelyinhis
ownname.Heusestheincomefromtheseinvestmentstonancefamily
vacations and other non-routine family expenses. Member B must
disclosethecontentsofthestockportfolio.
Example 3.MemberC’swifeinheritssomerealestate.Sheisthesole
owner,butCwillinheritthelandifhiswifepredeceaseshim.Cmust
disclosetheproperty.
Income
Theterm“income,”asdenedintheEIGA,isintendedtobecomprehensive.
Forreportingpurposes,incomeisdividedintotwocategories,“earned”and“unearned”
income.Eachtypeofincomeisexplainedmorefullyinthissection.
Earned Income and Honoraria.“Earned”incomereferstocompensation
derivedfromemploymentorpersonalefforts.Suchincomeearnedbythelermust
bedisclosedwhenittotals$200ormorefromanyonesourceinacalendaryear.The
source,type,andexactdollaramountofthereportingindividual’searningsmustbe
stated.
31
Alermustreportthesource,butnottheamount,ofincomeearnedbya
spousewhenthatincomeexceeds$1,000.Earnedincomeofadependentchildneed
notbereported,regardlessoftheamount.
32
WhileMembers,ofcers,andcoveredemployeesmaynotthemselvesreceive
honoraria,
33
reporting individuals must still disclose the source and amount of
paymentsthataredirectedtocharityinlieuofhonoraria.Inaddition,acondential
listing of the recipient charities must be led separately with the Standards
Committee.
34
The source and exact dollar amount of spousal honoraria must be
disclosed.
Assets and Unearned Income.“Unearned”incomereferstoincomederived
frompropertyheldforinvestmentortheproductionofincome,suchasrealestate,
stocks,bonds,savingsaccounts,andretirementaccounts.Anyassetheldforsuch
aninvestmentpurposemustbedisclosedifiteitherwasworthmorethan$1,000at
thecloseofthecalendaryearoritgeneratedincomeofmorethan$200duringthe
year.
35
Wherethevalueofanitemisdifculttodetermine,agoodfaithestimateof
fairmarketvaluemaybeused.
31
Id.§102(a)(1)(A).
32
Id.§102(e)(1)(A).
33
See Chapter5ofthisManualforadiscussionofthehonorariaban.
34
5U.S.C.app.4§102(a)(1)(A).
35
Id.§102(a)(3),(a)(1)(B).
Financial Disclosure 265
The identity of the property, in addition to its category of value,
36
must be
specied. Each company inwhich stockworth over $1,000 is held must belisted
separately. Except in limited circumstances, the ler must disclose the specic
contents of any investment account, private retirement account (e.g., a 401(k) or
IRA), or education savings account (i.e., a “529 plan”). In other words, the EIGA
requiresdisclosureofeachassetheldwithinsuchanaccountthatmeetsthevalueor
incometestsdescribedabove.Disclosureofrealpropertyshouldincludeadescription
sufcienttopermititsidentication(e.g.,streetaddressorplatandmaplocation).
Interest-bearingsavingsaccountsvaluedatmorethan$1,000mustbedisclosed
onlyifallsuchaccountstotalmorethan$5,000invalue.Savingsaccountsinclude
certicatesofdeposit,moneymarketaccounts,oranyotherformofdepositinabank,
savings and loan association, credit union, or similar nancial institution. Non-
interest-bearingchecking accounts,on theotherhand, neednot bedisclosed since
theyproducenoincome.FinancialinterestsinUnitedStatesgovernmentretirement
programs(e.g., the ThriftSavingsPlan)neednotbereported.
Example 4.MemberDhasastockportfolio,managedbyastockbroker.
MemberDmustdiscloseeachstockintheportfoliothatisworthmore
than$1,000attheendoftheyearorgeneratesmorethan$200inincome
duringtheyear.
Example 5.MemberELists$1,200worthofstockinCompanyZon
herFinancialDisclosureStatement.Overthenextyear,thecompany
suffers losses such that it declares no dividends during the year and
E’sstockdeclinesinvalueto$900byyear’send.Eneednotdisclose
herstockinZonhernextFinancialDisclosureStatement.(However,
forthesake of clarity, Emay wish to listher stock in Znonetheless,
indicatingavalueoflessthan$1,000,ratherthandeletetheassetfrom
herlatestlingwithoutexplanation.)
Example 6.MemberFhas$10,000investedinamoneymarketaccount
with a brokerage rm. The money market fund is managed by an
employeeofthermwhoinveststhefund’sassetsinstocks.Individual
investors like F have no control over which stocks the fund holds. F
mustdisclosehisinvestmentintheoverallfund,butheneednotlistthe
individualstocksheldwithinthefund’sportfolio.
Example 7.MemberG’swifehasanIRAworth$12,000.MemberG
mustdiscloseeachassetheldintheIRAthatisworthmorethan$1,000
36
Exceptforearnedincome,theexactvalueofnancialinterestsneednotbedisclosed;only
therangewithinwhichanitemfalls–calledthe“categoryofvalue”–isrequired.
266 HOUSEETHICSMANUAL
at year end or that generated more than $200 in income during the
calendaryear.
Theholdingsofandincomederivedfromatrustorothernancialarrangement
inwhichthereportingindividual,spouse,ordependentchildhasabenecialinterest
inprincipalorincomegenerallymustbedisclosed.Thethreeinstanceswhensuch
assetsneednotbedisclosedarewhentheyareheldin(1)aqualiedblindtrust,(2)a
qualieddiversiedtrust,or(3)atrustwhichwasnotcreatedbythebeneciaryand
regardingwhichneitherthereportingindividual,spouse,nordependentchildhave
specicknowledgeoftheholdingsorsourcesofincome.
37
Evenforsuchtrusts,the
categoryofvalueofanyunearnedtrustincomemustbereportedifitexceeds$200.
Bothqualiedblindtrustsandqualieddiversiedtrustsmustbepre-approvedby
theStandardsCommittee.Theseinstrumentsarediscussedingreaterdetaillater
inthischapter.
Loansmadebytheleronwhichthelerischarginginterestmustbedisclosed,
unless the borrower is the spouse, parent, sibling, or child of the ler. Personal
residences not producing rental income, and personal property not held primarily
forinvestmentortheproductionofincome(suchasartworkdisplayedinone’shome)
neednotbereported.
Example 8.MemberHownsavacationhome,whichsheusesforone
monthduringtheyear.Therestofthetime,sheallowsfamilymembers
andclosefriendstouseitatnocharge.Hneednotdisclosethisproperty.
Example 9. MemberI ownsavacationhome,which heuses forone
monthduringtheyear. Therestofthetime, herentsitout.I must
disclosethisproperty.
Example 10.MemberJ’shomeincludesabasementapartmentthathe
rentstoatenantfor$800amonth.Hmustdisclosethisrentalincome,
aswellasthepropertythatgeneratedit.The“assetvalue”isthevalue
oftheentirehome,notjustthebasementapartment.
Example 11.MemberKownsanantiquecarworth$50,000.Knever
uses the car for commercial purposes; he uses it exclusively for his
personalenjoyment.Kneednotdisclosethecar.
Transactions
TheFinancialDisclosureStatementmustincludeabriefdescription,thedate,
and category of value of any purchase, sale, or exchange of real property, stocks,
37
5U.S.C.app.4§102(f)(2).
Financial Disclosure 267
bonds,commodities,futures,orotherformsofsecurities(includingtrustassets)that
exceeds$1,000.
38
Thecategoryofvaluetobereportedisthetotal purchase or sale
price(orthefairmarketvalueinthecaseofanexchange),regardlessofanycapital
gainorlossonthetransaction.
Stock and commodity options, futures contracts, and bonds (corporate and
government)areconsideredtypesofsecurities.Assuch,transactionsintheseitems
arereportable.Transactionsbyapartnershipinwhichthereportingindividualhas
aninterestmustbedisclosedwhenthepartnershipisorganizedfortheinvestment
orproductionofincomeand isnotactivelyengagedina tradeorbusiness. These
partnershiptransactionsneedonlybereported,however,totheextentthattheler’s
shareofthetransactionexceeds$1,000.
Thepurchaseorsaleofpropertyusedsolelyasapersonalresidence(including
a secondary residence not used for rental purposes) of the reporting individual or
spouseandtransactionssolelybyandbetweenthereportingindividualandhisorher
spouseordependentchildrenneednotbedisclosed.Likewise,theopeningorclosing
of bankaccounts,thepurchaseorsaleofcerticatesofdeposit,andcontributionsto
ortherolloverofIRAsandotherretirementplansneednotbereported.
Example 12.MemberLsellsstockinCompanyZfor$5,000,realizinga
$700capitalloss.Lmustreportthe$5,000saleasatransaction.Lmay
addthatthesalerepresentsalossifshesochooses,butthisinformation
isnotrequired.
Example 13.MemberMhasa25%interestinapartnershipthatbuys
and sells real estate for investment purposes. The partnership buys
a piece of property for $400,000. M must disclose the partnership’s
purchase,inthecategoryofvaluereectinghis$100,000shareofthe
transaction.
Informationregardingassettransactionsisnotrequiredofcongressionalcandidates
ornewemployees.
Liabilities
Personalobligationsaggregatingover$10,000owedtoonecreditoratanytime
duringthecalendaryear,regardlessofrepaymenttermsorinterestrates,mustbe
listed.
39
Theidentity(nameofthecreditor),type,andamountoftheliabilitymustbe
stated.Exceptforrevolvingchargeaccounts(i.e.,creditcards),thelargestamount
owed during the calendar year is the value to be reported. For revolving charge
38
Id.§102(a)(5).
39
Id.§102(a)(4).
268 HOUSEETHICSMANUAL
accounts,theyear-endbalanceisused;iftheaccountbalancedeclinesbytheyear’s
endto$10,000orless,noreportingisrequired.
Justaspersonalliabilitiesowed toareportingindividualbycertainrelatives
neednotbereportedasassets,liabilitiesowed byareportingindividualtoaspouse,
parent,sibling,orchildoftheleroroftheler’sspouseneednotbelisted.Mortgages
andhomeequityloanssecuredbyapersonalresidence(includingsecondaryresidences
notusedfor rental purposes)aswell as personalloans secured by motorvehicles,
householdfurniture,orappliancesneednotbedisclosedaslongastheindebtedness
doesnotexceedthepurchasepriceoftheitem.Filersalsoneednotreportcontingent
liabilities,suchasthatofaguarantor,endorser,orsurety;liabilitiesofabusinessin
whichthereportingindividualhasaninterest;loanssecuredbythecashvalueofa
lifeinsurancepolicy;andtaxdeciencies.
Gifts
EIGArequiresdisclosureofgiftsreceivedduringtheyear,fromsomeoneother
thanarelative, whoseaggregatevalue exceeds “minimalvalue,” as denedin the
statute.For2008,“minimalvalue”is$335,butgiftsvaluedbelow$134neednotbe
countedtowardsthislimit.
40
Giftsvaluedbelow“minimalvalue”neednotbereported.
However,becausetheHousegiftrule(HouseRule25,clause5)limitsthevalueof
giftsthatMembers,ofcers,andemployeesoftheHousemayacceptinacalendar
yearfromanysourceotherthanarelativeorfellowMember,
41
fewgiftsexceedingthis
dollaramountareacceptable.
Notwithstandingthelimitationsongiftacceptance,therearegiftsvaluedin
excessof$335whichaHouseMember,ofcer,oremployeemayacceptthatexceedthe
reportingthresholdandforwhichdisclosuremustthereforebemadeonaFinancial
DisclosureStatement.Examplesofsuchgiftsincludegiftsprovidedonthebasisof
personalfriendship,contributionstoalegalexpensefund,andcommemorativeitems
thatexceedthereportingthreshold.Asageneralmatter,ineachoftheseinstances,
therecipientmustrstseekwrittenapprovalfromtheCommitteepriortoaccepting
suchagift.
Example 14.MemberNobtainswrittenpermissionfromtheCommittee
toacceptfromapersonalfriend$500intravelexpensestoattendtheir
collegereunion.MemberNmustreportthegift.
40
MinimalvalueforpurposesofdisclosureunderEIGAisthesameasthatfortheForeign
Gifts and Decorations Act, 5 U.S.C. § 7342(a)(5). Pursuant to that statute, the General Services
Administration sets the minimal value every three years. Minimal value for calendar years 2008
through2011is$335.See73Fed.Reg.7475(Feb.8,2008).
41
SeeChapter2ofthisManualformoreinformationontherulespertainingtogifts.
Financial Disclosure 269
Therulecontainsanumberofexceptionstothereportingrequirement.Gifts
fromrelatives,personalhospitality,andlocalmealsneednotbedisclosed.“Personal
hospitality”meanshospitalityextendedforanon-businesspurposebyanindividual,
at the individual’s residence or other property. A “local meal” means a meal
unconnectedwithatravelpackage,atwhichthehostispresent.Giftstoaspouseor
dependentchildthataretotallyindependentoftherecipient’srelationshipwiththe
reportingindividualareexemptfromboththegiftruleandthedisclosurestatute.If
nottotallyindependent,giftsfromthirdpartiestoaspouseordependentchildare
treatedthesameasgiftstothereportingindividual.However,simultaneousgiftsto
thereportingindividualandhisorherspouseordependentchildmaybetreatedas
separategiftsforthepurposeofdeterminingwhetherthe$122aggregationthreshold
hasbeenreached.
Example 15.MemberOreceivesfromherfatheragiftof$10,000.O
neednotdisclosethegiftbecauseitisfromarelative.
The statute requires disclosure only of gifts received while the ler was a
MemberoremployeeoftheHouse.Thus,noinformationregardinggiftsisrequired
fromlerswhoarecongressionalcandidatesornewHouseemployees.
Travel Reimbursements
Travel-related expenses provided by nongovernmental sources for activities
suchasspeakingengagements,conferences,orfact-ndingeventsarenotconsidered
gifts,buttheymustbereportedwhentheytotalmorethan$335invaluefromone
sourceinayear.Theseexpensesincludethosereimbursedtothereportingindividual
aswellasthosepaiddirectlybythesponsoringorganization.Unlikewithgifts,all
travelexpensescounttowardsthe$335limit;thereisno$134minimumthreshold.
Forreimbursementsandgiftsoftravel,theFinancialDisclosureStatementmustlist
thesource,travelitinerary,inclusivedates,andnatureofexpensesprovided,butthe
dollarvalueofthetravelneednotbelisted.Travelpaidforbyaprivatesourcemust
bedisclosed,evenifunrelatedtothetraveler’scongressionalduties.Travelpaidfor
byaforeigngovernmentundertheMutualEducationalandCulturalExchangeAct
(oftenreferredtoas“MECEA”)
42
mustalsobereported.
Example 16.Member Pgivesaspeechin Chicagoata meetingofa
trade association which pays airfare, food, and lodging for P and his
wifetoattend.TheexpensesforMr.andMrs.Pexceed$335.Pmust
disclosethesource,dates,andnatureoftheexpenses,butheneednot
reportanydollaramounts.
Example 17.MemberQ’swifeworksforalawrmthatholdsanannual
42
22U.S.C.§2458a.
270 HOUSEETHICSMANUAL
retreatatanout-of-stateresortforallofitsemployees.Eachemployee
isallowedtobringhisorherspouse,attherm’sexpense.Qattends
theretreatwithhiswife.IfthecostofQ’sattendanceexceeds$335,he
mustreportthetriponhisstatement,eventhoughhisattendancewas
unrelatedtohisofcialduties.
Travel reported on federal campaign lings, such as Federal Election
Commission reports, need not be disclosed on a Financial Disclosure Statement,
norneed travelprovided onan ofcialbasis byfederal, state,or localgovernment
entity.TravelprovidedbyaforeigngovernmentpursuanttotheForeignGiftsand
DecorationsAct
43
isdisclosedonaseparateformforthatpurpose,andthusneednot
bedisclosedonaFinancialDisclosureStatement.
The statute requires disclosure only of travel taken while the ler was a
MemberoremployeeoftheHouse.Thus,noinformationregardingtravelisrequired
fromcongressionalcandidatesornewHouseemployees.
Positions
Individuals must disclose any nongovernmental positions, whether or not
compensated,thattheycurrentlyhold,unlesstheStatementistherstoneled
withtheHouse.Onanindividual’srstStatement,theindividualmustdiscloseall
positionstheycurrentlyholdaswellasthoseheldintheprevioustwoyears.
44
Included
are such positions as ofcer, director, trustee, partner, proprietor, representative,
employee, or consultant of any corporation, company, rm, partnership, or other
business enterprise, any nonprot organization, any labor organization, or any
educational or other institution. Positions held in a religious, social, fraternal, or
politicalentity,andpositionssolelyofanhonorarynatureneednotbedisclosed.
Thetitleornatureofeachpositionandthenameoftheorganizationshouldbe
stated.Onlypositionsheldbythereportingindividualneedtobedisclosed,notthose
heldbyaspouseordependentchild.
Agreements
Anyagreementsorarrangementsofthereportingindividualconcerningfuture
employment,leaveofabsenceduringgovernmentservice,continuationofpayments
fromaprivatesource,deferredcompensationplans,orcontinuedparticipationinan
employeebenetorwelfareplanofaformerprivateemployermustbedisclosed.
45
The
parties,dates,and termsshouldbe reportedbyMembers, ofcers,andemployees.
43
5U.S.C.§7342.
44
5U.S.C.app.4§102(a)(6)(A).
45
Id.§102(a)(7).
Financial Disclosure 271
Thisinformationisnotrequiredofacandidate,orofthespouseordependentchildren
ofaler.
Continued payments or benets from a former employer would include, for
example,interest inor contributionstoa pensionfund, prot-sharingplan, orlife
and health insurance; buyout agreements; and severance payments. A deferred
compensationplanwouldincludeanarrangementforthedelayedpaymentofamounts
dueforservices renderedbyareporting individual.Deferredcompensation isnot
subjecttooutsideearnedincomelimitations,butitisreportable.
Onlyagreementstowhichthereportingindividualisapartyneedbedisclosed,
notthoseofaspouseordependentchild.
Compensation in Excess of $5,000 Paid by One Source
Newofcersandemployeesandcandidatesmustdiscloseanycompensation
in excess of $5,000 received from a single source other than the United States.
46
Reportingindividualsneeddiscloseonlytheirowncompensationinthissection,not
thatreceivedbytheirspousesorchildren.Theinformationmustcovertwocalendar
years.
Specically, a reporting individual who was a member or partner of a rm
or association that provided services (such as legal, architectural, or accounting
services)mustdisclosetheclientsorcustomersofthatrmorassociationtowhom
heorshedirectlyprovidedservices.Theclientsorcustomersofalerwhowasthe
soleproprietorofabusinessorprofessionalpracticemustbedisclosedinthesame
manner.Thenatureofthedutiesperformedonlyneedbedescribedgenerally.Thus,
aclientname(whichmaybeacompanyname,iftheclientisacorporation)and“legal
services”wouldbe sufcientforservices rendered byan attorney. The amount of
compensationalsoneednotbedisclosed.
Trusts
A reporting individual must usuallyprovide the same information for trust
assetsandincomeasforotheritems,withthreeexceptions.Therstexceptionfrom
reportingisfortruststhatwerenotcreatedbythereportingindividual,hisspouse,
ordependent,whennoneofthethreehasspecicknowledgeoftheholdingsorthe
sourcesofincomeofthetrust.Theotherexceptionsareforqualiedblindtrustsand
qualieddiversiedtrusts.
47
In a qualied blind trust, an ofcial places nancial assets under the
46
Id.§102(a)(6)(B).
47
Id.§102(f).
272 HOUSEETHICSMANUAL
exclusive control of an independent party. All assetsor holdingstransferred to a
trustatthetimeofitscreationoranytimethereaftermustbeidentied,valued,and
publiclydisclosed.Eventually,throughthesaleofexistingassetsandtheacquisition
ofnewones,theidentityofspecicassetsownedbythetrustwillbeunknowntothe
ofcialandwillthusbeeliminatedasafactorininuencingofcialdecision-making.
Aqualiedblindtrustmustsatisfyanumberofrequirements,includingthe
following:
• The trustee must be an independent nancial institution, lawyer, certied
publicaccountant,broker,orinvestmentadvisor;
• Theremaybenorestrictionsonthedisposalofthetrustassets;
• The trust instrument must limit communications between the trustee and
interestedparties;and
• The trust instrument and the trustee must be approved by the Standards
Committee.
The thirdexception from trust disclosure isfora qualied diversied trust,
anarrangementnot generally wellsuitedto use inthe legislative branch because
ofthebreadth of legislators’ofcial duties. Such a trust mustmeet the following
requirements:
• Thetrustmustconsistofadiversiedportfolioofreadilymarketablesecurities;
• The trust assets may not consist of securities of entities having substantial
activitiesintheareaofprimaryresponsibilityofthereportingindividual;
• The trust instrument must prohibit the trustee from publicly disclosing or
informinganyinterestedpartyofthesaleofanysecurity;
• Thetrusteemusthavepowerofattorneytopreparethepersonalincometax
returnsoftheindividualandanyotherreturnsthatmaycontaininformation
pertainingtothetrust;and
• Thetrusteeaswellasthetrustinstrumentmustbeapprovedinadvanceby
theStandardsCommittee.
Termination Reports
Within30daysofleavingHouseemployment,areportingindividualmustlea
terminationreport.
48
Theterminationreportcoversallnancialactivitythroughthe
person’slastdayonthepayroll.AnindividualwholeavestheHousetotakeafederal
48
Id.§101(e).
Financial Disclosure 273
governmentpositionthatalsorequiresapublicFinancialDisclosureStatementneed
notle atermination report. Suchan individualshould informthe HouseClerk in
writingofthenewposition.Arequirementtoleacondentialdisclosurestatement
inthenewpositionwillnotexcusethelingofaterminationreport.
Example 18.MemberAresignsfromCongresstotakeapositionasa
CabinetSecretary.Amustleapublicnancialdisclosurestatementin
hisnewposition.AneednotleaterminationreportwiththeHouse,but
hemustadvisetheHouseinwritingthatheisgoingtoacoveredposition
thatrequiresthelingofapublicFinancialDisclosureStatement.
Filing Deadlines, Committee Review, and Amendments
A report must be physically led orpostmarkedby the due date, unless an
extensionhasbeengrantedbytheCommitteepursuanttoawrittenrequest.Total
extensionsforanyreportmaynotexceed90days.
49
Anindividualwholesareport
more than 30 days after it is due must pay a late ling fee of $200, unless the
Committeewaivesthefeeinexceptionalcircumstances.
50
Within 60 days of receipt, the Committee on Standards of Ofcial Conduct
reviewsFinancialDisclosureStatementsoflersunderitsjurisdictiontodetermine
whetherthereportshavebeenledinatimelymanner,appearsubstantiallyaccurate
andcomplete,andcomplywithapplicableconictofinterestlawsandrules.
51
If the
reviewindicatesapossibleproblem,thereportingindividualisnotiedandgivenan
opportunitytoamendwithinaspeciedperiod.
Alermay alsoamendaFinancial DisclosureStatementonhisor herown
initiative.Suchamendmentsarenormallygivenapresumptionofgoodfaithbythe
Committeeifsubmittedbeforetheendoftheyearinwhichthereportwasoriginally
led.
52
ToamendaFinancialDisclosureStatement,alermay,butisnotrequiredto,
submitanentirelynewform.Instead,anamendmentcanbeintheformofaletter
addressedto,andledwith,theClerkoftheHouse.Boththeoriginallingandthe
amendmentaremadepublic.
49
Id.§101(g).
50
Id.§104(d).
51
Id.§106.
52
TheCommittee’samendmentpolicy,containedinalettersent toallMembers onApril23,
1986,isincludedintheappendicestothisManual.
274 HOUSEETHICSMANUAL
Retention of and Public Access to Reports
TheHouseClerkretainsthereportsofHouseMembersandemployeesforsix
yearsandthereportsofunsuccessfulcandidatesforoneyear.
53
TheClerkmakesall
formsonleavailableforinspectionbythepublicwithinthirtydaysofreceipt.
54
In
addition,pursuanttotheHonestLeadershipandOpenGovernmentAct,theClerk
mustmakethereportsofallMembersledafterJune1,2008availableonapublic,
searchablewebsitewithin45daysoftheirling.
55
Anyone wishing to review a report on le with the Clerk must provide his
or her name, occupation, and address; the name of any other person or entity on
whosebehalftheinformationissought;andastatementthatheorsheisawareof
theprohibitions on useof the information.
56
It isunlawful to usethe information
contained in Financial Disclosure Statements for any commercial purpose other
thannewreporting,anyunlawfulpurpose,toestablishaler’screditrating,orfor
charitable,political,orothersolicitations.
57
Failure To File or Filing False Disclosure Statements
ThenancialdisclosureprovisionsofEIGAhavebeenincorporatedbyreference
asaruleoftheHouseofRepresentatives,
58
overwhichtheStandardsCommitteehas
jurisdiction.
59
In additiontoany Committeeaction,EIGA authorizestheAttorney
General of the United States to seek a civil penalty of up to $11,000 against an
individual who knowingly and willfully falsies or fails to le or to report any
requiredinformation.
60
Moreover,underfederalcriminallaw,anyonewhoknowingly
andwillfullyfalsiesorconcealsanymaterialfactinastatementtothegovernment
maybenedupto$11,000,imprisonedforuptoveyears,orboth.
61
The Committee is authorized to render advisory opinions interpreting the
nancial disclosure provisions of EIGA for any person under its jurisdiction. An
individualwhoactsingoodfaithinaccordancewithawrittenadvisoryopinionshall
53
5U.S.C.app.4§105(d).
54
Id.§105(b)(1).
55
HonestLeadershipandOpenGovernmentActof2007,Pub.L.110-81,§304,121Stat.735,
752-53(Sept.14,2007).
56
Id.§105(b)(2).
57
Id.§105(c)(1),(2).
58
HouseRule26.
59
SeeHouseRule10,cl.1(t).
60
5U.S.C.app.4§104(a).
61
18U.S.C.§1001.
Financial Disclosure 275
notbesubjecttoanysanctionundertheAct.
62
62
5U.S.C.app.4§106(b)(7).
276 HOUSEETHICSMANUAL
277
STAFF RIGHTS AND DUTIES
Overview
TheHousehasadoptedspecicrulesandregulationsgoverningtheemployment
relationship. In addition, the Congressional Accountability Act of 1995, the rst
lawpassedbythe104
th
Congress,appliestherightsandprotectionsoftwelvecivil
rights,labor,andotherworkplacelawstoemployeesofthelegislativebranchofthe
government.
1
Thischaptercoversthelaws,rules,andstandardsconcerning:
• Restrictionsagainstdiscriminationinhiringandcompensation;
• Nepotism;
• “Kickback”schemesandotherillegalhiring,ring,andcompensationpractices;
• Regulationsonemploymentandcompensation,includinglumpsumpayments;
• Guidelinesaffectinginterns,fellows,volunteers,anddetailees;and
• Consultants.
Thegeneralterms,conditions,andspecicdutiesofHouseemployeestraditionally
havebeenwithinthediscretionoftheemployingMemberorcommittee.
2
Nonetheless,
certaingenerallimitationsandrestrictionsapplytoallHouseemployees.Employees
ofthe Houseare paidfrom fundsofthe UnitedStates Treasuryto performpublic
duties.ThesedutiesincludeassistingtheMembersintheirofcialresponsibilities
3
and working on ofcial committee business,
4
but they do not include performing
nonofcial,personal,orcampaignduties.
5
TheCodeofOfcialConduct(HouseRule
23) instructs Members and ofcers to retain no one on their staffs “who does not
performofcialdutiesfortheofcesoftheemployingauthoritycommensuratewith
1
SeeCongressionalAccountabilityActof1995,Pub.L.104-1,109Stat.3(1996)(codiedat2
U.S.C.§1301et seq.).
2
SomeHouseemployees,generallythoseundertheemployofanofceroftheHouse,willbe
subject to theHouse Employees Position Classication Act (2 U.S.C. §§ 291-303) and regulations on
applicableemploymentstandardsissuedbytheCommitteeonHouseAdministration.
3 
See2U.S.C§57b(a)-(b).DuringeachsessionofCongress,eachMembergetsasingleallowance,
knownastheMembers’RepresentationalAllowance(“MRA”)toconductofcialandrepresentational
duties.TheClerkHireAllowance,theOfcialExpensesAllowance,andOfcialMailAllowancehave
allbeenmergedintotheMRA.See also LegislativeBranchAppropriationsAct,2008,Pub.L.110-161,
DivisionH,titleI-HouseofRepresentatives-Members’RepresentationalAllowancesIncludingClerk
Hire,OfcialExpensesofMembers,andOfcialMail.
4
SeeHouseRule10,cl.9(a)(1).
5
See United States v. Rostenkowski,59F.3d1291,1307-11(D.C.Cir.1995),reh’g denied,68F.3d
489(D.C.Cir.1995);United States v. Diggs,613F.2d988,994-97,1002(D.C.Cir.1979),cert. denied, 446
U.S.982(1980).
278 HOUSEETHICSMANUAL
thecompensationhereceives”(HouseRule23,clause8).
6
Discrimination
House Rules
In addition to federal law, House rules have long prohibited discriminatory
conductinemployment.PartoftheCodeofOfcialConduct(HouseRule23,clause
9)provides:
A Member, Delegate, Resident Commissioner, ofcer, or employee of
theHousemaynotdischargeandmaynotrefusetohireanindividual,
or otherwise discriminate against an individual with respect to
compensation,terms,conditions,orprivilegesofemployment,because
of the race, color, religion, sex (including marital or parental status),
disability,ageornationaloriginofsuchindividual,butmaytakeinto
considerationthedomicileorpoliticalafliationofsuchindividual.
ThisprovisionhasbeenpartoftheCode,insubstantiallythisform,since1975.
7
Standards Committee Action. The Committee on Standards of Ofcial
Conduct is charged with investigating alleged violations of the Code of Ofcial
Conduct(HouseRule10,clause1(q)).Inthe101
st
Congress,theCommitteeundertook
apreliminaryinquiryintochargesthataMemberhadsexuallyharassedtwofemale
employeesonhispersonalstaff.Inthatcase,theCommitteeafrmedthatsexual
harassment is a form ofsex discrimination, that the Member charged hadindeed
harassedhisemployees,andthatthisbehaviorviolatedtheCodeofOfcialConduct.
The Committee report stressed that the applicable provision of the Code (House
Rule23,clause9)tracksthelanguageofTitleVIIoftheCivilRightsLawof1964and
shouldbeinterpretedinlightofjudicialandadministrativedecisions(e.g.,thoseof
theEqualEmploymentOpportunityCommission)construingthatlaw.
8
6
See alsoComm. on House Admin., U.S. House of Representatives Members’ Congressional
Handbook(hereinafter“Members’ Handbook”);Comm.onHouseAdmin,U.S. House of Representatives
Committees’ Congressional Handbook (hereinafter “Committees’ Handbook”); Code of Ethics for
GovernmentService¶3,H.Con.Res.175,85
th
Cong.,2dSess.,72Stat.,pt.2,B12(1958).Thetext
of the Members’ HandbookandtheCommittees’ HandbookisavailableonthatCommittee’swebsite.
7
SeeH.Res.5,94
th
Cong.,1
st
Sess.(121Cong. Rec.20-32(Jan.14,1975)).Therulewasamended
byH.Res.5,100
th
Cong.,1
st
Sess.,toprecludediscriminationonthebasisofage(133Cong. Rec.H6-16
(daily ed. Jan. 6, 1987)), and by the Ethics Reform Act of 1989, to preclude discrimination on the
basisof marital or parental status and handicap and toexcludedomicileand political afliation (see
Pub.L.101-194,§802(b)(2),103Stat.1716,1773(1989))–mattersthatarealsonowaddressedbythe
CongressionalAccountabilityActof1995.
8
SeeHouseComm.onStandardsofOfcialConduct, In the Matter of Representative Jim Bates,
(con’t next page)
Staff Rights And Duties 279
While the Committee may conduct investigations and disciplinary hearings
andmakerecommendationstothefullHousethatitformallysanctionaMember,the
Committeedoesnothavetheauthoritytoorderremediessuchasmonetaryrelieffor
anaggrievedemployee.EmployeesseekingsuchremedieshaverecoursetotheOfce
ofCompliance.
Example 1.MemberA,aCalifornian,onlyhiresotherCalifornians.A
isnotviolatingHouserules.
Example 2.MemberB,aRepublican,onlyhiresotherRepublicans.B
isnotviolatingHouserules.
Example 3. Asa matterof policy,Member Crefuses tohire women
exceptforclericalpositions.CisinviolationofHouseRule23.
Example 4.DistrictmanagerDdismissesEmployeeEafterEturns55,
onthegroundthattheofceneedstomaintainayouthfulandenergetic
image.DhasviolatedHouseRule23.
Congressional Accountability Act of 1995
Effective January 23, 1996, the Congressional Accountability Act of 1995
extended the rights and protections of the following federal employment laws,
including those laws that prohibit various forms of discrimination, to “covered”
Congressionalemployeesandemployingofces:
• TitleVIIoftheCivilRightsActof1964,asamendedbytheCivil Rights Act
of 1991,whichprohibitsdiscriminationinemploymentbecauseofrace,color,
religion,sex,ornationalorigin;
• The Age Discrimination in Employment Act of 1967, which prohibits
employmentdiscriminationagainstindividuals40yearsofageandover;
• TitleIoftheAmericanswithDisabilitiesActof1990andtheRehabilitation
Act of 1973, which prohibit employment discrimination against qualied
individualswithdisabilities;
• The FairLaborStandardsActof1938(“FLSA”),whichgovernsovertimepay,
minimumwage,andchildlaborprotection,andprohibitspaydiscrimination
onthebasisofsex;
• The FamilyandMedicalLeaveActof1993,whichentitleseligibleemployees
totakeleaveforcertainfamilyandmedicalreasons;
H.Rep.101-293,101
st
Cong.,1
st
Sess.8-10(1989).TheCommitteeissuedapublicletterofreprovalto
theMember.Id.at25-26.
280 HOUSEETHICSMANUAL
• The EmployeePolygraphProtectionActof1988,whichrestrictstheuseoflie
detectortestsbyemployers;
• The Worker Adjustment and Retraining Notication Act, which assures
employeesofnoticebeforeshut-downsandmasslay-offs;and
• Section2oftheUniformedServicesEmploymentandReemploymentRights
Actof1994,whichprotectsjobrightsofindividualswhoserveinthemilitary
andotheruniformedservices.
Theapplicationofthreeotherlawshadadelayedeffectivedate:
• The FederalServiceLabor-ManagementRelationsAct,whichestablishesthe
rightsofindividualstoform,join,orassistalabororganization,ortorefrain
fromsuchactivity,andtocollectivelybargainoverconditionsofemployment
throughtheirrepresentatives(effectiveOctober1,1996);
• The OccupationalSafetyandHealthActof1970,whichprotectsthesafetyand
healthof employees fromphysical, chemical, andother hazards inplaces of
employment(effectiveJanuary1,1997);and
• TitlesIIandIIIoftheAmericanswithDisabilitiesActof1990,whichprohibits
discrimination against qualied individuals with disabilities inthe areasof
publicservicesandaccommodations(effectiveJanuary1,1997).
The CongressionalAccountabilityActestablishedtheOfceofCompliance,an
independentofcewithinthelegislativebranch,withave-memberBoardofDirectors,
anExecutiveDirector,ofDeputyExecutiveDirectorfortheSenate,aDeputyExecutive
DirectorfortheHouse,andaGeneralCounsel.Thatofceadministersformaland
informal procedures to resolve disputes and provides monetary awards and other
appropriateremediesforcongressionalemployeesifaviolationisfound.TheOfce
ofCompliancehaspublishedaguidetotheCongressionalAccountabilityAct,which
is available on its website. It also provides educational services and information
tocongressionalemployeesandtheiremployingofces.Employeeswithquestions
abouttheirrightsunderthesestatutesshouldcontacttheOfceofCompliance.The
Committee on House Administration has published a Model Employee Handbook,
availableonthatCommittee’swebsite,thatprovidesofcepoliciesthatcomplywith
applicableHouserulesandfederalemploymentlawsandregulations.
9
Inaddition,
theHouseOfceofEmploymentCounselisavailabletoprovideadviceandguidance
to House Members and other employing authorities on employment matters and
ontheestablishmentofofcepoliciesconsistentwiththeseHouserules,laws,and
regulations.
9
SeeComm.onHouseAdmin.,U.S.HouseofRepresentatives,Model Employee Handbook(Sept.
1999).
Staff Rights And Duties 281
Fair Labor Standards
Certain federal employment protections applied to staff even before the
enactmentoftheCongressionalAccountabilityAct.Houseemployeeshavelongbeen
entitledtotheminimumwageandovertimeprotection(exceptforexemptemployees
10
),
therequirementofequalpayforequalwork,protectionagainstoppressivechildlabor
conditions,
11
and protection against retaliation for exercising any of these rights.
12
The OfceofCompliancenowadministerstheseprovisions.
Pursuant to regulations issued by the Ofce of Compliance, the minimum
wageandovertimeprovisionsoftheFLSAdonotapplytostaff“employedinabona
deexecutive,administrative,orprofessionalcapacity.”
13
Inlightofthisstandard,
the Committee on House Administration has incorporated in its Model Employee
Handbook provisions establishing written leave policies, job descriptions for each
employee stating whether or not the position is exempt from the pay provisions
andtime-keepingprocedures.Theequal payprovisions ofthe FLSAandOfceof
Complianceregulationsprohibitpayinglowerwagesbasedongender:
forequalworkonjobs[,]theperformanceofwhichrequiresequalskill,
effort, and responsibility, and which are performed under similar
working conditions, except where such payment is made pursuant to
(i)asenioritysystem;(ii)ameritsystem;(iii)asystemwhichmeasures
earningsbyquantityorqualityofproduction;or(iv)adifferentialbased
onanyotherfactorotherthansex....
14
Nepotism
Federallaw,at5U.S.C.§3110,generallyprohibitsafederalofcial,includinga
MemberofCongress,fromappointing,promoting,orrecommendingforappointment
orpromotion any“relative”of theofcial toanyagencyordepartment overwhich
theofcial exercisesauthority orcontrol.Thestatute denesa relative,for these
purposes,as:
an individual who is related to the public ofcial as father, mother,
son, daughter, brother, sister, uncle, aunt, rst cousin, nephew,
10
See Ofce of Compliance Manual,section5,partC,FLSARegulations,§541et seq.(exemption
criteria).ThetextofthemanualisavailableontheOfceofCompliance’swebsite.
11
See29U.S.C.§203(l)forthedenitionof“oppressivechildlabor.”
12
SeeFairLaborStandardsAmendmentsof1989,Pub.L.101-157,§8,103Stat.938,944(1989).
13
See Ofce of Compliance Manual,supranote10.
14
29U.S.C.§206(d)(1).Anemployermaynotcomplywiththisprovisionbyreducinganyone’s
wages.Id.
282 HOUSEETHICSMANUAL
niece, husband, wife, father-in-law, mother-in-law, son-in-law,
daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother,
stepson, stepdaughter, stepbrother, stepsister, half brother, or half
sister.
Thelawbanstheemploymentonlyofthesespecicallynamedrelatives.
15
The
statutedoesnotprohibitaMemberfromemployingtwoindividualswhoarerelated
toeachotherbutnottotheMember.Inaddition,the107
th
Congressamendedthe
CodeofOfcialConduct(HouseRule23,clause8(c)(1))toprohibitaMemberfrom
retainingaspouseinapaidposition,andtoprohibitaHouseemployeefromaccepting
compensationforworkonacommitteeonwhichthespouseservesasamember.
16
TheemployingMemberorcommitteeandsubcommitteechairmanmustcertify,
onthemonthlypayrollauthorizations,eachemployee’srelationship(orlackthereof)
to anyMembersofCongress.Theanti-nepotismlaw,asappliedintheHouse,thus
prohibitsthehiringofarelativeofaMemberonthatMember’sstafforonthestaff
ofacommitteeorsubcommitteethattheMemberchairs.Theprohibition,however,
doesnotapply“inthecaseofaspousewhosepertinentemploymentpredatestheOne
HundredSeventhCongress”(HouseRule23,clause8(c)(2)).
If a House employee becomes related to the employing Member through
marriage(e.g.,anemployeeintheMember’scongressionalofcemarriesarelative
oftheMember),theemployeemayremainontheMember’spersonalorcommittee
staff,unlesstheemployeeisthespouseoftheemployingMemberortheworksfor
a Committee on which the Member serves. Similarly, if a Member becomes the
supervisorofarelative(otherthanaspouse)whowashiredbysomeoneelse(e.g.,
theMemberascendstothechairmanshipofacommitteeorsubcommitteeforwhich
therelativeisalreadyworking),therelativemayremainonthepayroll.However,
theMembermaynotthengivethatindividualfurtherpromotionsorraises,other
thancost-of-livingorotheracross-the-boardadjustments.Changinganemployee’s
statusfrompart-timetofull-timewouldnotbeconsideredaraiseorpromotionand,
therefore,wouldbepermittedunder5U.S.C.§3110.
Similarly, regulations issued by the Committee on House Administration
prohibit the use of Committee funds for the benet of a Member or relative of a
Member by way of a contract or otherwise. Specically, those regulations state
that “[u]nless specically provided by federal laws, House rules, or Committee on
House Administration regulations,noMember, relative of the Member, or anyone
withwhomtheMemberhasaprofessionalorlegalrelationshipmaydirectlybenet
15
See Lee v. Blount,345F.Supp.585,588(N.D.Cal.1972).
16
SeeH.Res.5,107
th
Cong.,1
st
Sess.(147Cong. Rec.H6-10,H8(Jan.3.2001)).
Staff Rights And Duties 283
fromtheexpenditure”ofeithertheclerkhireortheofcialexpensesallowance.
17
A
comparableprovisionappliestoHousecommittees.Theanti-nepotismrestrictions
applyonlytoemployeesontheMember’soracommittee’sofcialpayroll.Campaign
workersarenotcovered.
Example 5.MemberDwouldliketohirehisunclebymarriagetowork
inhis congressionalofce. MemberDwouldbein violationofHouse
Rule23byhiringaspecicallynamedrelative.
Example 6.EmployeeFhasbeenacaseworkerinMemberE’sdistrict
ofcefortwoyears,andshelatermarriesMemberE’sson.EmployeeF
mayremainonMemberE’spayroll.
Example 7. Employee G works on Member F’s committee, and
Employee G and Member F get married. Employee G may no longer
receivecompensationfromthecommitteeonwhichMemberFserves.
Illegal Hiring and Firing Practices
CriminalprovisionsoftheUnitedStatesCodeprohibitofferingorthreatening
federal jobs to induce payments, political activities, or contributions. Specically,
federallawprohibitsanyonefromaskingfororreceivinganythingofvalue,including
acampaigncontribution,inreturnforpromisingto helpsomeoneobtain afederal
post.
18
Further,candidatesmaynotdirectlyorindirectlypromiseappointmentoruse
ofinuenceorsupportinobtaining“anypublicorprivatepositionoremployment”
inreturnforsomeone’spoliticalsupport.
19
Federallawalsobarsanyindividualfrom
promisingafederaljob,contract,orbenettoapersonasconsiderationorreward
forpoliticalsupportoroppositiontoanycandidateorparty.
20
Moreover,noonemay
depriveorthreatentodepriveanyoneofafederaljoborbenetasawaytoinduce
politicalcontributions,includingservices,foracandidateorparty.
21
Theseprovisions
carrypenaltiesrangingtonesof$10,000andimprisonmentfortwoyears.
Inadditiontotheseprovisions,duringthe110
th
Congress,theHouseamended
the Code of Ofcial Conduct (House Rule 23, clause 14) to prohibit any Member,
Delegate, or Resident Commissioner from inuencing an employment decision or
employmentpracticeofanyprivateentityonthebasisofpartisan politicalafliation.
17
Members’ Handbook,supranote6.
18
See18U.S.C.§211.
19
See18U.S.C.§599.
20
See18U.S.C.§600.
21
See18U.S.C.§601.
284 HOUSEETHICSMANUAL
Salary Kickbacks
Federallawcontainsnostatutoryprovisionthatspecicallybars“kickbacks.”
22
However,theDepartmentofJustice,undergeneralfraudstatutes,hasprosecuted
severalMembersofCongressandcongressionalaidesinvolvedinkickbackschemes.
Section1001oftitle18,forexample,specicallyprohibitsthemakingofanyfalse,
ctitious,orfraudulentstatementsorknowinglycoveringuporconcealing,byany
trick or scheme, any material fact concerning matters in the jurisdiction of the
executive,legislative,orjudicialbranchofthegovernment.
23
AMemberoremployee
who uses the mail to distribute payroll checks or other funds in furtherance of a
kickbackschememayalsobeviolatingthefederalmailfraudstatute.
24
Court and Standards Committee Actions. The United States Court of
AppealsfortheDistrictofColumbiaCircuitupheldtheconvictionofaMemberofthe
Houseunderanearlierversionof18U.S.C. §1001,concludingthattheMember’s
failuretodisclosetotheHousepayrollofcetherealpurposeofpaytoemployeesin
akickback scheme,in whichsuch fundswere usedfor personaland congressional
expensesoftheMember,wasamaterialomissioninviolationofthecriminallaw.
25
In
thecourseofasubsequentCommitteeinvestigationoftheMember,headmittedthat
hehadmisusedthe clerkhire allowance(the clerkhireallowanceisnowincluded
in the Members’Representational Allowance (“MRA”))
26
inviolation of then-House
Rule43,clauses1and8,partoftheCodeofOfcialConduct,andthathehadbeen
unjustlyenrichedthereby.HeagreedtomakerestitutiontotheHouse,apologized,
andwascensuredbytheHouse.
27
22
Thetermkickbackgenerallyreferstoaschemewherebyanemployeeiscoerced,asacondition
ofemployment, into remittingaportion of theindividual’ssalary to theemployer or into spendinga
portionofthesalaryforgoodsorservicesfortheemployer’sbenet.Itmayalsoincludethedesignation
byanemployerofcertainpersons on the payroll who actually perform no duties but turn over their
salariestotheemployer.
23
In1996,thestatutewasamendedtoexpresslyextenditscoverageto“anymatterwithinthe
jurisdictionoftheexecutive,legislative,orjudicialbranch.”FalseStatementsAccountabilityActof1996,
Pub.L.104-292,§2,110Stat.3459(1996)(emphasisadded).TheSupremeCourthadheldthataprevious
versionofthisstatute prohibited making a false or fraudulent statement or falsifying or concealing a
materialfactonapayrollvoucherorcerticationtoadisbursingofceroftheHousetofurtherakickback
scheme.See United States v. Bramblett,348U.S.503(1955).ThatdecisionwasoverruledbyHubbard
v. United States,514U.S.695,715(1995),whichheldthatthefalsestatementsstatuteineffectatthe
timetheconductoccurreddidnotapplytostatementsmadeinajudicialproceeding.See also United
States v. Oakar,111F.3d146(D.C.Cir1997)(relyingonHubbardandholdingthatthefalsestatements
statutedidnotapplytostatementsmadetotheHouseCommitteeonStandards).
24
See18U.S.C.§1341;see also Rostenkowski,59F.3dat1294-95;Diggs,613F.2dat997-99,
1002-03;United States v. Clark,Crim.No.78-207(W.D.Pa.1978).
25
Diggs,613F.2dat999.
26
Seenote3,supra.
27
SeeHouseComm.onStandardsofOfcialConduct, In the Matter of Representative Charles C.
(con’t next page)
Staff Rights And Duties 285
WithrespecttotheMRA,thisCommitteehaslongtakentheviewthat:
itisimpropertolevy,asaconditionofemployment,anyresponsibility
onanyclerktoincurpersonalexpendituresfortheprimarybenetof
theMemberoroftheMember’scongressionalofceoperations....
The opinion clearly would prohibit any Member from retaining any
person from his [MRA] under either an express or tacit agreement
thatthesalarypaidtotheindividualisinlieuofanypresentorfuture
indebtedness of the Member, any portion of which may be allocable
to goods, products, printing costs, campaign obligations, or any other
nonrepresentationalservice.
28
In the 100
th
Congress, a Delegate and his administrative assistant pleaded
guiltytohavingconspiredtodefraudtheUnitedStatesinviolationofthecriminal
conspiracy statute
29
by submitting payroll forms and collecting salary checks for
individualswhodidnoworkfortheHouse.TheStandardsCommitteefoundthat
the Delegate had used the checks to pay for hotel and meal expenses for visiting
constituents and staff, campaign expenses, and travel for the Delegate and his
family,inviolationnotonlyoftheconspiracystatute,butalsooftheHouseCodeof
OfcialConductandtheCodeofEthicsforGovernmentService.TheDelegateand
employeeresignedbeforetheCommitteecouldholdadisciplinaryhearingtoconsider
sanctions.
30
In the 107
th
Congress, a Member was convicted of, among other things,
conspiracytoviolatethefederalbriberystatute
31
byagreeingtoemployanindividual
as a member of the Member’s congressional district staff in exchange for certain
gratuities, including the payment by that individual of $2,500 a month of his
congressional salary.
32
In a subsequent Committee investigation, an investigative
subcommittee stated in a letter transmitting a Statement of Alleged Violation to
thefullCommitteethattheindividualhaddescribedinhistrialtestimonyindetail
howeachmonthhedepositedanenvelopecontaining$2,500underthedoorofthe
Diggs, Jr., H.Rep.96-351,96
th
Cong.,1
st
Sess.(1979);125Cong. Rec.21584-92(July31,1979).
28
House Comm. on Standards of Ofcial Conduct, Advisory Opinion No. 2 (July 11, 1973),
reprinted in119Cong. Rec.H6073-74(July12,1973),andintheappendicestothisManual.
29
See18U.S.C.§371.
30
House Comm. on Standards of Ofcial Conduct, Summary of Activities, One Hundredth
Congress, H. Rep.100-1125,100
th
Cong.,2dSess.15-16(In the Matter of Delegate Fofo I.F. Sunia and
Matthew K. Iuli).
31
See18U.S.C.§201(c).
32
United States v. James A. Tracant, Jr.,Crim.No.4:01CR207(N.D.Ohio2002).
286 HOUSEETHICSMANUAL
Member’s private ofce.
33
The Committee found that the conduct by the Member
violatedclauses1-3oftheCodeofOfcialConduct(HouseRule23).Onthebasis
of this violation, as well as other conduct found to be in violation of the Code of
OfcialConduct,whichtakentogetherwere“ofthemostseriouscharactermeriting
thestrongestpossibleCongressionalresponse,”
34
theCommitteerecommendedthat
theHouseofRepresentativesadoptaresolutionthattheMemberbeexpelled.
35
The
HouselatervotedtoexpeltheMember.
36
General Employment and Compensation Provisions
The Committee on House Administration has promulgated regulations
coveringtheMembers’RepresentationalAllowance(“MRA”)
37
andtheemploymentof
committeestaff.TheMembers’ HandbookandCommittees’ Handbook contain these
regulations.
38
Asummaryfollows.
Personal Staff
EachMemberoftheHousemayemployupto18 permanentemployees and
atotalofnotmorethanfouradditionalemployeesappointedasinterns,part-time
employees, shared employees, temporary employees, or staff on leave without pay
toserveastheMember’sstaff.TheregulationsissuedbytheCommitteeonHouse
Administration establish the maximum and minimum annual rates of employee
salaries. A portion of the MRA is used forsecuring staff to provide assistance to
Members in the discharge of ofcialand representational duties.
39
A statute that
required that individuals compensated from the then-clerk hire allowance
40
work
eitherinWashington,D.C.,orinthestateordistrictthattheMemberrepresentswas
repealedin1996,therebypermittingemployeesto“telecommute.”
41
TheCommittee
on House Administration has issued a policy statement on telecommuting, which
is available on that committee’s website. As discussed in that policy statement,
telecommutingisentirelyatthediscretionoftheemployingofce,andemployingofces
areundernoobligationtoofferatelecommutingoptiontoemployees.Anemployee
withatelecommutingworkarrangementissubjecttothesamerules,regulations,
33
HouseComm.onStandardsofOfcialConduct,In the Matter of Representative James A.
Tracant, Jr.,H.Rep.107-594,107
th
Cong.,2dSess.120(2002).
34
Id.at2.
35
SeeH.Res.495,107
th
Cong.,2dSess.(148Cong. Rec.H5375-93(July24,2002)).
36
Id.
37
See note3,supra.
38
See note6,supra.
39
Id.
40
Id.
41
Pub.L.104-186,TitleII,§204(43),110Stat.1718,1736(Aug.20,1996).
Staff Rights And Duties 287
andproceduresapplicabletoallstaffofanemployingofce,includingthosecontained
intheHouserules,theCommitteeonHouseAdministration’sregulationssetforthin
the Members’ HandbookandCommittees’ Handbook,theemployingofce’semployee
manual,applicablefederallaws,andguidanceoftheStandardsCommittee.
Committee Staff
ProvisionsoftheHouserulesestablishaceilingonthenumberofprofessional
and clericalstaff that may be employedbyeach standing committee oftheHouse
andaddressthepayoftheseemployees(HouseRule10,clauses9(a)and9(c)).The
Committees’ Handbook sets out regulations and guidelines for employment and
compensationofcommitteestaff.
The House rules state that professional staff members of the standing
committeesoftheHouse“maynotengageinanyworkotherthancommitteebusiness
duringcongressionalworkinghours”andthatthey“maynotbeassignedadutyother
thanonepertainingtocommitteebusiness”(HouseRule10,clauses9(b)(1)(A)and
9(b)(1)(B)).Thus,committeestaffmaynotbeusedtosupplementthepersonalofce
needsofcommitteemembers.
All Staff
TheregulationsoftheCommitteeonHouseAdministrationrequireemploying
Members to provide monthly salary certications for their staff. A salary may
be disbursed to an employee only upon submission of a signed statement by the
appropriate Member certifying that the Ofce of Human Resources has correctly
listedthenameandsalaryofeachemployee,andthattheemployeeshavecertied
thattheyhavenorelationshiptoanycurrentMemberofCongress,unlessspecically
noted.Compensationmaybereceivedonlyfordutiesperformedwithinthepreceding
month.
The EthicsReformActof1989amendedwhatisnowHouseRule23,clause8,
“tostrengthenandbroaden[Members’andofcers’]accountabilityforthepayand
performanceofstaff.”
42
WhereastheoldruleexplicitlyaddressedonlyMembersas
employingauthorities,the revisedrule explicitly appliesas well toHouse ofcers,
committee chairs, subcommittee chairs, and ranking minority members in their
supervisoryroles.Clause8,inpertinentpart,provides:
(a)AMember,Delegate,ResidentCommissioner,orofcerofthe
Housemaynotretainanemployeewhodoesnotperformdutiesforthe
42
Bipartisan Task Force on Ethics,Reporton H.r. 3660,101
st
Cong.,1
st
Sess.60(Comm.Print,
Comm.onRules1989),reprinted in135Cong. Rec.H9253,H9270(dailyed.Nov.21,1989)(hereinafter
“Bipartisan Task Force Report”).See alsoEthicsReformActof1989,Pub.L.101-194,§802(b)(1),103
Stat.1716,1773(1989).
288 HOUSEETHICSMANUAL
ofcesoftheemployingauthoritycommensuratewiththecompensation
hereceives.
(b)Inthecaseofcommitteeemployeewhoworksunderthedirect
supervisionofamemberofthecommitteeotherthanachairman,the
chairman may require that such member afrm in writing that the
employeehasacompliedwithclause8(a)(subjecttoclause9ofruleX)
as evidence of compliancebythe chairman with this clause and with
clause9ofruleX.
Thus, when a Member other than a committee chair (e.g., a subcommittee
chairorrankingminoritymember)directlysupervisescommitteestaff,thechairmay
requirethesupervisingMembertocertifythestaff’sperformance.Accordingtothe
BipartisanTaskForcereport,
[t]he purpose of this requirement is to ensure accountability for
employeeperformance.Therulespecicallystatesthat,ifasupervising
Memberhasafrmedinwritingthattheemployeeunderhisauthority
has met the criteria of the rule, this written afrmation is sufcient
evidencethatthechairmanisincompliancewiththerule’sprovisions.
Any violation would consequently become the responsibility of the
supervisingMember.
43
GuidelinesoftheCommitteeon HouseAdministrationprohibit twoormore
employeesfromholdingthesameHousepositionandfromdividingaHousesalary.
In addition, House employees are prohibited from subletting any portion of their
ofcialdutiestosomeoneelse.
44
Oneemployeemaybesharedbetweentwoormore
Houseemployingauthorities(e.g.,onestaffermayworkfortwoMembersorforboth
aMemberandacommittee).Part-timeworkisalsopermitted.
45
The underlying standard for the receipt of compensation by anemployee of
theHouseisthattheemployeehasregularlyperformedofcialdutiescommensurate
withthecompensationreceived.TheCodeofEthicsforGovernmentServiceinstructs
everyemployeeto“[g]iveafullday’slaborforafullday’spay;givingtotheperformance
ofhisdutieshisearnesteffortandbestthought.”
46
EmployeesarepaidUnitedStates
Treasuryfundstoperformpublicduties.Appropriatedfundsaretobeusedsolely
for the purposes for which appropriated.
47
Funds appropriated for congressional
43
Bipartisan Task Force Report,supranote42,at33;135Cong. Rec.H9262.
44
See2U.S.C.§101.
45
See Members’ Handbook and Committees’ Handbook,supranote6.
46
SeeCodeofEthicsforGovernmentService¶3,supranote6.
47
See31U.S.C.§1301(a).
Staff Rights And Duties 289
staff to perform ofcial duties should be used only for assisting a Member in his
or her legislative and representational duties, working on committee business, or
performingothercongressionalfunctions.Employeesmaynotbecompensatedfrom
publicfundstoperformnonofcial,personal,orcampaignactivitiesonbehalfofthe
Member,theemployee,oranyoneelse.
There is no conclusive listing of a Member’s “ofcial and representational
duties.”However,theSupremeCourtdiscussedsuchaconceptinadifferentcontext
and stated that “legitimate” activities of a Member include things said or done in
theHouserelatingtoofcialdutiesandinclude“legitimate‘errands’performedfor
constituents,themakingofappointmentswithGovernmentagencies,assistancein
securing Government contracts, preparing so-called ‘news letters’ to constituents,
newsreleasesandspeechesdeliveredoutsidetheCongress.”
48
Standards Committee Actions. Inonecase consideredbythe Standards
Committee in the 100
th
Congress, involving the misuse of clerk hire funds, the
Committee found that a Member maintained an employee on the payroll of a
subcommitteetheMemberchaired,whileknowingthattheemployeewasnotcoming
towork.TheHousereprimandedtheMemberfor,amongotherthings,violatingthe
CodeofOfcialConduct(currentlyclause8ofHouseRule23).
49
Inthe104
th
Congress,theStandardsCommitteeconsideredseveralallegations
alsoinvolvingaMember’smisuseofclerkhirefunds.Onematterconcerned,among
other things, a Member’s regular assignment to an employee of duties that were
clearlypersonalinnature,includingpayingtheMember’sbills,retrievingpersonal
mail, cleaning the Member’s home, serving as a point of contact for vendors and
serviceprovidersinconnectionwiththeMember’spersonalaffairs,andperforminga
varietyofpersonalservices,suchascurlingtheMember’shairandmakingshopping
tripstodepartmentstores,grocerystores,andfurniturestores,duringworkhours.
50
In another matter, the Committee self-initiated a complaint against a
48
United States v. Brewster,408U.S.501,512(1972).See also McCormick v. United States,500
U.S.257,272(1991)(“Servingconstituentsandsupportinglegislationthatwillbenetthedistrictand
individualsandgroupsthereinistheeverydaybusinessofalegislator.”).
49
SeeHouseComm.onStandardsofOfcialConduct, In the Matter of Representative Austin J.
Murphy,H.Rep.100-485,100
th
Cong.,1
st
Sess.5,9(1987);133Cong. Rec.H11686-96(dailyed.Dec.18,
1987).
50
See House Comm. on Standards of Ofcial Conduct, In the Matter of Representative
Barbara-Rose Collins,H.Rep.104-876,104
th
Cong.,2dSess.14-17.Inthatmatter,aninvestigative
subcommitteeadoptedaStatementofAllegedViolationagainsttheMember,alleging,amongother
things,theimproper performanceof personalservices byHouse employees. Nofurther actionwas
takeninthematter,however,becauseasofthetimetheinvestigativesubcommitteecompleted its
work,theMemberwasabouttodeparttheHouse.See id.at4.
290 HOUSEETHICSMANUAL
Memberinvolvingallegationsthat,amongotherthings,theMemberhad“misused
congressionalstaffforpersonalpurposes”and“failedtorepaypersonaldebtsincurred
bypersonalstaffonthe[Member’s]behalf.”
51
Inthe106
th
Congress,aMemberadmittedtoaStatementofAllegedViolation
chargingthathebroughtdiscredittotheHouseofRepresentativesby,amongother
things, permitting employees under his supervision and control to work for the
Member’scampaign, to“thedetrimentofthe timethey wererequiredto spendon
ofcial duties.”
52
The Committee determined that contributing to this misconduct
was the failure of the Member “to establish a comprehensive and comprehensible
policyforhiscongressionalstafftorecordtheannual,sick[,]andadministrativeleave
takenbyeachemployeeinhiscongressionalofce.”
53
Court Actions. The Department ofJustice has on fourseparate occasions
pursuedcriminalcharges,againsttwothen-currentandtwoformerMembersofthe
House,forallegedlyplacingpersonsonthecongressionalpayrollwhodidnotregularly
performofcialcongressionaldutiesbutratherperformedpersonalservicesorduties
fororonbehalfoftheMembers.
54
Thechargesincludedfraud,mailfraud,perjury,
andembezzlementofgovernmentfunds.ThesittingMemberswereconvicted;
55
the
formerMemberspleadedguilty.
56
Inone ofthese cases,the UnitedStates Courtof Appeals,summarizing the
testimonyofaHouseofcer,statedthatitis“withinacongressman’sdiscretionto
denetheparametersofanemployee’sresponsibilitiesaslongasthoseresponsibilities
related to the congressman’s ‘ofcial and representative duties.’”
57
Nevertheless,
thecourt,inupholdingthefraudconvictionoftheMemberofCongress,statedthat
althoughtheemployeeshadperformedsomeofcialservicesfortheMember,“onlya
nominalpercentageof[theemployees’]responsibilitieswerecongressionallyrelated,”
andthusajuryhadsufcientevidencetoconcludethatsuchemployeeswerepaidfrom
clerkhireallowances“withtheintentionofcompensatingthemforservicesrendered
51
TheCommitteelostjurisdictionoverthematterwhentheMemberresignedfromtheHouse.
See House Comm. on Standards of Ofcial Conduct, Summary of Activities, One Hundred Fourth
Congress,H.Rep.104-886,104
th
Cong.,2dSess.19(In re Rep. Mel Reynolds).
52
HouseComm.onStandardsofOfcialConduct,In the Matter of Rep. E.G. “Bud” Shuster,H.
Rep.106-979,106
th
Cong.,2dSess.,6-7(2000).
53
Id.at63.
54
See, e.g., United States v. Rostenkowski,Crim.No.94-0226(D.D.C.);United States v. Diggs,
Crim.No.78-142(D.D.C.);United States v. Clark,Crim.No.78-201(W.D.Pa.).
55
Seenotes5and33,supra.
56
See Congressional Quarterly’s News, Hill News Highlights (Apr. 9, 1996); Congressional
Quarterly Weekly Report1263(June23,1979).
57
Diggs,supranote5,613F.2dat997.
Staff Rights And Duties 291
tothe[defendantMember’sprivatebusiness]orthedefendant.”
58
Thus,whileitmight
havebeenarguedthat“itwasamatterof[theMember’s]discretiontoxtheirduties
and salaries as congressional employees,” the “defendant’s representations to the
HouseOfceofFinancethatthe[employees]werebona decongressionalemployees
werefraudulentandmaterialinviolationof18U.S.C.§1001.”
59
Inamorerecentcase,theCourtofAppealsobservedthat,although“theHouse
hasnotattemptedtodeneaMember’s‘ofcialandrepresentativeduties,’andhas
inlargemeasurevestedMembers‘withdiscretiontoxthetermsandconditionsof
employment’ofstaffmembers,”Congress“hasdrawnalinebetweenuseoftheClerk
HireAllowancetoemploystaffassisting‘inthedischargeofofcialandrepresentative
duties’(permissibleundertheAnnualAppropriationsActs)anduseofthatallowance
‘todefraypersonal,politicalorcampaignrelatedallowances’(prohibitedby2U.S.C.
§57;31 U.S.C.§1301; andthe[Members’Congressional]Handbook.”
60
The court
statedthatwhere to drawthe line between“ofcial work” and“personal services”
maynotalwaysbeclear.Inconcludingthatcertaincountsofthecriminalindictment
againstaformerMemberwerejusticiable(i.e.,capableofresolutionbythecourt),the
courtdetermined thatstaff’sinvolvementwithengraving giftitems andmounting
souvenirs on plaques as gifts and performing bookkeeping duties for a private
insurancecompanyownedbytheMemberwouldbeprohibitedbyHouserulesand
regulations as personal services, but the court could not say that “picking up [a
Member’s]laundryanddrivinghisfamilymembersaroundWashington”couldnotbe
consideredofcialratherthanpersonalactivities“[b]ecausetheperformanceofthose
activitiesmight,insomecircumstances,directly–evenvitally–aidaCongressman
intheperformanceofhisofcialduties.”
61
Duringthe107
th
Congress,aMemberwasconvictedofconspiracytodefraud
the United States by, among other things,solicitingandreceiving payments from
the salaries of congressional employees, directing members of his congressional
staff to perform labor and services to maintain his boat, and by having members
ofhis congressionalstaff performlabor andservicesat theMember’s farm.
62
In a
subsequentinvestigationbytheStandardsCommittee,aninvestigativesubcommittee
statedthatsuchpersonalservicesincludedbalinghay,runningandrepairingfarm
equipment,repairingfarmstructures,buildingahorsecorral,convertingacorncrib
toanotheruse,andperformingelectricalandplumbingrepairs.Forexample,one
employeetestiedattrialthathespentmostofhistimeattheMember’sfarmdoing
workwhichincludedplumbing,wiring,andotherhandymanwork.Thatemployee
58
Id.at1002(emphasisadded).
59
Id. at997.
60
Rostenkowski,supranote5,59F.3dat1309(emphasisadded).
61
Id.at1310.
62
Seenote33,supra.
292 HOUSEETHICSMANUAL
furthertestiedthathealsospenttimeinWashington,D.C.,asapartofhispart-
time congressional employment for theMember, but that he performed no ofcial
dutiesatthecongressionalofce.Instead,heperformedworkontheMember’sboat,
whichincludedpainting,varnishing,andrepairingbrassttings.
63
Fortheirpersonal
services, the employees received no compensation other than their congressional
salaries.
64
Followingtheinvestigation,theadjudicatorysubcommitteefoundthatthe
Member’sconductindirectingandhavingmembersofhiscongressionalstaffperform
personalservicesandlaborviolatedclauses1-3oftheCodeofOfcialConduct.
65
Annual Ethics Training Requirement
TheHouserulesadoptedatthebeginningofthe110
th
Congressincludedanew
provisionthatrequirestheStandardsCommitteetoprovideannualethicstraining
toallHouseMembers,ofcers,andemployees.
66
TherulealsorequiresthatHouse
ofcersandemployeescertifybyJanuary 31ofeachyearthat theyhaveattended
annualethics trainingin thepriorcalendar yearunder theguidelines established
by the Standards Committee. All new ofcers and employeesmust receiveethics
trainingwithin60daysafterbeginningtheirservicetotheHouse.
Lump Sum Payments
House ofces have had broad authority to make lump sum payments to
employeessince1997.TheHouseAdministrationCommitteehas,underauthority
granted bythelump sum payment statute,
67
issuedaset of regulations governing
themakingofsuchpayments.ThoseregulationsarepublishedinboththeMembers’
Handbookand theCommittees’ Handbook.
68
Whilethoseregulations setout basic
rulesonthemakingoflumpsumpayments,itistheresponsibilityoftheStandards
Committeetodeterminethemannerinwhichthosepaymentsaretobetreatedfor
purposes of the House Code of Ofcial Conduct and other ethics laws, rules, and
standards.TheStandardsCommitteehasprovidedthefollowingguidance.
Anylumpsumpaymentmustbemadeincompliancewiththeprovisionofthe
Houserulesrequiring thateachemployee performdutiesfor hisorheremploying
ofcethatarecommensuratewiththecompensationpaidtothatemployee(House
Rule 23, clause 8). Before making any lump sum payment, a Member must be
63
Id.at121.
64
See id.
65
Id.at2.
66
SeeHouseRule11,cl.3(a)(6).
67
See2U.S.C.§60o.
68
Seenote6,supra.
Staff Rights And Duties 293
satisedthattheemployeehasperformedservicesforthecongressionalofcethat
are commensurate with the amount the employee is to be paid in the lump sum
combined with his or her regular salary. Furthermore, an employee may not be
compensatedfrompublicfunds,includingbymeansofalumpsumpayment,forthe
performanceofnonofcial,personal,political,orcampaignactivitiesonbehalfofthe
Member,theemployee,oranyoneelse.
Inaddition,theStandardsCommitteehasdeterminedthat,asageneralrule,
alumpsumpaymentwill notcountinthedeterminationwhether anemployeeis
beingpaidataratethatresultsinthe employeebeing subjectto therequirement
toleaFinancialDisclosure Statement,the outsideearned incomelimitation and
restrictions, and the post-employment restrictions on lobbying. A key factor in
this Committee determination is the fact that by and large, the provisions of law
involvedherelooktotheemployee’s“rateofbasicpay.”
69
IntheCommittee’sopinion,
lumpsumpayments,whenproperlyusedbyanemployingofce,donotconstitute
partoftherecipient’s“rateofbasicpay.”Anotherimportantfactorhereisthatthe
Committeehasbeenadvisedthatlumpsumpaymentsarenottreatedassalaryfor
purposesofemploymentbenets.Thus,accordingtotheinformationprovidedtothe
Committee,thosepaymentsdonotcountindeterminingthemaximumamountan
employeecancontributetotheThriftSavingsPlan,ortheamountoflifeinsurance
thattheemployeemaypurchase,andlikewisetheydonotcountindeterminingan
employee’s“highthree”yearsforpurposesofcalculatingretirementbenets.
The Standards Committee has cautioned, however, that Members should
notuselumpsumpaymentsasmeansofenablingemployeestoevadethenancial
disclosure requirements, the outside earned income limitation and restrictions, or
thepost-employmentrestrictions.Forexample,anintenttoevademaybeinferred
whenanemployee’sregularsalaryrateisbelowtheapplicablethresholds,butthat
employeeisregularlygivenalumpsumpaymentinanamountthat,ifithadbeen
paid in the form of regular salary instead, would have subjected the employee to
one or more of these requirements or restrictions. Receiving a lump sum end-of-
the-yearbonusorotheronetimepaymentrecognizingaparticularaccomplishment
isgenerallypermissible.MembersandstaffareremindedthattheHouseCodeof
Conduct specically requiresthemto adhere not only to the letter but also to the
spiritoftheHouseRules(HouseRule,23,clause2).AMemberwhouseslumpsum
paymentswiththeintenttoenableanemployeetoevadeanyoftheserequirementsor
restrictionswillbesubjecttodisciplinaryactionbytheCommittee.Inaddition,when
theCommitteendsthatlumpsumpaymentsweremadewithsuchanintention,the
Committeereserves therighttodeterminethat thosepayments shouldbetreated
as part of the recipient’s basic rate of pay, thus subjecting that individual to the
applicablerequirementsandrestrictions.
69
See5U.S.C.app.4§§109(13)(B),501(a)(1);18U.S.C.§207(e)(6).
294 HOUSEETHICSMANUAL
Volunteers, Interns, Fellows, and Detailees
House rules prohibit unofcial ofce accounts, that is, private supplements
to the funds available to Members through their clerk hire and ofcial expenses
allowances.
70
In Advisory Opinion No. 6, interpreting the unofcial ofce account
prohibition,theHouseSelectCommitteeonEthics,95
th
Congress,concludedthatin
additiontomoney,theprohibitiononunofcialofceaccountsproscribestheprivate,
in-kindcontributionofgoodsorservicesforofcialpurposes.TheSelectCommittee
foundthat“nologicaldistinctioncanbedrawnbetweentheprivatecontributionof
in-kindservicesandtheprivatecontributionofmoney,andthatbothperpetuatethe
verykindofunofcialofceaccountsandpracticesthatareprohibited”bytherule.
71
TheSelectCommitteedid,however,recognizeseveralexceptionstothegeneral
prohibitionagainstacceptanceofservicesincludingthefollowing:
• Servicesprovidedbyfederal,state,orlocalgovernmentagencies;and
• Intern, fellowship, or similar educational programs that are primarily of
educational benetto the individual, asopposed to primarily benetingthe
Memberorofce,andwhichdonotgiveundueadvantagetospecialinterest
groups.
Denitions
TheCommittee denes theterms “employee,”“intern,”“fellow,” “volunteer,”
and“detailee”asfollows:
• Anemployeemeansapersonappointedtoapositionofemploymentinthe
HouseofRepresentativesbyanauthorizedemployingauthority,whetherthat
personisreceivingasalarydisbursedbytheChiefAdministrativeOfcer,or
isinaLeaveWithoutPayorFurloughstatus.
• An intern means an individual performing services in a House ofce on a
temporary basis incidental to the pursuit of the individual’s educational
objectives.Someinternsreceivenocompensationfromanysource,whilesome
receive compensation or other assistance from an educational institution or
other sponsoring entity. Although some interns may receive compensation
fromHouseallowances,
72
thisdiscussiondealsprimarilywiththosewhodonot
70
AfullexplanationofthistopicisavailableinChapter10ofthisManual.
71
House Select Comm. on Ethics, Advisory Opinion No. 6 (May 9, 1977), reprinted in Final
Report of the Select Committee on Ethics,H.Rep.95-1837,95
th
Cong.,2dSess.app.at65(1979),andin
theappendicestothisManual.
72
The Members’ Handbook and Committees’ Handbookincludeprovisionsforpaidinterns,but
theyprovidethatsuchindividualsmayworkfornomorethan120daysinatwelve-monthperiod.See
(con’t next page)
Staff Rights And Duties 295
receivesuchHousecompensation.
• A fellow means an individual performing services in a House ofce on a
temporary basis as part of an established mid-career education program,
whilecontinuingtoreceivetheusualcompensationfromhisorhersponsoring
employer.
• AvolunteermeansanindividualperformingservicesinaHouseofcewithout
compensationfromanysource.
• Adetaileemeansanexecutivebranchemployeeassignedtoacommitteestaff
foraperiodofuptooneyear.
73
Internship and Fellowship Programs
A Member or House ofce may accept the temporary services of an intern
participatinginaprogram,asdiscussedbelow,whichisprimarily of educational
benettotheparticipant,irrespectiveofwhethertheindividualisbeingcompensated
byathird-partysponsoringorganization.Similarly,aMemberorHouseofcemay
accept the temporary services of a fellow participating in a mid-career education
program,asdiscussedbelow,whiletheindividualreceivescompensationfromhisor
heremployer.Aninternshiporfellowshipprogramshouldbeoperatedbyanentity
notafliatedwithacongressionalofce,andtheorganizationshould bewilling to
indicateitssponsorshipoftheinternorfellowinwriting.
Restrictions on Establishing Internships and Fellowships. House
Membersandstaffmaynotraiseordisbursefundsforprogramsthatplaceinterns
orfellowsintheirownofces.
74
Ofcesthathaveestablishedtheirowninternship
programforstudentsmayadvertiseinternopenings.
75
Inaddition,Membersdohave
therighttoselectorapprovethoseprogramparticipantswhowillbeworkingintheir
ofces.
Whileinternshipandfellowshipprogramsareoftensponsoredbyeducational
institutions, other public or private organizations may act as sponsors, provided
thearrangementdoesnotgiveundueadvantagetospecialinterests.Therefore,an
internorfellowshouldnotbeassigneddutiesthatwillresultinanydirectorindirect
benettothe sponsoring organizationor anyone elsewith which theindividual is
afliated(includingtheemployerorafellow),otherthanbroadeningtheindividual’s
knowledge.
note6, supra.
73
See generally2U.S.C.§72a(f);Members’ HandbookandCommittees’ Handbook,supranote6.
74
See Advisory Opinion No. 6,supranote71.
75
See Members’ HandbookandCommittees’ Handbook,supranote6.
296 HOUSEETHICSMANUAL
Anindividualwhoisservingasapaidinternorfellowmustcomplywithall
thelaws,rules,andstandardsofconductapplicabletoHouseemployees,including
theCodeofOfcialConduct(HouseRule23),thegiftrule(HouseRule25,clause5),
thebanonsolicitations(5U.S.C.§7353),andthelimitationsonacceptingapayment
foraspeech,article,orappearance(HouseRule25,clause1(a)(2)).Inaddition,under
provisionsofthecriminalcode(18U.S.C.§§203,205),suchindividualsareprohibited
fromrepresenting anyonebeforeany federalagency orofcial orinany matterin
whichthefederalgovernmentisapartyorhasadirectandsubstantialinterest.
Foreign nationals.Generally,itispermissibleforaforeignnationaltoserve
anunpaidinternshiporfellowshipforaMemberineitherapersonalorcommittee
ofce.Suchaninternshiporfellowshipwouldbesubjecttothesameconditionsand
restrictionsasothersucheducationalprograms.Thus,theforeignnationalshould
not be assigned anymatterof interest to the individual’s employer (if any) or the
programsponsor.Inaddition,theforeignnationalshouldnotbeassignedanyduties
thatenablethe individualtoinuence UnitedStatespolicyinawaythat benets
theindividual’shomecountry.BecauseofconcernsarisingunderArticleI,section
9,clause8oftheConstitution(theEmolumentsClause),theStandardsCommittee
should be contacted for advice about any prospective internship or fellowship
involvingaforeignnationalreceivingasalary,orsomeotherformofsupport,from
theindividual’shomecountrywhileservinginaHouseofce.
Example 8.StudentAwritestoMemberBofferingtoworkinB’sofce
foronesemester,aspartofhiscollege’sgovernmentinternshipprogram.
Aenclosesacopyofthecollege’sbrochureonitsinternshipprogramand
aletterfromthedean,indicatingthatAwillgetcollegecreditforhis
participation.BmayacceptA’sservices.
Example 9. Scientist C works for a pharmaceutical company that
sponsors a mid-career fellowship program. In conjunction with the
program,C writesto theScienceCommittee, offeringher servicesfor
one year, during which time the company would continue to pay her
salary.TheCommitteemayacceptC’sservices,providedthatshedoes
notworkonlegislationthatwilldirectlybenetheremployingcompany.
Example 10. Student D’s college does not have a formal internship
program. D’s political science professor has offered to give him
independentstudycreditifhevolunteersinacongressionalofceand
writesapaperonwhathelearnsaboutthelegislativeprocess.AMember
could accept D’s services as a volunteer under these circumstances
(seediscussion belowon“Volunteers”). The independentstudy credit
demonstratestheeducationalbenettoStudentD.
Staff Rights And Duties 297
Example 11.E,aforeignnational,hasappliedthroughaneducational
programinWashington,D.C.,toserveasa“visitingfellow”inMember
F’s ofce for six months. The program will pay E a stipend and will
payfortheindividual’shealthinsuranceduringthefellowship.Ewill
receivenoothersalaryorformofsupportfromanysource.MemberF
may acceptE’sservices, provided that she is not assignedany duties
thatwouldbenetthesponsoringprogramorthefellow’shomecountry.
Volunteers
AMemberorHouseofcemayacceptthetemporaryservicesofavolunteer,
providedtheMemberorofcehasaclearlydenedprogramtoassurethat:(1)The
voluntaryserviceisofsignicant educational benettotheparticipant;and(2)
suchvoluntaryassistancedoesnotsupplantthenormalandregulardutiesofpaid
employees.Inthisregard,limitationsshouldbeimposedonthenumberofvolunteers
who may assist a congressional ofce at any one time, as well as the duration of
servicesanyonevolunteermayprovide.Avolunteershouldberequiredtoagree,in
advanceandinwriting,toservewithoutcompensationandnottomakeanyfuture
claimforpayment,andtoacknowledgethatthevoluntaryservicedoesnotconstitute
Houseemployment.
76
AMemberorHouseofcewishingtousetheservicesofanindividualseeking
to volunteer may also place the individual in a temporary paid position on the
Member’sclerkhirepayrollorotherpersonnelfund,asauthorizedbyregulationsof
theCommitteeonHouseAdministration.Ifso,theindividualwouldhavetocomply
withthelaws,regulations,andstandardsofconductapplicabletoHouseemployees.
Immediate Family Members May Volunteer. A Member may accept
volunteerserviceswithoutlimitfromhisorherownimmediatefamily,i.e.,spouse,
children,orparents.Asdiscussedpreviouslyinthischapter,however,5U.S.C.§3110
andHouserulesprohibitMembersfromappointingrelativestopaidpositions.
Example 12.ArecentcollegegraduateseekingworkonCapitolHill
76
Federallaw,at31U.S.C§1342,provides:
AnofceroremployeeoftheUnitedStatesGovernmentoroftheDistrictofColumbia
governmentmaynotacceptvoluntaryservicesforeithergovernmentoremploypersonal
servicesexceedingthatauthorizedbylawexceptforemergenciesinvolvingthesafetyof
humanlifeortheprotectionofproperty....
In Opinion B-69907 (issued on February 11, 1977), the Comptroller General of the United States
determinedthatthestatuteappliestoMembersofCongressandotherlegislativebranchofcersand
employees.However,becausethestatutewasenactedtopreventfundingdeciencies,itwasdeemednot
toprohibitaMemberofCongressfromusingvolunteerstoassistintheperformanceofofcialfunctions
oftheMember’sofce,providedsuchvolunteersagreeinadvancetoservewithoutcompensation,sothat
thereisnobasisforafutureclaimforpayment.
298 HOUSEETHICSMANUAL
offerstovolunteerinMemberA’sofcewhilelookingforapayingjob.
UnlessAhasaprogramintheofcetoensurethatvolunteersderive
signicanteducationalbenetanddonotmerelyllinforbusystaffers,
Amaynotaccepttheoffer.
Example 13.AretireeinMemberB’sdistrictofferstovolunteertwo
daysaweekinthedistrictofce,answeringtelephones,makingcopies
and generally freeing up the paid staff to do more substantive work.
B may not accept this volunteer’s services because they are not of
signicanteducationalbenettothevolunteer,andtheysupplantthe
normalandregulardutiesofpaidemployees.
Example 14. Member C runs a program for senior citizens in C’s
districtofce. Oneortworetireesat atime volunteerfor six-month
periodsduringwhichtimetheyreceiveregularbriengsonlegislative
issuesofconcerntoseniorsandactasliaisonstootherseniorsinthe
district.Becausethevolunteers’servicesaretemporary,ofsignicant
educationalbenettotheparticipants,anddonotsupplantthenormal
and regular duties of paid employees, this program complies with
Committeeguidelines.
Example 15.MemberD’sspouseofferstovolunteerinthedistrictofce
asanextracaseworker.Aslongasthespousereceivesnopay,Member
Dmayaccept.
Example 16. A socialservices agencyin MemberE’sdistrict wishes
to include the Member’s district ofce as a work site in a welfare-to-
workprogram.Aparticipantintheprogramwishestobeassignedto
theofceforupto12monthstoprovideclericalservices.Theprogram
participantwouldnotdisplaceanyincumbentemployeeorllavacant,
unlledposition. Becausethe job trainingprogram sponsored bythe
agencyservesessentiallythesamepurposeasininternshiporvolunteer
programprovidingasignicanteducationalbenettotheparticipant,E
mayparticipateinthewelfare-to-workprogram.
Volunteers, interns, and fellows should be made aware of the implications
theiractivitieshavefortheMembersinwhoseofcestheywork.Technically,House
rulescannotbeenforcedagainstindividualswhoarenotHouseemployees.However,
suchindividualsmaybeinapositiontotakeactionsandmakerepresentationsin
thenameofaMember,forwhichtheMembermayberesponsible.Thegovernment
may also be subject to a claim of liability for work-related injuries to, or caused
by,avolunteer,intern,orfellowactingwithinthescopeofhisorherpositionwith
the House. The Committee recommends that Members and House ofces obtain
Staff Rights And Duties 299
the agreement of such individuals that, although not House employees, they will
conductthemselves in amanner thatreects creditably onthe House. Members
are also encouraged to obtain the Committee’s guidance regarding their
participation in any volunteer, internship, or fellowship program in which
they wish to participate.
Business Cards.InaJune29,1990,letterfromtheStandardsCommittee
toallMembersaddressingthecircumstancesunderwhichtheservicesofvolunteers
maybeacceptedincongressionalofces,theCommitteeconcludedthatindividuals
notpaidbytheHouseofRepresentatives(whichalsoincludesinternsandfellows)
maynotuseorobtainbusinesscardsorothermaterialssuggestinganemployment
relationshipwiththeHouse.
77
Standards Committee Actions.Inrecentyears,theStandardsCommittee
hasinvestigatedanumberofcomplaintsinvolvingtheinappropriateuseofvolunteers.
Inthe104
th
Congress,theCommitteeconsideredtwocomplaintsinvolvingthemisuse
of volunteer services by a Member. In one matter, the Committee found that the
Membermadeinappropriateuseofvolunteerservicesduringtheperiodinwhichhe
wasassemblingaleadershipstafftobecometheSpeakeroftheHouse.
78
Inaddition,the
CommitteefoundthattheroutinepresenceofavolunteerintheMember’scongressional
ofcecreatedtheappearanceofimpropercomminglingofpoliticalandofcialresources
and,thus,violatedtheprohibitiononunofcialaccounts.
79
Inthesecondmatter,the
CommitteefoundthatwhiletheMember’sofcetookstepstoensurethatavolunteer’s
activitieswere proper,the volunteer’sparticipation asan “informaladvisor” didnot
complywiththeCommittee’sguidelinesgoverninginternsorvolunteersbecausethe
services were not part of a clearly dened educational program.
80
The Committee
directedtheMembertotakeimmediatestepstonotonlypreventthereoccurrenceof
similarincidentsandensurecompliancewiththeCommittee’sstandards,butalsoto
guardagainsteventheappearanceofanyimpropriety.
81
In the 105
th
Congress, the Standards Committee considered a complaint
that alleged, among other things, that a Member had received improper personal
benets from a political action committee. The Committee determined thatthere
wassubstantialdocumentaryevidencethatapaidconsultanttothepoliticalaction
committee “provided a wide array of services pertaining to the development and
implementation of [the Member’s] legislative agenda, and that he did so at [the
77
AcopyoftheletteriscontainedintheappendicestothisManual.
78
SeeHouseComm.onStandardsofOfcialConduct, Summary of Activities, One Hundred
Fourth Congress,H.Rep.104-886,104
th
Cong.,2dSess.13(In re Rep. Newt Gingrich).
79
See id.
80
Id.at16.
81
See id.
300 HOUSEETHICSMANUAL
Member’s]request.”
82
Anothermatterconsideredduringthe105
th
CongressconcernedaMember’s
useofapaidemployeeofanoutsideorganization. Aninvestigativesubcommittee
determined that the individual, who had unusual access to the Member’s ofcial
schedule, served as an unofcial policy advisor to the Member, and the Member
solicitedtheindividual’sviewsandassistanceconcerningofcialmatters.Specically,
the individual was found to have provided ongoing advice to the Member and his
stafftoassisthiminconductingdutiesrelatedtourbanissues,frequentlyattending
ofcialmeetingswithMembersofCongress,othergovernmentofcials,andstaff.
83
Theinvestigativesubcommittee,initsreport,advisedthat“Membersmustexercise
cautiontolimittheuseofoutsideresourcestoensurethatthedutiesofofcialstaff
arenotimproperlysupplantedorsupplemented.”
84
Inthe106
th
Congress,aMemberadmittedtoaStatementofAllegedViolation
charging, among other things, that the Member had authorized and accepted the
scheduling and advisory services of his former chief of staff on exclusively ofcial
matters over an eighteen-month period after the individual had resigned her
position.
85
TheStandards Committeedeterminedthatthe repeatedand prolonged
natureoftheconduct,supplantingthedutiesnormallyperformedbycongressional
employees,representedasignicantviolationthatlastedbeyondareasonableperiod
oftransition.
86
Theactivitiesinquestioninvolvedtheday-to-daymanagementofthe
Member’sschedule,suchasscreeningappointments,arrangingmeetings(including
thoseforclientsoftheformeremployee),anddirectingcongressionalemployeesto
attenddesignatedevents.Theactivitiesalsoinvolvedroutineserviceasapolitical
advisortotheMember.
87
TheCommitteeconcludedthatsuchconductviolatedthe
82
HouseComm.onStandardsofOfcialConduct, Summary of Activities, One Hundred Fifth
Congress,H.Rep.105-848,105
th
Cong.,2dSess.15(In re Rep. Newt Gingrich).Inthismatter,the
Committeedismissedthecountofthecomplaintinvolvingtheinappropriateuseofvolunteerservices
becausetheviolationhadallegedoccurredapproximatelyveyearsbeforethelingofthecomplaint
andtherewasnoevidenceofanongoingviolationinvolvingtheprohibitionagainstunofcialHouse
ofceaccounts.See id.
83
HouseComm. on Standards of Ofcial Conduct, In the Matter of Rep. Newt Gingrich,H.
Rep.105-1,105
th
Cong.,1
st
Sess.96-97(1997).
84
While the subcommittee determined that the “regular, routine, and ongoing assistance”
provided by the individual to the Member and his staff “could create the appearance of improper
commingling of ofcial and unofcial resources,” the subcommittee found that the action did not
warrantinclusionasacountintheStatementofAllegedViolationbecausetheactivitieshadceased
before the issuance of two earlier letters of reproval to the Member regarding the use of outside
resourcesintwounrelatedmatters.Id.at97.
85
SeeH.Rep.106-979,at44,supranote52.
86
See id.
87
See generally id.at44-51.
Staff Rights And Duties 301
prohibitiononunofcialaccounts,
under which House ofces are generally prohibited from accepting
private support for ofcial activities. Former Rule 45 [now Rule 24]
provided that “no Member may maintain or have maintained for his
use an unofcial ofceaccount.” The prohibition extendsnot only to
privatemonetarycontributions,butalsotoin-kindsupportfromprivate
sources.Asageneralmatter,theofcialactivitiesofeachMemberand
Committee ofce are to be supported by ofcial monies appropriated
for those activities. The Committee on Standards has interpreted
formerRule45tosupportitsndingthattheregularinvolvementofa
volunteer/politicaladvisorisacongressionalofcewhoperformstasks
properlyassociatedwiththeofcialresponsibilitiesofHouseMembers
andemployeesisinappropriate.
The concerns regarding the acceptance of voluntary services of individuals
includethefactthatattimes,quiteobviously,anindividualofferingtoperformsuch
services for a Member of Congress may have his or her own agenda. Thus, even
withregardtoindividualparticipationinestablishedinternorfellowshipprograms,
whoseservicesmaybeacceptedbyaHouseofce,theCommitteeonStandardshas
cautionedthatthoseindividuals“shouldnotbeassigneddutiesthatwillresultinany
directorindirectbenettothesponsoringorganization,otherthanthebroadening
theindividual’sknowledge.”
88
Detailees
The above guidelines do not prohibit a Member or other House ofce from
acceptingservices,includingdetailedstaff,providedonanofcialbasis byaunitof
federal,state,orlocalgovernment.Housestaffandresourcesmaynot,however,be
similarly usedtoperform the work of other governmental units,or of any private
organization.
A committee may request or accept detailed staff from executive branch
departmentsoragencies.TheSelectCommitteeonEthicsruledthat“in-kindservices
andfunctionsprovidedbyfederal,state,andlocalgovernmentagenciesdonotfallin
thesamecategoryasprivatedonationsofmoneyorin-kindservices.”
89
Whilefederal
lawspecicallyauthorizesthedetailingofexecutivebranchpersonneltocommittee
staffs,thereisnocomparableprovisionallowingdetaileestoserveonthepersonal
88
Id.at44-45(quoting Inquiry into Various Complaints Filed Against Rep. Newt Gingrich,
H.Rep.104-401,104
th
Cong.,1
st
Sess.4(1995);andHouse Ethics Manual,102dCong.,2dSess.197
(1992)).
89
Advisory Opinion No. 6,supranote72.
302 HOUSEETHICSMANUAL
staffsofMembers.
90
RegulationsoftheCommitteeonHouseAdministrationprovidethatthedetailee
remains,formostpurposes,anemployeeofthesourcedepartmentoragency,rather
thanbecomingaHouseemployeeduringtheassignmentperiod.
91
Forthepurposes
of post-employment restrictions, however, federal law mandates that detailees be
consideredemployeesbothoftheentityfromwhichtheycomeandthattowhichthey
aresent.
92
TheCommitteeonHouseAdministration’sguidelinesprovidethatCommittees
are not required to reimburse the sending organization for detailees, except for
detaileesfromtheGovernmentPrintingOfce(“GPO”).DetaileesassignedfromGPO
requirereimbursementfromcommitteefunds.AccordingtoHouseAdministration
guidance,thenumberofnon-reimbursabledetailees,atonetime,mostremainator
below10%ofthecommittee’sstafngceiling.
Consultants
Amendments to the House rules that were approved at the start of the
106
th
Congress andthe 107
th
Congress subjectconsultants tothe House,including
consultantstoHousecommittees,tocertainethicsrules.
93
UndertheCodeofOfcial
Conduct(HouseRule23),anyindividualwhoseservicesarepaidforbytheHouse
pursuanttoaconsultantcontractareconsidered“anemployeeoftheHouse”
94
subject
toclauses1-4,8,9,and13ofHouseRule23,underwhichsuchindividual:
• Mustatalltimesconducthimorherselfinamannerthatreectscreditably
ontheHouse;
• MustadheretothespiritaswellastheletteroftherulesoftheHouseandits
committees;
• Maynotreceivecompensationandmaynotpermitcompensationtoaccrueto
hisorherbenecialinterestfromanysource,thereceiptofwhichwouldoccur
90
See2U.S.C.§72a(f);Members’ Handbook and Committees’ Handbook,supranote6.
91
See Members’ Handbook and Committees’ Handbook, supra note 6. However, regulations
oftheOfceofGovernmentEthicsprovide:“Anemployeeondetail,includingauniformedofceron
assignment,fromhisemployingagencytothelegislativeorjudicialbranchforaperiodinexcessof30
calendardaysshallbesubjecttotheethicalstandardsofthebranchorentitytowhichdetailed....”5
C.F.R.§2635.104(b).
92
18U.S.C.§207(g).Post-employmentrestrictionsarediscussedinChapter5.
93
SeeH.Res.5,106
th
Cong.,1
st
Sess.(145Cong. Rec.H6-10,H31(Jan.6,1999));H.Res.5,107
th
Cong.,1
st
Sess.(147Cong. Rec.H6-10,H8(Jan.3,2001)).
94
HouseRule23,cl.18(b).
Staff Rights And Duties 303
byvirtueofinuenceimproperlyexertedfromtheconsultant’spositionwith
theHouse;
• Maynotacceptanygift,exceptasprovidedintheHousegiftrule(HouseRule
25,clause5);
• Must perform duties for the contracting committee that are commensurate
withthecompensationreceivedbytheconsultant;
• May not discriminate against an individual with respect to compensation,
terms,conditions,orprivilegesofemploymentbecauseofrace,color,religion,
gender,disability,age,ornationalorigin;and
• Must execute a condentiality oath before receiving access to classied
information.
Lobbying
Inadditiontotheselimitationsandrestrictions,consultantsarealsoprohibited
from engaging in certain lobbying activity. In the 110
th
Congress this lobbying
provision was extended to include lobbying restrictions for the other members of
rmswhoseemployees are consultantsfor House committees. Specically, House
Rule23,clause18(b)provides:
AnindividualwhoseservicesarecompensatedbytheHousepursuant
to a consultant contract may not lobby the contracting committee or
themembersofstaffofthecontractingcommitteeonanymatter.Such
an individual may lobby other Members, Delegates, or the Resident
CommissionerorstaffoftheHouseonmattersoutsidethejurisdictionof
thecontractingcommittee.Inthecaseofsuchindividualwhoisamember
oremployeeofarm,partnership,orotherbusinessorganization,the
othermembersandemployeesoftherm,partnership,orotherbusiness
organizationshallbesubjecttothesamerestrictionsonlobbyingthat
applytotheindividualunderthisparagraph.(Emphasisadded.)
Accordingly,theStandardsCommitteeconsidersthefollowingrestrictionsto
beappropriate:
• Each such consultant should establish an “ethics wall” to isolate his or her
workonbehalfofthecontractingcommitteefromanylobbyingactivityofthe
othermembersofhisorherrmbeforetheHouse;
• Duringtheperiodoftheconsultant’sservicetotheHouse,othermembersof
thermmaynotlobbythecontractingcommittee,includingitsMembersor
staffduringthetermofthecontractonanymatter;
• Regardless of the subject matter, the other members of the rm should not
304 HOUSEETHICSMANUAL
refertoorotherwiseusethefactoftheconsultant’spositionintheHousein
anycontactstheymayhavewithanyHouseMember,ofcer,oremployeein
ofcialmatters;and
• Inconductinganypermissiblelobbyingactivity,consultantsaresubjecttothe
provisionoftheCodeofOfcialConductdiscussedabove.
Acceptable Gifts
ConsultantsarealsosubjecttotheHousegiftrule,whichissetforthinclause
5ofHouseRule25,andwhichisdescribedindetailinChapter2ongifts.Under
thegiftrule,aconsultant–likeanyHouseMemberorregularstaffperson–may
notacceptanygiftexceptasspecicallyprovidedintherule.Therulegovernsthe
acceptanceofvirtuallyanythinghavingmonetaryvalue,includingservices,travel,
meals,andticketstosportingeventsandshows(HouseRule25,clause5(a)(2)(A)).
Thus,priortocommencingserviceunderaconsultantcontract,anindividualshould
carefully review the provisions of the gift rule and should contact the Standards
Committeestaffasanyquestionsarise.
Practicallyspeaking,themajoreffectofthegiftruleonconsultantsistolimit
theirabilitytoacceptgiftsthataremotivatedbytheirpositionwiththeHouse.The
StandardsCommitteeanticipatesthatconsultantswillhaverelativelylittledifculty
indistinguishingsuchgifts.Thegiftruleincludesanumberofprovisionsallowing
theacceptanceofgiftsthataremotivatedbysomefactorotherthanone’sposition
withthegovernment.
For example, one provision that consultants may nd particularly relevant
allowstheacceptanceofbenetsthatresultfromone’soutsidebusiness,employment
or other activities and are not offered or enhanced because of one’s position with
the House (Id., clause 5(a)(3)(G)(i)). Another provision allows the acceptance of
giftsofferedbyanindividualonthebasisofpersonalfriendship,andthatprovision
includescriteriatobeusedindeterminingwhetheragiftcanvalidlybeconsidereda
personalfriendshipgift(Id.,clause5(a)(3)(D)).Otherprovisionsallowtheacceptance
ofgiftsfromone’srelatives,giftsfromMembers,ofcers,andemployeesoftheHouse
orSenate,andanythingpaidforbyafederal,state,orlocalgovernmentalentity(Id.,
clauses5(a)(3)(C),(F)and(O)).
Thegiftrulealsoincludesageneralprovisionallowingtheacceptanceofany
gift(otherthancashorcashequivalent)havingavalueoflessthan$50providedthat
thedonorisnotaregisteredlobbyist,anagentofaforeignprincipal,oranentitythat
retainsoremployssuchindividuals(Id.,clause5(a)(1)(A)-(B)).Underthisprovision,
anindividualmaynotaccept,fromanyonesourceinacalendaryear,giftshaving
acumulativevalueof$100ormore,butgiftshavingavalueoflessthan$10donot
counttowardthisannuallimitation.Giftsthatmaybemotivatedbyone’sposition
Staff Rights And Duties 305
withtheHousemaybeacceptedunderthisprovision,althoughinnoeventmayany
governmentofcialacceptagiftthatislinkedtoanyofcialactionthattheofcial
hastakenorisbeingaskedtotake.
Condential Financial Disclosure
House rules do not require consultants to le public nancial disclosure
statements. Inthe Committee’sview, sucha requirementwould beinappropriate
forconsultants,whoservetheHouseonarelativelyshort-termbasisandhenceare
expectedtomaintaintheiroutsidebusinessactivities.
95
Itisequallyclear,however, thatacontracting committeewouldnot beina
position to evaluate a prospective consultant’s compliance with conict-of-interest
rules without having certain basic information on his or her nancial interests.
Similarly, when the Standards Committee is asked for an advisory opinion on a
committee’sproposedarrangementswithacontractor,itwillbeunabletorendera
completeopinionwithouthavingaccesstosuchinformation.Butsuchinformation
neednotbeasextensiveasthatrequiredbytheHouseofRepresentativesFinancial
Disclosure Statement, and the purposes here can be served by submission of the
informationonacondential,ratherthanapublicbasis.
Accordingly, the Standards Committee strongly recommends that each
committee,prior toenteringinto aconsultingcontract,obtain,at aminimum,the
followinginformationfromtheprospectiveconsultant(s):
• Eachoftheindividual’scurrentsourcesofearnedincome,thetypeofincome
(e.g.,salary,partnershipincome,director’sfee),andtherateatwhichheorshe
iscompensated;
• The identity of each client for whom the individual is currently providing
services,andofeachclientforwhomheorsheanticipatesprovidingservices
duringthetermofthecommitteecontract;and
• Thenatureandvalueofanyinvestmentorliabilityheldbytheconsultantthat
couldbeaffectedbyorisinanywayrelatedtothedutiesthattheindividual
wouldperformforthecommittee.
Thecontractingcommitteeshouldalsoobtainthecommitmentofaprospective
consultantto informthe committeepromptly regardingany suchsource ofearned
income,clientorinvestmentthatheorsheobtainsduringthetermofthecontract.
95
TheCommitteeunderstandsthatintheSenate,consultantsaretechnicallysubjecttothe
requirementtoleapublicnancialdisclosurestatement,butthattheSenateSelectEthicsCommittee
willroutinelywaivetherequirement.However,thegrantofthewaiverissubjecttotheconditionthat
theconsultantagreestomakecondential submissionstotheSenateEthics Committeeregarding,
amongotherthings,hisorherclientsandtheclientsofthermwithwhichtheconsultantisafliated.
306 HOUSEETHICSMANUAL
HousecommitteesareurgedtocontacttheStandardsCommitteebeforeentering
intoanyproposedarrangementwithaconsultant.
307
CASEWORK
Overview
AnimportantaspectofaHouseMember’srepresentativefunctionistoactas
a “go-between” or conduit between the Member’s constituents and administrative
agencies of the federal government. Whether promotingprojects thatwill benet
constituents or assisting in the resolution of the problems that are an inevitable
by-product of government regulation, the Member is serving as a facilitator, or
ombudsman. Such activity, in the opinion expressed by the late Senator Paul H.
Douglas,playsausefulroleinthegovernmentalprocessbyhelpinglegislatorsand
administratorsperformtheirrespectivejobsadequatelythroughtheinterestofthe
formerintheworkofthelatter.
1
InacommitteeprintentitledEthical Standards in Government,asubcommittee
headed by Senator Douglas stated that legislators performing casework functions
can“legitimatelyserveasaninformalboardofinspectors”overadministrators,and
“canpreventtheadministratorsfromaggingintheirzealandcandetectandcheck
abusesinthe conductofpublic business.”
2
Douglas concludedinhis ownstudyof
ethicsingovernmentthatthereisa“soundethicalbasisforlegislatorstorepresent
theinterestsofconstituentsandothercitizensintheirdealingswithadministrative
ofcialsandbodies.”
3
TheConstitutionguaranteesallcitizenstherighttopetitionthegovernment
forredressofgrievances.
4
Alogicalpointofcontactisone’selectedrepresentative.
Furthermore,MembersofCongresscontinuallymustmonitorgovernmentprograms
andtheadministration ofpubliclaws. Asthe SupremeCourthas recognized,“[s]
erving constituents and supporting legislation that will benet the district and
individualsandgroupsthereinistheeverydaybusinessofalegislator.”
5
Thischapterincludesadiscussionontherules inmaking contactsinaidof
constituentswithgovernmentalagencies,thecourts,andnongovernmentalparties.
Pursuant to long-standing guidance, it is generally permissible for Members (and
staffactingontheirbehalf)to:
• Requestinformationorstatusreports;
1
PaulH.Douglas,Ethics in Government87(1952).
2
SpecialSubcomm.ontheEstablishmentofaComm’nonEthicsinGov’t,SenateComm.on
LaborandPublicWelfare,Ethical Standards in Government, 82dCong., 1
st
Sess.28(Comm.Print
1951).
3
Douglas,supranote1,at87.
4
U.S.Const.,amend.I.
5
McCormick v. United States,500U.S.257,272(1991).
308 HOUSEETHICSMANUAL
• Urgepromptconsiderationofamatterbasedonthemeritsofthecase;
• Arrangeappointments;
• Expressjudgmentonamatter–subjecttotheex partecommunicationrules;
and
• Askforreconsideration,basedonlaw andregulation,oradministrativeand
otherdecisions.
Intakinganysuchaction,aMemberorstaffpersonmustobservecertainethical
principals. Of particular importance is the principle that a Member’s obligations
are to all constituents equally, and considerations such as political support, party
afliation, or one’s status as a campaign contributor should not affect either the
decisionofaMembertoprovideassistanceorthequalityofhelpthatisgiventoa
constituent.
Alsodiscussedinthischapteristheprohibitionagainsttheacceptanceofgifts
offeredinconnectionwithorinreturnfortakingofcialactions(amatteralsodiscussed
atlengthinChapter2),andtheguidelinesforemploymentrecommendations.
Off-the-Record (Ex parte) Communications
Even though performing casework is an important congressional duty, it is
not totally unrestricted. Federal law specically prohibits certain off-the-record
comments,knownasex partecommunications,directedtoexecutiveorindependent
agencyofcialsonthemeritsofmattersundertheirformalconsideration.
6
Whenever
partiestoadisputecomebeforeaformaltribunal,theyareentitledtoafair,impartial
hearingandtoequalaccesstothefact-nder.Theex parteruleisdesignedtopreserve
thedueprocessrightsofallpartiestoadministrativeproceedings.
Anex partecommunicationisanoralorwrittencommunicationmadewithout
propernoticetoallpartiesandnotonthepublicrecord,fromaninterestedperson
outsidetheagencytoa memberofthe agency,anadministrativelawjudge, oran
employeeinvolvedinthedecision-makingprocess.
7
Since1976,the“Governmentin
theSunshine Act”has prohibitedanyonefrom makingan ex parte communication
toanadministrativeagencydecision-makerconcerningthemeritsofanissuethat
is subject to formal agency proceedings.
8
This broad prohibition encompasses the
statementsofMembersandemployeesofCongressactingonbehalfofconstituents.
6
5U.S.C.§557(d).
7
5U.S.C.§551(14).
8
See5U.S.C.§557(a),(d).
Casework 309
Formal agency proceedings generally include those of a quasi-adjudicatory
(or trial-type) nature and those rulemaking proceedings that must include formal
hearings and a decision on the record. Thelegislative history ofthe Government
in the Sunshine Act shows that “[t]he prohibition only applies to formal agency
adjudication.Informalrulemakingproceedingsandotheragencyactionsthatarenot
requiredtobeontherecordafteranopportunityforahearingwillnotbeaffectedby
theprovision.”
9
Thus,aHouseMemberoremployeemayundertakecommunications
toanagencyonbehalfofaconstituentconcerningthosemattersnotsubjecttoformal
agencyproceedings.Developmentofagencypolicyandestablishmentofbudgetary
prioritiesareexamplesofareasinwhichMembersofCongressaregenerallyfreeto
voicetheirownviewsortoforwardthoseoftheirconstituents.Agenciesoftenask
forpubliccommenton proposedregulations.Representatives,likeothermembers
ofthepublic,mayclearlycontributetheiropinions.
10
Itshouldbenotedthatsome
communications,evenifrelatedtoamatternottheninaformalagencyproceeding,
maybecomepartofthepublicrecordconcerningthatmatterifthecommunication
forms the basis of subsequent formal action, particularly one involving competing
claimstoavaluableprivilege.
11
The proscriptionagainstex partecommunicationsdoesnotextendto“general
backgrounddiscussionsaboutanentireindustrywhichdonotdirectlyrelatetospecic
agencyadjudication involvingamember ofthatindustry,orto formalrulemaking
involvingtheindustryasawhole.”
12
Thestatutespecicallyexemptscongressional
statusrequests.
13
AsstatedinaHousereportontheGovernmentintheSunshine
Act:“Whiletheprohibitionsonex partecommunicationsrelativetothemeritsapply
to communications from Members of Congress, they are not intended to prohibit
routineinquiriesorreferralsofconstituentcorrespondence.”
14
BoththeHouseandSenatereportsrecognizedthepossibilitythatarequest
9
SenateComm.onGov’tOperations,Government in the Sunshine Act, Report to Accompany
S. 5,S.Rep.94-354,94
th
Cong.,1
st
Sess.35(1975);see also GovernmentintheSunshineAct,S.Conf.
Rep.94-1178,94
th
Cong.,2dSess.29(1976).
10
Inaddition,the“CongressionalReviewAct”requiresformalcongressionalreviewofagency
rules.Underthe Act,agenciesare requiredto submitproposedrules tothe HouseandSenate for
reviewbyeachCommitteewithappropriateoversightjurisdiction.Agencyrulesmaybedisapproved
byjointresolution.5U.S.C.§801et seq.
11
See Home Box Ofce, Inc. v. FCC,567F.2d9,57(D.C.Cir.)(“informationgatheredex parte
fromthepublicwhichbecomesrelevanttoarulemakingwillhavetobedisclosedatsometime”),cert.
denied,434U.S.829(1977);see also Action for Children’s Television v. FCC,564F.2d458,474-77(D.C.
Cir.1977).
12
House Comm. on Gov’t Operations, Government in the Sunshine Act, H. Rep. 94-880, 94
th
Cong.,2dSess.,pt.I,at20(1976).
13
5U.S.C.§551(14);see S.Conf.Rep.94-1178,supranote9,at29.
14
H. rep. 94-880,supranote12,pt.I,at21-22.
310 HOUSEETHICSMANUAL
forbackgroundinformationorastatusreport“mayineffectbeanindirectorsubtle
effort to inuence the substantive outcome of the proceedings.” Thus in doubtful
cases, agency personnel may treat these requests as ex parte communications “to
protecttheintegrityofthe decision-makingprocess.”
15
Onewayto avoidviolating
thestatutoryprohibitionistoputallcommunicationswithagenciesinwritingand
torequestthattheybemadeapartoftherecord,availabletoallinterestedparties.
Example 1.Aftertakingtestimonyinaformal,contestedproceeding
under Federal Acquisition Regulations, an agency ofcial is about to
decidewhichoftwocompetingbidderswillbeawardedacontract.It
would be an improper, ex parte communication for Member A to call
uptheofcialandsuggestthatoneofthetwocompetitorsreceivethe
award.
Example 2.InthesamecircumstancesasExample1,itwouldbeproper
forMemberAtoputhisviewsinwriting,aspartoftheformalrecord,
underestablishedagencyprocedures.
Example 3. A constituentcompany in MemberB’s district hasbeen
awaitingadecisionforsometimeinaformalagencyproceeding.Member
Bmaycontacttheagencyseekinginformationregardingthestatusof
theproceedingandurgingpromptconsiderationofthecompany’sclaim.
Example 4. A constituentcompany in MemberC’s district hasbeen
awaitingadecisionforsometimeinaformalagencyproceeding.Member
C has received information on the status of the proceeding from the
agency’scongressionalliaisonofcer.AcalllaterthatdayfromMember
Ctotheheadoftheagency,askingforthesameinformation,couldbe
viewedasanattempttoinuencetheoutcome.Cshouldrefrain.
Judicially Imposed Limits
NootherstatuteorrulerestrainsMembersofCongressfromcommunicating
with agency decision-makers. However, certain federal court opinions discourage
inordinate pressure on ofcials charged by law with responsibility for making
administrativedecisions.Whilesuchpressuremaynotviolateanystandardofconduct
overseenbythisCommittee,Membersshouldbeawarethatacourt’s perception that
aMemberhasoversteppedmayleadittoinvalidatetheverydeterminationthatthe
Memberwasseeking.Judicialreactionvaries,dependingonthedegreeofformality
oftheadministrativeproceeding,thegoalofthecongressionalintervention,andthe
impactthattheinterventionhadontheagency’sdetermination.
15
Id.at21;see alsoS.Rep.94-354,supranote9,at37.
Casework 311
Senator Douglas pointed out with respect to proceedings conducted by
administrativepersonnelthatalegislator“shouldmakeitclearthatthenaldecision
isintheirhands.”
16
Federalcourtshavenulliedadministrativedecisionsongrounds
ofdueprocessandfairnesstowardsallofthepartieswhencongressionalinterference
withongoingadministrativeproceedingsmayhaveundulyinuencedtheoutcome.
Inaseminal case,the courtsetasidea decisionoftheFederal TradeCommission
becauseofaggressivequestioningofagencyofcialsbyaSenatecommitteeregarding
their rationale for deciding an issue still pending before the ofcials in a formal
setting.
17
The court’s concern had nothing to do with undisclosed communications;
thequestioningoccurredduringpublichearings.Nonetheless,the courtheldthat
“common justice to a litigant requires that we invalidate the order entered by a
quasi-judicialtribunalthatwasimportunedbymembersoftheU.S.Senate,however
innocenttheyintendedtheirconducttobe,toarriveattheultimateconclusionwhich
theydidreach.”
18
When congressional action is directed at less formal, non-adjudicatory
administrative proceedings, courts are loathe to interject themselves between the
legislativeandtheexecutivebranches.Asonecourtexplained:
Americans rightly expect their elected representatives to voice their
grievancesandpreferancesconcerningtheadministrationofourlaws.
We believe it entirely proper for Congressional representatives
vigorously to represent the interests of their constituents before
administrative agencies engaged in informal, general policy
rulemaking, so long as individual Congressmen do not frustrate
the intent of Congress as a whole as expressed in statute, nor
undermine applicable rules of procedure. Where Congressmen
keeptheircommentsfocusedonthesubstanceoftheproposedrule...
administrativeagenciesareexpectedtobalanceCongressionalpressure
withthepressuresemanatingfromallothersources.Toholdotherwise
woulddeprivetheagenciesoflegitimatesourcesofinformationandcall
intoquestionthevalidityofnearlyeverycontroversialrulemaking.
19
16
Douglas,supranote1,at90.
17
Pillsbury Co. v. FTC, 354 F.2d 952 (5th Cir. 1966); see also Koniag, Inc. v. Andrus,580
F.2d 601, 610 (D.C. Cir.) (letter from Congressman to Secretary of Interior suggesting regulatory
interpretation arrived at by the Secretary two days later “compromised the appearance of the
Secretary’s impartiality” and warranted setting aside of Secretary’s determination), cert. denied,
439U.S.1052(1978).Cf. ATX Inc. v. Department of Transportation,41F.3d1522(D.C.Cir.1994)
(agencydecisionuphelddespite60letterstoagencyheadfromvariousCongressmen,and“particularly
troubling”testimonyofonecongressmanatquasi-judicialhearing).
18
Id.at963.
19
Sierra Club v. Costle,657F.2d298,409-10(D.C.Cir.1981)(emphasisadded);see also DCP
Farms v. Yeutter,957F.2d1183(5thCir.)(DepartmentofAgricultureactionupheldwhen,priorto
(con’t next page)
312 HOUSEETHICSMANUAL
Thecourtfocusedhereon“theintentofCongress...asexpressedinstatute.”
In another case, a court set aside an administrative determination that appeared
to have been inuenced, at least in part, by “irrelevant or extraneous” political
considerations.
20
There, a subcommittee chairman had stated that funding for
unrelatedaspectsoftheagency’sbudgetwouldbewithhelduntilthedepartment’s
Secretary approved a particular project. The court emphasized that it was not
ndingthattheMemberhadactedimproperly,butitnonethelessremandedthecase,
directingtheSecretaryto“makenewdeterminationsbasedstrictlyonthemeritsand
completelywithoutregardtoanyconsiderationsnotmaderelevantbyCongressin
theapplicablestatutes.”
21
Agencyinvestigationsoccupyamiddlegroundbetweenformaladjudications
and informal rulemaking. An administrative decision in this context neednot be
completely immune from congressional pressure, provided thatthe agency has an
independent basis for its conclusion. Thus, for example, one corporation tried to
resista SecuritiesandExchange Commissionsubpoena ontheground thatit had
resultedfrompoliticalpressureinstigatedbyacorporatecompetitor.Thecourtruled:
“ThattheSECcommencedthese proceedingsasaresultofthe importuningsof[a
Senatorandhisconstituent,thecompetitor],evenwithmaliceontheirpart,isnota
sufcientbasistodenyenforcementofthesubpoena....[Butt]heSECordermust
besupportedbyanindependentagencydetermination,notonedictatedorpressured
byexternalforces.”
22
Courts have historically refused to intervene when Members attempted to
thetimethematterhadreachedadjudicativestage,congressmanadvocatedtotheagencyacertain
interpretationofregulations), reh’g denied, 962F.2d9(5thCir.),cert. denied, 506U.S. 953(1992);
U.S. ex rel. Sequoia Orange Co. v. Sunland Packing House Co.,912F.Supp.1325(E.D.Cal.1995)
(congressionalcontactwiththeDepartmentofAgriculturedidnotconstituteundueinuencewhen
contactsconcernedproper subjectmatter anddid notcontain threatsof adverseaction againstthe
Department), aff’d, 151 F.3d 1139 (9th Cir. 1998), cert. denied, 525 U.S. 1067 (1999); Sokaogon
Chippewa Community v. Babbitt, 929 F. Supp. 1165 (W.D. Wis. 1996) (congressional contacts not
improper in administrative decision-making by Department of the Interior under Indian Gaming
RegulatoryActwhentherewasnoindicationthatDepartmentwasaskedtoconsiderfactorsother
thanthose enumerated underthatAct),reconsidered in part, 961F. Supp. 1276 (W.D.Wis.1997);
Environmental Defense Fund, Inc. v. Blum, 458 F. Supp. 650, 662-63 (D.D.C. 1978) (in informal
rulemaking,congressmen“properlybrought totheagency’s attentiontheconcernsoftheirrespective
constituencies”whichwere“directlyrelevanttotheagency’sproceeding”).
20
D.C. Fed’n of Civic Ass’ns v. Volpe,459F.2d1231,1248(D.C.Cir.1971),cert. denied,405
U.S.1030(1972).
21
Id.at1246,1249.
22
SEC v. Wheeling-Pittsburgh Steel Corp.,648F.2d 118,130(3dCir.1981); see also U.S. v.
American Target Advertising,257F.3d348(4thCir.2001)(PostalServicesubpoena,allegedlyissued
astheresultofpressurebyaU.S.Senator,upheldintheabsenceofashowingofbadfaithonthepart
of the PostalService).
Casework 313
expedite an administrative process rather than urging a particular outcome. In
thewordsofonecourt,“wheretheCongressionalinvolvementisdirectednotatthe
agency’sdecisiononthemeritsbutatacceleratingthedispositionandenforcement
ofthepertinentregulations,ithasbeenheldthatsuchlegislativeconductdoesnot
affectthefairnessoftheagency’sproceedingsanddoesnotwarrantsettingasideits
order.”
23
Congressional Standards
CongresshasadoptedstandardsthatrecognizethelegitimateroleofMembers
in assisting constituents, while protecting both the due process rights of parties
potentiallyaffectedbygovernmentactionsandtheabilityofagencyofcialstoexercise
theirresponsibilities.TheCommitteeonStandardsofOfcialConducthasobserved:
It is clear that under our constitutional form of government there is
a constant tension between the legislative and executive branches
regardingthedesiresoflegislatorsontheonehandandtheactionsof
agencieson theotherincarryingout theirrespective responsibilities.
Theassertionthattheexerciseofundueinuencecanarisebasedupon
alegislator’sexpressionsofinterestjeopardizestheabilityofMembers
effectivelytorepresentpersonsandorganizationshavingconcernwith
theactivitiesofexecutiveagencies.
...Insum,...anding[ofundueinuence]cannotrestonpureinference
orcircumstanceor,forthatmatter,onthetechniqueandpersonalityof
thelegislator,but,instead,mustbebasedonprobativeevidencethata
reprisalorthreattoagencyofcialswasmade.
24
ThisCommittee’slongstandingguidanceoncommunicatingwithexecutiveand
independentagenciesofthefederalgovernmentisexpressedinAdvisory Opinion No.
1.
25
ThisopinionstatesthatitisappropriateforaMembertointroduceanindividual
to an agency, to arrange interviews and meetings for the individual, to provide a
character reference,andto urge prompt and fair consideration ofa matter on the
meritsofthecase.Inquiriesastothestatusofaproceedingorrulingmaybedirected
toanyagencyordepartment.AMembermayurgereconsiderationofadecisionon
thegroundthatitisunsupportedbyfederallaw,regulation,orlegislativeintent.Ifa
23
United States v. Armada Petroleum Corp.,562F.Supp.43,51(S.D.Tex.1982)(citingGulf
Oil Corp. v. Fed. Power Comm’n,563F.2d588,611(3dCir.1977)).
24
HouseComm.onStandardsofOfcialConduct,Statement in the Matter of James C. Wright,
Jr.,101
st
Cong.,1
st
Sess.84(1989).
25
HouseComm.onStandardsofOfcialConduct, Advisory Opinion No. 1,reprintedinthe
appendicestothisManual.
314 HOUSEETHICSMANUAL
Memberhasstrongfeelingsaboutaparticularcase,judgmentonthemeritsofthecase
maybeexpressed,subject,ofcourse,totheprohibitiononex partecommunications
informalagencyproceedings.AMembershouldnotdirectlyorindirectlythreaten
reprisal or promise favoritism or benet to any administrative ofcial. Written
communicationsarepreferredtoensurecompliancewiththeseprinciples.
TheCommitteesetforththefollowingstandardsinAdvisory Opinion No. 1:
rePreSenTaTIonS
This Committee is of the opinion that a Member of the House
of Representatives, eitheron his own initiative or at the requestofa
petitioner,mayproperlycommunicatewithanExecutiveorIndependent
Agencyonanymatterto:
requestinformationorastatusreport;
urgepromptconsideration;
arrangeforinterviewsorappointments;
expressjudgment;
callforreconsideration of anadministrative response whichhe
believesisnotsupportedbyestablishedlaw,federalregulationor
legislativeintent;
performanyotherserviceofasimilarnatureinthisareacompatible
withthecriteriahereinafterexpressedinthisAdvisoryOpinion.
PrInCIPleS To Be oBSerVeD
Theoverallpublicinterest,naturally,isprimarytoanyindividual
matterandshouldbesoconsidered.Therearealsoself-evidentstandards
ofofcialconductwhichMembersshouldupholdwithregardtothese
communications.TheCommitteebelievesthefollowingtobebasic:
1. A Member’s responsibility in this area is to all his
constituentsequallyandshouldbepursuedwithdiligence
irrespectiveofpoliticalorotherconsiderations.
2. Direct or implied suggestion of either favoritism or
reprisal in advance of, or subsequent to, action taken
Casework 315
by the agency contacted is unwarranted abuse of the
representativerole.
3. A Member should make every effort to assure that
representationsmadein his name byany staff employee
conformtohisinstruction.
Whencommunicatingwithanagency,Membersandstaffshouldonlyassert
asfactthatwhichtheyknowtobetrue.Inseekingrelief,aconstituentwillnaturally
statehisorhercaseinthemostfavorableterms.Moreover,theconstituentmaynot
befamiliarwiththeintricaciesofthecontrollingadministrativeregulations.Thus,
aMembershouldexercisecarebeforeadoptingaconstituent’sfactualassertions.A
prudentapproachinanycommunicationwouldbetoattributefactualassertionsto
theconstituent.
InordertoavoidanyinferenceonthepartofagencypersonnelthataMemberis
askingforactioninaparticularmatterthatisinappropriateunderagencyguidelines,
theMembershouldconsiderexpresslyassuringadministratorsthatnoeffortisbeing
madetoexertimproperinuence.Forexample,alettercouldaskfor“fullandfair
considerationconsistentwithapplicablelaw,rules,andregulations.”
The staff of the Committee’s Ofce of Advice and Education is available to
review, on an informal basis, drafts of letters to administrative agencies. Formal
writtenadvisoryopinionsmayalsoberequestedfromtheCommitteeregardingthe
proprietyofparticularcommunications.
Example 5.CompanyZinMemberA’sdistrictfacesbankruptcyduring
thependencyofanunrelatedadministrativeappeal.Amayinformthe
agencyofZ’snancialdifcultiesandaskthatZ’sclaimbeexpeditedif
agencyproceduresallowit.
Example 6.MemberBsitsontheVeterans’AffairsCommittee.B,like
anyotherMember,mayinquireastothestatusofconstituents’pending
appealstotheDepartmentofVeterans’Affairs.Obviously,inmaking
theseinquiries,Bshouldnotsuggestthattheagency’sbudgetwillbe
cutifB’sconstituentsdonotreceivefavorabledeterminations.
Example 7. A constituent asks Member C for help with a pending
administrativeclaim.IftheMembercannotsubstantiatethatthefacts
presented by the constituent are correct and complete, the Member
shouldstateinanycommunicationstotheagencythattheinformation
is“accordingtomyconstituent.”
316 HOUSEETHICSMANUAL
Example 8. A constituent business asks MemberD forhelp getting
relieffromagencyregulations.MemberDservedonthecommitteethat
draftedthelegislationunderwhichtheregulationswerepromulgated.
MemberDmaytellagencyofcialsofherviewthatthewayinwhich
thelegislationisbeingimplementedisinconsistentwiththelegislative
languageorintent.
Assisting Supporters
BecauseaMember’sobligationsaretoallconstituentsequally,considerations
such as political support, party afliation, or campaign contributions should not
affecteitherthedecisionofaMembertoprovideassistanceorthequalityofhelpthat
isgiven.WhileaMembershouldnotdiscriminateinfavorofpoliticalsupporters,
neitherneedheorshediscriminateagainstthem.AsthisCommitteehasstated:
Thefactthataconstituentisacampaigndonordoesnotmean
thataMemberisprecludedfromprovidinganyofcialassistance.As
longasthereisnoquid pro quo,aMemberisfreetoassistallpersons
equally.
26
An individual’s status as a donor may, however, raise an appearance of
impropriety. The Senate Select Committee on Ethics has expressed the issue as
follows:
Thecardinal principlegoverning Senators’conduct inthis area
is that a Senator and a Senator’s ofce should make decisions about
whethertointervenewiththeexecutivebranchorindependentagencies
onbehalfofanindividualwithoutregardtowhethertheindividualhas
contributed, or promised to contribute, to the Senator’s campaigns or
other causes in which he or she has a nancial, political or personal
interest....
BecauseSenatorsoccupyapositionofpublictrust,everySenator
always must endeavor to avoid the appearance that the Senator, the
Senate, or the governmental process may be inuenced by campaign
contributions or other benets provided by those with signicant
legislativeorgovernmentalinterests.Nonetheless,ifanindividualor
organization has contributed to a Senator’s campaigns or causes, but
hasacasewhichtheSenatorreasonablybelievesheorsheisobligedto
pressbecauseitisinthepublicinterestorthecauseofjusticeorequity
todoso,thentheSenator’sobligationistopursuethatcase.Insuch
26
HouseComm.onStandardsofOfcialConduct,Statement Regarding Complaints Against
Representative Newt Gingrich,101
st
Cong.,2dSess.66(1990).
Casework 317
instances,theSenatormustbemindfuloftheappearancethatmaybe
createdandtakespecialcaretotrytopreventharmtothepublic’strust
in theSenator and the Senate. This does not mean, however,that a
Member or employee is required to determine if one is a contributor
beforeprovidingassistance.
27
TheSenateCommitteeconcludedthat“establishednormsofSenatebehavior
donotpermitlinkagebetween...ofcialactionsand...fundraisingactivities.”
28
HouseMembers,too,shouldbeawareoftheappearanceofimproprietythatcouldarise
fromchampioningthecausesofcontributorsandtakecarenottoshowfavoritismto
themoverotherconstituents.
Assisting Non-Constituents
Onoccasion a Member’spublicized involvementin legislation oran issueof
nationalconcernwillgeneratecorrespondencefromindividualsoutsidethedistrict.
AprivatecitizenmaycommunicatewithanyMemberheorshedesires.However,the
Member’sabilitytoprovideassistancetosuchindividualsislimited.
The statute that establishes the Members’ Representational Allowance
providesthatthepurposeoftheallowanceis“tosupporttheconductoftheofcialand
representationaldutiesofaMemberoftheHouseofRepresentativeswith respect to
the district from which the Member is elected.”
29
Thisstatutedoesnotprohibit
aMemberfromeverrespondingtoanon-constituent.Insomeinstances,workingfor
non-constituentsonmattersthataresimilartothosefacingconstituentsmayenable
theMemberbettertoservehisorherdistrict.Othertimes,theMembermayserveon
aHousecommitteethathastheexpertiseandabilitytoprovidetherequestedhelp.
Ofcourse,ifaMemberhaspersonalknowledgeregardingamatteroranindividual,
heorshemayalwayscommunicatethatknowledgetoagencyofcials.Asageneral
matter, however, a Member should not devote ofcial resources to casework for
individualswholiveoutsidethedistrict.WhenaMemberisunabletoassistsucha
person,theMembermayreferthepersontohisorherownRepresentativeorSenator.
Government Procurement and Grants
Constituents frequently request congressional assistance with government
contracts or grants. These matters are subject to the same guidelines as other
casework. Thus, Members may generally forward introductory information to an
27
SenateSelectComm.onEthics,Investigation of Senator Alan Cranston,S.Rep.102-223,
102dCong.,1
st
Sess.11-12(1991).
28
Id.at29.
29
2 U.S.C. § 57b (emphasis added); see also Comm. on House Admin., U.S. House of
Representatives, Members’ Congressional Handbook, Regulations Governing the Members’
RepresentationalAllowance(2001)(hereinafter“Members’ Handbook”).
318 HOUSEETHICSMANUAL
agencyfromaconstituentrmorrequestinformationforaconstituentonavailable
opportunities.Ontheotherhand,anattempttoinuencetheoutcomeofaquasi-
judicialproceedingsuchasaformalcontractdisputeorabidprotestpendingbeforea
boardofcontractappealscouldtriggercomplaintsfromthirdpartiesthatthefairness
andimpartialityofthetribunalhasbeencompromised.
30
Moreover,experiencehas
shownthatcontactslikethesemayberesentedbythedecision-makers.Consequently,
sucheffortsmaydomoreharmthangoodtotheconstituent’scause.
Inassistingaprivateenterprise,aMembershouldbemindfulthatcongressional
allowances, including those for staff, are available only for conducting ofcial
business.
31
Assistanceshouldnotextendsofarthatthecongressionalofceisactually
doingtheworkoftheprivatebusiness,ratherthanoftheCongress.Again,Members
andemployeesshouldtakecarenottodiscriminateunfairlyamongconstituents,e.g.,
onpoliticalgrounds.
Example 9.MemberAmaycontactagencyofcialsandrequestthat
theymeetwithaconstituentseekingagrant.EmployeeBonMember
A’s congressional staff may accompany the constituent, but B should
makeclearthatheisnotthereastheconstituent’sagent.Careshould
alsobetakentoavoidanyinferenceofathreattoagencyofcials.
Example 10. Constituent Z requests Member B’s assistance with a
grant.ZisunfamiliarwiththegoverningregulationsandasksBifher
staff,beingexperiencedinsuchmatters,wouldpreparetheapplication
onZ’sbehalf.Itwouldnotbeappropriateforcongressionalstafftobe
doingtheworkofaprivatepartyinthisfashion.
Example 11. MemberC isapproachedby aconstituent businessfor
help in getting a government agency to purchase its product. The
Membermayprovideassistance,butCshouldeither(a)bepersonally
familiarwiththecompany,product,andgovernmentrequirements,or
(b)bewillingtoprovidethesametypeofassistancetoother,similarly
situatedconstituentbusinesses.
Communicating With Courts
Justastheyareaskedtointervenewithagencyofcialsresponsibleformaking
on-the-recorddecisions,Membersmayalsobeaskedtocommunicatewithjudgesin
pendingcourtcases.Mostcourtsaresubjecttolimitsonex partecommunications
whichareatleastasrestrictiveasthoseapplicabletoexecutiveagencies.Judges,
whetherservingatthefederal,state,ormunicipallevel,arechargedwithperforming
30
See Peter Kiewit Sons’ Co. v. U.S. Army Corps of Engineers,714F.2d163(D.C.Cir.1983).
31
31U.S.C.§1301(a);see also Members’ Handbook,supranote29.
Casework 319
theirdutiesinanimpartialmanner.Theyareguidedintheiractionsbystandards
suchasthefollowing:
A judge shall accord to every person who has a legal interest in a
proceeding,orthatperson’slawyer,therighttobeheardaccordingtolaw.
Ajudgeshallnotinitiate,permit,orconsiderex partecommunications,
orconsiderothercommunicationsmadetothejudgeoutsidethepresence
ofthepartiesconcerningapendingorimpendingproceeding....
32
When aMember believes it necessary toattempt to affect the outcomein a
pending case, the Member has a variety of options. A Member who has relevant
informationcouldprovideittoaparty’scounsel,whocouldthenleitwiththecourt
andnotifyallparties.Alternatively,theMembercouldseektoleanamicus curiae,
orfriendofthecourt,brief.Yetanotheroption,inanappropriatecase,mightbeto
seektointerveneasaformalpartytotheproceeding.AMembercouldalsomakea
speechontheHouseoororplaceastatementintheCongressional Record as to the
legislativeintentbehindthelaw.AMembershouldrefrain,however,frommaking
anoff-the-recordcommunicationtothepresidingjudge,asitcouldcausethejudgeto
recusefromfurtherconsiderationofthecase.
WhenaMemberdoeshavepersonalknowledgeaboutamatterorapartytoa
proceeding,theMembermayconveythatinformationtothecourtthroughregular
channels in the proceeding (e.g., by submitting answers to interrogatories, being
deposed,ortestifyingincourt).Membersandemployeesshouldalsobeawarethat
special procedures are to be followed whenever they receive a subpoena seeking
informationrelatingtoofcialcongressionalbusiness.
33
TheHouseOfceofGeneral
Counselshouldbeconsultedforfurtherguidance.
Contacting Other Governments
Besides intervening with federal agencies and personnel, Members may
alsobe asked toassist constituentsintheir dealingswith state, local,and foreign
governments.Membersmaydoso.Theircommunicationsshouldadheretothesame
generalprinciplesdescribedabovethatguidetheircontactswithfederalagencies.
34
32
ABAModelCodeofJudicialConductCanon3B(7)(2000).
33
See HouseRule8.
34
Aneighteenthcenturylaw,theLoganAct(18U.S.C.§953),restrictsprivatecorrespondence
withforeigngovernments.Thisstatute,whichappearstohavebeenareactiontotheattemptsofone
citizentoengageinprivatediplomacy,hasneverbeenthebasisofaprosecution,andthisCommittee
haspubliclyquestioneditsconstitutionality.HouseComm.onStandardsofOfcialConduct,Manual
of Offenses and Procedures, Korean Inuence Investigation,95
th
Cong.,1
st
Sess.18-19(Comm.Print
1977).Membersshouldbeaware,however,thatthelawremainsonthebooks.
320 HOUSEETHICSMANUAL
Example 12. Constituent Z has a claim pending before the state
Workers’CompensationBoard.IfMemberAwoulddothesameforany
similarlysituatedconstituent,Amaywritetothestateboardinquiring
as to the status of Z’s claim and asking for expedited review if such
wouldbeconsistentwiththeboard’sgoverninglawandregulations.A
maynotimplythatthestatewillreceiveincreasedfederalaidinreturn
foradispositionfavorabletoZ.
Example 13.GeneralWidget,Inc.,anoldandrespectedmanufacturer
inMemberB’sdistrict,wouldliketotakeadvantageoftheopeningof
potentialEasternEuropeanmarketsforitsproducts.GWasksBfora
letterofintroductiontoacertainforeignMinisterofFinance.Bwrites:
DearMinister:
General Widget, Inc. has been doing business in my
congressional district for 70 years. Now it seeks the
opportunitytodobusinessinyourcountryaswell.GW’s
executiveswouldbehappytodescribetoyouitswiderange
ofproducts.Iwouldappreciateanyconsiderationyoucould
showtoGWanditsrepresentatives.
Sincerely,
B
MemberofCongress
B’sletterisappropriate.IfBwritesthisletteronGW’sbehalf,Bshould
bewillingtowritesuchaletterforanysimilarlysituatedconstituent
company.
Intervening With Nongovernmental Parties
Members are often asked to assist constituents in their dealings with
governmentagencies.Insomecircumstances,however,theMembermaybeaskedto
assistoneprivatepartyindealingswithanotherprivateindividualororganization.
Forexample,aconstituentcompanyseekingsubcontractsmayaskaMemberfora
letterofintroductiontoanothercompanywhichhasbeenawardedfederalfunds.As
anotherexample,twobusinessesmayaskaMembertoactasamediatorinaprivate
dispute.
Although a Member may take actions that the Member believes will assist
the congressional district, intervening in private matters requires the exercise of
particularcaution.Unlikeagencypersonnel,manyprivatebusinessesarenotused
todealingwithMembersofCongressonaregularbasis.Thus,acommunicationfrom
Casework 321
aMember’sofcemaybeviewedasanofcialendorsementofaprivateenterprise,
oraspressuretotakeactioninordertopleasetheMember,ratherthanbasedon
themerits.Inthiscontext,again,Membersandemployeesshouldbearinmindthat
ofcialresourcesshouldnotbedevotedtodoingtheworkofprivatebusinesses.
35
Condentiality of Records
The “Privacy Act” protects the records maintained by government agencies
fromdisclosure,exceptforspeciedpurposesorwiththepermissionofthepersonto
whomtherecordpertains.
36
Althoughthestatutedoespermitdisclosure“toeither
HouseofCongress,”
37
someagenciesrequireMemberstoshowwrittenconsentfrom
theirconstituentsbeforetheywillreleasetheconstituents’recordstotheMembers.
ThePrivacyActdoesnotapplytocongressionaldocuments.Historically,however,
communicationsbetweenMembersandconstituentshavebeenconsideredcondential
andshouldgenerallynotbemadepublicwithouttheconstituent’sconsent.
Personal Financial Interests
JustasRepresentativesmayvoteonlegislationthataffectsthemasmembers
ofaclassratherthanasindividuals,Membersandemployeesmaygenerallycontact
federalagenciesonissuesinwhichthey,alongwiththeirconstituents,haveinterests.
38
A constituent need not be denied congressional intercession merely because a
Memberorthestaffassistantassignedtoaparticularissuemaystandtoderivesome
incidentalbenetalongwithothersinthesameclass.Thus,Memberswhohappen
tobefarmersmaynonethelessrepresenttheirconstituentsincommunicatingviews
onfarmpolicytotheDepartmentofAgriculture.OnlywhenMembers’actionswould
servetheirownnarrow,nancialinterestsasdistinctfromthoseoftheirconstituents
shouldtheMembersrefrain.SeeChapter5on“MemberVotingandOtherOfcial
ActivitiesonMattersofPersonalInterest.”
Asalways,Members and employeesmust guide theiractions in this regard
bytheCodeofOfcialConduct,HouseRule23.TheCodeprohibitsMembersand
staff from allowing compensation to accrue to their benet “by virtue of inuence
improperlyexerted”fromapositioninCongress.
39
Moreover,anemployeewholesa
FinancialDisclosureStatementmaynotcontactacourtorexecutivebranchagency
withrespecttonon-legislativemattersaffectinganyentityinwhichtheindividual
35
See31U.S.C.§1301(a);see generally Members’ Handbook,supranote29.
36
5U.S.C.§552a(b).
37
Id.§552a(b)(9).
38
ConictofinterestissuesthatariseinconnectionwithaMember’snancialinterestsand
ofcialactivitiesarediscussedinChapter5ofthisManual.
39
HouseRule23,cl.3;see alsoCodeofEthicsforGovernmentService¶5,H.Con.Res.175,
85
th
Cong.,2dSess.,72Stat.,pt.2,B12(1958),reprintedintheappendices.
322 HOUSEETHICSMANUAL
hasasignicantnancialinterest,unlesstheemployingMembergrantsawritten
waiverandlesitwiththeCommitteeonStandardsofOfcialConduct.
40
Gifts and Compensation for Casework
When assisting constituents, Members and staff should be aware that the
federal criminal code prohibits the receipt of anything of value in return for or
because of ofcial actions.
41
Gifts offered as a thank you for casework assistance
shouldgenerallybedeclined.
Members and employees also may not ask for or receive compensation for
“servicesrendered”inrelationtomattersorproceedingsinwhichtheUnitedStates
isapartyorhasaninterest.
42
Nofundsorthingsofvalue,otherthanone’sofcial
salary, may be accepted for dealing with an administrative agency on behalf of a
constituent.
Cautionshouldalwaysbeexercisedtoavoidtheappearancethatsolicitationsof
campaigncontributionsfromconstituentsareconnectedinanywaywithalegislator’s
ofcialadvocacy.AdiscussionofthisproblemwasofferedbySenatorDouglas:
Itisprobablynotwrongforthecampaignmanagersofalegislator
to request contributions from those for whom the legislator has done
appreciablefavors,butthisshouldneverbepresentedasapaymentfor
theservicesrendered.Moreover,thepossibilityofsuchacontribution
shouldneverbesuggestedbythelegislatororhisstaffatthetimethe
favorisdone.Furthermore,adecentintervaloftimeshouldbeallowed
tolapsesothatneitherpartywillfeelthatthereisacloseconnection
betweenthetwoacts.Finally,nottheslightestpressureshouldbeput
upontherecipientsofthefavorsinregardtothecampaign.Itshould
be clearly understoodthatany gift they make is voluntary and there
willbenoquestionofreprisalsorlackoffuturehelpbythelegislatorif
thegiftiswithheld.Inotherwords,anycontributionshouldbenota
quid pro quobutratherawhollyvoluntaryofferingbaseduponpersonal
friendshipandabeliefintheeffectivenessofthelegislatorsharpened
perhapsbyindividualexperience.
43
If a Member were to ask for political support as a quid pro quo for ofcial
action, the Member could be subject to extortion charges. In overturning the
40
HouseRule23,cl.12.SeeChapter5forfurtherdetailsonstaffconictsofinterest.
41
18U.S.C.§201.SeeChapter2foradiscussionofthebriberyandillegalgratuitieslaws.
42
18U.S.C.§203;see alsoHouseRule25,cl.6.
43
Douglas,supranote1,at89-90.
Casework 323
convictionofastatelegislator,theSupremeCourtobservedthatsolicitingcampaign
contributionsfromconstituentswithlegislativebusinesscouldbeextortion,“butonly
if thepaymentsare made in return for an explicit promiseor undertaking by the
ofcialtoperformornottoperformanofcialact.”
44
TheCourtheldinthatcasethat,
given the realities of nancing campaigns, “[w]hatever ethical considerations and
appearancesmayindicate,”itisgenerallynotafederalcrimeforlegislatorsto“act
forthebenetofconstituentsorsupportlegislationfurtheringtheinterestsofsome
oftheirconstituents,shortlybeforeoraftercampaigncontributionsaresolicitedand
receivedfromthosebeneciaries.”
45
Otherlimitationsmayaffectassistancetoprivateindividuals,evenwhenno
compensationisinvolved.Under HouseRules andfederallaw,employees usually
maynotrepresentindividualsororganizationsbeforethegovernmentotherthanin
theperformanceofofcialduties.
46
AlthoughMembersarenotsubjecttothesame
statutory limitations, representing a private entity before the government outside
ofofcialdutiesmaybeinconsistentwitharepresentative’sobligationstoservethe
publicinterest.
47
Recommendations for Government Employment
MembersoftheHousearefrequentlyaskedtoprovidelettersofrecommendation
onbehalfofpersonsseekingemploymentorappointmenttopositionsinthefederal
government,stateorlocalgovernments,orintheprivatesector.
48
Writinglettersof
recommendation for constituents is consistent with the representational duties of
MembersofCongress.However,whenwritinglettersofrecommendation,Members
shouldadheretotheCodeofEthicsforGovernmentService,whichrequiresMembers
to “never discriminate unfairly by the dispensing of specialfavors or privilegesto
anyone, whether for remuneration or not.”
49
Requests from similarly situated
constituentsshouldthereforebehandledincomparablefashion,withoutregardto
partyafliation,campaignsupport,orothersuchfactors.
ThissectionsummarizesthelawsandrulesgoverningtheabilityofMembers
to provide employment recommendations for positions with federal, state, or local
44
McCormick v. United States,supranote5,500U.S.at273.
45
Id.
46
18U.S.C.§205;HouseRule25,cl.6.SeeChapter5ofthisManualforadiscussionofthese
provisions.
47
See, e.g., CodeofEthicsforGovernmentService¶¶5and7,supranote39.
48
Theprovisionsgoverningwrittenrecommendationsapplyequallytooralrecommendations;
therefore,whena“letterofrecommendation”isused,theguidanceprovidedabovealsoappliestooral
recommendations.
49
CodeofEthicsforGovernmentService¶5,supranote39.
324 HOUSEETHICSMANUAL
governmentsandtheprivatesector,andalsoaddressestheuseofofcialletterhead
andothermiscellaneousissuesrelatedtopreparinglettersofrecommendation.
“Competitive Service” Positions With the Federal Government
Underamendments totheHatch Actthat wereenacted in 1996,
50
Members
maymakerecommendations,eitherorallyorinwriting,onbehalfofapplicantsfor
competitiveservice
51
positions intheexecutive branchof thefederal government.
52
However,asdetailedbelow,therearesignicantlimitationsonthecontentofsuch
recommendations. The statutes governing recommendations for the competitive
serviceapplyequallytoadministrativelawjudgepositions,careerpositionsinthe
Senior Executive Service, and any position in the “excepted service”
53
that is not
condentialorpolicy-relatedinnature.
54
Federal hiring ofcials may consider a recommendation for a competitive
servicepositiononlyifthecontentoftherecommendationcomplieswithestablished
guidelines. Federal hiring ofcials may never consider a recommendation for
a competitive service position that contains direct or indirect references to the
job applicant’s political afliation or membership.
55
The permissible contents of
recommendationsforacompetitiveservicepositiondependonwhethertheMember
haspersonalknowledgeoftheapplicant’sworkabilityorperformance.
IftheMemberdoesnothavepersonalknowledgeoftheapplicant’sworkability
or performance, the letter of recommendation may address only the applicant’s
characterorresidence.
56
Inthatcircumstance,thehiringofcialmaynotconsiderany
portionofarecommendationthatdiscussesthespecicqualicationsofanapplicant
orthatassessestheapplicant’ssuitabilityforemploymentwithaparticularagency
50
Pub.L.104-197,§315,110Stat.2416(1996).
51
Thecompetitiveserviceisdenedat5U.S.C.§2102.Essentially,thecompetitiveservice
includes all civil services positions other than statutorily excepted positions, non-career Senior
ExecutiveServicepositions,andpoliticalpositions.Certainpositions,suchasagencyfellowships,do
notfallwithinthedenitionofthecompetitiveservice,butagenciessometimesrequirecompliance
withthecompetitiveserviceprovisionswhenconsideringrecommendationsforsuchpositions.The
Committeerecommendsconsultingwithindividualagenciesifthereisanyquestionwhetheraposition
fallswithinthecompetitiveserviceorisgovernedbythesameguidelines.
52
Prior to the 1996 amendments, Members could provide only a statement related to the
characterandresidenceoftheapplicantunlesstheagencyrequestedanevaluationoftheapplicant’s
qualications.SeePub.L.103-94,107Stat.1001,1006(1993)(codiedat5U.S.C.§3303).
53
Theexceptedserviceisdenedat5U.S.C.§2103.
54
MemorandumfromJamesB.King,Director,OfceofPersonnelManagement,toHeadsof
ExecutiveDepartmentsandAgencies,at3(Apr.7,1997)(hereafter“OPM Memorandum”).
55
5U.S.C.§3303and5U.S.C.§2302(b)(2).
56
5U.S.C.§3303.Arecommendationunderthisstatutebasedonthecharacterandresidence
oftheapplicantmaybeofferedonlybyaRepresentativeoraSenator.
Casework 325
orforaparticularjob.
57
Example 14. Constituent Z asks Member A to provide a letter of
recommendationtoFederalAgencyinconnectionwithZ’sapplicationfor
acompetitiveserviceposition.Amayprovidealetterofrecommendation
concerningZ’scharacterandresidence.HiringOfcialatFederalAgency
mayconsiderarecommendationsimilartothefollowing:“Ihaveknown
Z,a residentofmy state,formanyyears. Zisaneperson andhas
always been reliable, has shown good judgment and integrity, and is
highlyregardedinthecommunity.”HiringOfcialcouldnotconsider
anyportionoftheletterifitalsoreferredtoZ’spoliticalafliationor
suitability for employment in a particular agency or a particular job
(e.g.,“IwouldlikeyoutoconsiderZforthecurrentlyvacantpositionof
policyanalystinyourofce.”).
If the Member has personal knowledge of the applicant’s work ability or
performance, the federal hiring ofcial may consider a recommendation based on
theMember’spersonalknowledgeorrecordsthatcontainsanevaluationofthejob
applicant’s work performance, ability, aptitude, general qualications, character,
loyalty,orsuitability.
58
Suchpersonalknowledgeofapplicant’sworkcanbetheresult
ofanyworkingassociationoftheMemberandtheapplicant,whetherornotrelated
totheMember’sofcialresponsibilities.
Example 15.AformerstaffmemberaskshisformeremployingMember,
B,toprovidealetterofrecommendationtoFederalAgencyinsupport
of his application for a competitive service position. Member B may
preparealetterofrecommendationbasedontheformeremployee’sprior
workperformance,ability,aptitude,andcharacter.Ahiringofcialat
FederalAgencymayconsidertheletterofrecommendation.
“Political” Positions With the Federal Government
Withrespecttoapplicationsfor“political”positions,suchasScheduleCornon-
careerSeniorExecutiveServicepositions,federalhiringofcialsmayconsiderany
informationaMemberincludesinarecommendation,eveniftherecommendationis
notbasedontheMember’spersonalknowledgeorrecords.Theinformationpermitted
to be considered includes, but is not limited to, statements about character and
residence,evaluations ofwork qualications,statementsabout politicalafliation,
andstatementsaboutthesuitabilityforemploymentwithaparticularagencyora
particularjob.(Thematterofwhethersuchalettermaybesentonofcialletterhead
57
OPM Memorandum,supranote54,at2.
58
5U.S.C.§2302(b)(2).Arecommendationunderthisstatutebasedonpersonalknowledgeor
recordsmaybeofferedbyanyoneandisnotlimitedtoRepresentativesandSenators.
326 HOUSEETHICSMANUAL
isdiscussedbelow.)
Example 16. Employee asks Member C to provide a letter of
recommendation to Federal Agency in connection with employee’s
interestinaScheduleC(i.e.,political)position.MemberCmayprepare
alettertoFederalAgencythatendorsesemployeeforthepositionbased
onvariousfactors,includingpriorworkperformance,ability,aptitude,
character, and political considerations. A hiring ofcial at Federal
Agencymayconsidertheletterofrecommendationinitstotality.
Postal Service
Under federal law, Members of Congress are prohibited from making or
transmitting to the Postal Service “any recommendation or statement, oral or
written” on behalf of a person under consideration for a position with the Postal
Serviceexceptfora“statement”relatingsolelytothecharacterandresidenceofsuch
person;however,ifthePostalServicesorequests,aMembermayprovideastatement
regardingtheapplicant’squalications.
59
Military Services and Academies
Underfederallaw,militaryservicesoracademiesmayconsideranyrelevant
informationaMemberchoosestoprovideinaletterofrecommendation.Withrespect
toletterstomilitarypromotionboards,congressionalofcesshouldconsultwiththe
particularpromotionboardortheconstituentservicemembertoensurecompliance
with applicable regulations. For example, although ofcer promotion boards may
consider letters of recommendation authored by third parties, such letters should
besubmitteddirectlybytheofcerconcerned,andtheycannotbeacceptedfromthe
thirdparty.
60
State Governments and the Private Sector
Unless otherwise prohibited by state law or by corporate policy, a hiring
ofcial may consider any information the Member chooses to provide in a letter
of recommendation for appointments or positions in state and local governments
or the private sector. Members may provide statements about character and
residence,evaluations ofwork qualications,statementsabout politicalafliation,
andstatementsaboutthesuitabilityforemploymentwithaparticularagencyora
particularjob.
59
39U.S.C.§1002(b),(e)(2).
60
Under10U.S.C.§§615and14107,activeandreserveofcerpromotionboardsmayconsider
“informationcommunicatedtotheboardby the ofcer.”(Emphasisadded).See alsoDepartment
ofDefenseInstruction1320.14,CommissionedOfcerPromotionProgramProcedures,September24,
1996.
Casework 327
Example 17.ConstituentZ,whoisapersonalfriendofMemberD,asks
Dfor aletter ofrecommendationconcerningZ’sinterest ina position
with a corporation in Member D’s district. Many private parties are
not used to dealing with Members of Congress on a regular basis.
Accordingly,Membersshouldexercisecautionwhensubmittingaletter
of recommendation to a private company or individual to avoid even
theappearanceofimproperorundueinuenceontheprivateparty.In
thiscase,Dmaybeabletoprovidetherequestedrecommendation,but
sheshouldproceed cautiouslyandshould consultwiththe Standards
Committee.
Letterhead
When writing letters of recommendation, Members must carefully assess
whetherthelettermaybesentonofcialcongressionalstationery.Ofcialstationery,
like other ofcial resources, may be used only for ofcial purposes.
61
Whether a
particular letter of recommendation may be considered ofcial business, and may
thereforebewrittenonofcialletterhead,dependsonwhethertheproposedletter
maybemailedusingthefrankundertheregulationsoftheFrankingCommission.
62
AccordingtoFrankingCommissionregulations,Membersmayusethefrankto
maillettersofrecommendationforthefollowing:
• Anapplicantseekingadmissiontoamilitaryacademy;
• Anapplicantseekingapoliticalappointmenttoafederalorstategovernment
position;or
• Anapplicantwhoisacurrentemployee,wasaformeremployee,orhasworked
with the Member in an ofcial capacity and the letter relates to the duties
performedbytheapplicant.
63
The Franking Commission broadly interprets the authority to write letters
ofrecommendationonbehalfofaperson“whohasworkedwiththeMemberinan
ofcial capacity.” Such persons may include, among others, personsemployed (or
formerly employed) by a federal, state, or local government agency who worked
61
31U.S.C.§1301(a);Members’ Handbook, supra note29.
62
Anyquestionregardingwhetheraparticularlettermaybemailedunderthefrankshouldbe
addressedtotheFrankingCommission,formallyknownastheCommissiononCongressionalMailing
StandardsoftheHouseofRepresentatives.
63
Commission on Congressional Mailing Standards, U.S. House of Representatives,
Regulations on the Use of the Frank by Members of the House of Representatives,at13(June1998).
Membersmayalsosendunderthefrankgenerallettersofintroductionthatarenotendorsementsor
recommendations.Id.
328 HOUSEETHICSMANUAL
withtheMemberortheMember’sstaffonmattersrelatingtotheMember’sofcial
duties,aswellaspersonsworkingintheprivatesector(suchasattorneys,university
professors,orpersonsafliatedwith“thinktanks”)whohaveassistedtheMember’s
ofceonlegislativematters.
If the criteria specied above are met, letters of recommendation may be
preparedonofcialstationeryforpersonsseekingjobsintheprivatesectoraswellas
federal,state,orlocalgovernments;otherwise,theletterofrecommendationmustbe
preparedontheMember’spersonalstationery.
Example 18. A social acquaintance of Member E, who has not
previouslyworkedwithEinanyofcialcapacity,asksEtowritealetter
ofrecommendationtoFederalAgencyinsupportofhisapplicationfora
competitiveserviceposition.Emaypreparealetterofrecommendation
butmustdosoonpersonalstationery.
Example 19.AnExecutiveDirectorof anonprotorganization,who
assistedMemberFwithalegislativeinitiative,asksFtoprovidealetter
ofrecommendationtoacorporationinMemberF’sdistrictinsupportof
ExecutiveDirector’sapplicationforapositionwiththecorporation.F
mayprovidealetterofrecommendationonofcialletterheadandmail
itbymeansofthecongressionalfrank.
Miscellaneous Considerations
In addition to the standards and requirements discussed above, Members
shouldbemindfulofthefollowingrestrictionssetforthinfederalcriminalstatutes:
• Acandidate,includingaMemberofCongress,maynotpromisetoappoint,or
touseinuenceorsupportinappointing,anypersontoanypublicorprivate
positionforthepurposeofprocuringsupportforhisorhercandidacy.
64
• No one may promise any employment, position, compensation, contract,
appointment, or other benet provided for or made possible by any Act of
Congress,toanypersoninreturnforpoliticalactivityorsupportinconnection
withanygeneralorspecialelectiontoanypoliticalofce,orinconnectionwith
anyprimaryelectionorpoliticalconventionorcaucusheldtoselectcandidates
foranypoliticalofce.
65
• Theknowingdenialordeprivation,orthethreatofdenialordeprivation,of
anyfederalorstateemployment,oranyemployment,compensation,orbenet
made possible by an Act of Congress, for the purpose of securing political
64
18U.S.C.§599.
65
18U.S.C.§600.
Casework 329
contributions,services,oranyotherthingofvalue,isprohibited.
66
• Noonemaysolicitorreceiveanymoneyorotherthingofvalueinreturnforthe
promiseofsupportortheuseofinuenceinobtaininganappointivefederal
postonbehalfofanotherperson.
67
Violations of these statutory provisions are criminal offenses and are all
punishablebynes,imprisonmentforuptooneyear,orboth.IfaMemberwillfully
violates the prohibition against promising employment in exchange for political
supportunder18U.S.C.§599,theimprisonmentmaybeforuptotwoyears.
Example 20.ConstituentZwhomadeanancialcontributiontoMember
G’selectioncampaignsendsGaletterrequestingarecommendationin
supportofZ’sapplicationforapoliticalpositionatFederalAgency.In
theletter,ZreferstohiscontributiontoMemberG’scampaign;however,
hedoesnotexpresslyaskGtoprovidethejobrecommendationinreturn
forhispastnancialsupport.TheCommitteecautionsMembersagainst
providingsuchaletterbecause,underthesefacts,theMemberG’sletter
ofrecommendationmightbeconstruedasanimproperquid pro quo.
66
18U.S.C.§601.
67
18U.S.C.§211.
330 HOUSEETHICSMANUAL
331
OFFICIAL ALLOWANCES
Overview
MembersofCongress receiveaMembers’RepresentationalAllowance(“MRA”),
whichis available tosupport theconduct ofofcialand representationalduties to
the district from which they are elected. Statutory authorizations often note that
suchallowancesareforexpensesofan“ofcialpurposes”ora“strictlyofcial”nature.
1
Legalandethicalproblemsarisewhentheseallowancesareusedforotherthanofcial
expenses,suchaswhentheyareconvertedtopersonalorcampaignuse.Thischapter
discussestheofcialexpenseallowanceandthefrankingprivilege.Membersandstaff
seekingguidanceonmattersrelatingtotheMRAorthefrankingprivilegeshouldrst
reviewtheMembers’ Handbook or the Franking Manualbeforeconsultingthischapter.
Members’ Representational Allowance
DuringeachsessionofCongress,eachMemberhasasingleMRAavailableto
supporttheconductofofcialandrepresentationaldutiestothedistrictfromwhich
elected.CommitteeonHouseAdministrationregulationsstatethattheMRAistobe
usedtopay“ordinaryandnecessaryexpensesincurredbytheMemberortheMember’s
employeeswithintheUnitedStates,itsterritories,andpossessionsinsupportofthe
conductoftheMember’sofcialandrepresentationaldutiestothedistrictfromwhich
elected.”
2
TheMRAmayonlybeusedforofcialandrepresentationalexpenses.The
MRA maynotbe used to payforany expenses related to activitiesor events that
areprimarilysocialinnature,personalexpenses,campaignorpoliticalexpenses,or
Housecommitteeexpenses.
3
Membersmaybepersonallyliableformisspentfundsor
expendituresexceedingtheMRA.
4
TherulesgoverningtheMRAincludethefollowingrestrictions:
• TheMRAmaybeusedonlyforofcialexpenses;
• TheMRAmaynotbeconvertedtopersonalorcampaignuseorappliedtoward
anyunofcialactivity;
• Asageneralmatter,onlytheMRAandMembers’personalfundsmaybeused
todefrayofcialexpenses;
• House Rule 24, which sets forth the prohibition on unofcial ofce accounts,
1
See, e.g.,2U.S.C§§42c,43b,46g,46g-1,56,122a.
2
Comm. on House Admin., Members’ Congressional Handbook (hereinafter “Members’
Handbook”).
3
Id.:Members’RepresentationalAccount,General.
4
Id.
332 HOUSEETHICSMANUAL
barstheuseofprivatefundsorin-kindsupportfromoutsidesourcesforofcial
activities;
• InadditiontopossiblyviolatingHouserules,themisuseoftheMRAmayalso
subjectaMemberoremployeetocriminalprosecutionandactionstorecover
themisspentfunds;and
• TheCommitteeonHouseAdministrationgovernscertications,documentation,
and other standards for reimbursement from the MRA; that Committee’s
regulationsaresetforthintheMembers’ Handbook.
Example 1.MemberA’swifeisatravelagent.Amaynotmakeofcial
travel arrangementsthroughhis wife’s agency because she, and thus
A,wouldthenbebenetingmonetarilyfromtheexpenditureofofcial
funds.
Example 2.MemberB’sdistrictmanagerispartownerofabuilding
inthedistrict.Bmaynot rentspaceintheemployee’sbuildingforthe
congressionaldistrictofce.
Example 3. Member C isveryinterested in thematter of childhood
literacyand wouldliketo havehercongressional staff,duringofcial
hours, work with a local literacy group in enlisting volunteer tutors,
locating children who need help, and making arrangements for the
volunteers to work with these children. It is not permissible for the
ofcetoundertakesuchaprojectbecausecongressionalstaffmaynot
engageinsuchacharitableundertakingwhileonofcialcongressional
timeandusinganyofcialHouseresources.
In the 100
th
Congress, the Committee on Standards of Ofcial Conduct
investigatedchargesthataMemberhadallowedhisformerlawrmtouseofcial
resources.
5
TheStandardsCommitteefoundthatoveranine-yearperiod,therm
hadbeenpermittedaccesstogovernmentphotocopyservices,furniture,supplies,long
distancetelephonelines,andareceptionist’sservices.Forthisandotherviolations,
theHousereprimandedtheMember.
A Member is responsible for assuring that resources provided for support
of ofcial duties are applied to the proper purposes.
6
In the 101
st
Congress, the
StandardsCommitteedeterminedthataMemberwas“remissinhisoversightand
administrationofhiscongressionalofce”regardingamailingsentoutbystaffover
5
HouseComm. on Standardsof Ofcial Conduct,In the Matter of Representative Austin J.
Murphy,H.Rep.100-485,100
th
Cong.,1
st
Sess.4(1987).
6
Id.
Ofcial Allowances 333
his signature on his ofcial letterhead.
7
The mailing did not comport with House
Rule23,clause11,inthatitpromotedacruisesponsoredbyaprivateorganization
andrequestedthatfollow-upcontactsgototheMember’scongressionalofce.
The Members’ Handbookprovidesexamplesofitemsforwhichreimbursement
with the ofcial allowances may be permitted, as well as a list of prohibited
expenditures. Included among the permissible uses are expenditures for certain
travel,ofceequipmentleases,districtofceleases,stationery,telecommunications,
printingand product services,costs ofaudio and videorecordings producedin the
HouseRecordingstudio,postage,computerservices,andotherexpensesrelatedto
aMember’sofcialbusiness.Includedamongimpermissibleusesareexpenditures
forgreetingcards,socialeventsoractivities,consultants,vendorsecuritydeposits,
duesandmembershipfees,educationalexpensestoobtainanylevelofeducational
degree,expensesassociatedwithacquiringormaintainingprofessionalcertication
orlicensing,andemploymentrelocationexpenses.
Anything supported with ofcial funds is an ofcial resource, including
congressional ofces. The House Ofce Building Commission, comprised of the
Speaker, the Majority Leader, and the Minority Leader, has issued regulations
governingtheuseofHousefacilities.
8
These regulationsgenerallybansolicitation
and commercial activity, limit photography, restrict use of meeting rooms to
congressionallyrelatedpurposes,andimposevarioushealthand safetyrestraints.
Inaddition,asistrueofallofcialresources,congressionalofcesmaynotbeused
fortheconductofcampaignorpoliticalactivities.
Example 4.MemberDisplanningtolmacampaigncommercial.D
maynot lminhercongressionalofcebecausethatwouldbeusingan
ofcialresourceforacampaignpurpose.Shemaylmhercommercial
outsidetheCapitolintheareasdesignatedbytheSergeant-at-Armsas
partofthepublicspace.
Otherentitiesmayhavejurisdictionovertheuseofparticularofcialresources.
The JointCommitteeonPrinting,forexample,publishesGovernment Printing and
Binding Regulationspertainingtogovernmentdocuments.Theseregulationscaution:
NoGovernmentpublication...shallcontain...materialwhichimplies
in any manner that the Government endorses or favors any specic
commercialproduct,commodity,orservice.
7
HouseComm.onStandardsofOfcialConduct,Statement Regarding Complaints Against
Representative Newt Gingrich,101
st
Cong.,2dSess.60(1990).
8
HouseOfceBuildingComm’n,Rules and Regulations Governing the House Ofce Buildings,
House Garages and the Capitol Power Plant(February1999)(availablefromtheSpeaker’sOfce).
334 HOUSEETHICSMANUAL
TheJointCommitteeonPrintinghasadvisedthatcommercialadvertisingis
not a proper or authorized function of the government. Such advertisements are
unfairtothosewhodonotsoadvertiseinthat,whetherintentionallyornot,theyare
frequentlymadetoappeartohavethesanctionofthegovernment.Furthermore,the
publicationofsuchadvertisementsisunjusttothepublicinthattheadvertisersprot
therebyattheexpenseofthegovernment,particularlyasaconsiderablenumberof
thepublicationsarecirculatedfree,atleastinpart,undergovernmentfrank.
Members should also bear these regulations in mind in the context of the
commonpracticeofinsertinganExtensionofRemarksintheCongressional Record,
notingtheaccomplishmentsofa districtbusiness.While itisusuallyappropriate
publicly to congratulate a local business for achieving an award or celebrating a
signicantanniversary,Membersshouldrefrainfromovertlycommercialpromotions.
SeeChapter10onofcialandoutsideorganizationsforfurtherinformation.
Unofcial Ofce Accounts
House Rule 24 prohibits “unofcial ofce accounts.” Accordingly, outside
privatedonations,funds,orin-kindgoodsorservicesmaynotbeusedtosupportthe
activitiesof,orpaytheexpensesof,acongressionalofce.Onlyappropriatedfunds
orMembers’personalfundsmaybeusedforthispurpose.
9
HouseRule24hasbeen
ineffectsince1977.CongresscodiedthisruleintolawgoverningbothChambers
aspartoftheLegislativeBranchAppropriationsAct,1991.
10
Underfederallawand
House rules, however, funds froma Member’s principal campaign committee may
beusedtopayforcertaincongressionalofceexpenses.SeeChapter4oncampaign
activityforfurtherinformation.
The House Commission on Administrative Review (95
th
Congress) proposed
HouseRule24asa“wall”betweenprivatefundsandofcialallowances.TheHouse
adoptedmostoftheCommission’srecommendationsonMarch2,1977,asrevisions
totheHouseRulesofConduct.
11
TheCommissionexplainedtherequirementthat
ofcialexpensesofaMemberbepaidexclusivelyfromofcial,appropriatedfundsas
follows:
TheCommission stronglybelieves thatprivate fundsshouldbe
used only for politically related purposes. Ofcial allowances should
reect the necessary cost of ofcial expenses. Increasing ofcial
allowances...toeliminaterelianceonprivatesourcesrepresentsasmall
9
See also 31 U.S.C. § 1342 (prohibiting acceptance of voluntary services without specic
authorization(augmentationofappropriations)).
10
See 2U.S.C.§59e(d).
11
H.Res.287,95
th
Cong.,1
st
Sess.(1977).
Ofcial Allowances 335
costtothepublicforthebenetstobederived.Tosuggestotherwise
wouldbe toaccept orcondonethe continuationof thepresent system
which,attheveryleast,allowsfortheappearanceofimpropriety,and,
at worst, creates a climate for potential “inuence peddling” through
privatenancingoftheofcialexpensesofMembersofCongress.
12
Several rules in addition to House Rule 24 implement the Commission’s
recommendation that private nancing of ofcial expenses be eliminated. House
Rule23,clause7,requiresthataMembertreatallproceedsfromtestimonialdinners
orotherfund-raisingeventsascampaigncontributions.
13
HouseRule23,clause6(c),
providesthatcampaignfundsmaybeusedonlyfor“bonadecampaignorpolitical
purposes.”Asageneralmatter,theseprovisionsmandatethatprivatefundsbeused
onlytosupportprivateorpolitical,andnotofcial,activities.
Nospecicdenitionofbonadecampaignorpoliticalpurposesexistsinthe
rulesorlegislativehistoryoftheprovision.Whatwouldbeanofcial,asopposedto
acampaign,expensedependsontheparticularfactsofthesituation.
14
Duringoor
debateonadoptionoftherule,itwasnoted,forexample,thattraveltoaMember’s
home district might be considered a political expense for which private campaign
fundscouldbeusedifthepurposeofthetripwaspolitical.
15
Similarly,theexpense
oftakingcertainindividualstodinner,ifitisdeterminedtobeapoliticalmeeting
ratherthanonerelatingtoofcialduties,couldbepaidfromcampaignaccounts.
16
Members often have discretion in determining whether an event will be
“political”or“ofcial,”withthefollowingcaveat:“[The]committeeisoftheopinion
thatoncetheMembermakeshisdetermination,heisboundbyit.Asingleevent
cannot,forthepurposeoftheHouserules,betreatedasbothpoliticalandofcial.”
17
Therefore,inAdvisory Opinion No. 6theStandardsCommitteepermittedaMember
todesignateatownmeetinginareasnewlyaddedtohisdistrictaseitherapolitical
(campaign)eventorofcial(representational)one.But,bysendingannouncements
of the meeting under the frank (which can be used only in the conduct of ofcial
12
HouseComm.onAdmin.Review,Financial Ethics,H.Doc.95-73,95
th
Cong.,1
st
Sess.18
(1977).
13
Membersoftenassistcharitiesintheirfundraisingefforts.Thisruledoesnot,ofcourse,mean
thatfundsthataMemberhelpstoraiseforcharityaredeemedcampaigncontributions.Solicitations
forcharityarediscussedinChapter10onofcialandoutsideorganizations.
14
See123Cong. Rec.5900(Mar.2,1977)(StatementofRep.Frenzel).
15
Id.
16
Id.at5908(colloquybetweenReps.EvansandBauman).
17
HouseComm.onStandards of Ofcial Conduct, Advisory Opinion No. 6 (Sept. 14, 1982)
(emphasisinoriginal),reprinted in128Cong. Rec.H7294(Sept.21,1982)andintheappendicesto
thisManual.
336 HOUSEETHICSMANUAL
business),theMemberdenedtheeventasofcialand,thus,couldnotusecampaign
orotherprivatefundstoconduct,promote,oradvertiseitwithoutviolatingHouse
Rule 24 or House Rule 23, clause 6(c).
18
See Chapter 10 on ofcial and outside
organizationsfortherulesonhostingconferencesandtownhallmeetings.
Thelegislativehistoryofthe unofcialofceaccountruleindicatesthat the
prohibitionappliestoaccountsmaintainedbythirdpartiesforaMember’sbenet,
eveniftheyarenotmaintainedfortheMember’sdirectuse.Theprohibitionextends
toany“processwherebyfundsarereceivedorexpended”regardlessofwhetheran
actualaccountor repositoryismaintained.
19
In aninterpretationof theunofcial
ofceaccountprohibition,theHouseSelectCommitteeonEthicsofthe95
th
Congress
found the private, in-kind contribution of goods or services for ofcial purposes to
bebannedunderHouseRule24.
20
TheSelectCommitteefound,however,thatthe
followingwouldnot violateHouseRule24:
• Servicesprovidedbyunitsoffederal,state,orlocalgovernment;
• Theoccasionaluseofprivatelyownedspacetomeetwithconstituents,when
nopublicaccommodationsarereasonablyavailable;and
• Intern or volunteer programs in a Member’s ofce that are primarily of
educational benet to the intern, as opposed to primarily beneting the
Member or ofce, and that do not give undue advantage to special interest
groups.However,Membersandtheirstaffsmaynotpersonallyraise,receive,
ordisburseanyprivatecontributionsforinternprogramsassociatedwiththeir
ofce.
21
NotethatwhileMembersmayaccepttheservicesofotherunitsofgovernment
forofcialeventswithoutviolatingHouseRule24,theymaynotconverselyuseofcial
congressionalresourcestodotheworkofotherentities,even other public entities.
Members and staffers are sometimes offered scholarships to participate in
study programs that will assist them in the performance of their ofcial duties.
TheStandardsCommitteehasdeterminedthatacceptingtuition,room,andboard
expensestoattendsuchaprogramdoesnot violateHouseRule24,providedthatthe
followingcriteriaaremet:
18
Id.
19
123Cong. Rec.5941(colloquybetweenReps.PanettaandObey).
20
HouseSelectComm.onEthics,Advisory Opinion No. 6(May9,1977),reprinted in Final
Report of the Select Committee on Ethics,H.Rep.95-1837,95
th
Cong.,2dSess.app.at64-66(1979)
(hereinafter“Final Report”),andintheappendicestothisManual.
21
InternprogramsarediscussedinChapter7onstaffrightsandduties.
Ofcial Allowances 337
• The scholarship payments must be made from a sponsoring accredited
educationalinstitutionofhigherlearning;
• Theprogrammustbeprimarilyofeducationalbenettotheparticipants;
• Scholarshipassistancemaynotbelimitedtocongressionalparticipants,but
mustbeavailabletoother,similarlysituatedindividuals;
• TheHouseemployee’sparticipationmaynotinanywaygiveundueadvantage
tospecialinterestgroupsorotherswithadirectinterestinlegislation;and
• Members and employees may not personally raise, receive, or disburse
contributionstosupporttheprogram.
The Final ReportoftheSelectCommitteealsonotesthatHouseRule24“is
notintendedinanywaytorestricttheMember’suseofhispersonalfunds.”
22
This
principlewasreiteratedinthestatutorycodicationofHouseRule24.
23
Thus,for
example,Membersmayestablishpettycashfundsoutoftheirpersonalfundstopay
formiscellaneousofceexpenses.
24
Example 5. Member E would like to decorate his House ofce in a
modernstyleoffurniturenotavailablefromOfceFurnishings.Emay
not accept the offerofa furniture store to supply his ofce withfree
furniture. E may purchase the furniture of his choice with his own
money.
Example 6.ThelocalcabletelevisioncompanyinMemberF’sdistrict
offersherfreecableserviceinherofcesothatherdistrictstaffmay
monitoreventsontheHouseoor.Fmaynot accepttheoffer.
Ofcial Travel
OfcialtravelisnotsubjecttothetimelimitsimposedbytheHousegiftrule
(HouseRule25,clause5).
25
Toreceivereimbursement, however,aHousetraveler
mustfollow theusually traveledroutes.Atraveler whochooses anindirect route
orstopsalongthewayfornonofcialpurposeswillbepersonallyresponsibleforany
addedexpense.
26
22
Final Report,supranote20,at25.
23
See2U.S.C.§59e(i).
24
Final Report,supranote20,at25.
25
Thematterofprivately-sponsored,ofcially-connectedtravelisdiscussedinChapter3.
26
Members’ Handbook,Travel:CombinedTravel.
338 HOUSEETHICSMANUAL
TheCommitteeonHouseAdministration’sregulationsencouragetheofcial
use of travelawards acquiredwhile onofcialbusiness.The Members’ Handbook
states:
Freetravel,mileage,discounts,upgrades,coupons,etc.,awardedatthe
solediscretionofacompanyasapromotionalawardmaybeusedatthe
discretionofthe Memberorthe Member’semployee.The [Committee
on House Administration] encourages the ofcial use of these travel
promotionalawardswhereverpracticable.
The EthicsReformActof1989clariedonepointregardingtheuseofofcial
andcampaignvehicles.
27
TheBipartisanTaskForcewishedtoapprovetheincidental
useofthesevehiclesfornonofcialornonpoliticalpurposes,respectively,toreect
the reality that a Member may attend numerous events in the course of a single
day,someofwhichmaybeofcialinnaturewhileothersarepolitical.
28
Itwouldbe
impracticalundersuchcircumstancestorequiretheMembertokeepswitchingcars
as the Member travels from one function tothe next. Members should, however,
maintainrecordsofthemileageattributabletoofcial,political,andpersonaltripsto
ensurethatnoaccountissubsidizinganotherandthatanycrossoveruseofavehicle
isindeedincidental.Thus,withrespecttononofcialuseofofcialvehicles,theTask
Force recommended “that such incidental use should be during the course of and
alongtherouteofaday’sofcialitinerary,incidentaltotheday’sofcialbusiness,
de minimisinnature,frequencyandtimeconsumed,andotherwisenot constitute
asignicantactivityorevent.”
29
Duringthe109
th
Congress,theHouseRuleswere
amendedtopermit aMemberto leaseorpurchase amotorvehicle withcampaign
fundsandtousethatvehicleonanunlimitedbasisfortravelforbothcampaignand
ofcialHousepurposes.SeeChapter4oncampaignactivityforfurtherguidance.
Example 7.MemberGhasfourofcialeventstoattendinhisdistrict
oneday.Hewillbetravelingbetweeneventsinthecarleasedforthe
useofhiscongressionaldistrictofceandpaidforoutofofcialexpenses
allowance.Ashedrivesfromthesecondtothethirdevent,hewillpass
bythedrycleaner.Hemaystoptopickuphisdrycleaning,asitwould
beapermissibleincidentalnonofcialuseofthecar.
The Committee on House Administration should be consulted before seeking
27
Pub.L.101-194,§503,802(d)-(e),103Stat.1716,1773(1989)(codiedat31U.S.C.§1344
noteand2U.S.C.§29dnote).
28
HouseBipartisanTaskForceonEthics,Report on H.R. 3660,101
st
Cong.,1
st
Sess.34-36,
60(Comm.Print,Comm.onRules1989),reprinted in135Cong. Rec.H9253,H9263,H9270(dailyed.
Nov.21,1989)(hereinafter“Bipartisan Task Force Report”).
29
Id.at35,135Cong. Rec.H9263.
Ofcial Allowances 339
reimbursement from ofcial allowances for ofcial mileage. The Federal Election
Commissionshouldbeconsultedforguidanceonreimbursementtothecampaignfor
anypersonalmileage.
False Claims and Fraud
Federallawprovidesthatofcialfundsmaybeusedonlyforthepurposesfor
whichtheyareappropriated.
30
Whenfundsareusedotherthanfortheirintended
purposes,themisusedfundsmayberecoveredbythegovernmentforrepaymentto
theUnitedStatesTreasury.
The use of the MRAforotherthanofcialpurposes,includingdoublebilling
and claims for nonexistentexpenses,could subject a Member, ofcer, or employee
tocivilpenaltiesundertheFalseClaimsAct.
31
Anycitizenmayinitiatesuchasuit,
in the name of the United States, by alleging that false, fraudulent, or ctitious
claimshavebeenmade.TheDepartmentofJusticemaythentakeoverthesuit.
32
ThegovernmenthasalsoinitiatedcivilsuitsagainstMemberssubsequenttotheir
criminalprosecutionforthesameorrelatedconduct.Inonesuchsuit,forexample,
thegovernmentcontendedthataformerMemberhadused,andpermittedhisfamily
andfriendstouse,hisofcialtelephonecreditcardtochargepersonalcalls.
33
CommitteeonHouse AdministrationregulationsrequireMembers tocertify
anddocumentallexpensesbeforefundsmaybedisbursedfromtheMRA.
34
The use
ofmoneyreceivedbysubmittingsuchavoucherforotherthanofcialexpensesmay
involveafraudagainstthegovernment,inviolationof18U.S.C.§1001(prohibiting
making any false, ctitious, or fraudulent statements or using false writings,
documents,orentries,concerninganymatterwithinthejurisdictionofanyagency
ordepartmentoftheUnitedStates).TheSupremeCourthasruledthat18U.S.C.
§ 1001 applies to false statements, writings, or other representations made to a
disbursingofceroftheU.S.HouseofRepresentativesinfurtheranceofafraudulent
scheme.
35
Inanothercase, the U.S. Court of Appeals for the DistrictofColumbia
CircuitafrmedaMember’sconvictionoffraudforhavingusedanofcialallowance
“forpurposesotherthanthoseintendedbytheappropriationanddulycertiedbythe
30
31U.S.C.§1301(a).
31
31U.S.C.§3729.Acivilpenaltyof$5,000to$10,000,plus3timestheamountofdamages
thatthegovernmentsustains,maybeimposedforknowingviolations.
32
31U.S.C.§3730.
33
United States v. Eilberg,507F.Supp.267,272-73(E.D.Pa.1980);see also United States v.
Eilberg,536F.Supp.514(E.D.Pa.1982).
34
Members’ Handbook:SeekingReimbursement:Vouchers.
35
United States v. Bramblett,348U.S.503(1955).
340 HOUSEETHICSMANUAL
congressman.”
36
OthercriminalprovisionsoftheUnitedStatesCodeprohibit:
• MakingfalseorctitiousclaimsupontheUnitedStates;
37
• Conspiringtodefraudthegovernmentbyobtainingoraidinginobtainingthe
paymentoffalseclaims;
38
• Knowinglystealingor“convert[ing]to[one’s]useortheuseofanother...any
moneyorthingofvalueoftheUnitedStates.”
39
The Frank
The term “frank” refers to the autograph or facsimile signature of a person
authorized to transmit matter throughthe domestic mails without prepayment of
postage.
40
MembersofCongressandcertainofcersoftheHouseareauthorizedto
send,asfrankedmail,materialrelatingtotheofcialbusiness,duties,andactivities
oftheirofces.
41
Useofthefrankingprivilegeisgovernedbyfederallawat39U.S.C.
§3210et seq.
Commission on Congressional Mailing Standards
(The Franking Commission)
The bipartisan Commission on Congressional Mailing Standards, or the
“FrankingCommission,”wasestablishedunderPublicLaw93-191withathree-fold
mandate:(1)Toissueregulationsgoverningtheproperuseofthefrankingprivilege;
(2)toprovideguidanceinconnectionwithmailings;and(3)toactasaquasi-judicial
bodyforthedispositionofformalcomplaintsagainstMembersofCongresswhohave
allegedlyviolatedfrankinglawsorregulations.TheFrankingCommissionisunder
thejurisdictionoftheCommitteeonHouseAdministration.Regulationsissuedbythe
Commission,setforthintheFranking Manual (or“Red Book”),shouldbeconsulted
forauthoritativeguidance.
TheFrankingCommission
42
providesguidanceandgivesadvisoryopinionson
36
United States v. Diggs,613F.2d988,997(D.C.Cir.1979),cert. denied,446U.S.982(1980).
37
2U.S.C.§287.
38
2U.S.C.§286;see also18U.S.C.§371.
39
18U.S.C.§641.
40
39U.S.C.§3201.
41
39U.S.C.§3210(b)(1).
42
See2U.S.C.§501(a).
Ofcial Allowances 341
thefrankabilityof mailmatter.
43
The FrankingCommissionisauthorized tohear
complaintsofabusesofthefrank,subjecttojudicialreview.
44
The Commission’s regulations are provided in the Franking Manual, which
isavailablefromtheCommitteeonHouseAdministration.TheFranking Manual
shouldbeconsultedbycongressionalemployeesinvolvedinmailingmaterialunderthe
frankingprivilege.Inadditiontoprovidingguidelinesandrequirementsforfranked
mail, the Franking Manual includes examples of permissible and impermissible
itemsormailings.
“Dear Colleague” Letters
House-wide “Dear Colleague” letters may be transmitted by inside mail
withoutfrankorstamp.These“DearColleague”lettersmustbepreparedonofcial
letterhead,signedbytheMember,andrelatedtoofcialbusiness.Theymayinclude
as attachments material prepared by other individuals or organizations, provided
thateachsuchitemtobedistributedisaccompaniedbyaMember-signedcoverletter,
onofcialletterhead,endorsingthematerial.
45
43
2U.S.C.§501(d).
44
2U.S.C.§501(e).
45
Members’ Handbook:InsideMail.
342 HOUSEETHICSMANUAL
343
OFFICIAL AND OUTSIDE ORGANIZATIONS
Overview
Members and employees of the House of Representatives are frequently
presentedwithopportunitiestointeractwithvariousgroupsandorganizations.In
addition,Membersareoftenaskedtolendtheirnamesto outsideundertakingsor
otherwisetoassistinadvancingprivateendeavors.
ThischapterdiscussesthestandardsMembersandemployeesmustobserve
regarding the activities of organizations they establish to support their ofcial
functions. The chapter also addresses restrictions on working cooperatively with
private, or “outside,” entities. A primary consideration in any contemplated
arrangementwithaprivateentityistheneedtodistinguishclearlybetweenofcial
congressionalactionsandoutsideactivitiesinwhichtheMemberengages.
House Rule 24 prohibits the use of outside funds or in-kind support to
supplementcongressionalallowances.Andthereverseisalsotrue:Membersand
employeesoftheHouseareprohibitedfromusingofcialresourcesforanyprivate
purpose.
1
Thedecisionwhethertodeneaneventasofcial(ornot)generallylieswithin
the discretion of the Member. This decision controls who can pay and how both
Membersandoutsideorganizationscanparticipate. IfaMemberdeterminesthat
an activity is ofcial, no private funds or in-kind support except a limited use of
campaignfunds,asdescribedbelow,maybeusedtosupporttheactivityunderHouse
Rule 24. Conversely, if an event is deemed to be other than an ofcial function,
ofcialresourcesmay notbeused.An activitymaynot betreatedas bothofcial
andunofcial.
2
Thus,jointendeavors,whichwouldbesupportedwithacombination
of private resources and ofcial funds, are generally prohibited. This restriction
precludesjointactivitiesevenwithcharitableoreducationalorganizations,although
notwith governmentalentities. Theseconsiderations donot preventthe personal
involvementofMembers invariousfunctions, includingbylending theirnamesto
supportspeciccauses,providednoappearanceofofcialsponsorshipiscreated.
Ofcial Support Organizations
Ofcial support organizations generally take one of two forms, either as a
registered Congressional Member Organization (“CMO”) or a Congressional Staff
Organization(“CSO”).
1
See31U.S.C.§1301(a).
2
SeeHouseComm.onStandardsofOfcialConduct, Advisory Opinion No. 6(Sept.14,1982),
reprintedintheappendices.
344 HOUSEETHICSMANUAL
Congressional Member Organizations
Theterm“CMO”referstoaparticularcategoryofworkinggroup
3
ofMembers
organizedtopursuecommonlegislativeobjectives.Suchentitiesmustregisterwith
theCommitteeonHouseAdministration.InadditiontotheHouserulesapplicable
toallMembers,ofcers,andemployees,CMOsaresubjecttospecicCommitteeon
HouseAdministrationregulations.
4
Restrictions on CMOs ow from the principle that Members should not be
allowedtodocollectively–throughaworkinggroup–whattheRulesoftheHouse
prohibit Members from doing individually. Thus, like any other congressional
organization, a CMO must comply with House Rule 24, which prohibits unofcial
ofceaccounts.Asageneralrule,noprivateresources(exceptthepersonalfundsof
Members),whethermonetaryorin-kind,maybeusedfortheoperationofaCMO.
5
Conversely,anygroupthatissupportedbyprivateresourcesmaynotreceivesupport
fromofcialallowancesandmaynotprovidelegislativeservicestoMembers.Thus,a
CMOmaynotuseofcialresourcestosupporttheoperationsofaprivateorganization.
Likeothercongressionalofces,however,aCMOmaydistributetoMembersreports,
analyses,orresearchmaterialpreparedbyprivateparties,aslongastherealsource
ofthematerialisdisclosed.
6
BecauseCMOsareconsideredextensionsoftheindividualofcesofparticipating
Members,amemberofaCMOmayuseemployeesandofcialresourcesunderthe
controloftheMembertoassisttheCMOincarryingoutitslegislativeobjectives,but
noemployeesmaybeappointedinthenameofaCMO.ACMOmaynotbeassigned
separateofcespace.
7
Congressional Staff Organizations
CSOs exist for the purpose of facilitating interaction among congressional
staff.ACSOmayonlymakeincidentaluseofofcialresourcesinconnectionwith
itsactivities.Furthermore,themembersofaCSOshouldcontacttheCommitteeon
Standardsof Ofcial Conductbefore acceptinganything of monetaryvalue froma
3
A CMO often may be referred to as a “caucus,” “task force,” “delegation,” “coalition,” or
similarterm.Forpurposesofthischapter,theterm“CMO”referstoallMemberorganizationsthat
aresupportedbyofcialresources.
4
See Comm. on House Admin., Members’ Congressional Handbook (hereinafter “Members’
Handbook”). The Committee on House Administration has also issued regulations concerning
expenditures from committee funds. See Comm. on House Admin., Committees’ Congressional
Handbook(hereinafter“Committees’ Handbook”).BothhandbooksareavailableontheCommitteeon
HouseAdministration’swebsite.
5
Members’ Handbook,supranote4.
6
See id.
7
See id.
Ofcial And Outside Organizations 345
privatesource.ACSOmustregisterwiththeCommitteeonHouseAdministration
ineachCongressinordertouseofcialresources.
Informal Member and Staff Organizations
Membersandemployeesmayalsoassociatewithcaucusesandotherinformal
groupsnotregisteredasCMOsorCSOs.InformalMembercaucusesaredistinguishable
fromCMOsinthattheformeraredependentonthesupportofindividualMembersfor
theirexistence,whileCMOsarerecognizedbytheCommitteeonHouseAdministration
andmaybesupporteddirectlybydisbursementsfromofcialallowances(andbythe
Houseitselfintheformofofcespaceandfacilities).HouseRule24appliestoboth
registeredandinformalorganizations,however,becauseeachplaysadirectrolein
assistingindividualMembersintheconductoftheirofcialresponsibilities.Thus,
aninformalcaucusorganizedbyagroupofMemberstoassisttheminofcialmatters
maynotinviteanindividualnotinCongresstobeamemberofthecaucus,normay
anyprivateindividualororganizationcontributefundsorotherresourcestosupport
thecaucus.
StaffmayalsoassociatewithinformalgroupsnotregisteredwiththeCommittee
onHouseAdministration.Whileaninformalstaffgroupmayreceivesomelimited
private assistance notwithstanding House Rule 24, other considerations limit the
amountofsuchassistancethatmaybeaccepted.AsdiscussedinChapter2concerning
gifts,theHousegiftruleprohibitsMembers,ofcers,andemployeesfromaccepting
giftsexceptaspermittedbytherule.Thereceiptofanythingofvaluebyagroupof
employeesprimarilyfortheirownbenet(asopposedtothebenetofthegroupas
awhole)wouldbeagiftsubjecttotherule,althoughitsvaluewouldbeapportioned
amongalltherecipients.Additionally,theCodeofEthicsforGovernmentService
prohibitsfederalofcials,includingHouseMembersandstaff,fromaccepting“benets
whichmightbeconstruedbyreasonablepersonsasinuencingtheperformanceof
ofcialduties.”
8
Housestaffinvolvedwithaninformalgroupshouldexercisecaution
in accepting anything of value from a private source, including by contacting the
Committeeasnecessary.
Private Entities With Shared Goals
The House organizations described above often share goals with outside
entities.SometimesMemberswhohaveformedaCMOareafliatedwithaprivate
foundationorinstitutewithsimilarobjectives.Membersmaycooperatewiththese
private entities,subjectto all the generally applicablerestrictionson involvement
withoutsideentities,asdescribedinthischapter.
8
CodeofEthicsforGovernmentService¶5,H.Con.Res.175,85
th
Cong.,2dSess.,72Stat.,
Part2,B12(1958)(reprintedintheappendices).
346 HOUSEETHICSMANUAL
NooutsideentitymayimplyofcialHousesponsorship.Theletterheadsofa
CMOandanyoutsideorganizationwithrelatedgoalsshouldbesufcientlydistinct
astoavoidanyconfusionofidentities.Nooutsideorganizationmayuseanyofcial
fundsorresources, includingHouseofce space,thefrank, andstafftime. Public
and private funds must be kept absolutely separate. While outside entities may
raiseprivate funds,these fundsmay notbeusedtosupport anyofcial functions.
Ofcialandunofcialorganizationsmaynotco-sponsoreventsorjointlyundertake
anyactivities. As toany event or activitythat is sponsoredbya CMO oroutside
organization,theidentityofthesponsoringentityshouldbemadeclear.NoHouse
resources,includingstafftime,maybeusedtosupportanyeventoractivityofthe
outsideorganization,andtheMembersoftheCMOmaynotacceptanyresourcesof
theoutsideorganization(oranyotherprivateindividualorentity)infurtheranceof
theCMO’seventsoractivities.
Example 1. Several Members organize an informal caucus to assist
theminforeigntradematters.Anacademicwhohaswrittenextensively
on foreign trade issues offers his assistance. While he may address
thegroupandprovidethemwithacopyofareporthehadpreviously
prepared,hemaynotbearegularmemberoftheinformalcaucus.
Example 2. Agroup ofprivateindividualshasformed acoalition to
promoteenvironmentallegislation.MemberAmayjointhecoalition,
butshemaynotpermitthecoalitiontosuggestthatithasanyofcial
standingwithintheHouse,normayshepermitthecoalitiontouseany
congressional resources, including staff time, in connection with the
coalition’swork.
Example 3.Atradeassociationisinterestedinissuesbeingconsidered
byaCMO.Theassociationoffersto“sponsor”theCMObyproviding
staff support and hosting weekly breakfast meetings on the CMO’s
behalf.TheMembersmaynotaccepttheoffer.However,theassociation
mayhostitsownreceptionfortheCMO,providedthattheeventisnot
characterizedasaCMOfunctionandtheinvitationsfortheeventare
issuedbytheassociation,nottheCMO.
Example 4. An informal staff group is planning an open house to
encouragenewemployeestojoin.ThereceptionmaybeheldinHouse
facilities.Asupermarketchainthatdoesnotretainoremployafederal
registeredlobbyistofferstoprovidesodasfortheevent.Theoffermay
be accepted, provided that the acceptance would not give rise to an
appearanceofimproperinuence.
Ofcial And Outside Organizations 347
Member Advisory Groups
Membersmay alsoform advisorygroups toreceive adviceand counselfrom
private individuals and organizations,subject to the following limitations. House
Rule24appliestobothCMOsandMemberadvisorygroupsbecauseeachplaysadirect
roleinassistingindividualMembersintheconductoftheirofcialresponsibilities.
Nevertheless, the giving of advice by informal advisory groups to a Member does
notconstitutethetypeofprivatecontributionoffunds,goods,orin-kindservicesto
thesupportofcongressionaloperationsthatisprohibitedbyHouseRule24,clauses
1and3.
9
Whiletheruleprohibitsprivateactivitiesinsupportoftheoperationsof
aHouseofcethatcouldbedeemedanimpropersubsidyofofcialallowances,the
rulewasnotintendedtointerferewithaMember’sabilitytocommunicatewithand
gaininputfromconstituents,toconsultwithknowledgeablepersons,orgenerallyto
gatheranyinformationthattheMemberdeemsrelevanttotherepresentationalor
legislativerole.Thus,itisentirelyappropriateforaMember(orgroupofMembers)
toconstituteagrouptoadvisethemonanytopic.Suchgroupsdonotregisterwith
theCommitteeonHouseAdministration.
Informinganadvisorygroup,however,aMembershouldexercisecaretoensure
thatthe“wall”betweenpublicandprivateactivitiesandresourcesisnotbreached.
Likevolunteers, membersof advisorygroups,andanyindividuals associatedwith
thosemembers,shouldnotbeassignedworkthatsupplantstheregulardutiesofpaid
congressionalstaff.ItwouldbeaviolationofHouseRule24forMembersorstaffto
assignmembersoftheadvisorypaneltodraftlegislation,congressionalstatements,
orotherlegislativematerials.Inaddition,consistentwiththeHousegiftrule(House
Rule25,clause5),Membersandstaffshouldnotsolicitthepreparationofanysuch
materialsfromthemembersoftheadvisorypanel.Membersandstaff,however,are
freetoacceptfromadvisorypanelmembersanysuchmaterialsthattheyprepareof
theirownvolition,withoutanyprompting.
AlsorelevantaretheregulationsoftheCommitteeonHouseAdministration
applicabletoCMOs.Themainprovisionstatesthat“[n]eitherCMOsnorindividual
Membersmayacceptgoods,funds,orservicesfromprivateorganizationsorindividuals
tosupporttheCMO.MembersmayusepersonalfundstosupporttheCMO.”
10
BecauseanadvisorygroupisnotitselfanofcialHouseentity,andsincethe
individual members of the group are not House employees, neither the advisory
groupitselfnoranyofitsmembersindividuallyareentitledtotheuseofthefrank,
ofcialletterhead,congressionalofceequipment(includingcomputers,telephones,
9
SeeHouseSelectComm.onEthics,Advisory Opinion No. 6(May9,1977),reprintedinthe
appendices.
10
Members’ Handbook,supranote4.
348 HOUSEETHICSMANUAL
andfacsimilemachines),ofcesupplies(includingofcialstationeryandenvelopes),
workstationsincongressionalofcespace,congressionalstafftime,theservicesof
the CongressionalResearchService,oranyotherofcialresources.Membersofthe
advisorygroupmaynotusethecongressionalofceaddressortelephonenumberas
apointofcontact.Underlyingtherequirementforseparationis31U.S.C.§1301(a),
which provides that ofcial House resources may be used only for the purposes
appropriated.OtherstatutoryprovisionsandregulationsoftheCommitteeonHouse
AdministrationfurtheremphasizethatofcialHouseallowancesmaybeusedonly
forofcialHousebusiness.
Inaddition,aMembershouldnotauthorizethemembersoftheadvisorygroup
torepresentthemselvesashavinganyofcialstatusorasactingontheMember’s
behalf. They should not be issued congressional business cards or other forms of
ofcialidentication.Furthermore,membersoftheadvisorygroupmaynotcontact
federalagenciesoranyotherentityonaMember’sbehalf,eveniftheyareseeking
informationthattheybelievewillbehelpfultothemember.Theseindividualsmay
contactagenciesorpersonsontheirownbehalf,however,togathersuchinformation.
Conferences and Town Hall Meetings
Members may participate in conferences and town hall meetings in a
varietyofways.Theymayplanofcialconferencesortownhallmeetingsthatare
arranged,promoted,andputonentirelyoralmostentirelyusingofcialallowances.
11
Alternatively,theymayholdtownhallmeetingsaspoliticalevents,organizedand
funded by their campaigns. No ofcial resources, including the frank and ofcial
stafftime,maybeusedinsupportofsuchpoliticalgatherings.Generally,itisup
to the Member arranging the event to determine whether a particular meeting is
ofcialorpoliticalinnature.
12
WithregardtoMember-sponsoredevents,asageneral
rule no outside assistance may be accepted. Underlying this guidance is House
Rule24,whichaspreviouslydiscussedprohibitstheacceptanceofaprivatesubsidy
for ofcial House business. This provision applies to all ofcial House business,
includingeventssponsored–thatis,organizedandconducted–byanyHouseofce.
FurtherelaborationonHouseRule24isprovidedbelowandinChapter9onofcial
allowances.
WhileMembersmaynot“co-sponsor”orholdjointeventswithprivateentities,
theymaycooperateinprivateeventsby,forexample,speaking,servingashonorary
chairs,andevensigninglettersofinvitationonbehalfofprivategroups,providedthe
identityoftheactualhostismadeclear.TherulesconcerningMemberinvolvement
11
The use of funds from a Member’s principal campaign in support of an ofcial event is
discussedinChapter4.
12
See Advisory Opinion No. 6,supranote2.
Ofcial And Outside Organizations 349
ineventssponsoredbyoutsideorganizationsarediscussedinthenextsection.
Applicability of House Rule 24 to Events Sponsored by a House Ofce
WithregardtoeventssponsoredbyaHouseofce,theeffectofHouseRule24
isgenerallytoprohibitHouseMembersandstafffromaccepting,inconnectionwith
any suchevent,any nancial support, goods, or in-kind serviceshaving monetary
valuefromanyprivateindividualororganization.Accordingly,aneventsponsored
byaHouseofce:
• Maynotincludeamealoranyotherrefreshmentsthatarepaidforbyaprivate
organizationorindividual;
• Maynotbeplannedororganized,inwholeorinpart,byaprivateorganization
orindividual;and
• Maynottakeplaceonprivatepropertyunlessthesponsoringofcepaysfair
valueforitsuse,orunlessoneofthelimitedexceptionsdescribedbelowapplies.
TheruleappliestoHouseofce-sponsoredeventsthattakeplaceinWashington,
D.C., as well as those that take place in a Member’s congressional district or
elsewhere. The intent of the rule is that events sponsored by a House ofce will
bescheduled,organized,andconductedbyHouseMembersandstaff,usingHouse
fundsandresources(withlimitedexceptionsthataredescribedinthissection).Of
course,thefundsandresourcesofMemberofcesandofcommitteesmustbeused
consistentwiththerulessetforthin,respectively,theMembers’ Handbookandthe
Committees’ Handbookissuedby the Committee on HouseAdministration. When
anyquestionarisesastowhetheraproposeduseofMemberorcommitteeallowances
wouldbepermissible,theCommitteeonHouseAdministrationshouldbecontacted
for guidance. There are several additional points Members and staff should bear
in mind regarding House Rule 24 as they consider holding conferences, meetings,
briengs,orotherevents,asfollows.
In-Kind Support From Federal, State, or Local Governmental Entities.
Theruleprohibitsonlythe privatesubsidyofofcialHousebusiness.Accordingly,
asageneralmatter,Membersandstaffmayacceptanykindofin-kindsupportfor
ofce-sponsored events that afederal,state, or local governmental entity offers to
provide.
13
Thisincludessupportfrompubliccollegesanduniversities.
Forexample,ifacommunitycollegeinaMember’sdistrictofferstoprovideuse
ofitsauditoriumfortheMember’stownhallmeetingwithoutcharge,theoffermay
beaccepted.Inaddition,whenaHouseofceissponsoringaneventonaparticular
subject–suchaspayingforcollegecosts,retirementplanning,orpublichealthissues
13
See Advisory Opinion No. 6,supranote9.
350 HOUSEETHICSMANUAL
–governmentagencieswithresponsibilitiesinthatareamayoffertoprovidevarious
kindsofassistance.Suchassistancemayalsobeaccepted.
Appearance of Private Organizations and Individuals as Guests at an
Ofcial Event.Houseofcessometimesplantohavearepresentativeofaprivate
organizationorotherindividualappearandmakeapresentationatanofcialevent.
Forexample, ata townhallmeeting onhome buying,the sponsoringHouse ofce
may wish tohavepresentations from government ofcials whose agencies provide
assistance for home purchasing and representatives of private businesses in that
eld. Such presentationsat an event sponsored bya House ofce, as wellas the
distribution of appropriate informational materials by such private organizations,
do not violate House Rule 24. Indeed, events such as a government procurement
fairsponsoredbyaMember’sofceinherentlyinvolveprivatebusinessessettingup
boothsandprovidinginformationtoparticipants.
However, when a private organization will be making a presentation at an
ofcialevent,itshouldbeclearlyunderstoodthattheorganizationismerelyaguestof
thesponsoringofce,andtheofceretainsfullcontrolovertheprogramfortheevent.
It should also be clearly understood that the purpose of that organization’s
presence is limited to providing information on a congressionally-related
subject.Thus,privatebusinessesthatappearatanofcialeventarenotauthorized
to enter into any commercial transactions or sign up clients while there, and
membership organizations are not authorized to sign up new members or solicit
funds.Any printedmaterialsthataprivate organizationdistributesat anofcial
eventmustcomplywiththesesamelimitations.Inaddition,anyreferencetosuchan
organizationthatismadeinmaterialsthatthecongressionalofceprintstopromote
theevent(suchasamailingoraleaet)mustcomplywiththerulesoftheCommittee
onHouseAdministrationandtheFrankingCommission.
Aprivateorganizationor individualmay incurtravelexpensesinattending
aneventsponsoredbyaHouseofce.Consistentwiththeaboveguidance,thereis
noviolationof House Rule24 if theinvitedorganizations or individualspay their
owntravelexpenses to theevent, or arrange –without any involvement ofHouse
Membersorstaff–forotherstopaytheirtravelexpenses.Inaddition,aMember
mayusecampaignfundstopaysuchtravelexpenses.SeeChapter4oncampaign
activity.
Benets That a Private Organization Routinely Offers Without Charge.
AMemberdoesnotviolateHouseRule24byacceptingfromaprivateorganization,
foranofcialevent,abenetthattheorganizationroutinelyofferswithoutcharge
to similarly situated persons. For example, if a private organization that owns a
meetingroomroutinelymakesthatroomavailablewithoutchargetoanynonprot
orgovernmentalentitythatwantstouseit,aHouseofcedoesnotviolatetherule
Ofcial And Outside Organizations 351
inusingthatroomwithoutcharge.
14
Beforeacceptingabenetunderthisexception,
aHouseofceshould carefullyverify(ifpossible,in writing)thatthepolicyofthe
particularprivateorganizationisindeedroutinelytoofferthatbenetwithoutcharge.
Asanotherexample, Members sometimeswish to sponsora “health fair”or
similar event in their congressional district where they offer, for example, blood
pressure, cholesterol, ordiabetes screening tests. In some communities, hospitals
orother organizationsmay routinelyoffer suchtestswithout chargeat arange of
communityevents.AMembermay,consistentwiththerule,allowsuchanorganization
toprovidesuchfreetestsatahealthfairsponsoredbytheMember’scongressional
ofce.However,thisistheonlycircumstanceinwhichaprivateorganizationmay
provideahealthtestorscreeningatsuchanevent.Ifanorganizationdoesnothave
a clearly established policy of routinely offering free tests at community events –
includingeventssponsoredbypersonsotherthanaMember–thenaMembermay
notaccepttheorganization’soffertoprovidefreetestingattheMember’sevent.
Charging a Registration Fee to Event Participants.AHouseofcemay,
consistentwithHouseRule24,chargearegistrationfeetoattendeesataneventit
issponsoringforthepurposeofdefrayingthecostsoffood,beverages,andprinted
materialsthatareprovidedtotheattendees.
15
These are the onlyexpensesthatmay
becoveredbytheregistrationfee.TheCommittee’sguidanceshouldbesoughtbefore
chargingaregistrationfeetocoverothertypesofexpenses.
Whenanofcewishestodefraythosecostsinthismanner,theregistrationfee
mustbecalculatedtocoverthosecostswithoutgeneratingasurplus,andtheMember
shouldestablishatemporary,non-interest-bearingaccounttoholdthefeescollected.
Ifasurplusisgeneratedinadvertently,theexcessfundsmustbeeitherrefundedon
aproratabasistotheparticipants,ordonatedtocharity.Insteadofestablishingan
account,aMembermaydirecttheparticipantstosendthefeedirectlytotheentity
thatwillbeprovidingthefoodandbeverages,butthefeesshouldnotbecollectedby
anyprivatethirdparty.
IfaMemberholdssuchaneventonaregularbasis,theMembermaymaintain
abankaccountwithjustenoughfundsfromanysurplustocoverbankchargesand
fees. Doing so would avoid the multiple costs that would be incurred in closing
and re-opening accounts. However, maintenance of such an account at more than
14
Thepolicyunderlyingthisprincipleisthat“theoccasionaluseofprivatelyownedmeeting
space where no other appropriate public accommodations are reasonably available for meeting
constituentsdoesnotfallwithintheproscriptionsof[HouseRule24].”Advisory Opinion No. 6,supra
note9.ThispolicyappliesprimarilywhenaMemberwishestohaveaneventforconstituentswholive
inaremoteandlightlypopulatedareaofthecongressionaldistrict.
15
HouseSelectComm.onEthics,Final Report,H.Rep.95-1837,95
th
Cong.,2dSess.,at25
(1979).
352 HOUSEETHICSMANUAL
aminimumlevelwouldbeimpermissible.Thus,anysurplusfromaneventbeyond
thatnecessarytokeeptheaccountopenshouldbepromptlyrefundedordonatedto
charity.
Withtheavailabilityofthesealternativesforthesponsorshipofevents,itis
veryimportantthatMembersdecideearlyintheplanningprocesswhatthenature
oftheeventwillbe,andthattheyandtheirstafffollowtherulesapplicabletothe
chosen alternative. The Standards Committee’s staff is available to consult with
Membersandstafffromthestartoftheirplanningprocessforthepurposeofadvising
onpermissibleactivitiesundertherules.
Involvement With Outside Activities and Entities
In working with outside entities, the distinction between activities that
maybeconsidered ofcial andthose that may notis not alwaysreadily apparent.
Some guidance may be found in regulations issued by the Committee on House
Administration.AHouserule
16
andvariousfederalstatutes
17
givethatcommittee
responsibilityfor determining howofcial funds willbe applied. Pursuant tothis
authority, regulations and accounting procedures for allowances and expenses of
Members,committees,andemployeesoftheHousehavebeenpromulgated.
18
These
regulations identify a wide range of activities and specic expenses that may be
supportedfromofcialallowances,andthusarereimbursable,aswellasexpenses
thatmaynotbereimbursed.Theregulationsspecicallyprecludereimbursementfor
someexpensesthatmightotherwiseappeartosupportofcialandrepresentational
duties(e.g.,certaintraveloutsideofthedistrict,holidaygreetingcards,etc.).
In addition, when debating the prohibition of House Rule 23, clause 6,
against the use of campaign funds for other than bona de campaign purposes,
the Members recognized that adopting a precise denition of what constitutes an
“ofcial”expenditureisdifcult,ifnotimpossible,todo.
19
Theconclusionreachedin
thatdebatewasthattheindividualMembermustdetermineifanactivity,andthe
concomitantexpense,ismoreproperlycharacterizedasofcialorcampaign-related.
In its Final Reporttothe95
th
Congress,theSelectCommitteeonEthicsconcurredin
thisposition.
20
16
HouseRule10,cl.1(j)(1).
17
See, e.g.,2U.S.C.§§57,57a,and72b.
18
See Members’ HandbookandCommittees’ Handbook,supranote4.
19
123Cong. Rec.5900(Mar.2,1977).
20
H.Rep.95-1837,supranote15,at16.
Ofcial And Outside Organizations 353
Events With Outside Entities
Members may not co-sponsor or hold joint events with outside entities, but
theymayparticipateorcooperateinsuchevents.Thisprohibitionderivesfromrules
discussed above that generally prohibit Members from accepting private nancial
orin-kindsupportforofcialactivities,andrequirethatofcialHouseresourcesbe
expended for ofcial business of the House, and not for the business of any other
entity,public or private.
A private entity may wish to involve a Member or group of Members in an
eventthatitishosting.AMembercouldbepubliclyidentiedas“cooperating”inthe
undertaking,andcouldappearattheevent.Membersmaycooperateby,forexample,
speaking,servingashonorarychairs,orsigninglettersofinvitationonbehalfof(and
onthestationeryof)privategroups,providedthattheidentityoftheactualhostis
madeclear.Insuchaninstance,privateresourceswouldnotbeexpendedtosubsidize
legislative services or the Members’ performance of ofcial duties. Moreover, the
Membermaynotuseanycongressionalresourcesfortheevent,includingassigning
employees to assist in organizing the event, using ofcial letterhead or other
expressionsorsymbolsofofcialsponsorship,orusingthefrankorinsidemailfor
sendinginvitations. The separateidentity ofthe sponsorshould bemade clearto
allparticipants,andnoMembershouldtakepersonalcreditforanactivityactually
sponsoredorhostedbyanotherorganizationorindividual.Instead,invitationsand
otherliteratureshouldmakeclearthattheprivatesourceisconductingtheactivity
“incooperationwith”or“inconjunctionwith”theMember.
Example 5.AdvocacygroupZwasactiveinlobbyingforPub.L.007,
whichwassponsoredbyMemberC.Afteritsenactment,Zplanstohost
a conference for its members and other interested parties explaining
theimpactofthenewlaw.BecauseofC’sprominentroleinthelaw’s
passage, Z invites C to be the keynote speaker at the conference and
wishestolistC’snameontheinvitations.Zmay,withC’spermission,
sendoutthefollowinginvitations(onZ’sletterheadandatZ’sexpense):
AdvocacyGroupZ
incooperationwith
RepresentativeC
invitesyoutoaconference
onPublicLaw007
Noofcialresourcesmaybeusedfortheconference.
WhileMembersarenotpermittedtosendanofcial“DearColleague”letterto
invitegueststoaneventbeingsponsoredbyanoutsideentity,asageneralmattera
354 HOUSEETHICSMANUAL
Membermaysenda“DearColleague”lettertofollowuponaninvitationtoanevent
thatwaspreviouslysenttoHouseofcesbythesponsoringorganization,ortoalert
Membersthattheywillbereceivingsuchaninvitation,providedtheeventistaking
placeinacongressionalroomorofce.
Congressional Art Competition
One instance when cooperation with private groups has been explicitly
recognizedistheannualcompetitionamonghighschoolstudentsineachcongressional
districttoselectaworkofarttohangintheCapitol,referredtoastheCongressional
Art Competition.
21
Members may announce their support for the competition in
ofciallettersandnewsreleases,staffmayprovideadministrativeassistance,alocal
artsorganizationorad hoccommitteemayselectthewinner,andacorporationmay
underwritecostssuchasprizesandyingthewinnertoWashington,D.C.Private
involvementwiththeCongressionalArtCompetitioninthismannerisnotviewedas
asubsidyofnormaloperationsofthecongressionalofce.Membersmaynotsolicit
on behalf of the arts competition in their district without Standards Committee
permissionunlesstheorganizationtowhichthedonationwillbedirectedisqualied
under § 170(c) of the InternalRevenue Code. The guidelines concerning Member
solicitationsarediscussedbelow.
Expressions or Symbols of Ofcial Sponsorship
Members of Congress communicate with the public in various capacities.
However, communications of a private (or political) nature, whether sent by a
Memberor byorganizationsoutside theHouse, maynotbe preparedor mailedat
ofcialexpense.Inaddition,suchcommunicationsshouldnotcarryexpressionsor
symbolsthatmightimproperlyindicateofcialsponsorshiporendorsement.
These restrictions are based on a provision of the Code of Ofcial Conduct
(HouseRule23,clause11),whichprovides:
AMember,Delegate,orResidentCommissionermaynotauthorizeor
otherwise allow an individual, group, or organization not under the
direction or control of the House to use the words “Congress of the
United States,” “House of Representatives,” or “Ofcial Business,” or
anycombinationofwordsthereof,onanyletterheadorenvelope.
Theruleisdesignedtopreventprivateorganizationsfromusingfacsimilesof
congressionalstationerytosolicitsupportorcontributions,therebyimplyingthatthe
messageisendorsedbytheCongressorisrelatedtotheofcialbusinessofaMember.
In providing a general interpretation of the rule, this Committee found that “the
21
SeeH.Res.201,102dCong.,1
st
Sess.(1991).
Ofcial And Outside Organizations 355
use of congressional letterhead facsimiles by private organizations is a deliberate
misrepresentationwhichreectsdiscreditupontheHouseofRepresentatives.”
22
The rule encompasses reproduction of an ofcial communication in another
publication,aswellasdirectuseofofcial-appearingdocuments.Evenifthespecic
words mentioned in the rule are not used, authorizing a non-House individual or
group to use letterhead, expressions, or symbols conveying the impression of an
ofcialcommunicationfromtheCongresswouldviolatethespiritofHouserules,
23
as
wellasotherstatutoryprovisions,asdiscussedbelow.
Clause 11 of House Rule 23 is not intended to restrict a Member’s ofcial
communicationsortheabilitytolendone’snameinsupportofaprivategroup.Thus,
a Member’s name and title may appear in the letterhead of an organization with
whichtheMemberholdsanactualorhonoraryposition,providedtheletterheaddoes
notindicateanofcialcommunicationfromtheCongress.
Solicitation of Funds From or on Behalf of Outside Organizations
TheEthicsReformActof1989
24
enactedagovernment-widerestrictionwith
respecttothesolicitationoffundsorotheritemsofvaluebyMembers,ofcers,and
employees.Thisprovision,codiedat5U.S.C.§7353,barsMembers,ofcers,and
employees from asking for or accepting anything of value from anyone who seeks
ofcialactionfromtheHouse,doesbusinesswiththeHouse,orhasintereststhatmay
besubstantiallyaffectedbytheperformanceofofcialduties.Theonlyexceptions
are those expressly permitted by the Standards Committee, as discussed below,
as the supervising ethics ofce for the House. These statutory restrictions cover
thesolicitationof“anythingofvalue,”regardless ofwhethertheofcialpersonally
benetsfromit.
Asageneralmatter,theCommitteepermits(withouttheneedtoseekprior
Committeeapproval)Membersandstafftosolicitonbehalfoforganizationsqualied
under § 170(c) of the Internal Revenue Code – including, for example, § 501(c)(3)
charitableorganizations–subject tocertain restrictions. Solicitationsonbehalf of
non-qualiedentitiesorindividualsaredecidedonacase-by-casebasisthroughthe
submissiontotheStandardsCommitteeofawrittenrequestforpermissiontomake
suchsolicitations.
25
ThegeneralpermissiongrantedbytheCommitteedoesnot extend
22
HouseComm.onStandardsofOfcialConduct,Advisory Opinion No. 5,reprintedinthe
appendices.
23
SeeHouseRule23,cl.2.
24
Pub. L. 101-194, 101
st
Cong., 1
st
Sess. § 303, 103Stat. 1716, 1746-47 (Nov. 30,1989), as
amendedbyPub.L.101-280,101
st
Cong.,2dSess.,104Stat.149(May4,1990).
25
For example, solicitations on behalf of persons who are in need of assistance because of
a catastrophic injury or natural disaster, most tax-exempt organizations that are not § 501(c)(3)
(con’t next page)
356 HOUSEETHICSMANUAL
toactivitiesonbehalfofanorganization,regardlessoftaxstatus,thatwasestablished
oriscontrolledbyMembers(orstaff).InsuchcircumstancestheMembermustseek
and be granted written permissionby theStandards Committee before making any
solicitations on the organization’s behalf. Such permission will only be granted for
organizations that exist for the primary purpose of conducting activities that are
unrelatedtotheindividual’sofcialduties.TheCommitteehasdeterminedthattheonly
exceptionsunderthestatuteareforsolicitationsonbehalfofthecampaignandother
politicalentities.
26
Allpermissiblesolicitationsaresubjecttothefollowingrestrictions:
• Noofcialresourcesmaybeused.SuchofcialresourcesincludeHousestaff
whileworkingonofcialtime,telephones,ofceequipmentandsupplies,and
ofcialmailinglists.
• NoofcialendorsementbytheHouseofRepresentativesmaybeimplied.Thus,
noletterheadorenvelopeusedinasolicitationmaybearthewords“Congressof
theUnitedStates,”“HouseofRepresentatives,”or“OfcialBusiness,”normay
theletterheadorenvelopebeartheSealoftheUnitedStates,theCongress,or
theHouse.
27
ItispermissibleforMemberstoidentifythemselvesasaMember
ofCongress,Congressman,Congresswoman,Representative,orbyusingtheir
leadershiptitle.
• Nodirectpersonalbenetsmayresulttothesolicitingofcial.
• Regulations of the House Ofce Building Commission generally prohibit
soliciting and other nongovernmental activities in facilities of the House of
Representatives.
28
• Nosuggestionmaybemadeeitherthatdonorswillbeassistingtheindividual
in the performance of ofcial duties or that they will receive favorable
considerationfromtheindividualinofcialmatters.
• UnderaprovisionoftheHousegiftrule,registeredlobbyistsoragentsofforeign
principals may not be targeted in any solicitation. Thus, no employee of a
lobbyingrmshouldbetargetedinasolicitation.However,itispermissibleto
solicitacompany,association,orotherentitythatemploysregisteredlobbyists
tolobbyonlyforitselforitsmembers,providedthatthesolicitationisdirected
charitableorganizations,andtheCongressionalArtCompetitionrequireprior,writtenapprovalofthe
StandardsCommittee.
26
See Chapter 4 on campaign activity for a discussion of the laws and rules applicable to
solicitationsonbehalfofaMember’sowncampaign.
27
See HouseRule23,clause11;18U.S.C.§713.
28
HouseOfceBuildingComm’n,Rules and Regulations Governing the House Ofce Buildings,
House Garages and the Capitol Power Plant¶4(February1999)(hereinafter“House Building Comm’n
Regs.”)(availablefromtheSpeaker’sOfce).
Ofcial And Outside Organizations 357
toanofceroremployeewhoisnotalobbyist.
29
Anotherprovisionofthegiftrulesetsoutcertainkindsofgiftsthatareexpressly
prohibitedbytherule,including“[a]nythingprovidedbyaregisteredlobbyistoran
agentofaforeignprincipaltoanentitythatismaintainedorcontrolledbyaMember
....”
30
Example 6. Member A is an honorary, unpaid board member of a
§501(c)(3)charitableorganization.MemberAmaysignafundraising
letterfor thecharity, asa Memberof Congress,on theorganization’s
ownletterhead,inamailingpaidforatprivateexpense,providedthat
registeredlobbyistsorforeignagentsarenottargetedinthemailing.
Support for Commercial Enterprises
MembersandemployeesoftheHousearefrequentlyapproachedbyindividuals
ororganizationsseekingassistanceforbusinessundertakings.Obtaininginformation
for constituents regarding government contracts and services, as well as helping
them deal with government regulations, is an important aspect of a Member’s
representationalduties.Inprovidingsuchservices,careshouldbeexercisednever
to“discriminateunfairlybythedispensingofspecialfavors.”
31
Thus,Membersand
employeesshouldundertakeforoneindividualorbusinessnomorethantheywould
bewillingtodoforotherssimilarlysituated.Membersandstaffshouldalsoavoid
becomingtoocloselyafliatedwithaparticularenterprise,topreventanyappearance
thattheyareaccruingbenets“byvirtueofinuenceimproperlyexertedfrom[their]
positioninCongress.”
32
TheseandotherrelatedissuesareaddressedinChapter8on
casework.Severalmainpointsarediscussedbelow.
TheprohibitionagainstuseofHouseresourcestosupportunofcialundertakings
clearly applies to support of business endeavors. Thus, an outside entity should
neverbepermittedtousecongressionalstationerytopromoteacommercialorother
unofcialendeavor. When respondingto requests forsupport,Members and staff
29
Theprovisionofthegiftrulenotedabove,clause5(e)(2)ofHouseRule25,statesthatamong
thekindsofgiftsthatareprohibitedbythegiftruleis–
Acharitablecontribution(asdenedinsection170(c)oftheInternalRevenue
Codeof1986)madebyaregisteredlobbyistoranagentofaforeignprincipalonthe
basis of a designation, recommendation, or other specication of a Member . . . or
employeeoftheHouse(notincludingamassmailingorothersolicitationdirectedtoa
broadcategoryofpersonsorentities),otherthanacharitablecontributionpermitted
byparagraph(f)[i.e.,acharitablecontributioninlieuofhonoraria].
30
HouseRule25,cl.5(e)(1).
31
CodeofEthicsforGovernmentService,¶5,supranote8.
32
HouseRule23,cl.3.
358 HOUSEETHICSMANUAL
shoulddraftcommunicationssothattheydonotlendthemselvestomisinterpretation
asanofcialendorsementfromtheCongress,consistentwithclause11ofHouseRule
23.VariousHouseregulationsrestrictthe mailingofcommercialmaterialsunder
thefrankandlimitthedisplayordistributionofcommercialmaterialsinHouseofce
buildings.
33
WhenaHouseofcewishestohavearepresentativeofaprivateorganization
orotherindividualappearandmakeapresentationataneventtheHouseofceis
sponsoring,itshouldbeclearlyunderstoodthattheorganizationismerelyaguestof
thesponsoringofce,andtheofceretainsfullcontrolovertheprogramfortheevent.
Itshouldalsobeclearlyunderstoodthatthepurposeofthatorganization’spresence
islimitedtoprovidinginformationonacongressionallyrelatedsubject.Thus,private
businesses that appear at an ofcial event are not to enter into any commercial
transactionsorsignupclientswhilethere,andmembershiporganizationsarenotto
signupnewmembersorsolicitfunds.
Conversely, a Member may be asked to participate personally in an event
thatissponsoredbyanoutsideorganization,suchasprivately-sponsoredMedicare
prescription card events. In participating in such an event, Members and staff
must avoid becoming toocloselyafliated with any commercial entity, in order to
avoidanyappearancethattheyareaccruingbenetsbyvirtueofimproperinuence
exertedfromtheirpositioninCongress,oraredispensingspecialfavors.
34
Thus,in
participatinginaprivately-sponsoredeventaMembermusttakecaretoavoidany
actionthatmaybeperceivedasanendorsementoftheprivatesponsor.
Unofcial Representational Activities
Several provisions of the federal criminal code and Houserules restrict the
abilityofMembersandstafftobecomeinvolvedwithoutsideorganizationsinways
thatrequireinteractionwiththefederalgovernment.Anin-depthdiscussionofthese
provisionsisfoundinChapter5onoutsideemployment.Thefollowingisanoverview
ofseveralmainconsiderations.
Members,ofcers,andemployeesareprohibitedby18U.S.C.§203fromasking
fororreceivingcompensationfor“representationalservices”renderedinrelationto
a matter or proceeding in which the United States is a party or has a direct and
substantialinterest.Included areproceedingsbeforeany governmentdepartment
oragency.Additionally,HouseRule23,clause3,prohibitsMembersandtheirstaffs
fromreceivingcompensationbyvirtueofinuenceimproperlyexertedfromaposition
inCongress.
33
See¶4House Building Comm’n Regs.,supranote28.
34
SeeCodeofEthicsforGovernmentService,¶5supranote8.
Ofcial And Outside Organizations 359
Even absent compensation, employees are restricted by law and rule from
privaterepresentationofothersbeforetheUnitedStatesgovernmentorthepursuit
ofothers’federalclaimswhennotintheproperdischargeofofcialduties.Section
205oftitle18prohibitsemployeesfromactingasagentorattorneyforanotherperson
ororganizationinprosecutingaclaimagainsttheUnitedStatesorinconnectionwith
“anycoveredmatter.”Acoveredmatterincludes“anyjudicialorotherproceeding,
application,requestforarulingorotherdetermination,contract,claim,controversy,
investigation,charge,accusation,arrest,orotherparticularmatter.”
35
Theseprovisionshavegenerallybeenenforcedininstanceswhenanofcial’s
publicdutieshaveconictedwithprivateinterests.Enforcementofthecriminalcode
istheresponsibilityoftheDepartmentofJustice.
Anotherprovisionthatwouldapplytoanemployeeseekingtorepresentothers
infederalmattersisHouseRule25,clause6.Thatrulestates:
ApersonmaynotbeanofceroremployeeoftheHouse,orcontinuein
itsemployment,ifheactsasanagentfortheprosecutionofanyclaim
againsttheGovernmentorifheisinterestedinsuchclaim,exceptasan
originalclaimantorintheproperdischargeofofcialduties.
As with 18 U.S.C. § 205, there is no requirement in the rule that the
representationinvolveanycompensation.
GeneralethicalstandardsandrulesrestricttheabilityofbothMembersand
employeestoengageinundertakingsinconsistentwithcongressionalresponsibilities.
Even the appearance of a conict may adversely affect public perceptions and
condence.Nospecialadvantageshouldbeprovidedtoanoutsideorganizationwith
whichaMemberisafliated.Thus,theCommitteehasconsistentlyadvisedMembers
nottotakeanactive roleinlobbyingCongress onbehalfofa privateorganization
sincethatwouldconictwithaMember’sgeneralobligationtothepublic.
Example 7.EmployeeAhasdevelopedexpertiseinasubject.Whetheror
notthatknowledgewasgainedthroughhercongressionalemployment,
shemaynotrepresentothersintheareaofherexpertisebeforeafederal
governmentagency,withorwithoutcompensation.
Example 8. Employee B may not help a private, not-for-prot
organization in his spare time by lobbying Congress or executive
agencies.
35
18U.S.C.§205(h).
360 HOUSEETHICSMANUAL
Example 9.MemberCmaysitontheboardofanorganizationwhich,
among other things, lobbies Congress, but the Member should not
personally supervise the organization’s lobbying activities since such
action on behalf of a single private group would appear inconsistent
withherresponsibilitiestothepublicatlarge.
Mailing Lists and Outside Organizations
A Member’s publicized involvement in legislation or an issue of national
concernmaygeneratesignicantcorrespondencefromoutsidethedistrict.Thenames
gatheredcompriseamailinglistthatwouldbepotentiallyvaluabletoorganizations
outsidetheCongress.However,eitherpermittingaprivateorganizationtorespond
toletters receivedbyaMemberin anofcialcapacityorproviding outsidegroups
accesstoanofcialmailinglistwouldviolateHouserulesandCommitteeonHouse
Administrationregulations.
36
A Member may purchase a mailing list from an outside organization or
unofcialentity(includinghisorherowncampaigncommittee),atfairmarketvalue,
providedthelistisavailableonthesametermstoanyotherorganizationthatwants
topurchaseit(includingthecampaignoftheMember’sopponent).
37
Forthepurchase
to be reimbursable from ofcial allowances, it must meet the criteria ordinarily
attendanttosuchexpenses.Inaddition,thecontentsofanylistmustbepurgedof
anycampaignorpoliticallyrelateddatabeforeitmaybeusedofcially.
These rules should not be interpreted technically so as to infringe upon
a Member’s ability to communicate with constituents. Members may receive
membership lists, sets of labels, or names from organizations operating in their
districtsiftheinformationeitherformsthebasisforanofcialmailingorisadded
totheMember’sdatabasewiththeorganization’spermission.Ineitherinstance,a
Membermaynotacceptamailinglistunlessthesourcemakesitgenerallyavailable
onsimilartermstoothers.
Example 10.MemberAmaynotsharewithanoutsideorganization
thenamesofindividualswhohavewrittentohimonaparticularissue.
Example 11.MemberBmayuseofcialfundstopurchasefromher
campaigncommitteealistofconstituents,aslongasanyotherperson
couldalsopurchasethelistforthesameprice,andpoliticalidentiersare
deletedfromthelist.However,beforeenteringintosuchatransaction,
B’s congressional staff should consult with the Committee on House
Administrationforguidance.
36
SeeHouseRule24;Members’ Handbook,supranote4.
37
See Members’ Handbook,supranote4.
Ofcial And Outside Organizations 361
Example 12.Thelocalchamberofcommercemaintainsamailinglistof
businessesinMemberC’sdistrict.ThechambermayprovideMemberC
withasetoflabelsforuseonanofcialmailingonthesametermsasit
wouldgivethelisttoothers.Theofcemaynotusethemailingtohelp
thechamberupdateorcorrectitslist.
362 HOUSEETHICSMANUAL
363
APPENDICES
Code of Ethics for Government Service
72Stat.,Part2,B12(1958),H.Con.Res.175,85thCong.
Resolved by the House of Representatives (the Senate concurring), That it is the
senseoftheCongressthatthefollowingCodeofEthicsshouldbeadheredtobyall
Governmentemployees,includingofceholders:
CODEOFETHICSFORGOVERNMENTSERVICE
AnypersoninGovernmentserviceshould:
1. Putloyaltytothehighestmoralprincipalsandtocountryaboveloyaltyto
Governmentpersons,party,ordepartment.
2. Uphold theConstitution,laws, andlegalregulations oftheUnited States
andofallgovernmentsthereinandneverbeapartytotheirevasion.
3. Giveafullday’slaborforafullday’spay;givingtotheperformanceofhis
dutieshisearnesteffortandbestthought.
4. Seektondandemploymoreefcientandeconomicalwaysofgettingtasks
accomplished.
5. Neverdiscriminateunfairlybythedispensingofspecialfavorsorprivileges
toanyone,whetherforremunerationornot;andneveracceptforhimselfor
hisfamily,favorsorbenetsundercircumstanceswhichmightbeconstrued
byreasonablepersonsasinuencingtheperformanceofhisgovernmental
duties.
6. Makenoprivatepromisesofanykindbindinguponthedutiesofofce,since
aGovernmentemployeehasnoprivatewordwhichcanbebindingonpublic
duty.
7. Engage inno business with the Government, either directly orindirectly
whichisinconsistentwiththeconscientiousperformanceofhisgovernmental
duties.
8. Neveruseanyinformationcomingtohimcondentiallyintheperformance
ofgovernmentaldutiesasameansformakingprivateprot.
9. Exposecorruptionwhereverdiscovered.
10. Upholdtheseprinciples,everconsciousthatpublicofceisapublictrust.
(PassedJuly11,1958.)
364 HOUSEETHICSMANUAL
Committee on Standards of Ofcial Conduct
Advisory Opinion No. 1
1
SUBJECT
OntheRuleofaMemberoftheHouseofRepresentativesinCommunicating
WithExecutiveandIndependentFederalAgencies.
REASON FOR ISSUANCE
AnumberofrequestshavecometotheCommitteeforitsadviceinconnection
withactionsaMemberofCongressmayproperlytakeindischarginghisrepresentative
function with respect to communications on constituent matters. This advisory
opinioniswrittentoprovidesomeguidelinesinthisareainthehopetheywillbeof
assistancetoMembers.
BACKGROUND
TherstArticleinourBillofRightsprovidesthat“Congressshallmakeno
law. ..abridging the . . . right ofthe people . . . to petitionthegovernment for a
redressofgrievances.”TheexerciseofthisRightinvolvesnotonlypetitionbygroups
of citizens with common objectives, but increasingly by individuals with problems
orcomplaintsinvolvingtheirpersonalrelationshipswiththeFederalGovernment.
As the population has grown and as the Government has enlarged in scope and
complexity,anincreasingnumberofcitizensnditmoredifculttoobtainredress
by direct communication with administrative agencies. As a result, the individual
turns increasingly to his most proximate connection with his Government, his
representative intheCongress, as evidenced by the fact thatcongressional ofces
devotemoretimetoconstituentrequeststhantoanyothersingleduty.
Thereasonsindividualssometimesfailtondsatisfactionfromtheirpetitions
arevaried.Attheextremes,somegrievancesaresimplyimaginaryratherthanreal,
andsomewithmeritaredeniedforlackofthoroughadministrativeconsideration.
Sheer numbers impose requirements to standardize responses. Even if
mechanical systems function properly and timely, the stereotyped responses they
producesuggestindifference.Atbest,responsestogrievancesinformletterorbyother
automatedmeansleavemusttobedesired.
Anotherfactorwhichmayleadtopetitionerdissatisfactionistheoccasionalfailure
oflegislativelanguage,ortheadministrativeinterpretationofit,tocoveradequately
all themeritsthe legislation intended. Specic casesarisingunder these conditions
testthelegislationandprovideavaluableoversightdisclosuretotheCongress.
1
Issued January 26, 1970. The Opinion should be read in conjunction with subsequent
legislation, regulations, and rules, such as 5 U.S.C. § 557(d), relating to prohibited ex parte
communicationstoadministrativeagencies.
Appendices 365
Further,becauseofthecomplexityofourvastfederalstructure,oftenacitizen
simplydoesnotknowtheappropriateofcetopetition.
For these or similar reasons, it is logical and proper that the petitioner seek the
assistanceofhisCongressmanforanearlyandequitableresolutionoftheproblem.
REPRESENTATIONS
ThisCommitteeisoftheopinionthataMemberoftheHouseofRepresentatives,
eitheronhisowninitiativeorattherequestofapetitioner,mayproperlycommunicate
withanExecutiveorIndependentAgencyonanymatterto:
• requestinformationorastatusreport;
• urgepromptconsideration;
• arrangeforinterviewsorappointments;
• expressjudgments;
• callforreconsiderationofanadministrativeresponsewhichhebelievesis
notsupportedbyestablishedlaw,FederalRegulation,orlegislativeintent;
• performanyotherserviceofasimilarnatureinthisareacompatiblewith
thecriteriahereinafterexpressedinthisAdvisoryOpinion.
PRINCIPLES TO BE OBSERVED
Theoverallpublicinterest,naturally,isprimarytoanyindividualmatterand
shouldbesoconsidered.Therearealsootherself-evidentstandardsofofcialconduct
whichMembersshouldupholdwithregardtothesecommunications.TheCommittee
believesthefollowingtobebasic:
1. A Member’s responsibility in this area is to all his constituents equally
and should be pursued with diligence irrespective of political or other
considerations.
2. Directorimpliedsuggestionofeitherfavoritismorreprisalinadvanceof,or
subsequentto,actiontakenbytheagencycontactedisunwarrantedabuse
oftherepresentativerole.
3. AMembershouldmakeeveryefforttoassurethatrepresentationsmadein
hisnamebyanystaffemployeeconformtohisinstruction.
CLEAR LIMITATIONS
AttentionisinvitedtoUnitedStatesCode,Title,18,Sec.203(a)whichprovides
inpart:
Whoever,otherwisethanasprovidedbylawfortheproperdischarge
of ofcial duties, directly or indirectly, demands, seeks, receives,
accepts, or agrees to receive or accept any compensation for any
representationalservices,asagentorattorneyorotherwise,rendered
366 HOUSEETHICSMANUAL
ortoberenderedeitherreceivesoragreestoreceive,eitherpersonally
orbyanother
(A) atatimewhensuchpersonisaMemberofCongress..;or
(B) atatimewhensuchpersonisanofceroremployeeoftheUnited
Statesinthe...legislative...branchoftheGovernment
...inrelationtoanyproceeding,application,requestforarulingor
otherdetermination,contract,claim,controversy,charge,accusation,
arrest, or other particular matter in which the United States is a
partyorhasadirectandsubstantialinterest,beforeanydepartment,
agency, court, court-martial, ofcer, or any civil, military, or naval
commission...
shallbesubjecttothepenaltiessetforthinsection216ofthistitle.
2
Section216providesforimprisonmentforuptooneyearforengagingintheconduct,
andforimprisonmentforuptoveyearsknowinglyengagingintheconduct,plus
nes.
TheCommitteeemphasizesthatitisnothereininterpretingthisstatutebut
notesthatthelawdoesrefertoanycompensation,directlyordirectly,forservicesby
himselforanother.Inthisconnection,theCommitteesuggeststheneedforcautionto
preventtheaccrualtoaMemberofanycompensationofanysuchserviceswhichmay
beperformedbyalawrminwhichtheMemberretainsaresidualinterest.
Itshouldbenotedthattheabovestatuteappliestoofcersandemployeesof
theHouseofRepresentativesaswellastoMembers.
2
AsamendedbytheEthicsReformActof1989,P.L.101-194.
Appendices 367
Committee on Standards of Ofcial Conduct
Advisory Opinion No. 2
1
SUBJECT
OnthesubjectofaMembers’RepresentationalAllowance.
2
REASON FOR ISSUANCE
A number of requests have come to the Committee for advice on specic
situationswhichtosomedegree,involveconsiderationofwhethermoniesappropriated
forMembers’RepresentationalAllowancearebeingproperlyutilized.
AsummaryoftheresponsestotheserequestsformsthebasisforthisAdvisory
Opinionwhich,itishoped,willprovidesomeguidelinesandassistancetoallMembers.
BACKGROUND
TheCommitteerequestedtheCongressionalResearchServicetoexaminein
depththefullscopeofthelawsandthelegislativehistorysurroundingMembers’clerk
hire.Thesearchproducedlittleinthewayofspecicparametersineithercaselaw
orcongressionalintent,concludingthat“...nodenitivedenitionwasfound....”
ItisoutofthisabsenceofotherguidancetheCommitteefeelsconstrainedtoexpress
itsviews.
The clerk hire allowance [now included in the Members’ Representational
Allowance(MRA)]
3
forRepresentativeswasinitiatedin1893(27Stat.757).Thelaw
providingitspokeofprovidingclericalassistancetoaRepresentative“inthedischarge
ofhisofcialandrepresentativeduties....”Thesamephraseologyisusedtodayin
eachLegislativeAppropriationsbillandbytheClerkoftheHouseinhistestimony
beforetheSubcommitteeonLegislativeAppropriations.Anexactdenitionof“ofcial
and representative duties” was not found in the extensive materials researched.
Remarksconcerningvariousbills,however,usuallyreferto“clericalservice”orterms
ofsimilarimport,thusimplyingaconsistentperceptionofthetermaspaymentfor
personalservices.
SUMMARY OPINION
This Committeeis of the opinion thatthefunds appropriated for [Members
1
IssuedJuly11,1973.
2
Thismemorandumhasbeenupdatedtoreectcurrentterminology.Duringeachsessionof
Congress,eachMembergetsasingleallowance,knownastheMembers’RepresentationalAllowance
(MRA)toconductofcialandrepresentationalduties.TheClerkHireAllowance,theOfcialExpenses
Allowance,andOfcialMailAllowancehaveallbeenmergedintotheMRA.
3
Id.
368 HOUSEETHICSMANUAL
tohirestaff] shouldresultonly inpaymentfor personalservicesof individuals,in
accordance with the law relating to the employment of relatives, employed on a
regularbasis,inplacesasprovidedbylaw,forthepurposeofperformingthedutiesa
Memberrequiresincarryingouthisrepresentationalfunctions.
TheCommitteeemphasizesthatthisopinioninnowayseekstoencouragethe
establishmentofuniformjobdescriptionsorimpositionofanyrigidworkstandardson
aMember’sstaff.Itdoessuggest,however,thatitisimpropertolevy,asacondition
ofemployment,anyresponsibilityonanyclerktoincurpersonalexpendituresforthe
primary benetof the Member orof the Member’s congressionalofceoperations,
such as subscriptions to publications, or purchase of services, goods or products
intendedforotherthantheemployee’sownpersonaluse.
The opinion clearly would prohibit any Member from retaining any person
from his [MRA] under either an express or tacit agreement that the salary to be
paidhiminlieuofanypresentorfutureindebtednessoftheMember,anyportionof
whichmaybeallocabletogoods,products,printingcosts,campaignobligations,or
anyothernon-representationalservice.
In a related regard, the Committee feels a statement it made earlier, in
respondingtoacomplaint,maybeofinterest.Itstates:“Astotheallegationregarding
campaignactivitybyanindividualontheHouse[payroll],itshouldbenotedthat,
duetotheirregulartimeframesinwhichtheCongressoperates,itisunrealisticto
imposeconventionalworkhoursandrulesoncongressionalemployees.Atsometimes,
theseemployeesmayworkmorethandoubletheusualworkweek-atothers,some
less.Thus employeesare expectedto fullltheclerical workthe Memberrequires
duringthehourshe requiresandgenerallyarefeeat otherperiods.If,duringthe
periodsemployeesarefreeandtheyvoluntarilyengageincampaignactivity,thereis
nobartothis.Therewill,ofcourse,bedifferingviewsastowhetherthespiritofthis
principleisviolated,butthisCommitteeexpectsMembersoftheHousetoabideby
thegeneralproposition.”
Appendices 369
Select Committee on Ethics
Advisory Opinion No. 6
1
SUBJECT
Acceptanceofin-kindservicesforofcialpurposes.
REASON FOR ISSUANCE
HouseRule 24provides thatnofundsmaybe paidinto anyunofcial ofce
accountsubsequenttoMarch2,1977,andthatsuchaccountsmustbeabolishedby
January3, 1978. Thedenition of anunofcial ofceaccountincluded inthe new
Rulefocusesonthemostcommonform,i.e.,aprivatelysubsidizedaccountusedto
supplementofcialallowances.
The legislative history of Rule 24 refers to an unofcial ofce account as a
fund,repository,orprocesswherebyfundsarereceivedorexpended.Thereasonsfor
adoptingnewRule24,aspresentedintheFinancialEthicsreportoftheCommission
on Administrative Review (H. Doc. 95-73, February 14, 1977), emphasize that
eliminatingprivatesupportofthepublic’sbusinessshouldbetheprimaryobjective
ofanewRule.
TheCommission stronglybelieves thatprivate fundsshouldbe
used only for politically-related purposes. Ofcial allowances should
reectthenecessarycostofofcialexpenses....Tosuggestotherwise
wouldbe toaccept orcondonethe continuationof thepresent system
[of unofcial ofce accounts] which, at the very least, allows for the
appearanceofimpropriety,andatworst,createsaclimateforpotential
“inuence pedaling” through private nancing of ofcial expenses of
MembersofCongress.
Althoughitisclearthatacceptanceofmonetarycontributionstosustainsuch
accountswasperceivedasconducttobeprohibitedbythenewRule,questionshave
been raised concerning the application of Rule 24 toacceptance of certainin-kind
services(e.g.,ofcesuppliesandequipment,districtofcespace,etc.)andwhether
suchitemswillbetreateddifferentlythanmonetarycontributionsforpurposesofthe
Rule24prohibition.
TheSelectCommitteendsthatnodistinctioncanbemadebetweenin-kindand
monetarycontributions.WhethertheprivatesupportalludedtointheCommission’s
reportisintheformofamonetarycontributionorintheformofanin-kindservice
isnotrelevantinviewoftheintendedprohibitionagainst theprivate nancingof
ofcialbusiness.Moreover,itcanhardlybearguedthatdonationofin-kindservices
1
IssuedonMay,9,1977.Thisopinionhasbeenupdated,inter alia,toreecttherenumbering
oftheHouseRulesinthe106thand107thCongresses.
370 HOUSEETHICSMANUAL
isanylessaninfusionofprivatesupportforofcialbusinessthanisthedonationof
money.
Atleasttwoprecedentsfortreatingin-kindservicesasmonetarycontributions
are found in regulations promulgated by the Federal Election Commission (FEC)
andtheInternalRevenueService(IRS).Thoseregulationsrequiretheinclusionof
in-kinddonationsascontributionstounofcialofceaccounts,thusconrmingthe
SelectCommittee’sunderstandingthatmoneyandin-kindcontributionsshouldbe
treatedthesame.
TheFECdenesan“ofceaccount”(unofcialofceaccount)as“anaccount
established for the purposes of supporting the activities of a Federal or State
ofceholderwhichcontainscampaignfundsandfundsdonated....”(11CFR113.1(b)).
Acontributionincludesathingofvalue,includingin-kindservices.(11CFR100.51(a),
100.52(d)(1)).Therefore,accordingtotheFECdenitions,unofcialofceaccounts
mayencompassin-kindservicesorresources.
Similarly,theIRSconsidersthedonationofin-kindresourcesasa“contribution,”
applyingthecriterionof“anythingofvalue.”TheIRStreatsthecontributionofin-kind
servicesorresourcesusedforofcialpurposesaspersonalincometotheMember,just
asittreatscontributionstounofcialofceaccounts.
In sum, the Select Committee nds that for the purposes of applying Rule
24,nologicaldistinctioncanbedrawnbetweentheprivatecontributionofin-kind
servicesand theprivate contributionof money,and thatboth perpetuatethe very
kindofunofcialofceaccountsandpracticesthatareprohibitedbyHouseRule24.
Equallyclear,however,isthatvariousin-kindservicesandfunctionsprovided
byfederal,stateandlocalgovernmentagenciesdonotfallinthesamecategoryas
private donations of money orin-kind services. Thus, the provision of ofce space
orroomsforconstituentmeetings,etc.,byastateorlocalgovernmentwouldnotbe
prohibitedbyapplicationofthisRule.Ofcourse,theoccasionaluseofprivatelyowned
meeting space where no other appropriate public accommodations are reasonably
availableformeetingconstituentsdoesnotfallwithintheproscriptionsofthenew
Rule.
Additionally, application of the Rule would not prohibit a Member from
continued participation with various educational intern, fellowship, or volunteer
programs. Members have long recognized that there is an inherent educational
and professional benet in interns, fellows, and volunteers viewing rst hand the
Legislative Branch of government, and that there are compelling public policy
considerations for encouraging such programs. There is nothing in the legislative
historythatsuggestsanintenttodiscontinuetheseprograms,norhastheresurfaced
any evidence of abuses resulting from the infusion of private money into public
businesscausingconictofinterestorothersituationsintendedtobeprohibitedby
theNewRule.TheSelectCommitteebelievestheseprogramsareofprimarybenet
to the personsinvolvedand notes that interns, fellows, and volunteers are not on
Appendices 371
thepayrollof the House,norare they consideredto be employees ofthe House of
Representatives.Therefore, thisinterpretationof Rule24doesnotapply tointern
programs, provided the internships are primarily foreducationalpurposesand do
notgiveundueadvantagetospecialinterestgroupsorotherswithadirectinterest
inlegislation.
However, it is clear that a Member would be violating the intent and the
spirit of House Rule 24 if he attempted to supplement his ofcial allowance by
raising,receiving,ordisbursingcontributionstohireorsupportinternsinhisofce.
Therefore, it follows that a Member and his staff are prohibited from personally
raising,receiving,ordisbursingcontributionsusedtosupportaneducationalintern,
fellowship,orvolunteerprogram.Thisholdingrepresentstheonlyeffectivemethodfor
restrictingthepotentialtocollectandmaintain,directlyorindirectly,unofcialfunds
forsupplementingstaffassistanceandtheofciallyprovidedclerk-hireallowance.
SUMMARY OPINION
ForpurposesofHouseRule24,theprivatecontributionofin-kindservicesfor
ofcialpurposesisprohibited.However,Rule24doesnotapplytoservicesprovided
byfederal,stateandlocalgovernmentagencies,ortotheoccasionaluseofprivately-
owned meeting space where not public accommodations are reasonably available
formeetingwithconstituents.NordoesRule24applytointernsorvolunteersina
Member’sofce,basedontheunderstandingthatsuchinternprogramsareprimarily
ofeducationalbenettotheinternanddonotgiveundueadvantagetospecialinterest
groups. However, Members and their staffs may not personally raise, receive or
disburseanyprivatecontributionsforinternprogramsassociatedwiththeirofces.
372 HOUSEETHICSMANUAL
Select Committee on Ethics
Advisory Opinion No. 13
1
SUBJECT: GENERAL INTERPRETATION OF HOUSE RULE 25, DEALING
WITH LIMITATIONS ON MEMBERS’ OUTSIDE EARNED INCOME
1. General
(a) Purpose of the rule. House Rule 25, was adopted on March 2, 1977 [as
Rule47]aspartofthenancialethicscode.OriginallylimitedtoMembers,itwas
amendedbytheEthicsReformActof1989toincludeofcersandsenioremployees.
2
Besidesrestrictingthetypeofemploymentinwhichcoveredindividualscanengage,
theRulelimitstheamountof“outsideearnedincome”aMember,ofcer,orsenior
employeemayhave.
3
TwomajorconsiderationspromptedadoptionoftheRule.First,
substantialpaymentstoaMember,ofcer,orsenioremployeeforrendering“personal
services”tooutsidegroupspresentsasignicantandavoidablepotentialforconict
ofinterest.Second,itisinconsistentwiththeconceptthatbeingaMember,ofcer,
orsenioremployeeofCongressisafull-timejobtopermitsubstantialearningsfrom
otheremployment.
(b) Annual Limitation generally. Clause 1 of the Rule prohibits a Member,
ofcer, or senior employee from having outside earned income attributable to a
calendaryearwhichexceeds15percentoftheannualrateofbasicpayforlevelIIof
theExecutiveScheduleasofJanuary1ofsuchcalendaryear.
4
Inorderforanitemto
becountedagainstthislimitationforaparticularyear:(i)itmustbe“outsideearned
income”withinthemeaningofRule25;and(ii)itmustbeattributabletothatyear.
The Rule denes outside earned income to mean “wages, salaries, fees, and other
amounts received or to be received as compensation forpersonal services actually
rendered.”
Outside earned income is attributed to the year in which the Member’s,
ofcer’s or employee’s right to receive it becomes certain (i.e., under the accrual
1
ThisOpinionwasoriginallyissuedinOctober1978.Ithasbeenupdatedtoreectchangesto
applicablerulesandlawsmadebytheEthicsReformActof1989,P.L.101-194,theFederalEmployees
PayComparabilityAct,P.L.101-509,andtheLegislativeBranchAppropriationsAct,1992,P.L.102-
90.
2
Senioremployeesarethosecompensatedatorabove120percentoftheGS-15basesalary.
3
In addition to being a Rule of the House of Representatives, the outside earned income
limitationsofRule25havebeenenactedintolaw.See 5U.S.C.Appendix4,§§501-505.Asaresult,
besidesactionbytheCommitteeonStandardsofOfcialConductandHouseofRepresentatives,the
limitationsmaybeenforcedthroughcivilactionbytheAttorneyGeneral.
4
TheExecutiveLevelIIsalaryisnormallythesameasthatpaidtoaMemberofCongress.
Appendices 373
method)ratherthantotheyearofreceipt.Therefore,receiptofincomeearnedduring
aparticularyearcannotbedeferredtoafutureyearinwhichtheMember,ofcer,
oremployeehaslessoutsideearnedincomeoruntilaftertheindividualretiresfrom
Congress. The limitation is not applicable to compensation for personal services
renderedpriortotheeffective dateofRule 25,orprior totheeffectivedateof the
individual’sbecomingaMember,ofcer,oremployee,iflater.Outsideearnedincome
isdeterminedwithoutregardtoanycommunitypropertylaw.Thatis,eventhough
under applicable community property law one-half of any personal service income
earned by an individual is deemed to belong to the spouse, all of such income is
considered earned income of the Member, ofcer, or employee for purposes of the
Rule.
(c) Real facts controlling. The limitations imposed by Rule 25 may not be
avoidedbythecharacterizationordispositionofanypaymentforservicesrendered.
Inallcases,therealfactswillcontrol.Forexample,ifaspouse,child,otherrelative
of a Member, ofcer, or employee, or trust for the benet of any of them, is paid
an amount, however denominated, and the true consideration for the payment is
servicesrenderedbytheMember,ofcer,oremployee,theamountwillbedeemed
outsideearnedincome bytheMember, ofcer,oremployee.Similarly, thelabelor
characterizationplacedonatransaction,arrangementorpaymentbythepartiesmay
bedisregardedforpurposesoftheRule.Thus,ifamountsreceivedortobereceived
byaMember,ofcer,oremployeeareinfactattributabletoanysignicantextentto
servicesrenderedbytheMember,ofcer,oremployee,thecharacterizationofsuch
amountsaspartnershipdistributiveshare,dividends,rent,interest,paymentfora
capitalasset,orthelike,willnotservetopreventtheapplicationofRule25tosuch
amounts.Moreover,theRuleappliestooutsideearnedincomerealizedinamedium
otherthanmoney,forexample,inpropertyorservicesorthroughabargainpurchase
orforbearanceinconsiderationofpersonalservicesrendered.
Inshort,incomemaynotberecharacterizedinordertocircumventtheRule.
Indeed, characterization of income is essentially irrelevant. For purposes of this
Opinion,therearetwotypesofincome–earnedandunearned.Ifthecompensation
receivedisessentiallyareturnonequity,thenitwouldgenerallynotbeconsidered
tobeearnedincome.Iftheincomeisnotareturnonequity,thensuchincomewould
generallybeconsideredtobeearnedincomeandsubjecttothelimitation.
When such amounts received or to be received by a Member, ofcer, or
employeearedesignatedassalary,fees,orcommissions,theoverridingpresumption
is that such amounts, almost by denition, constitute compensation for personal
services rendered. An honorarium from a speaking engagement, for example, is
obviously outside earned income.
5
With respect to income frombusiness ventures,
5
The Ethics Reform Act of1989 banned receipt ofall honorariaby Members,ofcers, and
senioremployees,effectiveJanuary1,1991.However,employeespaidbelowtheseniorstaffpaylevel
would are allowed to receive honoraria for speeches, appearances, and articles unrelated to their
(con’t next page)
374 HOUSEETHICSMANUAL
theCommitteeisconvincedthatintheoverwhelmingmajorityofcases,therewillbe
littleornodifcultyindeterminingwhethercertainincomeissubjecttotheRule.
Again,thefactsofeachindividualcasewillgovernapplicabilityoftheRule,butthe
principlessetforthinthisOpinionshouldbefollowedinmakingthatdetermination.
2. Outside earned income from business ventures
ThisAdvisoryOpiniondifferentiatesbetweenbusinessesinwhichbothcapital
and personal services are material income-producing factors and those in which
personalserviceistheonlymaterialincome-producingfactor.
(a) Personal service businesses.WhereaMember,ofcer,oremployeeownsor
participatesinapersonalservicebusiness,suchasaprofessionalpractice,inwhich
capitalis not amaterial income-producing factor,his entireshareof theprots is
deemedtobeoutsideearnedincomeforpurposesoftheRule,excepttotheextenthe
candemonstratethathisincomeinfactrepresentsareturnoninvestment.Ingeneral,
capitalisnotamaterialincome-producingfactorwheregrossincomeofthebusiness
consistsprincipallyoffees,commissionsorothercompensationforpersonalservices
performedbyanindividual.Thus,thepracticeofone’sprofessionbyadoctor,
6
lawyer,
insurancebroker,orrealestateagentwillnot,assuch,betreatedasabusinessin
whichcapitalisamaterialincome-producingfactor.Evenwherethepractitionermay
have a substantial investment in professional equipment or in the physical plant
constitutingthe ofcefrom whichheconducts hispractice, thecapital investment
wouldberegardingasonlyincidentaltotheprofessionalpractice.
7
Moreover,thefactthattheMember,ofcer,oremployeemaynotpersonally
participatetoanysubstantialextentintherenderingofservicestothecustomersor
clientsofthebusiness,allsuchservicesbeingperformedbyassistantsorassociates,
wouldnotservetojustifyclassicationofhisorhershareofthebusinessincomeas
otherthanearnedincome.IfaMember,ofcer,oremployeesharesintheprotsof
a personal service organization without being required to perform any signicant
productiveservices,absentastrongshowingtothecontrary,itwillbepresumedthat
the Member, ofcer, or employee is being compensated for attracting or retaining
clients,andsuchincomeisconsideredoutsideearnedincome.
Law practices.SincethereareanumberofattorneysservingintheHouseof
ofcialdutiesorstatusinCongress.Seechapter5ofthisvolumeformorediscussiononthispoint.
6
TheHouseamendedRule25duringthe108thCongressin2003toexemptthepracticeof
medicinefromthisprovision.However,asdiscussedabove,thisrestrictionisalsocodiedaspartof
theEthicsinGovernmentActof 1978(5U.S.C.app.4 §502(a)),andnocorrespondingchangehas
beenmadetothestatute.Thus,whiletheHouserulehasremovedtheduciaryrestrictiontoallow
thepracticeofmedicineforcompensation,thestatutorybanremainsineffect.
7
Note,however,thatMembers,ofcers,andsenioremployeescoveredbytheearnedincome
limitarealsototallyprecludedfromreceivingcompensationforpracticingaprofessionwhichinvolves
aduciaryrelationship.SeeHouseRule25,clause2;5U.S.C.app.4§502.
Appendices 375
Representatives,forpurposesofexample,applicationoftheRuletothepracticeof
law is specically addressed in this Opinion. Those Members, ofcers, and senior
employeeswhopreviouslymaintainedanactiveafliationwithalawrmgenerally
nditnecessarytoenterintoabuy-outagreementwiththeirpartnersinorderto
liquidate their equity in the rm. Thisis perfectly appropriate. Amounts received
orreceivablebyaMember,ofcer,oremployeeinpaymentforaninterestinalaw
rm or similar organization upon retirement from it would not constitute outside
earnedincomesolongastheamountspayabledonot,ineffect,representacontinuing
participation in the lawrmand the total amount payable is not in excess of the
fairmakervalueoftheinterestoftheMember,ofcer,oremployee.Normallysuch
arrangements callfor xed payments at annualor more frequent intervalsover a
periodofyears.In somecases,however,theretiring partnerandthosecontinuing
thebusinessareunabletoagreeonavalueforoneormoreassetsofthebusiness,
suchascontingentfeecasesoraccountsreceivableofdubiousvalue,andthebuy-out
agreementmayaccordinglyprovidethattheretiringpartnerwillbepaidashareof
suchitems,if,asandwhentheyarecollected.
PaymentstoaMember,ofcer,oremployeeunderabuy-outagreementwill
notbedeemedtobeoutsideearnedincomewherethearrangementsareenteredinto
ingoodfaithandagreedtobyallthepartners,andreecttheusualandcustomary
value of the equity generally accorded to partners in similar law practices in the
samegeographicarea.Abuy-outagreementshouldalsobereasonablycalculatedto
avoidtheMember’s,ofcer’s,oremployee’sparticipationinpost-withdrawalprots.
In general, the proceeds resulting from a buy-out agreement are taxed as capital
gains.IfsuchanagreementisnotlimitedtoliquidationoftheMember’s,ofcer’sor
employee’sequityintherm,andincludespaymentswhichmightbetaxableasearned
income,anysuchpaymentsundertheagreementmightbesuchtotheearnedincome
limitation.TheCommitteenotesthatRule25,clause2,prohibitsaMember,ofcer,
oremployeefromreceivingcompensationforafliatingwithorbeingemployedbya
rm,partnership,association,corporation,orotherentitywhichprovidesprofessional
servicesinvolvingaduciaryrelationship.Evenifnocompensationisreceived,the
Member,ofcer,oremployeemaynotpermithisorhernametobeusedbyanysuch
rm,partnership,association,corporation,orotherentity.Thislimitationparallels
the American Bar Association Code of Ethics, which states in part: “A layer who
assumes...alegislativepost...shallnotpermithisnametoremaininthenameof
alawrmortobeusedintheprofessionalnoticeofthermduringanysignicant
periodinwhichheisnotactivelyandregularlypracticinglawasamemberofthe
rm.”(ABADisciplinaryRule2-102B).
(b) Business where capital is a material income-producing factor. Capital is
a material income producing factor if a substantialportion of the gross income of
thebusinessisattributabletotheemploymentofcapital,asreected,forexample,
by a substantial investment in inventories, plant, machinery or other productive
equipment.ThisOpiniondiscussestheapplicationoftheRuleinsuchcasestoincome
376 HOUSEETHICSMANUAL
from a fully taxable corporation and income from an unincorporated business or
SubchapterScorporation.
(1) Taxable corporations
IfaMember,ofcer,oremployeerendersservicestoafullytaxablebusiness
corporation,heorshewillnotbedeemedtorealizeoutsideearnedincomefromsuch
servicesbeyondtheamountofsalaryorotherformofextracompensationdesignated
as consideration for the personal service rendered. In those cases where the sole
nancialinterestoftheMember,ofcer,oremployeeisstockinthecorporation,an
increaseinthenetassetsofthecorporationwouldnotbeconsideredtobesubjecttothe
limitation.Anincreaseinthevalueofstockorotherpropertyisnotordinarilytreated
as earned income either for tax purposes or under generally accepted accounting
principles;andanyincreaseinthecorporation’snetprotswouldbesubjectrstto
corporateincometaxandthentopersonalincometaxbeforetheMember,ofcer,or
employeereceivesanyresultingincrementtohisorherwealththroughadividendor
saleofstock.Theforegoinghasnotapplication,ofcourse,toincomewhichaMember,
ofcer,oremployeeearnsthroughpersonaleffortsindealingswiththirdpartiesbut
causestobepaidtoacorporationanddistributed.Forexample,ifaMember,ofcer,
oremployeeincorporatesforthepurposeofconductingapersonalservice,andallfees
arepaidto thecorporationfromwhich “prots”arethendrawn,all suchamounts
wouldbeconsideredoutsideearnedincome.
In sum, if a Member, ofcer, or employee renders services to a taxable
corporation,onlythesalaryorothercompensationreceivedforthoseserviceswould
be subject to the limitation, but not any increase in the corporation’s assets or a
shareoftheprots.ThisrulingisconsistentwiththeintentoftheCommissionon
AdministrativeReviewwhichrecommendedthelimitationonoutsideearnedincome.
Initsreport(HouseDocumentNo.95-73),theCommissionstatedthat“...Members
should be able to render personal services to manage or protect their equity . . .
withouthavingtoallocatethesepersonalservicestowardthe15percentlimitation.”
(2) Subchapter S corporations, partnerships, unincorporated businesses
In those cases where the Member, ofcer, or employee has an ownership
interestinabusinessforwhichheorshealsoperformsservices,asinasubchapterS
corporationorapartnership,somepartoftheindividual’sshareoftheprotsofthat
businessmayreectthevalueofservices,andthuswouldbeconsideredoutsideearned
income. The determining factor is whether the Member’s, ofcer’s, or employee’s
personal services generate signicant income for the business. Of course, if the
Member,ofcer,oremployeereceivesformalincomefromthebusiness,forexample,
payments designated as salary or fees, such amounts would be consideredearned
income.Additionally,inthosecaseswhereotherpartnersorassociatesareproviding
capitalandmanagerialexperience,andtheprincipalroleoftheMember,ofcer,or
employeeis torefer clientsto thebusiness orto helpretain existingcustomers or
Appendices 377
clients,theMember,ofcer,oremployeewouldbedeemedtoberenderingincome-
producingservices,eventhoughtheactualtimeinvolvedmightbeminimal.However,
if the Member, ofcer, or employee is engaged primarily in the general oversight
andmanagementorprotectionofhisorherinvestment,suchserviceswouldnotbe
deemedtogeneratesignicantincome.Suchnon-incomegeneratingserviceswould
include consultation with other management ofcials, analysis of nancial and
other reports, participation in formal meetings, and making decisions concerning
thegeneraloperationsandinvestmentstrategyofthebusiness.Theapplicationof
theRuletothevarioustypesofbusinessorganizationsasdiscussedinthisOpinion
appliesequallytoabusinessownedorcontrolledbytheMember,ofcer,oremployee
ortheindividual’sfamily.Again,thedeterminingfactoriswhetherornotthepersonal
servicesoftheMember,ofcer,oremployeeactuallygenerateanysignicantincome
forthebusiness. Inthosesituationswhere theservicesrenderedby theMembers,
ofcers,oremployeesareincidentalanddonotgeneratesignicantincome,nopart
ofashareoftheprotsoranyincreaseintheassetsofthebusinesswouldbedeemed
tobeoutsideearnedincome.
TheCommitteeemphasizesthat thedenitionofearned incomein Rule25,
whichexcludes amountsreceived byaMember, ofcer,or employeefrom afamily
controlledbusiness“solongasthepersonalservicesactuallyrenderedbytheindividual
do not generate a signicant amount of income,” was simply intended to assure
Members, ofcers, and employees that they could continue to make decisions and
takeactionsnecessarytomanageorprotecttheirequityinafamilytradeorbusiness,
andwouldnotbeforcedtodivestthemselvesoftheirfamilybusinessinterests.As
withanybusiness,aMember,ofcer,oremployeewouldnotberequiredtoallocate
ashareoftheprotsofthebusinessasoutsideearnedincomewhenthefactsand
circumstancesshowthattheincomeisinrealityareturnoninvestment.Forexample,
iftheMember,ofcer,oremployeeownsahardwarestoreandtheservicesrendered
areincidental,suchasoccasionallyservingcustomers,theincomereceivedfromthe
businessisbasicallyareturnonequity,(i.e.,protsfromthesaleofhardwaregoods)
andisnotgeneratedbytheservicesoftheMember,ofcer,oremployee.Similarly,
iftheMember,ofcer,oremployeegivesoveralldirectiontothemanagementofthe
businessforafamilyownedfarm,theincomereceivedfromthefarmingoperationsis
notgeneratedbythepersonalservicesoftheMember,ofcer,oremployee,butrather
isbasicallyareturnonequityfromthesaleofcropsordairyproducts.Thesetypes
ofbusinessesaredistinguishablefromapersonalservicebusinesswhereincomeis
essentiallyproducedbytheservicesoftheindividualafliatedwiththeorganization.
8
(3) When income is attributable
(a) Income from pre-effective date services.TheRuleexcludesfromearnedincome
any compensation derived by a Member, ofcer, or employeefor personal services
8
Note,however,thatnocompensationcouldbereceivedforservingasanofcerordirectorof
the familyownedbusiness.SeeRule25,clause2;5U.S.C.app.4§502.
378 HOUSEETHICSMANUAL
renderedpriortotheeffectivedateoftheRuleorpriortotheeffectivedatebecoming
aMember,ofcer,oremployee,iflater.Thisprovisionwouldservetoexcludefrom
the limitation, for example, most renewal commissions paid to a Member, ofcer,
or employee with respectto life insurance policies sold prior to the effective date,
orsimilar commissionsreceived byaMember, ofcer,or employeewith respectto
pre-employmentleasesinwhichtheindividualwastheleasingagent.Inmostsuch
arrangements,paymentofthecommissionisnotcontingentupontheperformanceof
anyfutureservicesbytherecipient;theonlycontingencyisthattheinsuredorlessee
continuetopaypremiumsorrent,asthecasemaybe.Theexclusionwouldalsoapply
toafeereceivedbyaMember,ofcer,oremployeewhowasalawyerwhereallthe
workhad beendone priortothe effectivedate. However,this exclusionwould not
applytoincomederivedfromthecontinuingorfuturebusinessofclientsbroughtinto
thermpriortotheeffectivedateoftheRule.
(b) Application of the limitation to part years.Wherean individual becomes
aMember, ofcer,or employeeduringany calendaryear, theRule appliesonly to
outsideearnedincomeoftheindividualattributabletoperiodsaftertheeffectivedate
ofbecomingaMember,ofcer,oremployee.Forthebalanceofthecalendaryear,the
applicablelimitationwillbe15%oftheExecutiveLevelIIsalaryforthatpartofthe
year,andonlyoutsideearnedincomeattributabletothatpartiscountedagainstthe
limitation.
(4)Otherprovisions
(a) Payments attributed to deferred compensation plans.Amountsreceivedby
aMember,ofcer,oremployeefromatax-qualiedpension,protsharingorstock
bonusplanarenottreatedasoutsideearnedincome,asprovidedintheRule,norare
contributionstosuchaplancountedasoutsideearnedincome.Amountsreceivedbya
Member,ofcer,oremployeefromanon-qualieddeferredcompensationplanwhich
wereearnedinayearpriortotheeffectivedateoftheRuleortheindividualcoming
toCongressarenotoutsideearnedincomefortheyearreceivedundertheprinciple
explainedinsection3(a),providednopartoftheconsiderationforsuchpaymentsis
currentservices.AmountssetasideforaMember,ofcer,oremployeeunderanon-
qualieddeferredcompensationplanforservicesrenderedaftertheRule’seffective
date or coming to Congress will generally constitute outside earned income of the
Member,ofcer,oremployeeforthatyear,eventhoughtheywillnotbereceiveduntil
alateryear,unlessreceiptissubjecttoasubstantialriskofforfeiture.
(b) Assignment of income to charities. Notwithstanding the general holding
ofthisOpinionthataMember,ofcer,oremployeecannotdeecttheapplicationof
theRulebyassigningtoanotherincomewhichinfactwasearnedthroughrendering
services,earnedincomeassignedbyaMember,ofcer,oremployeetoatax-exempt
charitywillnotbecountedaspartoftheoutsideearnedincomeoftheMember,ofcer,
oremployee,providedtheindividualisnota“disqualiedperson”withrespecttothe
recipientorganizationwithinthemeaningofsection4946(a)oftheInternalRevenue
Appendices 379
Code.ForthepurposesofthisportionoftheRule,suchincomewouldnotbedeemed
tohavebeen“received”bytheMember,ofcer,oremployeeprovidedthathedidnot
personallybenetinanywayfromsuchincome.
9
(c) Honoraria. Clause 1(a)(1)(B) of Rule 25 provides that a Member, ofcer,
or employee of the House may not receive any honorarium. Clause 3(c) denes
“honorarium”toexcludeanyactualandnecessarytravelexpensesincurredbythe
Member,ofcer, oremployee inconnectionwith theevent. Paymentof actualand
necessarytravelexpensesofarelativeaccompanyingtheMember,ofcer,oremployee
arealsoexcludedfromthelimitation.
Apaymentinlieuofanhonorariummaybemadedirectlybythesponsorof
an event to a qualied charitable organization on behalf of a Member, ofcer, or
employee.Nosuchpaymentmayexceed$2,000,normayitbemadetoacharitable
organizationfromwhichtheMember,ofcer,oremployeeoraparent,sibling,spouse,
child,ordependentrelativeoftheMember,ofcer,oremployeederivesanynancial
benet.
10
Section7701(k)oftheInternalRevenueCodeprovidesthatanamountso
paid to a charitable organization is not deemed income to the Member, ofcer, or
employeefortaxpurposes,norisanycharitabledeductionallowed.
9
TheInternalRevenueServicehasinterpretedthedenitionof“grossincome”insection61of
theInternalRevenueCodeasfollows:
Where . . . pursuant to an agreement or understanding, services are rendered to a
personfor the benetof an organization describedin section 170(c)andan amount
forsuchservicesispaidtosuchorganizationbythepersontowhomtheservicesare
rendered,theamountsopaidconstitutesincometothepersonperformingtheservices.
(SeethelastsentenceofReg.§1.61-2(c).)
Ifanamountpaidtocharityistreatedasconstructiveincome,aMember,ofcer,oremployee
couldpossiblyreceiveanindirecttaxbenet.Forexample,suchamountsmaybecountedasadjusted
grossincomeforthepurposesofcomputerentitlementtomakecontributionstoatax-favored“Keogh”
retirementplan.TheMember,ofcer,oremployeewouldalsobeallowedtotakeanitemizeddeduction
foracharitablecontributionundersection67oftheInternalRevenueCode.Anytaxorothernancial
benetonaccountofpaymentsdirectedtocharityinconsiderationofpersonalservicesmayresultin
theMember,ofcer,oremployeebeingviewedasreceivingincomeforthepurposesofRule25and5
U.S.C.§502.
10
SeeRule25,clause1(a)(3);5U.S.C.app.4§501(c).
380 HOUSEETHICSMANUAL
Committee on Standards of Ofcial Conduct
Advisory Opinion No. 5
1
SUBJECT
GeneralinterpretationofHouseRule23,Clause11.
BACKGROUND AND DISCUSSION
HouseRule23,clause11[originallyadoptedonJanuary15,1979]providesas
follows:
AMember...maynotauthorizeorotherwiseallow
anindividual,group,ororganizationnotunderthedirection
andcontroloftheHousetousethewords“Congressofthe
United States,” “House of Representatives,” or “ofcial
business,” or any combination of words thereof, on any
letterheadorenvelope.
This addition to the Code of Ofcial Conduct took effect upon adoption.
The primary purpose of clause 11 is to prohibit Members from authorizing
private organizations to use a facsimile of their congressional stationery to solicit
contributionsorpoliticalsupportinadirectmailappeal.Suchuseofcongressional
letterheadbynon-Housegroupsisclearlyintendedtoconveytheimpressionthatthe
solicitationisendorsed bytheCongress orisrelatedto theofcialbusiness ofthe
Memberwhosignstheletter.Inadoptingclause11,theHousehasdeterminedthat
theuseofcongressionalletterheadfacsimilesbyprivateorganizationsisadeliberate
misrepresentationwhichreectsdiscreditupontheHouseofRepresentatives.
Rule 23, clause 11, generally would prohibit a Member from authorizing a
non- House individual or group to use that Member’s congressional stationery, or
anyletterheadthatpurportstobeanofcialcommunicationfromtheCongress,in
anymailingpaidforwithnon-appropriatedfunds.Thisprohibitionwouldapplyto
anyletterheaddesignedinsuchamannerastoconveytheimpressionthattheletter
is an ofcial communication. The Committee emphasizes that Rule 23, clause 2,
directsMembersto“adheretothespiritandtheletteroftheRulesoftheHouse...”
Therefore, since clause 11 is intended to prohibit solicitations by private interest
groupsonfacsimilesofcongressionalstationery,itwouldappeartobeaviolationof
thespiritofthatruleifaMemberauthorizedanon-Housegrouptouseletterhead
1
Issued on April 4,1979. Thisopinion hasbeen updatedto reectthe renumberingof the
HouseRulesinthe106
th
and107
th
Congresses.
Appendices 381
thatdidnotcontainthewordsprohibitedbyclause11,butwhichwasdesignedto
conveytheimpressionthatitisanofcialcommunicationfromtheCongress.For
example,letterheadwhichpurportstobeanofcialcommunicationbycontaininga
Member’scommitteeassignments,ofceaddress,andthe“congressionalseal”would
becontrarytothespiritofclause11.TheCommitteenotesinthisregardthattitle18
oftheUnitedStatesCode,section713,specicallyprohibitsuseoftheUnitedStates
seal for the purpose of conveying a falseimpression of sponsorship by the United
StatesGovernment.
Theclause11prohibitionisnotintendedinanyway torestrict aMember’s
communication with the public or his right to lend his name to any organization
orinterestgroup.TheruleimposesnorestrictiononaMember’sfreedomtosigna
fund-raisingappealorothersolicitationofpoliticalsupportonanon-Housegroup’s
ownletterhead,andbeidentiedasaMemberofCongress.Similarly,aMember’s
nameandtitlemayappearintheletterheadofanon-Houseorganization(e.g.,ifthe
Memberservesinanofcialcapacityorhonorarypositionwiththatorganization),
providedthattheletterheaddoesnotpurporttobeanofcialcommunicationfrom
theCongress.
Theterms“non-Houseindividual,group,ororganization”asusedintherule
would not extend to a Member’s principal campaign committee. The Committee
understands that the clause 11 prohibition on lending congressional letterhead to
private groups was not intended to prohibit a Member from using a facsimile of
ofcialstationeryinfund-raisingactivitiesforhisowncampaign.
2
This interpretation
is basedon the debate intheDemocratic Caucus which recommendedadoption of
clause11onDecember6,1978,andonthelegislativehistoryofasimilaramendment
that was offered to the Ethics in Government Act during the 95th Congress (see
CONGRESSIONAL RECORD, September 20, 1978, page H10212). It should also
be noted that the Senate Select Committee on Ethics issued an advisory opinion
imposingcomparableprohibitionsonuseofofcialstationerybynon-Senategroups,
anddidnotapplythoseprohibitionstoaSenator’scampaigncommittee.
The Committee emphasizes again in this regard that the clear intent of
clause11istoprohibitspecialinterestgroupsandotherprivateorganizationsfrom
using congressional letterhead for politicalsolicitations.Such use of congressional
stationeryfacsimilesconveysthefalseimpressionthattheprivategroupissponsored
orendorsedbytheHouseofRepresentatives.ThisisnotthecasewhenaMember,
strictlyonhisbehalfratherthanforathirdparty,usesafacsimileofhispersonalized
stationeryforcampaignfundraisingappealsorotherpoliticalmailings.Withrespect
tocampaignsolicitations,theCommitteenotesthatsuchlettersmustincludeanotice
2
Otherrestrictions,however,includingtheDeceptiveMailingsPreventionActof1990,P.L.
101-524,posedifcultieswithregardtouseofafacsimileofcongressionalletterheadinacampaign.
See39U.S.C.§§3001,3005.
382 HOUSEETHICSMANUAL
regardingtheavailabilityofcampaignreportsledwiththeFederalElection
Commission, as required by title 2 of the United States Code, section 435.
3
Moreover,with respectto otherpolitical mailings,the Committeedoes notbelieve
that it is improper for a Member to use his congressional letterhead to send, for
example, thank you notes tocontributors or other politically-related letters which
maynotbemailedunderthefrank.TheCommitteeiscondentthatuseofaMember’s
personalizedcongressionalletterheadforpoliticalmailingsonhisownbehalfwould
notbemisinterpretedasanofcialcommunicationfromtheHouseofRepresentatives
oranendorsement bytheCongress.In sum,theabuseof congressionalstationery
thatclause11isdesignedtocorrectisnotpresentinthecaseofaMember’scampaign
committee,norwastheruleintendedtoprohibitaMember’suseofhiscongressional
letterheadforpoliticalmailings.
The prohibitions of clause 11 also would not apply to the Democratic and
RepublicanCongressionalCampaignCommittees,norwoulditapplytothevarious
informalMemberorganizationsorcaucusescomposedsolelyofMembersofCongress.
TheadhocMembergroups,whicharequasi-ofcialinnature,andthepartycampaign
committeeswouldnotbeconsidered“non-House”organizationsforpurposeofRule
23,clause11.
3
Thisprovision was repealedby the Federal ElectionCampaign Act Amendments of1979,
Pub. L. No. 96-187, title I, § 105(1), 93 Stat. 1354 (Jan. 8, 1980). Section 441d(a) of Title 2 of the
United States Code now requires that campaign fund solicitations and other candidate political
communicationsclearlystatethatithasbeenpaidforbythecandidate’scampaigncommittee.
Appendices 383
Committee on Standards of Ofcial Conduct
Advisory Opinion No. 6
1
SUBJECT
GeneralInterpretationofHouseRule23,Clause6,andHouseRule24.
REASON FOR ISSUANCE
TheCommitteehasreceivedaninquiryconcerningtheapplicationofHouse
Rule23,clause6,andRule24,totheusebyaMemberofcampaignfundstoadvertise
orpromoteatownmeetinginhisdistrictandinareasnewlyaddedtothedistrictby
reapportionmentafternoticeofthemeetinghasbeenmailedunderthefrank.
BACKGROUND
House Rule 23, clause 6, prohibits a Member from expending funds from
hiscampaignaccount thatarenot attributable to“bona de campaignor political
purposes.”Rule24,clause1,barsaMemberfrommaintaining,orhavingmaintained
for his use, “an unofcial ofce account.” These provisions were included in the
amendments to the House Rules made by H. Res. 287, 95th Congress, adopted
pursuanttotherecommendationsoftheCommissiononAdministrativeReview.The
Commission, in explaining the purpose of these rules, observed (Financial Ethics,
H.R.Doc.No.95-73,95thCongress,1stSession23(1977)):
The Commission strongly believes that a wall should be built
betweenpoliticalexpensesandpublicmoney,thatprivatemoneyshould
notbereliedupontopayfortheconductoftheHouse’sofcialbusiness.
It regards such a wall as critically important to the integrity of the
representativeprocess....
Although federal statutory law (2 U.S.C. § 439a) generally would allow a
Member to use excess campaignfunds to defray ordinary and necessary expenses
incurredinconnectionwithholdingofce,theamendmenttoHouseRule23,clause
6, made by H. Res. 287, 95th Congress, specically prohibits this practice. As the
SelectCommitteeonEthicsobservedinitsFinal Report(H.R.ReportNo.95-1837,
95thCongress,2ndSession(1979)):“Theintentofthisruleistorestricttheuseof
1
IssuedonSeptember14,1982.Thisopinionhasbeenupdatedtoreectchangestoapplicable
rulesmadebytheEthicsReformActof1989,Pub.L.No.101-194,101stCong.,1stSess.,103Stat.
1716(Nov.30,1989),asamendedbyPub.L.No.101-280,101stCong.,2dSess.,104Stat.149(May
4, 1990). Italso reects the re-numbering of the House Rules in the 106th and 107th Congresses.
TheopinionshouldalsobereadinlightoftheamendmenttoHouseRule24inthe109thCongress
topermitthelimiteduseoffundsfromaMember’sprincipalcampaigncommitteetopayforcertain
ofcialexpenses.SeeChapter4concerningCampaignActivityforfurtherguidance.
384 HOUSEETHICSMANUAL
campaignfundstopoliticallyrelatedactivitiesandtothusprohibittheirconversion
topersonaluseortosupplementofcialallowances.”Rule24hasasimilarpurpose.
Itwasintendedtoeliminatethe“potentialfor‘inuencepeddling’throughprivate
nancing of the ofcial expenses of Members of Congress.” See Financial Ethics,
supra,at18.
In adopting these rules, the House was aware that “there are gray area
expenditureswhichcouldbeclassied(as)eitherpoliticalorofcial....”See Final
Report of the Select Committee on Ethics, supra.Therulesdonotincludeanydenition
of “political” or “ofcial” expenses. AsRepresentative Frenzelobserved duringthe
debateonH.Res.287,95thCongress(123Cong.Rec.5900(March2,1977):
Whatispoliticalisamatteroffactratherthanofdenition...
(W)hatwehavetriedtodoistoconneexpensesfrompoliticalaccounts
orvolunteercommitteeaccountstoexpensesthatarepolitical.By and
large, that denition will be left up to the Member and to his volunteer
committee,andasitisbroadlydenedundertheelectionlaw.(Emphasis
added.)
The Select Committee on Ethics, in its Final Report, supra, also expressed
the view that Members should make the determination as to whether gray area
expendituresaretobeclassiedaspoliticalorofcial.
SUMMARY OPINION
This Committee agrees that the determination as to whether a particular
expenseisforpoliticalorofcialpurposesshouldbemadebytheindividualMember.
AgatheringofaMember’sconstituentsata“townmeeting”couldbeeitherapolitical
(campaign)event,oranofcial(representative)one.Insuchacase,theMemberis
freetousehisjudgmentindeningitaspoliticalorofcial.However,thisCommittee
isoftheviewthatoncetheMembermakeshisdetermination,heisboundbyit.A
singleeventcannot,forpurposesoftheHouserules,betreatedasbothpoliticaland
ofcial.
WhenaMembersendsannouncementsofatownmeetingunderthefrank,he
hastherebymadethedecisionthattheeventisanofcialone.UnderFederallaw,
thefrankingprivilegemayonlybeusedintheconductofofcialbusiness.39U.S.C.
§3210(a)(1).Havingthusdenedtheeventasanofcialone,hemaynotthenuse
campaignfunds(Rule23,clause6)oranyotherprivatefunds(Rule24)toconduct,
promote,oradvertisetheevent.(ItisnotedthatRule24wasintendedtoprohibitthe
expenditureofprivatemoniesforofcialpurposesevenifnoparticularaccountor
repositoryassuchismaintained.SeethecolloquybetweenRepresentativesPanetta
andObeyduringthedebateonH.Res.287,95thCongress,124CongressionalRecord
5941(March2,1977).
Becausethetownmeetingsthatarethesubjectofthisopinionwerepromoted
Appendices 385
in the rst instance by means of the frank, they thereby become ofcial and
representational functions and it is an improper mixture of public and campaign
fundingtopromotesuchofcialtownmeetingsaspoliticalevents.Inacasesuchas
this,thewallbetweenpublicandprivatefundingiseasilyplaced.
FURTHER CONSIDERATIONS
Havingstatedthegeneralrulethatcertaineventsoractivitiesmaybedeemed
“ofcial”or“political”butnotboth,andthattheMembermustexercisehisjudgment
inmakingsuchdeterminations,therearelongestablishedpracticesnotoffensiveto
theprincipleofseparationthatarenotaffectedbythisAdvisoryOpinion.
Onesuchpracticeisacampaigncommitteemakinguseofmaterialsoriginally
generatedandusedsolelyinthecourseoftheMember’sofcialandrepresentational
dutiesoncetheofcialuseofthematerialisexhausted.Forexample,aMembermay,
atofcialexpenseandbymeansofthefrankingprivilege,reproduceanddistribute
otherwise frankable reprints from the Congressional Record, radio and television
programs, correspondence from public ofcials, etc. The Committee believes that
Rule24,whichprohibitsoutsidecontributionsforofcialpurposes,doesnotbana
Memberfromlaterdistributingsuchitemsatcampaigncommitteeexpenseprovided
alltheexpensesassociatedwithreproducinganddistributingthematerialarepaid
fromcampaignfundsandthematerialitselforthecontextinwhichitispresented
clearlyestablishesits campaign or politicalpurposes and thus itsnon-ofcial use,
sothattherewouldbenoappearancethatprivatefundsaresupplementingofcial
allowances.
Another such practice occurs if an individual or organization without the
Member’s consent,expendsfundsordonates servicestoadvertiseorpromote some
ofcialorrepresentationalactivityoftheMember.Forexample,noviolationwould
occur if a radio to television station in a Member’s district promoted a Member’s
previouslyannouncedtownmeetinginpublicserviceannouncements.
386 HOUSEETHICSMANUAL
Policy Regarding Amendments to
Financial Disclosure Statements
MEMORANDUM OF APRIL 23, 1986
TO: AllMembers,Ofcers,andEmployeesoftheU.S.HouseofRepresentatives
FROM: CommitteeonStandardsofOfcialConduct
JulianC.Dixon,Chairman
JohnT.Myers,RankingMinorityMember
ThepurposeofthisletteristoinformallMembers,ofcers,andemployeeswho
arerequiredtoleFinancialDisclosure(FD)StatementspursuanttotheEthicsin
GovernmentAct(EIGA)of1978,5U.S.C.app.4,§101 et seq.,
1
whoselingsareunder
thejurisdictionofthisCommittee,ofarevisiontotheCommittee’spolicyregarding
thesubmissionofamendmentstoearlierleddisclosurestatements.Thenewpolicy,
discussedbelow,willbeimplementedimmediatelyandallfuturestatementsaswell
astheamendmentstheretowillbehandledinaccordancetherewith.
Todate,ithasbeenthegeneralpolicyofthisCommitteetoacceptamendedFD
Statementsfromalllersandconsidersuchamendmentstohavebeentimelyled
withoutregardtothedurationoftimebetweenthedateoftheoriginallingandthe
amendmentsubmittedthereto.Overtime,thispracticehasresultedintheCommittee
havingreceivedasignicantnumberofamendmentstodisclosurestatementsunder
circumstances not necessarily reecting adequate justication or explanation that
theamendmentwasnecessarytoclarifypreviouslydisclosedinformationorthata
disclosurewasomitteddueeithertounavailabilityofinformationorinadvertence.
Moreover,andparticularlyinthecaseofanindividualwhoseconduct(havingEIGA
implications) is under review, the Committee has been faced with the somewhat
inconsistent tasks of identifying the deciencies in earlier FD Statements while
simultaneouslyacceptingamendmentstosuchstatementsthatmaywellhavebeen
intended to have a mitigating or even exculpating effect. Quite clearly, both time
andexperiencehaveestablishedtheneedtomakesomeadjustmentstothenancial
disclosureprocessinordertoalleviatesuch perceivedproblemsandcreateamore
logicalandpredictableenvironmentforlerstomeettheirstatutoryobligationunder
EIGAandtheparallelresponsibilityofthisCommitteetoimplementthatlaw.Itis
inthiscontextthatanewpolicyforacceptingandconsideringamendeddisclosure
statementsisbeingimplemented.
1
TitleIofEIGA wasrecodiedfollowingenactmentoftheEthicsReformActof 1989,P.L.
101-194,103Stat.1716.Legislativebranchdisclosurerequirementswerepreviouslyfoundat2U.S.C.
§701etseq.The1989statutecombinedseparateprovisionsapplicabletoallthreebranchesintothe
onetitlenowfoundatAppendix4oftitle5,UnitedStatesCode.
Appendices 387
To begin, effective immediately, anamendmentto an earlier FD Statement
will be considered timely led if it is submitted by no later that the close of the
yearinwhichtheoriginallingsoaffectedwasproffered.Therewillbe,however,a
furthercaveattothis“close-of-year”approach.Specically,anamendmentwillnot
beconsideredtobetimelyifthesubmissionthereofisclearlyintendedto“paperover”
anearliermis/nonlingorthereisnoshowingthatsuchamendmentwasoccasioned
byeitherthepriorunavailabilityofinformationortheinadvertentomissionthereof.
Thus,forexample,solongasalerwishestoamendwithintheappropriateperiod
ofprescribed“timeliness”andsuchamendmentsarenotsubmittedasaresultof,or
inconnectionwith,actionbythisCommitteethatmayhavetheeffectofdiscrediting
the quality of the initial ling(s), then such amendments will be deemed to be
presumptively good faith revisions to the lings. In essence, the amendment, per
se,shouldbesubmittedonlyasaresultoftheneedtoclarifyanearlierlingorto
discloseinformationnotknown(orinadvertentlyomitted)atthetimetheoriginalFD
wassubmitted.Insum,theCommitteewilladoptatwo-prongedtestfordetermining
whetheranamendmentisconsideredtobeled withapresumptionofgood faith:
First, whether it is submittedwithintheappropriate amendment period (close-of-
year);andsecond,a“circumstance”textaddressingwhytheamendmentisjustied.
Inthislatterregard,lerswillbeexpectedtosubmitwiththeamendmentabrief
statementonwhytheearlierFDisbeingrevised.Thus,amendmentsmeetingthe
two-pronged test willbe accorded a rebuttable presumption of good faith andthis
Committeewillhavetheburdentoovercomesuchapresumption.Conversely,any
amendmentnotsatisfyingbothoftheabove-statedcriteriawillnotbeaccordedthe
rebuttablepresumptionofgoodfaith.Insuchacase,theburdenwillbeonthelerto
establishsuchapresumption.
The Committee is well aware that disclosurestatements ledin yearspast
maybeinneedofrevision.Tothisend,theCommitteehasdeterminedthatagrace
periodendingatthecloseofcalendaryear1986willbegrantedduringwhichtime
all lers may amend any previously submitted FD Statements. Again, while an
amendmentmaybetimelyfromthestandpointofwhenitissubmitted–i.e.,within
thecurrentyear–informationregardingtheneedforand,hence,appropriatenessof
theamendmentwillalsobeconsideredvis-à-vistherebuttablepresumptionofgood
faith.
Insum,theeffectofthenewpolicyistoestablishapracticeofreceivingand
anticipatingthatFDStatementsandamendmenttheretowillbesubmittedwithinthe
samecalendaryearandthatdeparturesbasedoneithertimelinessorcircumstances
can be readily identied for scrutiny and possible Committee action. As noted,
implementationofthenewpolicywillaffectnotonlystatementsledthisyearbut
alsoallstatementsledinprioryearsinlightofthegraceperiodbeingadopted.
Shouldyouhaveaquestionregardingthismatter,pleasefeelfreetocontact
theCommitteestaffat225-7103.
388 HOUSEETHICSMANUAL
Gift Rule Provisions Applicable to Loans to
Members, Ofcers, and Employees
1
May23,1997
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Standards of Ofcial Conduct
JamesV.Hansen,Chairman
HowardL.Berman,RankingDemocraticMember
Questionshavearisenastowhether–underthegiftrulethattookeffecton
January 1, 1996 [currently clause 5 of House Rule 25] – Members and staff may
acceptloansfrompersonsotherthannancialinstitutions,andifso,onwhatterms.
ThepurposeofthismemorandumistoadvisethattheCommitteeinterpretsthegift
ruletoallowtheacceptanceofaloanfromapersonotherthananancialinstitution,
provided that the loan is made in a commercially reasonable manner, including
requirementsthattheloanberepaid,andthatareasonablerateofinterestbepaid.
Background. The reason that loans are a concern under the gift rule is
quiteobvious:dependingontheterms,atransactionlabeledasaloanmayinfact
constituteanimpermissiblegift toaMember,ofceroremployee,inwholeorinpart.
2
However,at leastfrom thelate 1970’sthrough 1995,the standardin effectin the
HouseregardingloanstoMembersandstaffwasquiteclear:aloanwasnotdeemed
agifttotheofcialprovidedthatitwasmadeinacommerciallyreasonablemanner,
includingrequirementsforrepaymentandareasonableinterestrate.Thisstandard,
whichincludednorestrictiononthesourceofloans,wasstatedinanadvisoryopinion
oftheHouseSelectCommitteeonEthicsissuedonMay9,1977,anditisstatedas
well in the most recent edition of the House Ethics Manual (102d Cong., 2d Sess.
(April1992)),onp.32.
However,thegiftrulethattookeffectonJanuary1,1996hascreatedsome
uncertaintyonthis matter,becauseit doesnotexplicitly incorporatethestandard
onloanssetforthabove.Instead,theruledenestheterm“gift”toincludeanyloan
(clause5(a)(2)(A)),anditprovidesthatMembers,ofcersandemployeesmayaccept
1
Thismemorandumhasbeenupdatedinseveralrespects,includingtoreecttherenumbering
oftheHouseRulesthatoccurredatthebeginningofthe106thCongressandinthe107thCongress.
2
OneormoreloansorclaimedloanswereatissueinseveralCommitteeproceedings,including
In the Matter of Representative James C. Wright, Jr. (CommitteeStatementofApril13,1989,pp.82-
83), and In the Matter of Representative Charles H. Wilson of California (H.R. Rep. No. 930, 96th
Cong.,2dSess.,p.4(1980)).
Appendices 389
[o]pportunitiesandbenetsthatare...intheformofloansfrombanks
and other nancial institutions on terms generally available to the
public[clause5(a)(3)(R)(v)].
Therulealsoincludesaprovisionwhichallowstheacceptanceof“[a]nything
forwhichtheMember,...ofcer,oremployeeoftheHousepaysthemarketvalue....”
(clause5(a)(3)(A)). Therulefurtherprovides(inclause5(f))thatthisCommitteehas
soleauthoritytointerprettherule.
The Committee’s Ruling, and the Reasons for It. As stated above, the
Committeeisnowannouncingthatitinterpretsthecurrentgiftrule–andspecically
therule’s“marketvalue”provisionquotedabove–toallowtheacceptanceofloans
frompersonsotherthannancialinstitutions,providedthattheyareontermswhich
satisfytherequirementswhichtheCommitteehadpreviouslyutilizedinevaluating
loans: that is, the terms are commercially reasonable, including requirements for
repayment and a reasonable rate of interest. Put another way, while the current
giftruleclearlyallowstheacceptanceofloansfromnancialinstitutions(onterms
generallyavailabletothepublic),theruledoesnotprohibitMembersandstafffrom
acceptingloansfromanyoneotherthananancialinstitution.Thereasonsthatthe
Committeehasdecidedtointerprettheruleinthismannerareasfollows.
The plain meaning ofthe gift rule provision on loans – clause 5(a)(3)(R)(v),
quotedabove–isnotthataloanisacceptableonlyifitisfromanancialinstitution,
butratherthataloanfromsuchaninstitution isacceptable ifon termsgenerally
availabletothepublic.Theprovisiondoesnotdenetheuniverseofacceptableloans.
Indeed,thereareanumberofothergiftruleprovisionsunderwhichMembers
andstaff mayconceivably accepta loanorother extensionof credit,including the
provisionsallowingacceptanceofthingsofvaluefromrelativesandpersonalfriends
(clause5(a)(3)(C),(D)),andtheprovisionsallowingacceptanceofbenetsofferedto
thepublic,ortoagrouporclassinwhichmembershipisunrelatedtocongressional
employment,orto membersofan organization suchas a creditunion (clause 5(a)
(3)(R)(i)-(iii)).BecausetheruledoesnotlimitMembersandstafftoacceptingloans
fromnancialinstitutions,theymaylikewiseacceptaloanwheretheysatisfythe
requirementofclause5(a)(3)(A)ofthegiftrule:thatis,theypay“marketvalue”for
thefundsborrowed.
TheCommitteealsoreviewedthelegislativehistoryofthecurrentgiftrule,
and consistent with the above review of the rule’s terms, the Committee found
nothingindicatinganintenttorestrictthesourceofloanstonancialinstitutions.
Furthermore,asnotedabove,asofthetimethecurrentgiftrulewasapproved,the
standardallowingacceptanceofloansfrompersonsotherthannancialinstitutions,
390 HOUSEETHICSMANUAL
onproperterms,hadbeenalongstandingoneintheHouse.
3
ThustoprohibitMembers
andstafffromacceptingloansfromanyoneotherthananancialinstitutionwould
beamajorchangeinthegoverningstandard,andtheCommitteeisreluctanttoeffect
suchasignicantchangeabsentanindicationthatthechangewasintended.
Inthisregard,theCommitteealsonotesthattheprovisionofthecurrentgiftrule
onloansfromnancialinstitutions–likeanumberofotherprovisionsofthecurrent
rule–wasdrawnalmostverbatimfromtheExecutiveBranchgiftregulations.Thus
itappearsthatthisprovisionwasincludedinthegiftruleasadraftingconvenience,
and was not the result of a conscious effort to change the prior House practice
regarding loans.It is also noteworthythat for the Committeetointerpret the gift
ruledifferently,soastolimitthesourceofloanstonancialinstitutions,couldhave
absurdresults,suchasthatMembersandstaffcouldnotacceptloansfromrelatives
(although,pursuanttotherule,theyclearlymayacceptgiftsfromrelatives),orcould
notutilizeacreditcardissuedbyadepartmentstoreorgasstation.
Finally,intheCommittee’sview,wherealoantoaMember,ofcer,oremployee
ismadeoncommerciallyreasonableterms,andthosetermsareadheredto,heorshe
pays“marketvalue”forthefundsborrowed,andhencetheloanispermissibleunder
clause5(a)(3)(A)ofthegiftrule.AstheOfceofGovernmentEthicsobservedrecently
withregardtotheExecutiveBranchgiftstandards,“Whiletheterm‘gift’isbroadly
denedintheStandards...thetermoughtnottobeunderstoodasencompassing
itemsorservicesforwhichtheemployee‘paysthefairvalue.’”
The Need for Caution in Accepting Loans from Persons Other Than
Financial Institutions.WhetheraloanproposedtobemadetoaMember,ofcer,
oremployeeisontermsthatare“commerciallyreasonable”–andhenceacceptable
under the interpretation announced here – will depend on a number of facts and
circumstances.Thusbeforeenteringintoanyloanarrangementwithapersonother
thananancialinstitution,MembersandstaffshouldcontacttheCommitteefora
reviewoftheproposedterms,andadeterminationbytheCommitteeonwhetherthe
loanis acceptableunderthe giftrule.Those whoaccept suchaloan withoutprior
Committeeconsiderationrunariskofbeingfoundinviolationofthegiftrule,and
possiblyotherprovisionsoflawaswell.
It also bears noting that merely because a proposed loan would be from a
nancial institutiondoes not necessarily meanthatit is acceptable underthe gift
rule.Aloanfromanancialinstitutionmustbeontermsgenerallyavailabletothe
publicinordertobeacceptableunderclause5(a)(3)(R)(v)oftherule.However,loans
fromrelatives(asdenedintheEthicsinGovernmentAct),aswellasextensionsof
3
The established nature of this standard is also indicated by the fact that according to
nancialdisclosures,anumberofMembersandstaffhaveloansfromindividualsorentitiesthatare
notnancialinstitutions.
Appendices 391
creditfromcreditcardissuersontermsgenerallyavailabletothepublic,areclearly
permissibleunderotherprovisionsofthegiftruleandrequirenoCommitteereview.
Anyquestionsonthismatter,aswellasquestionsregardinganyotherprovision
ofthegiftrule,shouldbedirectedtotheCommittee’sOfceofAdviceandEducation
at5-7103.
392 HOUSEETHICSMANUAL
February23,1998
MEMORANDUM FOR ALL MEMBERS, OFFICERS AND
EMPLOYEES
*
FROM: Committee on Standards of Ofcial Conduct
JamesV.Hansen,Chairman
HowardL.Berman,RankingDemocraticMember
SUBJECT: OutsideEarnedIncomeRestrictionsonMembersandSeniorStaff
Introduction.TheEthicsReformActof1989imposedanumberofrestrictions
ontheoutsideearnedincomeofMembersandsenior staff
1
oftheHouseandSenate,as
wellasseniorofcialsintheotherbranchesofgovernment.Oneoftheserestrictions
isa prohibition ontheir receiving“compensationfor practicinga professionwhich
involvesaduciaryrelationship.”5U.S.C.app.4§502(a)(3);HouseRule47,cl.2(3)
[nowHouseRule25,cl.2(a)].
2
ThisCommitteeisresponsibleforimplementingtheseprovisionsintheHouse,
andunderthem,theCommitteehasgenerallyheldthatMembersandseniorstaff
maynotreceivepayforservicesrenderedintheeldsoflaw,realestateorinsurance.
Otherwise,however,uptonowtheCommitteehasimplementedtheseprovisionsin
awaythathasallowedcompensationforcertainprofessionalservices,eventhough
theyaregenerallyviewedasinvolvingaduciaryrelationship.
AfterreceivinginquiriesonwhetherMemberswhoaredoctorsmaycollectfees
forprovidingmedicalservices,theCommitteedecidedtoreviewitspolicyinthisarea.
With this memorandum, the Committee announces that it will no longer approve
the receipt of compensation for any professional services that involve a “duciary
relationship” as that term is generally dened in law. The prohibition, as now
implementedbytheCommittee,extendstothepracticeofmedicineforcompensation.
*
Thismemorandumwasoriginallywrittenin1998.Ithasbeenupdatedsolelytoreectcurrent
Houserulenumbersandsalaryinformation.
1
“Seniorstaff”referstoemployeeswhoarepaidatoraboveaparticularthresholdannualrate
formorethan90daysinacalendaryear.In1998,thethresholdrateis$87,030.[In2008,threshold
rateis$114,468.]
2
As generally used, the term “duciary” refers to an obligation to act in another person’s
bestinterests,orarelationshipoftrustinwhichonereliesontheintegrity,delityandjudgmentof
another.House Ethics Manual,102dCong.,2dSess.(April1992),p.102.
Appendices 393
In the Committee’s view, the approach previously used – to the extent it allowed
receiptofcompensationforsuchprofessionalservices–wasnotconsistentwiththe
termsorthelegislativehistoryoftheEthicsReformAct.
Furthermore,thatapproachwasnotconsistentwiththatusedintheSenate
ortheExecutiveBranch.
ElaborationonthebackgroundandthetermsoftheCommittee’sactionfollows.
Background. AsaresultoftheEthicsReformActof1989,bothstatutorylaw
andtheHouserulesincludeprovisionsthatprohibitMembersandseniorstafffrom
doing,ashererelevant,threethings:
• “receiv[ing] compensation for practicing a profession which involves a
duciaryrelationship,”
• “receiv[ing]compensationforafliatingwithorbeingemployedbyarm,
partnership...orotherentitywhichprovidesprofessionalservicesinvolving
aduciaryrelationship,”and
• permittingone’snametobeusedbysuchanentity.5U.S.C.app.4§502(a);
HouseRule47,cl.2[nowHouserule25,cl.2].
3
When the Committee began to implement these provisions in 1990-91,
it elected, with regard to the key provision on professional practice, not to use a
conventionallegaldenitionoftheterm“duciaryrelationship.”Instead,asreected
on page 103 of the House Ethics Manual, 102d Cong., 2d Sess. (April 1992), the
Committee elected to “evaluate the nature and circumstances of each individual’s
particularemploymentonacase-by-casebasisinlightoftheobjectivesoftheAct.”
Inthisregard,theCommitteeadoptedathree-parttestfordeterminingwhetherany
particularemploymentinvolvedaprohibitedduciaryrelationship,i.e.,(1)Couldthe
employmentresultinaconictofinterestbetweenprivateandpublicresponsibilities?
(2)Doestheemploymentcreateanappearancethatanofcialpositionisbeingused
forprivategain?and(3)Doesthecompensationappeartobeanefforttocircumvent
thebanonhonoraria?
Usingthisthree-parttest,theCommitteehasissuedadvisoryopinionsstating
thataMemberorseniorstaffercouldnotearnincomefromprovidinglegaladvice,
selling insurance, or acting as a real estate broker (see page 145 of the Manual).
3
ThesesameprovisionsalsoprohibitMembersandseniorstafffromservingforcompensation
asanofcerormemberoftheboardofanycorporationorotherentity,andfromreceivingcompensation
forteachingwithoutthepriorapprovalofthisCommittee.Withregardtooutsideearnedincomefrom
permissibleactivities,Membersandseniorstaffarealsosubjecttoan annuallimitation.Incalendar
year1998,theoutsideearnedincomelimitis$20,505.[For2008,thelimitis$25,830.]
394 HOUSEETHICSMANUAL
However,usingthistest,theCommitteehasalsooccasionallyallowedcompensation
for certain professional services, even though the services involved a “duciary
relationship”asthattermisconventionallydened.
The Committee Action.Asnotedabove,lastyeartheCommitteewasformally
asked,for thersttime sincethe1989 Acttook effect,whetherMembers whoare
doctorsmayreceivecompensationforpracticingmedicine.RecentlytheCommittee
decided,onthebasisofessentiallythreefactors,thatthoseMembersmaynotreceive
compensationforpracticingmedicine.First,thestatuteandrulearestraightforward
inbanningreceiptofcompensationforpracticingaprofessioninvolvingaduciary
relationship, and it is undisputed that state laws generally establish a duciary
relationshipbetweenadoctorandhisorherpatient.
Second,whileithasbeenarguedthattheseprovisionswerenotintendedto
banthecompensatedpracticeofmedicine,thereportofthe1989HouseBipartisan
Task Force on Ethics, which authored these provisions, states the following with
regardtotheirintendedscope:
The task force intends the ban to reach, for example, services such
as legal, real estate, consulting and advising, insurance, medicine,
architecture,ornancial.
Report of the Bipartisan Task Force on Ethics on H.R.3660,101stCong.,1stSess.16
(Nov.15,1989).
Finally,bothintheSenateandintheExecutiveBranch,theseprovisionsare
interpreted to prohibit the receipt of compensation for practicing medicine. (The
regulationsissuedbytheU.S.OfceofGovernmentEthics,whichareapplicableto
ExecutiveBranchofcials,aresetoutat5C.F.R.§2636.305.)
Insodecidingthequestionofcompensatedmedicalpractice,theCommittee
alsodecidedthatthethree-parttestsetoutonp.103oftheManualwillnolongerbe
usedtodeterminewhetheranyprofessionalservicesinvolveaprohibitedduciary
relationship.Instead,inmakingthatdetermination,theCommitteewillhenceforth
relyontheabove-quotedlistofprofessionssetforthinthe1989TaskForcereport,
aswellastheadmonitioninthereport(onpage16)that,“[T]hetaskforceintends
that the term duciary not be applied in a narrow, technical sense and wants to
ensurethathonorarianotreemergeinvariouskindsofprofessionalfeesfromoutside
interests.”Withregardtoanyparticularprofession,theCommitteewillalsolookto
whetheranyduciaryrelationshipisestablishedbytheapplicablestatelaw,andto
theregulationsissuedbytheU.S.OfceofGovernmentEthics.
In responding to the inquiries on medical practice, the Committee also
Appendices 395
issuedadviceonhowMemberswhoaredoctorsmay,consistentwiththe“duciary
relationship”provisions,continuetopracticemedicineonalimitedbasis.Specically,
the Committee advised that a Member who is a doctor does not violate those
provisionswhenheorshereceives,inanycalendaryear,feesorotherpaymentsfor
medicalservicesthatdonotexceedthe“actualandnecessaryexpenses”incurredby
theMemberduringtheyearinconnectionwiththepractice.Inotherwords,receipt
offeesandotherincomeinthatamountisnotdeemedtoconstitutethepracticeof
medicineforcompensation.
TheCommitteeadoptedthispositiononmedicalpracticeinresponsetotwo
pointsmadebyMemberswhoaredoctors:theyneedtocontinuetopracticeinorder
to maintain their skills, and perhaps even their license to practice medicine, and
medicalpracticenecessarilyentailsanumberofextraordinaryexpenses,including
inparticular thecost ofmalpracticeinsurance. Itis alsonoteworthy thatdening
compensation inthis manner accords withthe denition of thattermused by the
OfceofGovernmentEthics.5C.F.R.§2636.303(b)(6).Thislimitationonthereceipt
offeesandpaymentsformedicalservices,whichiskeyedtotheactualandnecessary
expenses incurred in one’s practice, precludes the receipt of compensation from
medicalpracticeinanyform.
Membersandseniorstaffwhoreceiveoutsideincomethroughtherendering
of professional services should consult with the Committee’s Ofce of Advice and
Education (extension 5-7103) regarding the possible applicability of the “duciary
relationship”provisionsintheircircumstances.Anyquestionsaboutthismemorandum
shouldlikewisebedirectedtotheOfceofAdviceandEducation.
396 HOUSEETHICSMANUAL
U.S. HOUSE OF REPRESENTATIVES
COMMITTEE ON ETHICS
REGULATIONS FOR THE ACCEPTANCE OF DECORATIONS AND GIFTS FROM
FOREIGN GOVERNMENTS
2020
Introduction and Purpose
TheCommitteeonEthicsisauthorizedtoissueregulationsonthissubjectby5
U.S.C.§7342(a)(6)(A),(g)(1),commonlyknownastheForeignGiftsandDecorations
Act(FGDA).
Thepurposeoftheseregulationsistoestablishstandardsfortheacceptanceand
disclosureofdecorations,gifts,andgiftsoftravelorexpensesfortraveltakingplace
entirelyoutsidetheUnitedStatestenderedbyforeigngovernmentsandmultinational
organizationstoMembers,ofcers,andemployeesoftheHouseofRepresentatives.
Regulations
Part 100 – General Provisions and Denitions
§ 101 Purpose. These regulations establish standards for the acceptance and
disclosureofdecorations,gifts,andgiftsoftravelorexpensesfortraveltakingplace
entirelyoutsidetheUnitedStatestenderedbyforeigngovernmentsandmultinational
organizationstoMembers,ofcers,andemployees.
§ 102 United States Constitution. Article I, Section 9, clause 8 (Emoluments
Clause)prohibitsaFederalofcialfromacceptinggiftsofanykindfromaforeign
governmentwithouttheconsentofCongress.
§ 103 FGDA. 5 U.S.C.§7342prohibitsanofceroremployeeoftheGovernmentfrom
requestingorotherwiseencouragingthetenderofagiftordecorationfromaforeign
governmentandprohibitstheacceptanceofsuchgiftsotherthaninaccordancewith
theseregulations. 5U.S.C.§7342(a)(6)(A),(g)(1)authorizestheCommitteetoissue
regulationsonthissubject.
§ 104 House Gift Rule. House Rule 25, clause 5 prohibits a Member, ofcer or
employeefromacceptinganygiftexceptasspecicallyprovidedinthatrule. Among
thegiftsthatcanbeacceptedis“[a]nitem,thereceiptofwhichisauthorizedbythe
[FGDA]....”
Appendices 397
§ 105 Denitions. Forpurposesoftheseregulationsonly,thefollowingdenitions
apply:
(a)
Committee. TheCommitteeonEthics.
(b)
Decoration. Any order, device, medal, badge, insignia, emblem, or
awardtenderedby,orreceivedfrom,aforeigngovernment.
(a)
Foreign Government.
(1) Anyunitofforeigngovernmentauthority,includinganyforeign
national,state,municipalorlocalgovernment;
(2) Any international or multinational organization whose
membership is composed of any unit of foreign government
describedin(1);or
(3) Anyagentorrepresentativeofanyentitydescribedin(1)or(2)
above,whileactingasanagentorrepresentative.
(b)
Gift. Tangibleorintangiblepresent(otherthanadecoration)tendered
by,orreceivedfrom,aforeigngovernment.
(c)
Member, ofcer, or employee. Member, ofcer,or employee ofthe
HouseofRepresentatives.ThistermincludestheResidentCommissioner
ofPuertoRico,theDelegatesoftheHouse,andthespouseordependent
ofanyMember,ofcer,oremployee. AMember,ofcer,oremployeedoes
notneedtoconsidergiftsgiventoaspouseifseparatedatthetimeof
receipt. Dependent is dened in section 152 of the Internal Revenue
Code.
(d)
Minimal value. A value redened every three years by the General
ServicesAdministration(GSA),pursuantto5U.S.C.§7342(a)(5).The
current gure canbe found on the GSA’s website at https://www.gsa.
gov/policy- regulations/policy/personal-property-management-policy/
foreign-gifts.TheClerkofthe Houseisavailable toappraiseitemsto
determinevalue.
* * * *
Part 200 – Consent of Congress for the Acceptance of Decorations.
§ 201 General Provision. Congress consented to a Member, ofcer, or employee
accepting, retaining, and wearing a decoration (1) given in recognition of active
eldservicein timeofcombat operations, or(2) awarded forother outstanding or
unusuallymeritoriousperformance.Acceptanceofadecorationissubjecttoapproval
bytheCommittee.
398 HOUSEETHICSMANUAL
§ 202 Decorations of Minimal Intrinsic Value. WithoutpriorCommitteeapproval,
aMember,ofcer,oremployeemayacceptadecorationtenderedbyorreceivedfrom
aforeigngovernmentwheretheintrinsicvalueisofminimalvalue.
§ 203 Decorations of More than Minimal Intrinsic Value. A Member,ofcer,
oremployeemayaccept,retain,andwearadecorationofmorethanminimalvalue
if that Member, ofcer, or employee seeks and receives prior approval from the
Committee before accepting the decoration. Absent prior approval, decorations of
morethanminimalvaluethatarenotreturnedtothedonorareacceptedonbehalf
oftheUnitedStatesandshallbecomethepropertyoftheUnitedStates.AMember,
ofcer,oremployeewhoreceivesadecorationofmorethanminimalvaluewithout
priorapprovalmayeitherturnthedecorationovertotheClerkoftheHousewithin60
daysofacceptanceorrequestpermissionfromtheCommitteetoretainthedecoration
forofcialuse.AMember,ofcer,oremployeewhoreceivesadecorationofmorethan
minimalvaluemustledisclosurestatementsasrequiredbypart400below.
§ 203.1 Status of Decorations Retained for Ofcial Use. IfaMember,ofcer,or
employeereceivespermissionfromtheCommitteetoretainadecorationofmorethan
minimalvalueforofcialuse,thatdecorationisstillconsideredthepropertyofthe
UnitedStatesonloantothatMember,ofcer,oremployee.Therefore,thedecoration
shallbeusedfordisplaypurposesonlyintheMember,ofcer,oremployee’sofcial
ofce.Whenthe Member,ofcer,or employeeleavestheHouse,any tangiblegifts
retainedunderthisprovisionmustbereturnedtotheClerkoftheHouse.
* * * *
Part 300 – Consent of Congress for the Acceptance of Gifts.
§ 301 General Provision. Congress consented to a Member, ofcer, or employee
accepting certain gifts, or gifts under particular circumstances, from foreign
governments.
§ 302 Gifts of Minimal Intrinsic Value. AMember,ofcer,oremployeemayaccept
giftsofminimalvaluefromforeigngovernmentstenderedandreceivedasasouvenir
ormarkofcourtesy.Marksofcourtesyinclude
(a)
Meals;
(b)
Entertainment;or
(c)
LocaltravelintheUnitedStatesorwhileinthehostcountry.
§ 303 Tangible Gifts of More than Minimal Intrinsic Value. AMember,ofcer,
or employeemay accept a tangiblegift of more thanminimalvalue where refusal
maycauseoffenseorembarrassment.ThesegiftsareacceptedonbehalfoftheUnited
Appendices 399
StatesandshallbecomethepropertyoftheUnitedStates.Unlesspromptlyreturned,
theMember,ofcer,oremployeereceivingthetangiblegiftunderthissectionmust
(a)
TurnthetangiblegiftovertotheClerkoftheHousewithin60daysof
receiptfordisposalorrequestpermissionfromtheCommitteetoretain
thedecorationforofcialuse;and
(b)
Filedisclosurestatementsasrequiredbypart400below.
§ 303.1 Status of Tangible Gifts Retained for Ofcial Use. IfaMember,ofcer,
oremployeereceivespermissionfromtheCommitteetoretainatangiblegiftofmore
thanminimalvalueforofcialuse,thattangiblegiftisstillconsideredthepropertyof
theUnitedStatesonloantothatMember,ofcer,oremployee.Therefore,thetangible
gifts shall be used for display purposesonlyinthe Member, ofcer, or employee’s
ofcialofceandshallnotbeconsumedinanymanner.WhentheMember,ofcer,or
employeeleavestheHouse,anytangiblegiftsretainedunderthisprovisionmustbe
returnedtotheClerkoftheHouse.
§ 303.2 Aggregation of Gifts. To determine whether the value of tangible gifts
exceedsminimalvalue
(a)
Aggregate the value of gifts given at the same presentation from the
samesource;forexample,aggregatethevalueofthreebooksgivenby
thesameforeignofcialduringastatedinner.
(b)
Donotaggregategiftsgivenbythesamesourceatdifferentpresentations
or by different sources at the same presentation; for example, do not
aggregate the value of three books given by representatives of three
differentforeigngovernmentsatanevent.
(c)
Aggregateagiftfromthespouseofaforeignofcial,asitisconsidered
agiftfromtheforeignofcial/government.
(d)
Aggregateagift to theMember, ofcer, oremployee’s spouse, asit is
consideredagifttotheMember,ofcer,oremployee.
§ 304 Educational Scholarship or Medical Treatment. A Member, ofcer, or
employee may personally accept agift ofmorethan minimal valuefrom a foreign
governmentforaneducationalscholarshipormedicaltreatment.
§ 304.1 Educational Scholarship. AMember,ofcer,oremployeemayonlyaccept
an educational scholarship from a foreign government if the Member, ofcer, or
employeeseeksandreceivespriorapprovalfromtheCommitteebeforeacceptingthe
educationalscholarship.Thisexceptiondoesnotincludetransportationtoorfromthe
UnitedStatesunlessofferedasatermofaneducationalscholarship.
§ 304.2 Medical Treatment. AMember,ofcer,oremployeemayonlyacceptmedical
400 HOUSEETHICSMANUAL
treatmentfromaforeigngovernmentif
(a)
TheMember,ofcer,oremployeeseeksandreceivespriorapprovalfrom
theCommitteebeforeacceptingthemedicaltreatment,or
(b)
Themedicaltreatmentisprovidedforanunexpectedillnessoraccident
requiringimmediatemedicalattentionwhileinthehostcountry.
§ 305 Travel or Expenses for Travel Outside the United States. AMember,
ofcer, or employee may accept gifts of travel or travel expenses from a foreign
government taking place entirely outside of the United States when the travel is
directlyrelatedtotheMember,ofcer,oremployee’sofcialduties.
§ 305.1 “In-Country” Travel. Travelortravelexpensesofferedunder§305include
“in-country”expensesforfood,lodging,transportation,andentertainmentofferedby
thehostcountry.
§ 305.2 Examples of Permissible Travel Expenses.
(a)
Accepting local transportation from the host countrytoinspecta site
nearwheretheMemberistravelingonprivately-sponsored,ofcially-
connectedtravelapprovedbytheCommittee.
(b)
Acceptinglodgingandamealfromthehostcountrybeforeaddressing
thatcountry’slegislature.
(c)
Acceptingin-countryairfarefromthehostcountrytovisitanotherarea
ofthecountryforfact-ndingpurposeswhileonaStaffDelegationtrip.
(d)
Accepting transportation leaving or returning to a different foreign
countrytovisitthehostcountry.
(e)
Acceptingagondolarideorattendingaperformanceoflocaldancewhile
travelingonaCongressionalDelegationtrip.
§ 305.3 Examples of Impermissible Travel Expenses.
(a)
Acceptingtransportationleaving orreturningto theUnitedStates to
visitthehostcountry.
(b)
Acceptinglodgingfromthehostcountrywhileonpersonalvacation.
§ 305.4 Travel Expenses for Spouses or Dependents. Thespouseordependent
of a Member, ofcer, or employee may accept in-countrytravel ortravel expenses
whenaccompanyingtheMember,ofcer,oremployee.Thetravelortravelexpenses
maynotbeacceptedmerelyforthepersonalbenet,pleasure,enjoyment,ornancial
enrichmentofthespouse;dependent;orMember,ofcer,oremployee.
Appendices 401
§ 306 Foreign Educational or Cultural Exchange. These regulations do not
coveraMember,ofcer,oremployeeaccepting assistanceorgrantsfromaforeign
governmenttoparticipateinforeignexchangeorvisitorsprogramsauthorizedbythe
MutualEducationalandCulturalExchangeAct,outlinedin22U.S.C.§2458a.
* * * *
Part 400 – Reports and Disclosures.
§ 401 General Provisions.
(a)
AnygiftofferedtoaspouseordependentofaMember,ofcer,oremployee
undertheseregulationsshallbeconsideredagifttotheMember,ofcer,
oremployeeandmustbedisclosed.
(b)
AnydecorationpresentedtoaspouseordependentofaMember,ofcer,
oremployeeundertheseregulationsshallbeconsideredpresentedtothe
Member,ofcer,oremployeeandmustbedisclosedifitisapparentthe
decorationwouldnothavebeenofferedbutfortherecipient’srelationto
theMember,ofcer,oremployee.
§ 402 Tangible Gifts and Decorations of More than Minimal Value.
(a)
AMember,ofcer,oremployeeshallleadisclosurestatementwiththe
Committeenolaterthan60daysafteracceptingadecorationortangible
giftofmorethanminimalvalue.Acopyofthedisclosurestatementcan
be found on the Committee’s website at https://ethics.house.gov. The
disclosurestatementmustinclude
(1)
The name and position of the reporting individual and the
recipient;
(2)
Abriefdescriptionofthegiftordecorationandthecircumstances
justifyingacceptance;
(3)
TheestimatedvalueintheUnitedStatesatthetimeofacceptance;
(4)
Thedateofacceptanceofthegiftordecoration;
(5)
Theidentity,ifknown,oftheforeigngovernmentandthename
andpositionoftheindividualwhopresentedthegiftordecoration;
and
(6)
Dispositionorcurrentlocationofthegiftordecoration.
(b)
A Member, ofcer, or employee who is required to le a nancial
disclosurestatementpursuanttotheEthicsinGovernmentAct(EIGA)
5U.S.C.app.§101shallreportthedecorationortangiblegiftofmore
thanminimalvalueonScheduleG(“Gifts”)ofhisorherannualnancial
disclosure statement if the Member, ofcer, or employee receives
approvalfrom theCommittee toretain thedecoration for personal or
ofcialdisplayorthetangiblegiftforofcialdisplay.
402 HOUSEETHICSMANUAL
§ 403 Travel or Expenses for Travel Outside the United States.
(a)
AMember,ofcer,oremployeeshallleadisclosurestatementwiththe
Committeenolaterthan30daysafteracceptanceofthegiftoftravel,
regardlessofvalue. Acopyofthedisclosurestatementcanbefoundon
the Committee’s website at https://ethics.house.gov. The disclosure
statementmustinclude
(1)
Thenameandpositionofthereportingindividual;
(2)
A brief description of the gift and the circumstances justifying
acceptance;and
(3)
Theidentity,if known,oftheforeigngovernmentandthename
andpositionoftheindividualwhopresentedthegift.
(b)
Travel or travel expenses accepted under these regulations are not
subjecttotheCommittee’sregulationsforprivately-sponsored,ofcially-
connectedtravelanddonotneedtobepre-approvedbytheCommittee.
(c)
Travel or travel expenses accepted under these regulations that are
disclosedpursuantto§403(a)donotneedtobereportedonanannual
nancialdisclosurestatementpursuanttoEIGA.
§ 404 Educational Scholarship or Medical Treatment
(a)
Aneducationalscholarshipormedicaltreatmentacceptedunderthese
regulationsdoesnotneedtobereportedtotheCommitteeinasimilar
mannerastangiblegifts,decorations,andtravel.
(b)
A Member, ofcer, or employee who is required to le a nancial
disclosurestatementpursuanttotheEthicsinGovernmentAct(EIGA)
5U.S.C.app.§101shallreporttheeducationalscholarshipormedical
treatmentofmorethanminimalvalueonScheduleG(“Gifts”)ofhisor
herannualnancialdisclosurestatement.
§ 405 Public Inspection.
(a)
Disclosure reports led according to §§ 402(a) and 403(a) shall be
maintained by the Committee and available for public inspection at
reasonablehours.
(b)
Notlater thanJanuary31 ofeach year,the Committee shallcompile
alist of alldisclosure statementsled during thepreceding yearand
transmitthelisttotheSecretaryofStateforpublicationintheFederal
Register.
(c)
TheCommitteeshallmaintainalldisclosurestatementsledpursuant
to §§402(a) and 403(a) for seven years following transmittal to the
SecretaryofState.
Appendices 403
December20,2011
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
JoBonner,Chairman
LindaT.Sánchez,RankingMember
SUBJECT: RevisedLegalExpenseFundRegulations
TheHousegiftrulepermitstheacceptanceof“acontributionorotherpayment
toalegalexpensefundestablishedforthebenetofaMember,ofcer,oremployee
thatis otherwiselawfully madein accordancewith therestrictions anddisclosure
requirementsoftheCommitteeonEthics,”aslongasthecontributionisnotfroma
registeredlobbyistoranagentofaforeignprincipal.
1
OnJune10,1996,theCommittee
rstissuedLegalExpenseFundRegulations(1996LEFRegulations)governingthe
restrictionsanddisclosurerequirementspursuanttothatprovision.
2
The regulations attached hereto supersede the 1996 LEF Regulations
and take effect as of January 1, 2012.Thepriorregulationsremainineffectuntil
thatdate. Oncethey takeeffect,the revisedregulations will applyto allexisting
LEFsandallLEFsapprovedbytheCommitteeinthefuture.
BasedontheCommittee’sexperienceinterpretingandapplyingthe1996LEF
Regulations, the Committee hereby issues revised LEF regulations. There are a
numberofchangestotheregulations,buttheCommitteewouldliketohighlightthe
followingsubstantivechanges:
• ClaricationofthepermissiblebasesforestablishinganLEF
Trust(Regulation1.2);
• Denitionoftherequirementthattrusteeshaveno“family,
business,oremploymentrelationship”withthebeneciary(Reg-
ulation2.2);
• Discussionofthedutiesofthetrustee(Chapter2);
• Attributionofacontributionofapartnership,limitedliability
companyorScorporationtoindividualownersofthebusiness
(Regulation3.3);
1
HouseRule25,clause5(a)(3)(E).
2
SeeComm.onStandardsofOfcialConduct,LegalExpenseFundRegulations(June1996),
reprinted in Appendixtothe2008 House Ethics Manualat394.
404 HOUSEETHICSMANUAL
• RulesfordepartingMembersandemployeeswhohaveanLEF
trust(Regulation4.8);
• Useofofcialresourcesrelatedtoatrust(Chapter5);
• Provisionsrelatedtotheterminationofatrust(Chapter6);and
• Enforcementprovisions(Chapter7).
Any Member or employee with an existing LEF should be aware of several
requirements that apply to existing trusts. First, under Regulation 8.1, any
MemberwhoestablishedatrustpriortoJanuary1,2012,mustmakeanynecessary
modications to the trust document to bring it into compliance with the revised
regulations; receiveCommittee approval of theproposedamendments to the trust
agreement;andleacopyoftheamendedtrustdocumentwiththequarterlyreportof
activityduebyJanuary30,2012.Inaddition,pursuanttoRegulation8.2,byJanuary
30,2012,eachtrusteeforanLEFmustprovideanafdavittotheCommittee,with
acopytotheClerkattheLegislativeResourceCenter,statingthetrusteehasread
and understands the revised regulations, and consents to administer the trust in
conformitywiththeseregulations.
The Committee reviews the regulations on an ongoing basis and welcomes
feedbackfromtheHousecommunity.Ifyouhaveanyquestionsorcommentsabout
therevisedregulations,pleasecontacttheCommittee’sAdviceandEducationstaff
at(202)225-7103.
Appendices 405
LEGAL EXPENSE FUND REGULATIONS
EffectiveJanuary1,2012
CHAPTER1:ESTABLISHMENTOFLEGALEXPENSEFUNDTRUSTS
Regulation 1.1 – A Member, ofcer, or employee who wishes to solicit and/or
receivedonationsforaLegalExpenseFund,incashorinkind,topaylegal
expensesshallobtainthepriorwrittenpermissionoftheCommitteeonEthics
(Committee).
1
Regulation1.2–TheCommitteeshallgrantpermissiontoestablishaLegalExpense
Fundonlywherethelegalexpensesariseinconnectionwith:
A. theindividual’scandidacyfor,orelectionto,federalofce;
B. the individual’s ofcial duties or position in Congress (including
legalexpensesincurredinconnectionwith(i)anamicusbriefled
in a Member’s ofcial capacity or (ii) matters before the Ofce of
CongressionalEthicsorCommitteeonEthics);
C. a civil action led in a Member’s ofcial capacity challenging the
validityofafederallaworregulation;
D. acriminalprosecutionoftheMember,ofcer,oremployee;or
E. a civil matter bearing on the individual’s reputation or tness for
ofce.
Regulation 1.3 – The Committee shall not grant permission to establish a Legal
ExpenseFundwherethelegalexpensesariseinconnectionwithamatterthat
is primarily personal in nature (e.g., a matrimonial action, personal injury
claim,orpersonalcontractdispute).
Regulation1.4–AMember,ofcer,oremployeeseekingtoestablishatrust(Trustor)
mustmakeawritten requestto theCommitteethatprovidesthe nameand
contact information for the proposed Trustee, attaches a proposed trust
document,andstatesthefollowing:
A. thenatureofthelegalproceeding(orproceedings)which
1
Permissionisnotrequiredtosolicitand/orreceiveadonationinanyamountfromarelative
oradonationofupto$250fromapersonalfriend,asdenedbyHouseRule25,cls.5(a)(3)(C)and
(D)and5(a)(5).
406 HOUSEETHICSMANUAL
necessitatetheestablishmentofsuchatrustfund;
B. thatheorshewillbeboundbytheseRegulations;and
C. thatalthoughaTrusteewilloverseethetrust,thatheorshebears
ultimateresponsibilityfortheproperadministrationofthetrust.
Regulation1.5–Nocontributionshallbesolicitedfor,oracceptedby,aLegalExpense
FundpriortotheCommittee’swrittenapprovalofthecompletedtrustdocument
(includingthenameoftheTrustee)anditslingwiththeLegislativeResource
CenteroftheClerkoftheHouse(B106CannonHouseOfceBuilding).
Regulation1.6–Noamendmentofthetrustdocumentiseffective,andnosuccessor
or substitute Trustee may be appointed, without the Committee’s written
approvaland theling oftheamended trustdocument withthe Legislative
ResourceCenter.
Regulation 1.7 – No Member, ofcer, or employee may establish and/or maintain
morethanoneLegalExpenseFundatanyonetime.
CHAPTER2:SELECTIONANDDUTIESOFTRUSTEES
Regulation2.1–ALegalExpenseFundshallbesetupasatrust,administeredbyan
independentTrustee,whoshalloverseefundraisingforthetrust.
Regulation 2.2 – The Trustee shall not have any family, business, or employment
relationshipwiththeTrustorwithintwoyearspriortotheestablishmentof
thetrustoratanytimewhileservingasTrustee.Forexample,anyindividual
orinstitutionservingasanemployeeof,oraconsultant,attorney,oradvisor
to, a requesting Member’s congressional or campaign ofces, or private
businessmay notserve asthe Trustee. TheTrustee shallnot delegateany
responsibilities of administering the trust to any person with any family,
business,oremploymentrelationshipwiththeTrustor.
Regulation 2.3 – The Trustee shall provide an afdavit to the Committee, with a
copytotheClerkattheLegislativeResourceCenter,statingthattheTrustee
hasreadandunderstandstheprovisionsoftheseRegulationsgoverningthe
establishment,administration,andterminationofaLegalExpenseFund,and
that the Trustee consents to administer the trust in conformity with these
RegulationsandHouseRules.
Regulation 2.4 – In addition to the duties imposed by any applicable state laws,
Appendices 407
theTrusteeshallberesponsibleforthereceiptofcontributionstothetrust;
authorization of expenditures and disbursements from the trust; providing
informationtotheTrustorsothattheTrustorcanlethereportsrequiredby
Chapter4oftheseRegulations;andtheperformanceofothertasksincidentto
theadministrationofthetrust.
Regulation2.5–TheTrusteemustinformtheCommitteeassoonaspracticableof
anychangeinhisorhercontactinformation.
CHAPTER3:CONTRIBUTIONSANDUSEOFFUNDS
Regulation3.1–Ofcialresourcesmaynotbeusedtoassistwithfundraisingfora
LegalExpenseFund.Aswithanyorganizationthatisnota501(c)(3)nonprot,
anyMember,ofcer,oremployeewhowantstosolicitfundsintheirpersonal
capacityfortheLegalExpenseFundofanotherMember,ofcer,oremployee
mustrstseekwrittenpermissionfromtheCommittee.
Regulation 3.2 – Other than as specically barred by law or regulation, a Legal
ExpenseFundmayacceptcontributionsfromanyindividualororganization,
includingacorporation,laborunion,orpoliticalactioncommittee(PAC).
Regulation3.3–Iftheorganizationmakingthecontributionisapartnership,limited
liability company (LLC)thatis not taxed as a corporation, orS corporation
thecontributionofthepartnership,LLC,orS corporationwillbeattributed
to the partnership, LLC, or S Corporation and to each partner, member, or
shareholderindirectproportiontothepartner,member,orshareholder’sshare
oftheorganization’sprots.
Regulation 3.4 – A Legal Expense Fund shall not accept any contribution from a
lobbyist registered under the Federal Regulation of Lobbying Act or any
successor statute, including the Lobbying Disclosure Act of 1995 (2 U.S.C.
§1601et seq.)oranagentofaforeignprincipalregisteredundertheForeign
AgentsRegistrationAct(22U.S.C.§611et seq.).
Regulation 3.5 – A Legal Expense Fund shall not accept more than $5,000 in a
calendaryearfromanyindividualororganization.
Regulations3.6–ThelimitationsandprohibitionsoncontributionsinthisChapter
applytobothcontributionsoffundsandin-kinddonationsofgoodsorservices.
Anyin-kinddonationwillbevaluedatitsfairmarketvalue.
Regulation3.7–AMember,ofcer,oremployeemayacceptpro bonolegalassistance
withoutlimitonlyforthefollowingpurposes:
408 HOUSEETHICSMANUAL
A. toleanamicusbriefinhisorhercapacityasaMemberofCongress;
B. tobringacivilactionchallengingthevalidityofanyfederallawor
regulation;or
C. to bring a civil action challenging the lawfulness of an action of a
federalagency,oranactionofafederalofcialtakeninanofcial
capacity,providedthattheactionconcernsamatterofpublicinterest,
ratherthanamatterthatispersonalinnature.
Regulation 3.8 – Pro bono legal assistance for other purposes shall be deemed a
contribution,valuedatfairmarketvalue,subjecttotherestrictionsofthese
Regulations.Forpurposesoftheannualcontributionlimit,alawrmandits
partnersandemployeesareconsideredonedonor.Ifalawrmreachesthe
contribution limit, no partner or employee of the law rm may provide pro
bonolegalassistanceindividually.
Regulation 3.9 – Trust funds shall be used only for legal expenses (including
reimbursement for previously paid legal expenses) related to those legal
proceedings for which the Committee has given written permission for
paymentfromtheLegalExpenseFund(andexpensesincurredinsolicitingfor
andadministeringthetrust,andforthedischargeoffederal,state,andlocal
taxliabilities,shouldanybedeemedtoexist,whichareincurredasaresultof
thecreation,operation,oradministrationofthetrust),exceptthatanyexcess
fundsshallbereturnedtocontributorsatthetimeofthetrust’stermination.
UndernocircumstancesmaythebeneciaryofaLegalExpenseFundconvert
thefundstoanyotherpurpose.
A. Examples of common legal expenses include attorney and expert
witness fees, copying costs, electronic discovery costs, court costs,
costsrelatedtodepositionsandinterviews,andtravelcostsassociated
directlywiththecase.
B. Examplesofcommonexpensesrelatingto solicitationfor thetrust
includecostsformailings,aWebsite,orfundraisers.
C. Anycostsassociatedwithcompletingthequarterlyreportrequired
under Chapter 4 of these Regulations are costs payable from the
trust.
D. Ifthebeneciaryisseekingtohaveanuncommoncostpaid,eitherthe
beneciaryortheTrusteeshouldseektheguidanceoftheCommittee
beforepayment.
Appendices 409
Regulation 3.10 – The Trustor may choose to include present and former House
staffasbeneciariesofthetrust.TheTrustormustseekwrittenCommittee
permissiontoaddanyindividualotherthantheTrustorasabeneciary.The
Trustor must receive written permission before any bill for House staff is
paid.IftheCommitteegrantspermission,theTrustormustcomplywiththe
followingguidelines:
A. Anystaffpersonaddedasabeneciaryshouldavoidbeingrepresented
byanycounselwhosimultaneouslyrepresentstheTrustor,orcounsel
whoisemployedbythesamelawrmasanycounselwhohasbeen
engagedtorepresenttheTrustor.Shouldanystaffmemberchooseto
berepresentedbythesamecounseland/orlawrmwhichrepresents
the Trustor, the Committee requires that both parties execute a
writtenagreementconsentingtodualrepresentationconsistentwith
theABAModelRules.
B. While the Trustor, or the Trustor’s attorney, may recommend a
particularcounseltostaff,trustfundsmayonlybeusedtopaystaff
legalexpensesifeachstaffmemberisfreetoengagecounselofthe
staff’sownchoosing,regardlessofanysuchrecommendation.
C. WhiletheTrustorisnotrequiredtousetrustfundstopaythelegal
expenses of every staff person requesting such reimbursement, to
avoid any appearance of impropriety the Trustor should exercise
caution and apply uniform standards in determining whose legal
expensestoreimburse.
D. Anystaff forwhom thetrust intendstopaylegalexpenses should
be furnished with a copy of these Regulations by the Trustor and
encouragedtocontacttheCommitteewithanyquestionsorconcerns
regardingtheseRegulations.
Regulation3.11–TheCommitteemaygrantpermissiontoestablishatrusttopay
forlegalexpensesincurredpriortotheMember,ofcer,oremployeeseeking
approvaltoestablishatrust.TheMember,ofcer,oremployeeshouldsubmit
awrittenrequesttotheCommitteethatdetailstheamount,timeperiod,and
mattersforwhichlegalexpensesarebeingsought,andanexplanationforthe
delay in seekingpermissionto establish a trust to pay such expenses. The
CommitteewillreviewtherequestanddeterminewhethertheuseofaLegal
ExpenseFundtopaytheexpensesisappropriate.
Regulation3.12–AllcontributionstoaLegalExpenseFundmustbekeptinaseparate
bankaccountestablishedforthatpurpose.Thefundsmustbesegregatedfrom,
410 HOUSEETHICSMANUAL
andmaynotbecommingledwith,thepersonal,political,orofcialfundsofthe
Trustor,orthefundsofanyotherindividualorlegalentity.
Regulation3.13–ContributionstoaLegalExpenseFundaregiftsunderHouseRule
25,clause5.Assuch,anycontribution(orgroupofcontributions)inacalendar
year totaling more than the minimal value as established by Foreign Gifts
andDecorationsAct,5U.S.C.§7342(a)(5),mustbedisclosedintheTrustor’s
annualFinancialDisclosureStatement.Thedollaramountoftheminimum
value is provided on the Committee Web Site, in the Financial Disclosure
InstructionManual,andontheannualFinancialDisclosureform,ormaybe
obtainedbycontactingtheCommittee.
CHAPTER4:DISCLOSUREANDREPORTINGREQUIREMENTS
Regulation4.1–WithinoneweekoftheCommittee’sapprovalofthetrustdocument,
theTrustorshallleacopyofthetrustdocumentwiththeLegislativeResource
Center,B106CHOB,forpublicdisclosure.
Regulation4.2–TheTrustorofaLegalExpenseFundshallalsoreportthefollowing
informationtotheCommitteeonaquarterlybasis:
A. anycontributionfromacorporation,partnership,LLC,orlabor
union;
B. anycontribution(orgroupofcontributions)exceeding$250ina
calendaryearfromanyothersinglesource;
C. any expenditure (or group of expenditures) from the Legal
Expense Fund exceeding $250 in a calendar year to any single
payee,directlyorindirectly;and
D. Thenamesofanystaffmemberswhoselegalexpensesarepaidby
theLegalExpenseFund.
Regulation4.3–AnyMember,ofcer,oremployeeacceptingpro bonolegalservices
pursuanttoRegulation3.6mustreportthefairmarketvalueoftheservices
providedonthequarterlyreport.
Regulation4.4–Thequarterlyreportsshallstatethefullnameandstreetaddress
ofeachdonor,contributor,orrecipientrequiredtobedisclosed.Fordonations
from partnerships, LLCs, and S corporations, the report shall state the full
nameandaddressofthepartnership,LLC,orScorporationandthefullnames
andaddressesofthepartners,members,orshareholdersofthepartnership,
Appendices 411
LLC,orScorporationandtheamountofthecontributionattributedtoeach
partner, member, or shareholder. For pro bono services, the report must
identifyboththenamesoftheindividualattorneyswhoprovidetheservices
andthenameofthelawrm. Forrecipients,thereportshallalsostatethe
purposeofthepayment.
Regulation4.5–Theoriginalsignedcopyofeachquarterlyreportmustbeled
withtheCommitteeandacopyshallbeledforpublicdisclosureatthe
LegislativeResourceCenter.
Regulation4.6–Thequarterlyreportsshallbedueasfollows:
ReportingPeriod DueDate
January1toMarch31 April30
April1toJune30 July30
July1toSeptember30 October30
October1toDecember31 January30
ShouldthelingdatefallonaSaturday,Sunday,orholiday,thenext
succeedingbusinessdayshallbedeemedtheduedate.
Regulation 4.7 – The Trustor must le quarterly reports until the trust has been
terminated,as describedinChapter 5,or theTrustorles analdeparting
TrustorreportundertheseRegulations,whicheveroccursrst.
Regulation4.8–IftheTrustorisdepartingofceorleavingHouseemployment,the
TrustormustleanaldepartingTrustorreportnolaterthantherstdue
datefollowingtheendoftheTrustor’scongressionalservicewhichcontainsthe
following:
A. areportofcontributionsreceivedandexpendituresmadepursuant
to these Regulations covering the period between the last-led
quarterly report and the date the Trustor departed ofce or left
Houseemployment;and
B. astatementastowhetherthetrustwillbeterminatedorremainin
forceupontheTrustordepartingofceorleftHouseemployment.
Regulation4.9–AlldocumentsledpursuanttotheseRegulationsshallbeavailable
at the Legislative Resource Center for public inspection and copying. Any
personrequestingsuchdocumentsshallberequiredtopayareasonablefeeto
coverthecostofreproduction.
412 HOUSEETHICSMANUAL
CHAPTER5:USEOFOFFICIALRESOURCES
Regulation5.1–Membersandemployeesmaynotuseofcialresourcesforanywork
relatedtoaLegalExpenseFundiftheLegalExpenseFundwascreatedforthe
purposestatedinRegulation1.2(A)(anindividual’scandidacyorelectionto
ofce,includingredistricting)or(E)(acivilmatterbearingontheindividual’s
reputationandtnessforofce).
Regulation5.2–MembersshouldconsultwiththeCommitteebeforeusinganyofcial
resourcesforworkrelatedtotheMember’sLegalExpenseFundiftheLegal
ExpenseFundwascreatedforpurposestatedinRegulation1.2(D)(acriminal
prosecutionoftheTrustor).
Regulation5.3–MembersmayuseofcialresourcesforanyworkrelatedtoaLegal
ExpenseFundiftheLegalExpenseFundwascreatedforthepurposestatedin
Regulation1.2(B)(theTrustor’sofcialpositioninofce)or(C)(acivilmatter
ledintheMember’sofcialcapacitychallengingafederallaworregulation).
CHAPTER6:TERMINATIONOFTRUSTS
Regulation 6.1 – A trust may only be terminated by the Trustee according to the
termsofthe trustatthe earlierof:(A) theendof thetimeperiod forwhich
thetrustwasestablished;(B)thepurposeofthetrustisfullledornolonger
exists;(C)atthedirectionoftheTrustor;or
(D) at the direction the Committee for noncompliance with these
Regulations.
Regulation6.2– Within90days ofthetermination ofthetrust, theTrusteemust
distributeanyremainingfundsorassetstocontributorsofthetrustonapro
ratabasisasdeterminedbytheTrusteeordonatedtooneormoreorganizations
describedin§501(c)(3)oftheInternalRevenueCodeof1954andexemptfrom
taxationunder§501(a)thereof.TheTrustormustreceivewrittenapproval
from the Committee of the 501(c)(3) organization(s) to which the Trustor
wishestodonatetheexcessfundspriortomakinganysuchdonations.Funds
fromaLegalExpenseFundmaynotbedonatedtoanorganizationthatwas
establishedoriscontrolledbytheTrustor.
Regulation 6.3 – After a trust has been terminated, the Trustor must le a nal
quarterlyreportofcontributionsreceivedandexpendituresmadepursuantto
theseRegulationscoveringtheperiodbetweenthelastledquarterlyreport
and the date the trust was terminated. In addition, the nal report must
containastatementcertifyingthatanyremainingfundsweredistributedto
contributorspursuanttotheseRegulations.
Appendices 413
CHAPTER7:COMMITTEEENFORCEMENT
Regulation7.1–TheCommitteeshallmonitortheactivitiesofanyLegalExpense
Fund established pursuant to these Regulations, and may direct specic
remedialactions,orthatanauditbemadeofsuchtrustwhen,inthejudgment
oftheCommitteeorChairmanandRankingMemberthereisreasontobelieve
thatthetrustisbeingimproperlyadministered,orforothergoodcause.
Regulation7.2–UponadeterminationbytheCommitteeorChairmanandRanking
Memberthatanauditofatrustshouldbemade,theCommitteeshallselect
a qualied auditor to examine the records of such a trust. The expense of
an auditperformed at the directionof the Committee shallbeborne by the
Committee.
Regulation 7.3 – Upon a nding by the Committee or Chairman and Ranking
Memberthatthetrustisbeingimproperlyadministered,iftheTrustorand/
ortheTrusteefailtocomplywiththeseRegulationsorthetrustagreement,
or for other good cause, the Committee or Chairman and Ranking Member
maydirectthatthetrustbeterminatedandthatthefundsbedistributedin
accordancewiththeprovisionsinChapter5.TheCommitteeshallnotifythe
Trustor in writing andacopy shall be provided to the Legislative Resource
Centerforpublicdisclosure.
Regulation7.4–UponandingbytheCommitteethatatrusthasbeenimproperly
administered, or that these Regulations have been otherwise violated, the
Committeemayrecommenddisciplinaryactiontobetakeninaccordancewith
HouseRulesandtheRulesoftheCommittee.
CHAPTER8:CONFORMINGEXISTINGTRUSTS
Regulation8.1–AnyMember,ofcer,oremployeewhoestablishedaLegalExpense
FundpriortoJanuary1,2012,shallmakeanynecessarymodicationstothe
trust document to bring it in compliance with these Regulations and shall
disclosetheamendedtrustdocumentwithhisorherquarterlyreportdueon
January30,2012.
Regulation8.2–NolaterthanJanuary30,2012,theTrusteeforanexistingtrustshall
provideanafdavittotheCommittee,withacopytotheClerkattheLegislative
Resource Center, stating that the Trustee has read and understands the
provisionsoftheseRegulationsgoverningtheestablishment,administration,
andterminationofaLegalExpenseFund,andthattheTrusteeconsentsto
administerthetrustinconformitywiththeseRegulationsandHouseRulesby
January30,2012.
414 HOUSEETHICSMANUAL
Guidance on Intern, Volunteer, and Fellow Programs
LETTEROFJUNE29,1990
1
DearColleague:
The Committee on Standards of Ofcial Conduct has received a number of
inquiriesregardingtheproprietyofHouseofcesacceptingservicesfromvolunteers,
2
interns,
3
fellows,
4
andotherswhoreceivenosalaryfromtheHouseofRepresentatives.
ThisistoexplaintheCommittee’spolicyonthissubjectforallMembersandHouse
ofces.
HouseRule24,“ProhibitionofUnofcialOfceAccounts,”wasadoptedbythe
HouseonMarch2,1977,alongwithotherrecommendationsoftheCommissionon
AdministrativeReview.H.Res.287,95thCongress,123CongressionalRecord5933-
53.Inrecommendingtherule,theCommissionposedthequestion:“Isitproperfora
privatecorporation,independentbusinessman,oranyoneelsetopayfortheconduct
of the House’s ofcial business?” The Commission concluded that the answer was
“no,”thata“wall”shouldexistbetweenofcialandunofcialfunds.H.Doc.No.95-
73,FinancialEthics,95thCong.,1stSess.,p.17.
InAdvisoryOpinionNo.6,interpretingtheunofcialofceaccountprohibition,
theHouseSelectCommitteeonEthicsconcludedthatinadditiontomoney,Rule24
prohibitstheprivate,in-kindcontributionofgoodsorservicesforofcialpurposes.
TheSelectCommitteefoundthat“nologicaldistinctioncanbedrawnbetweenthe
privatecontributionof,in-kindservicesandtheprivatecontributionofmoney,and
thatbothperpetuatetheverykindofunofcialofceaccountsandpracticesthatare
prohibited”bytherule.H.Rep.No.95-1837,95thCong.,2dSess.,FinalReportofthe
SelectCommitteeonEthics,p.65.
However,theSelectCommitteedidrecognizeseveralexceptionstothegeneral
prohibitionagainsttheacceptanceofservices,includingthefollowing:
1
Thisletterhassincebeenupdatedtoreect,amongotherthings,there-numberingofthe
HouseRulesthatoccurredatthebeginningofthe106thCongressandinthe107thCongress.
2
A“volunteer”asusedinthislettermeansanindividualperformingservicesinaHouseofce
withoutcompensationfromanysource.
3 
An“intern”isanindividualperformingservicesinaHouseofceonatemporarybasisincidental
tothepursuitoftheindividual’seducationalobjectives.Someinternsreceivenocompensationfrom
anysource,whilesomereceivecompensationorotherassistancefromaneducationalinstitutionor
othersponsoringentity.WhilesomeinternsmayreceivecompensationfromHouseallowances,this
letterdealsprimarilywiththosewhodonotreceivesuchHousecompensation.
4
A“fellow”isanindividualperformingservicesinaHouseofceonatemporarybasisaspart
ofanestablishedmid-careereducationprogram,whilecontinuingtoreceivetheusualcompensation
fromhisorhersponsoringemployer.
Appendices 415
Servicesprovidedbyfederal,state,orlocalgovernment
agencies;
Intern,fellowship,orsimilareducationalprogramsthat
are primarily of educational benet to the individual, as
opposedtoprimarilybenetingtheMemberorofce,and
which do not give undue advantage to special interest
groups.
Accordingly,whileHouseRule24generallyprohibitsMembersfromaccepting
eithertheservicesofvolunteersorofindividualscompensatedforcongressionalduties
by an outside entity, limited authority exists to accept the services of volunteers,
interns,andfellows.
Inthisregard,theSelectCommitteeexpressedtheviewthattheintentand
spirit of House Rule 24 would be violated if a congressional ofce attempted to
supplementofcialallowancesbydirectlyorindirectlyraising,receiving,ordisbursing
contributions, if such contributions were to be used to compensate individuals
workinginaHouseofce,orusedtosupportprogramswhichplacedinterns,fellows,
or volunteers in Houseofces.The prohibition against engaging in such activities
appliestobothMembersandstaff.
Alsorelevanttothisissueis31U.S.C.§1342,asfollows:
An ofcer or employee of the United States Government
oroftheDistrictofColumbiagovernmentmaynotaccept
voluntary services for either government or employ
personalservicesexceedingthatauthorizedbylawexcept
foremergenciesinvolvingthesafety ofhumanlife orthe
protectionofproperty.
InOpinionB-69907,issuedFebruary11,1977,theComptrollerGeneralofthe
UnitedStatesdeterminedthatthestatuteappliestoMembersofCongressandother
ofcersandemployeesoftheLegislativeBranch.However,becausethestatutewas
enactedtopreventfundingdeciencies,itwasdeemednottoprohibitaMemberof
Congressfromutilizingvolunteerstoassistintheperformanceofofcialfunctions
oftheMember’sofce,providedsuchvolunteersagreeinadvancetoservewithout
compensation,sothatthereisnobasisforafutureclaimforpayment.
Theacceptanceofservicesfromvolunteersnotassociatedwithanestablished
programpotentiallyraisesotherconcerns.IndividualswhoarenotHouseemployees
5
are not subject to rules and statutes governing their conduct. However, such
individualsmaybeinapositiontotakeactionsandmakerepresentationsinthename
ofaMember,fortheMembermayberesponsible.TheMemberorofcemayalsobe
5
An “employee” for the purposes of this letter means a person appointed to a position of
employment in the House of Representatives by an authorized employing authority, whether that
personisreceivingasalarydisbursedbytheClerkoftheHouse,orisinaLeaveWithoutPaystatus.
416 HOUSEETHICSMANUAL
subjecttoaclaimofliabilityforwork-relatedinjuriesto,orcausedby,avolunteer.
Inviewoftheabove,theCommitteehasestablishedtheguidelinessetforth
belowtoMembersandHouseofcesconsideringacceptanceoftheservicesofinterns,
fellows,orvolunteerswhowillnotbepaidbytheHouseofRepresentatives.
INTERNANDFELLOWSHIPPROGRAMS
AMemberorHouseofcemayacceptthetemporaryservices
ofaninternparticipatinginaprogram,asdiscussedbelow,
whichisprimarilyofeducationalbenettotheparticipant,
irrespectiveofwhethertheindividualisbeingcompensated
byathird-partysponsoringorganization.
Similarly, a Member or House ofce may accept the
temporary services of a fellow participating in a mid-
career education program, as discussed below, while the
individualreceivescompensationfromhisorheremployer.
Aninternorfellowshipprogramshouldbeoperatedbyan
entity not afliated with a congressional ofce, and the
organizationshouldbewillingtoindicateitssponsorship
oftheinternorfellowinwriting.
HouseMembersandstaffmaynotraiseordisbursefunds
for programs which place internsorfellowsin their own
ofces, nor may congressional ofces solicit or recruit
volunteers.Membersdo,however,havetherighttoselect
orapprovethosewhowillbeworkingintheirofces.
While intern and fellowship programs are often
sponsored by educational institutions, other public or
private organizations may act as sponsors, provided the
arrangement does not give undue advantage to special
interests. In that regard, the Member accepting the
servicesofaninternorfellowshouldnotassignhimorher
todutiesthatwillresultinanydirectorindirectbenetto
thesponsoringorganization.
VOLUNTEERS
AMembermay acceptvolunteerservices fromhisorher
own immediate family, i.e., spouse, children, or parents
(although Federal law, at 5 U.S.C. § 3110, prohibits
Membersfromappointingrelativestopaidpositions);this
isconsistentwithregulationsoftheCommitteeonHouse
Appendices 417
Administration which allow Members to use their own
personal resources to support the activities of their own
ofces.
AMemberorHouseofcemayacceptthetemporaryservices
ofavolunteer,providedtheMemberorofcehasaclearly
denedprogram toassure that:(1)the voluntaryservice
is of signicant educational benet to the participant;
and(2) thatsuchvoluntary assistancedoesnotsupplant
thenormal andregular dutiesof paidemployees. Inthis
regard, limitations should be imposed on the number of
volunteerswhomayassistacongressionalofceatanyone
time,aswellasthedurationofservicesanyonevolunteer
mayprovide.Voluntaryassistancetoacongressionalofce
shouldnotbesolicited.
A volunteer should be required to agree, in advance and
inwriting,toservewithoutcompensationandtonotmake
any futureclaimfor payment, and acknowledge thatthe
voluntaryservicedoesnotconstituteHouseemployment.
(Obviously,aMember or Houseofcewishing to usethe
services of an individual seeking to volunteer may also
placetheindividualinatemporaryinternpositiononthe
Member’s clerk hire payroll or other personnel fund, as
authorized by the Committee on House Administration.
The individual may also be referred to an organization
whichsponsorsaninternship.)
Volunteers, interns, and fellows should be made aware of the implications
their activities have for the Member in whose ofce they work. The Committee
recommendsthatMembersandHouseofcesobtaintheagreementofsuchindividuals
that, although not House employees, they will conduct themselves in a manner
whichreectscreditablyontheHouse.Membersarealsoencouragedtoobtainthe
Committee’sapprovalforanyvolunteer,intern,orfellowshipprograminwhichthey
wishtoparticipate.
The above guidelines do not prohibit a Member or other House ofce from
acceptingservices,includingdetailedstaff,providedonanofcialbasisbyaunitof
Federal, state,orlocal government. (House staff and resources maynot, however,
besimilarlyusedtoperformtheworkofothergovernmentalunits,orofanyprivate
organization.)
418 HOUSEETHICSMANUAL
As a related matter, House Rule 23, clause 11, part of the Code of Ofcial
Conduct,providesthataMemberoftheHouseofRepresentativesshallnotauthorize
orotherwiseallowanon-Houseindividualororganizationtousethewords“Congress
of the United States,” “House of Representatives,” or “ofcial business” on any
letterhead or envelope. Theintent of this provision is to prevent persons who are
notMembers,ofcers,oremployeesoftheHousefromrepresentthattheiractivities
areofciallysponsoredorsanctioned.Thisprohibitionalsoextendstootherprinted
matter, such as business cards.Accordingly, individuals not paid by the House of
Representativesmaynotuseorobtainbusinesscardsorothermaterialssuggesting
anemploymentrelationshipwiththeHouse.
AnyquestionsconcerningthesemattersshouldbedirectedtotheCommittee’s
OfceofAdviceandEducationat225-7103.
Sincerely,
JULIANC.DIXON
Chairman
JOHNT.MYERS
Ranking Minority Member
Appendices 419
Committee on Ethics and Committee on House Administration
JOINT GUIDANCE REGARDING REDISTRICTING
September10,2021
Although congressional redistricting is constitutionally mandated, the
redistricting process is a state function with little direct effect on ofcial duties.
Nevertheless, our Committees recognize that redistricting can affect Members’
ofcialworkinvariousways.ThismemorandumoffersguidanceonwhatMembers
mayandmaynotdowithofcialresourceswhereredistrictingisconcerned.Aswith
mostquestionsconcerningtheuseofofcialresources,therearepermutationsand
exceptions.Therefore,pleasecontactourCommitteesifyouhaveaspecicquestion.
The Committee on Ethics may be reached at 5-7103. The Committee on House
Administrationmaybereachedat5-2061(majority)or5-8281(minority).
Use of Ofcial House Resources Related to Redistricting
As with the use of ofcial resources in general, Members may not use the
Members’ Representational Allowance (MRA) for political purposes in connection
withcongressionalredistricting.Likeothercitizens,Membersmayengageinpolitical
activitiesdesignedtoinuencetheoutcomeofredistricting,buttheymaynotdoso
atpublicexpense.
TheCommitteeonHouseAdministrationrecognizes,however,thatconstituents
andothersmaycontactMemberswithquestionsaboutredistrictingandhowitmight
affectthemnow,orinthefuture.MembersmayusetheMRAtokeepabreastofthe
currentstatusofredistricting.Membersmayreplytoconstituentinquiriesonthe
subjectin thesamemanner asthey wouldreply on anymatter. Members should
use caution and common senseto limitthe use of the MRA todiscussion of only
the redistricting process. Similarly, Members may be reimbursed for expenses of
attendingpublicmeetingsofastatelegislativecommitteeorredistrictingcommission
to testify, for example, about how dividing cohesive communities among multiple
districts might complicate constituent casework. But a Member may not seek
reimbursementforexpensesofattendingdelegationmeetingstodiscusshowcertain
redistrictingplansmightaffectfutureelections.
The Members’ Congressional Handbookrestricts theuseofofcial resources
for activities outside Members’ current districts. Members may not use ofcial
funds,includingtheuseofstaffresources,toconduct“townhall”meetingsorother
ofcialgatheringsoutsidetheirdistricts,withtheexceptionofholdingajointtown
hallmeetingwithahomestateSenatororwithaMemberinanadjacentdistrict.
1
1
See generallyComm.onHouseAdmin.,Members’ Congressional Handbook,
https://cha.house.gov/handbooks/members-congressional-handbook.
420 HOUSEETHICSMANUAL
The rules also prevent use of ofcial resources for travel other than “to support
theconductoftheofcialandrepresentationaldutiesofaMember…withrespect
tothedistrict fromwhichthe Member…is elected.”
2
Under thefrankingstatute
and Communications Standards Manual, a Membermaynotsend any unsolicited
masscommunicationoutsidethecongressionaldistrictfromwhichtheMemberwas
elected.”
3
Inaddition,asageneralmatter,Membersmaynotdevoteofcialresourcesto
performingcaseworkforindividualswholiveoutsidethedistrict.Whencontacted
bypersonslivinginotherdistricts,Membersmay,however,useofcialfundstorefer
themtotheirownRepresentativeorSenators.
Finally,inadditiontotheredistrictingprocessasitiscarriedoutinaMember’s
state,redistrictingasageneralmattermaybethesubjectoffederallegislationand
policy-orrulemakingbyCongressorfederalagencies.Inthiscontext,asdistinctfrom
theexecutionofredistrictinginaMember’sstatetoredrawparticularcongressional
district lines, Member may also appropriately use ofcial resources in the same
mannerastheymayforotherofcialpolicymatters.
Insummary,belowarethegeneralrulesregardingtheuseofofcialresources
relatedtoredistricting:
• MembersmayusetheMRAtonotifyconstituentsonthecurrentstatusofredis-
tricting,limitedonlytotheredistrictingprocess.
• Membersmaybereimbursedforexpensesofattendingpublicmeetingsofastate
legislativecommitteeorredistrictingcommissiontotestify,butmaynotseekre-
imbursementforattendinganymeetingdiscussinghowredistrictingmayaffect
futureelections.
• Membersmaynotconduct“townhall”meetingsoutsideoftheirdistrictexceptif
holdingajointtownhallmeetingwiththehomestateSenatororaMemberinan
adjacentdistrict.
• As a general matter, Members may not send unsolicitedcommunications to or
performcaseworkforindividualsoutsideoftheirdistrict.Membersmayrespond
toanindividualwholivesoutsidetheirdistricttoreferthatindividualtotheir
ownRepresentativeorSenators.
• Members and staff mayonly travel outside of thedistrict if conducting ofcial
businessthatdirectlyrelatestotheMember’sofcialandrepresentationalduties
tothedistrictfromwhichelectedandwhichtheycurrentlyrepresent.
• MembersmaynotuseMRAfundsorofcialresourcesingeneralforanactivity
2
2U.S.C.§5341;seeMembers’ Congressional Handbook.
3
39U.S.C.§3210(a)(7)andtheCommunications Standards Manual.
Appendices 421
theprimarypurposeofwhichrelatesexclusivelytoanareaoutsidetheircurrent
district,whichmaybeconsideredforinclusioninaredrawnversionofthedistrict,
andMembersmaynotsendcommunicationstoanysucharea.
Use of Campaign Resources Related to Redistricting
Althougha Membermay notuse ofcialresources tohost orparticipate inevents
outsidetheirdistrict,theMembermaysponsoreventsinthoseareasusingcampaign
staffandresources,totheextentthesponsorshipisallowedunderfederalelection
lawsandregulations.RememberthatanyactivitywhereaMemberusescampaign
staffandresourcesisconsideredacampaignevent,notanofcialevent.
4
Therefore,
noofcialresourcesmaybeusedtosupportororganizesuchaneventandofcialac-
tivitiesshouldnotoccurattheseevents.Pleasecontactthecongressionalliaisonsat
theFederalElectionCommission(FEC)forinformationconcerningtheappropriate
useofcampaignresourcesforpoliticalpurposes.Theycanbereachedat(202)694-
1006.
Participation in Legal Challenges to Redistricting
Membersmaywishtoparticipateinfundraisingforgroupsraisinglegalchallengesto
astate’sredistrictingprocess.Tosolicitonbehalfofthesegroups,Membersshould
contacttheCommitteeonEthicsforfurtherguidance.Membersmayneedtoseek
and receive prior formal written permission to assist with any solicitation efforts.
Whetherornotsuchpriorapprovalisrequired,allsolicitationsonbehalfofredis-
trictingeffortsaresubjecttothesamerestrictionsapplicabletoallothersolicitations
madebyMembersandstaff(e.g.,useofofcialresourcesisprohibited,etc.).
5
A Member may also want to personally challenge the redistricting process in the
Member’s state. If a Member wishes to establish a Legal Expense Fund for that
purpose,theMembermustreceive formalwrittenpermission fromtheCommittee
onEthics. TheCommittee’sLegalExpense Fundregulations areavailable onthe
Committee’swebsite.
6
IfaMemberwouldliketousecampaignfundstochallenge
redistricting, the Member should contact the Committee on Ethics and the FEC’s
congressionalliaisonsforfurtherguidance.
Solicitations byMembers related to redistrictingmaybe subject to limitson cam-
paignsourcesandamounts.MembersshouldcontacttheFEC’scongressionalliai-
sonstofurtherdiscussthoselimits.
* * * * *
4
AlthoughHouseRule24allowstheuseofcampaignfundsforcertaintypesofofcialexpenses,
thesearelimited.HouseRule24,cls.1-2;seeComm.onEthics,2008 House Ethics Manualat173-177.
5
SeeComm.onEthics,2008 House Ethics Manualat347-349;Comm.onEthics, Member,
Ofcer, and Employee Participation in Fundraising Activities(May2,2019).
6
Comm.onEthics,Revised Legal Expense Fund Regs.(Dec.20,2011),https://ethics.house.gov/
nancial-disclosure-pink-sheets/revised-legal-expense-fund-regulations.
422 HOUSEETHICSMANUAL
December11,2019
MEMORANDUM FOR ALL MEMBERS, OFFICERS, AND EMPLOYEES
FROM: Committee on Ethics
TheodoreE.Deutch,Chairman
KennyMarchant,RankingMember
SUBJECT: OutsidePositionRegulations
House Resolution 6 (H. Res. 6), created a new clause in the Code of Ofcial
Conduct effective January 1, 2020. H. Res. 6 also requires that, “Not later than
December 31, 2019, the Committee on Ethics shall develop regulations addressing
othertypesof prohibitedserviceor positionsthatcould leadtoconicts ofinterest.”
To assist the Committee on Ethics (Committee) in fullling this mandate, the
Committeeestablishedaworkinggroup,consistingofRepresentativeSusanWildand
RepresentativeVanTaylor.Afterextensiveresearch,apublicsession,andsolicitation
ofinputfromMembers
1
oftheHouseofRepresentatives,theCommitteevotedtoadopt
theOutsidePositionRegulations(OPR)issuedtodaybyunanimousvote.
SectionsVIIIandXoftheOPRrestateexistingrestrictionsfromtheEthics
inGovernmentAct,5U.S.C.app.§§102and502(a);HouseRule25,clauses1and2;
andHouseRule26.As such, those prohibitions and reporting requirements
have been and remain in effect pursuant to the underlying authorities and
previous Committee guidance. However, the remainder of the OPR will be
effective on January 1, 2020. FormsrelatedtotheOPRwillbeissuedpriortothe
effectivedate.TheCommitteewillincorporatetheOPRstandardsintoitsannual
trainingstartingin2020andisavailabletoprovideguidanceconcerningcompliance
throughtheOfceofAdviceandEducation,at(202)225-7103.
WhiletheOPRareextensive,theyarenotexclusive.Members,ofcers,and
employees of the House are reminded that Constitutional provisions and federal
statutes may place additional restrictions on outside employment, positions, and
activities.
2
Members,ofcers,andemployeesoftheHousearefurtherremindedthat
HouseRule23,clause1requiresthatthey“shallbehaveatalltimesinamannerthat
shallreectcreditablyontheHouse;”andHouseRule23,clause2requiresthatthey
“shalladheretothespiritandtheletteroftheRulesoftheHouse.”
1
Forallpurposesinthismemorandum,“Member”isdenedtoincludeanycurrentMember,
Delegate,orResidentCommissioneroftheHouseofRepresentatives.
2
Someoftheseadditionalrestrictionsonoutsideactivitiesandpositionsincludethe
EmolumentsClauseandIncompatibilityClauseoftheConstitution,theDualCompensation
statute,thestatuteprohibitingMembersfromcontractingwiththefederalgovernment,andfederal
criminalconictofintereststatutes.Membersandstaffwithquestionsaboutanyoftheseadditional
restrictionsareencouragedtocontacttheCommitteeand/ortheOfceofGeneralCounselfor
guidance.
Appendices 423
U.S. HOUSE OF REPRESENTATIVES
COMMITTEE ON ETHICS
OUTSIDE POSITION REGULATIONS
December2019
EffectiveJanuary1,2020
I. Authority
TheCommitteeonEthicsisauthorizedtoissueregulationsonthissubject
pursuanttoH.Res.6,116
th
Congress.
II. Effective Date
TheseregulationsareeffectiveJanuary1,2020.Totheextentthatthese
regulationsrestateanexistingstandard,forexample,SectionsVIIIandX,those
standardshavebeenandremainineffectpursuanttotheunderlyingauthorities
andrelatedCommitteeguidance.
III. Construction
In construing these regulations, Members, Delegates, Resident
Commissioners, ofcers, and employees of the U.S. House of Representatives
are instructed to take into consideration their obligations under House Rule
XXIII,clause1,thatthey“shallbehaveatalltimesinamannerthatshallreect
creditablyontheHouse,”andHouseRuleXXIII,clause2,thatthey“shalladhere
tothespiritandtheletteroftheRulesoftheHouse.”
IV. General Rules:
a. AMember,Delegate,ResidentCommissioner,ofcer,oremployeeofthe
U.S.HouseofRepresentativesmaynotserveasanofcerordirectorof
anentityincircumstancesdescribedinsectionVIIoftheseregulations.
b. AMember,Delegate,ResidentCommissioner,ofcer,oremployeepaid
ator abovethe seniorstaffrateofthe U.S.House ofRepresentatives
is subject to additional restrictions, described in section VIII ofthese
regulations.
c. A Member, Delegate, or Resident Commissioner of the U.S. House of
Representativesmaynotserveasanofcerordirectorofanentityin
circumstancesdescribedinsectionIXoftheseregulations.
424 HOUSEETHICSMANUAL
V. Scope
a. Nothingintheseregulationsshouldbeinterpretedtosupersedestatutory
restrictionspursuantto5U.S.C.app.§502(a).
b. Theseregulationsdonotaddresspositionswithpoliticalorganizations.
c. Theseregulationsdonotaddresspositionsthatareadvisoryorhonorary
innature.
VI. Denitions
a. Advisory or honorary position. The term ‘advisory or honorary
position’ means a position in name only, with no decision-making
responsibilities, no duciary responsibilities, and no requirement to
fulllprerequisitestobebestowedtheadvisoryorhonorarytitle.
b. Charitable trust. Theterm‘charitabletrust’meansatrustpursuant
to26U.S.C.§4947(a),andincludessplit-interesttrusts.
c. Committee. Theterm‘Committee’meanstheCommitteeonEthicsof
theU.S.HouseofRepresentatives.
d. Company traded on a foreign market. Theterm‘companytraded
on a foreign market’ means a security that only trades on a foreign
publiclytradedexchange;e.g.theTokyoStockExchangeorParisStock
Exchange.
e. Entity that receives funding from a federal agency. The term
‘entitythatreceivesfundingfromafederalagency’meansanentitythat
seeks,spends,oradministersappropriatedfundsprovidedbyafederal
agency, jurisdiction of which falls within the committee on which a
Member,Delegate,orResidentCommissionersits.
f. Entity that is regulated by a federal agency. The term ‘entity
thatis regulatedbya federalagency’ meansan entity thatis subject
toregulationspromulgatedbyafederalagency,whichfallswithinthe
jurisdictionofthecommitteeonwhichaMember,Delegate,orResident
Commissionersits.
g. Family business. The term ‘family business’ means a partnership,
corporation, limited liability company; or other similar commercial
organization,inwhichmembersofthefamily,asdenedby26U.S.C.
§2704(c)(2),exercisecontrol,asdenedby26U.S.C.§2701(b)(2),overthe
businessentity.‘Familybusiness’doesnotincludesoleproprietorships.
h. Family trust.Theterm‘familytrust’meansatrustestablishedforthe
benetofpersonsinthesamefamily,asdenedbystatelaw.
i. Political organization. The term ‘political organization’ means an
organizationqualiedunder§527(e)oftheInternalRevenueCode.
j. Public company. The term ‘public company’ means an issuer as
dened in section 3 of the Securities and Exchange Act of 1934 (15
U.S.C.§78c)—(1)thesecuritiesofwhicharerequiredtoberegistered
Appendices 425
undersection12ofsuchAct(15U.S.C.§78l);or(2)thatisrequiredto
lereportsundersection15(d)ofsuchAct(15U.S.C.§78o(d)).
k. Senior staff rate. The term ‘senior staff rate’ means a basic rate of
payequaltoorgreaterthan120percentoftheminimumrateofbasic
paypayableforGS-15oftheGeneralSchedule.Employeeswhoreceive
theseniorstaffratefor60daysinacalendaryearmustlenancial
disclosure statements and periodic transaction reports pursuant to 5
U.S.C.app.§101et seq.Employeeswho receivethe seniorstaff rate
for 90 days in a calendar year are subject to additional restrictions,
pursuantto5U.S.C.app.§502(a).
VII. Prohibitions for Members, Delegates, the
Resident Commissioner, Ofcers, and Employees
a. AMember,Delegate,ResidentCommissioner,ofcer,oremployeeofthe
Housemaynotserveasanofcerordirectorofany:
i. Publiccompany;or
ii. Companytradedonaforeignmarket.
VIII. Prohibitions for Members, Delegates, the Resident
Commissioner, Ofcers and Employees Who Receive the
Senior Staff Rate for 90 Days or More in A Calendar Year
a. AMember,Delegate,ResidentCommissioner,ofceroremployeepaid
atorabovetheseniorstaffratefor90daysormoreinacalendaryear
maynot:
i. Receive compensation forafliating with or being employed by
arm,partnership,association,corporation,orotherentitythat
providesprofessionalservicesincludingaduciaryrelationship,
exceptforthepracticeofmedicine;
ii. Permithisnametobeusedbysucharm,partnership,associa-
tion,corporationorotherentity;
iii. Receivecompensationforpracticingaprofessionthatinvolvesa
duciaryrelationship,exceptforthepracticeofmedicine;
iv. Serveforcompensationasanofcerormemberoftheboardofan
association,corporation,orotherentity;or
v. Receivecompensationforteachingwithoutthepriorapprovalof
theCommittee.
IX. Prohibitions for Members, Delegates, and the
Resident Commissioner only
a. A Member, Delegate, or Resident Commissionermay notserve as an
ofcerordirectorofany
i. Entitythatreceivesfundingfromafederalagency,jurisdictionof
426 HOUSEETHICSMANUAL
whichfallswithinacommitteeonwhichtheMember,Delegate,
orResidentCommissionersits,or
ii. Entitythatisregulatedbyafederalagency,jurisdictionofwhich
fallswithinacommitteeonwhichtheMember,Delegate,orRes-
identCommissionersits.
b. Exceptions:
i. SectionIX(a)shallnotapplyif:
1. The Member, Delegate, or Resident Commissioner had
servedcontinuouslyasanofcerordirectorforatleasttwo
years prior to their initial election to the House of Rep-
resentatives,andtheamountoftimerequiredtoperform
suchserviceisminimal;
2. Theentityisafamilybusiness,familytrust,orcharitable
trust;
3. Theentityisqualiedunder§170(c)oftheInternalReve-
nueCode;
4. Theentitymaintainsanactiveregistration;however,itis
forallpurposesdormant,anddoesnotengageinanytrade
orbusiness;
5. Thepositionisconferredsolelybyvirtueofanownership
interestintheentity,andinvolvesnoactiveparticipation
intheentity’soperations;e.g.,tobecomeaninvestorinan
LLC that owns restaurant franchises, the Member must
becomeamemberoftheLLC;
6. Serviceasanofcerordirectorisspecicallyauthorizedby
statute;or
7. The entity is primarily available to Members, Delegates,
theResidentCommissioner,ofcers,andemployeesofthe
HouseofRepresentatives,ortheirfamilies;e.g.,theHouse
ChildcareCenterorCongressionalFederalCreditUnion.
c. WaiverorSuspension:Available only for prohibitions in this section
i. TheCommitteemayissueawaiverorasuspensionforaperiodof
time(nottoexceed120days)oftheprohibitionscontainedinthis
sectionuponwrittenrequest,inexceptionalcircumstancesonly.
ii. The presumption when reviewing requests is that exceptional
circumstancesrarelyexist.Whenreviewingrequests,theCom-
mitteemayconsiderthefollowingasevidenceofanexceptional
circumstance:
1. The entity faces demonstrable and specic imminent,
emergent,ordireconsequencesiftherequesterstepsdown
fromtheposition;
2. (suspension only) Theentity has made a diligent search,
but has been unable to appoint a successor before the
Appendices 427
Member,Delegate,orResidentCommissionerisscheduled
totakeapositionwithacommittee;or
3. Thearticlesofincorporationorsimilardocumentestablish-
ingtheentityspecifythattherequesteristheonlyparty
whoislegallyabletoserveintheposition,andtheorganiz-
ingdocumentcannotbemodiedbylaw.
iii. Waivers granted by the Committee shall be made available to
thepublicinthesamemanneraswaiversofnancialdisclosure
statementreportingrequirements.
X. Reporting Requirements
a. A Member, Delegate, Resident Commissioner; or ofcer or employee
who receives the senior staff rate for 60 days or more in a calendar
year,mustlenancialdisclosurestatementsandperiodictransaction
reportspursuant to5 U.S.C.app.§ 101et seq. Amongthe itemsthat
mustbedisclosedare:
i. OutsideearnedincomeonScheduleC,“EarnedIncome”,and
ii. CertainpositionsonScheduleE,“Positions”.
EXAMPLES
Example 1.AMemberservesasanuncompensatedBoardMemberforabankthatis
tradedontheNewYorkStockExchange.Priortohiselection,hispositionhadbeen
compensated,buthemovedtoanuncompensatedpositionuponswearinginpursuant
totheEthicsinGovernmentAct(EIGA),restatedinsectionVIII(a)(iv)oftheOPR.
PursuanttoHouseResolution6andSectionVII(a)(i)oftheOPR,theMembermust
ceasetoserveasaBoardMemberforthebank,effectiveJanuary1,2020.
Example 2. Astaff person commencesworking forthe HouseofRepresentatives
onFebruary10,2020.ThestaffpersonservesasPresidentofacorporationthatis
publiclytradedontheBombayStockExchange;thecorporation’sstockisnotpublicly
tradedonanyothercountry’sstockexchange.AsPresident,thestaffpersonhasa
duciary duty to the corporation and has voting rights concerning the company’s
operations. Pursuant to Section VII(a)(ii) of theOPR, thestaff personmust step
downfromhispositionasPresidentofthecorporationuponcommencingworkwith
theHouseofRepresentatives.
Example 3.Aseniorstaffpersonbeganworkingasanadministrativeassistantfor
asmallcandle-makingbusiness ownedby afamilyfriendinJanuary of2019.He
received$25,000incompensationin2019.Theseniorstaffpersonmaycontinueto
workforthesmallbusinessasitsadministrativeassistantforcompensationbecause
(1)hiscompensationisbelowtheoutsideearnedincomelimitfor2019of$28,440,and
(2)hedoesnotserveasaduciaryforthecandle-makingbusiness.
428 HOUSEETHICSMANUAL
Example 4. AseniorstaffpersonwhoisanattorneybeganworkingfortheHouseof
Representativesin2011.In2018,shewasaskedtore-joinherformerlawrmasan
exofcioBoardMember.Inthatrole,shewouldbecompensatedat$18,000peryear.
Althoughtheamountproposedislessthantheoutsideearnedincomelimitfor2018
of$28,050,theseniorstaffpersonmaynotacceptanycompensationforherservice
asanexofcioBoardMemberduetotherestrictionsonherafliatingwitharm
thatprovidesprofessionalservicesincludingaduciaryrelationship,pursuanttothe
EIGA,andrestatedinsectionVIII(a)(i)oftheOPR.Thelawrmalsomaynotuse
hernameonitswebsiteoronrmletterhead.
Example 5. A Member who was sworn into the House of Representatives in a
specialelectionin2019isamedicaldoctor.Shewouldliketocontinuetopractice
medicinenowthatsheisasittingMemberofCongress.TheMembermayreceive
compensationforpracticingmedicineonlyuptotheamountnecessarytocoverthe
costsofherlicensurefees,continuingeducationunits,medicalofceexpenses,and
medical malpractice insurance premiums. The Member must le the appropriate
formforpracticingmedicaldoctorswiththeCommitteeonEthics,nolaterthanMay
15ofeachcalendaryear,detailinghercostsandcompensationforthepriorcalendar
year.Shemaynotacceptcompensationinexcessofheractualcosts.
Example 6. AMemberwhowasrstswornintoofcein2011sitsontheCommittee
on Natural Resources in the 116
th
Congress. Since 2015, he has been serving as
anuncompensatedSecretaryforaprivateoilandgascorporationinhisstate.The
CommitteeonNaturalResourceshasjurisdictionoverfederalagenciesthatregulate
theoilandgasindustry.Asaresult,effectiveJanuary1,2020,theMembermust
stepdownasSecretaryfortheprivateoilandgascorporation.
Example 7. AMemberwhositsontheCommitteeonEnergyandCommercebegan
an uncompensated position as Director for a private medical research corporation
aftershebecameaMemberofCongress.Theprivatemedicalresearchcorporation
receivesgrantfundingfromafederalagency,jurisdictionofwhichfallswithinthe
CommitteeonEnergyandCommerce.TheMembermustceasetoserveasDirector
fortheprivatemedicalresearchcorporation,effectiveJanuary1,2020.
Example 8. AMemberwasPresidentofaprivatetoolanddyeS-Corporationbefore
he was elected. He currently serves onthe Committee on Small Business, which
hasjurisdictionover,amongotherindustries,manufacturingcompanies,generally.
Uponhiselection,heceasedthecompany’soperationstofocusonhisconstituents.
The Member maintains the company’s registration as a business entity with the
state,butitdoesnotengageinanybusinessortradeandinsteadremainsdormant.
Althoughthecompanywaspreviouslyregulatedbyafederalagencythatfallswithin
thejurisdictionoftheCommitteeonwhichtheMembersits,hemaycontinuetoserve
asthecompany’sPresident,becausethecompanyisnotengagedinbusiness.
Appendices 429
Example 9. AMemberwhoservesontheCommitteeonForeignAffairshasbeen
activelyservingasanuncompensatedBoardMemberfortheInternationalRelations
CouncilsinceoneyearbeforehewasswornintotheHouseofRepresentatives.The
InternationalRelationsCouncilisqualiedas501(c)(3)nonprotunder§170(c)of
theInternalRevenueCode,isengagedininternationalrelations,andreceivesfederal
fundingfromUSAID,overwhichtheCommitteeonForeignAffairshasjurisdiction.
Although the nonprot receives federal funding from a federal agency over which
the Committee on Foreign Affairs has jurisdiction, the Member may continue to
serveasanuncompensatedBoardMember,sincetheentityisa501(c)(3)nonprot
organization.
Example 10. A Member was rst sworn into the Congress in 2015, and she
currentlyservesontheCommitteeonFinancialServices.Since2001,shehasbeen
anuncompensatedVicePresidentforaprivatemicro-lendingcorporation,whichis
regulatedby afederal agency,jurisdictionof whichfalls withinthe Committeeon
FinancialServices.TheamountoftimerequiredtoperformservicesasVicePresident
ofthemicro-lendingcorporationisminimal;theMemberspendsatmosttwocalendar
daysperyearperformingworkforthecorporation,doesitonherowntime,without
usingHouseresources,andperformsallworkforthecorporationoffHousegrounds.
Becausethepositionisuncompensated,theMemberheldthepositionatleasttwo
yearspriortoherrstelectiontotheHouse,andthetimetoperformthedutiesof
VicePresidentareminimal,shemaycontinuetoserveastheprivatemicro-lending
corporation’suncompensatedVicePresident.
Example 11. A Member was recently selected to serve on the Committee on
Agriculture.HeistheuncompensatedPresidentoftwofamilyfarmsthatproduce
hopsandwheat,respectively.TheCommitteeonAgriculturehasjurisdictionover
afederalagencythatregulatesthefarms’operations,andthewheatfarmreceives
federal subsidies administered by a federal agency within the Committee on
Agriculture’sjurisdiction. The Membermay continue toserve as Presidentofthe
twofamilyfarms,sincetheyarefamilybusinesses.
Example 12. AMemberhasbeenanuncompensatedChiefExecutiveOfcer(CEO)
ofaprivatecharteraircraftcompanysince2016,oneyearafterbeingswornintothe
HouseofRepresentatives.ShealsoservesonasubcommitteeoftheCommitteeon
TransportationandInfrastructure.Theaircraftcompanyisregulatedbyafederal
agency, jurisdiction of which falls within the Committee on Transportation and
Infrastructure.DespiteadiligentsearchforareplacementCEO,thecompanyhas
beenunabletond asuccessorpriortoJanuary 1,2020. Althoughherserviceas
CEOisprohibitedbytheOPR,theMembermayseekasuspensionoftheprohibitions
from the Committee on Ethics by submitting the appropriate form, available on
theCommittee’swebsite.Ifapproved,thesuspensionwouldbelimitedtonomore
than120days.Thissuspensionwillenablethecompanymoretimetoreplacethe
430 HOUSEETHICSMANUAL
Member as CEO. As an alternative, if it is evident that the company would face
demonstrableanddireconsequencesshouldtheMemberceasetoperformtheduties
ofthecompany’sCEO,shemayinsteadchoosetorequestawaiveroftheprohibitions
fromtheCommitteeonEthicsbysubmittingtheappropriateform.Ifapproved,the
waiverwillbemadepubliclyavailable,pursuanttoSectionIX(c)(iii)oftheOPR.
GENERAL ETHICAL STANDARDS
GIFTS
TRAVEL
CAMPAIGN ACTIVITY
OUTSIDE EMPLOYMENT AND INCOME
FINANCIAL DISCLOSURE
STAFF RIGHTS AND DUTIES
CASEWORK
OFFICIAL ALLOWANCE
OFFICIAL AND OUTSIDE ORGANIZATIONS
APPENDICES