Order Code RL33893
Gifts and Ethics Rules: Side-by-Side Comparison
of Provisions of S. 1 and H.Res. 6, 110th Congress
February 20, 2007
Jack Maskell
Legislative Attorney
American Law Division
Gifts and Ethics Rules: Side-by-Side Comparison of
Provisions of S. 1 and H.Res. 6, 110th Congress
Summary
The following chart presents, in summary fashion, a side-by-side comparison
of the provisions in S. 1 and H.Res. 6, 110th Congress, which relate specifically to
congressional ethics, including the receipt of gifts from lobbyists and their clients and
the acceptance of payment or reimbursement of expenses from outside, private
sources for “officially connected” travel expenses. Although the provisions of both
S. 1 and H.Res. 6 deal with other matters, including changes to the internal
procedures in the Senate and House, respectively, (and in S. 1, changes to the federal
lobbying statute), this chart focuses only on comparing the amendments and proposed
changes dealing with “ethics” provisions affecting Members, employees, and officers
of either House of Congress. (For a summary of all of the provisions of S. 1, see
CRS Report RL33852, Ethics, Lobbying, and Related Procedural Reforms Proposed
in S. 1, 110th Congress.)
On January 4, 2007, the House of Representatives adopted H.Res. 6, 110th
Congress, which amended the internal Rules of the House to apply greater
restrictions, more transparency, and further regulation to the acceptance by Members
and staff of “gifts” from private, outside sources, including the acceptance of travel
expenses or reimbursements for “officially connected” travel by Members and staff.
The Rules changes prohibiting the receipt of even de minimis gifts (less than $50 in
value) from lobbyists, agents of foreign principals, and private entities employing
such lobbyists or foreign agents are effective in the House immediately; the new
restrictions, regulations and transparency provisions regarding “officially connected”
travel expenses are to take effect on March 1, 2007.
On January 18, 2007, the Senate passed S. 1, 110th Congress, which proposes
amendments and new regulations concerning congressional ethics, lobbying reform,
and proposals to amend Senate procedures to increase legislative transparency.
Because the proposed changes are incorporated in a bill, both the changes to the
Senate Rules (affecting, generally, ethics and Senate procedures), as well as
amendments to statutes (regarding lobbying, conflicts of interest, and pensions),
would become effective only upon enactment of the proposals into law.
Contents
Side-by-Side Comparison of Provisions of S. 1 and H.Res. 6 in the
110th Congress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Gifts and Ethics Rules: Side-by-Side
Comparison of Provisions of S. 1 and
H. Res. 6, 110th Congress
The following chart presents in summary fashion a side-by-side comparison of
the provisions in S. 1 and H.Res. 6, 110th Congress, which relate specifically to
congressional ethics, including the receipt of gifts and the acceptance of payment or
reimbursement of expenses from outside, private sources for “officially connected”
travel expenses.
The provisions of H.Res. 6 were adopted as a simple resolution in the House
changing House Rules.1 Some of the gifts provisions in H.Res. 6, such as the ban on
acceptance of de minimis gifts of less than $50 from lobbyists, foreign agents, or their
private clients, are effective immediately; the provisions providing further restrictions
upon the acceptance of privately funded “officially connected” travel expenses are
to be made effective on March 1, 2007.
The provisions in S. 1, as passed, even those that would amend Senate Rules,
have been incorporated in a bill as the legislative vehicle, and thus must be passed
by the House of Representatives and signed by the President (or a veto overridden)
for those proposed changes in S. 1 to be effective.2
This chart is intended to address only the gifts and internal congressional ethics
matters in S. 1 and H.Res. 6. Provisions in either S. 1 or H.Res. 6 that change,
amend, or otherwise govern such matters as floor procedure or other procedural
matters in Congress, or those provisions in S. 1 that deal with subjects such as
lobbying reform affecting those who are not Members, officers, or employees of
Congress (which are not addressed in H.Res. 6), are not compared in this chart.
1
H.Res. 6, January 4, 2007, Sections 101, 201-211, 404(b); 153 Congressional Record H19H38 (daily ed. January 4, 2007).
2
Riddick’s Senate Procedure, S. Doc. 101-28, 101st Congress, 2d Sess., “Rules,” at pp.
1218-1219 (1992). A House or Senate Rule adopted by statute as a function of the rulemaking authority of the House or Senate (U.S. Constitution, Article I, Section 5), may be
later changed by the House or Senate, respectively, by simple resolution.
CRS-2
Side-by-Side Comparison of Provisions of S. 1 and H.Res. 6 in the 110th Congress
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
S. 1
H.Res. 6
Section 107. Would amend the Senate Rules
on gifts (Rule XXXV) to provide that the
market value of a ticket to a sporting or
entertainment event will be the face value of
the ticket. If there is no face value, then the
value of the most similar ticket sold to the
public (taking into consideration all features of
the ticket, including parking, food and
refreshments, and any special access to venue
areas). If there are no comparable tickets sold
to the public, then the value of the pass or ticket
will be the cost of a ticket with the highest face
value for the event.
Section 204. Has amended House Rules to
provide that the “value” of a ticket or pass
to a sport or entertainment event will now
be determined by the actual face value
printed on the ticket. When there is no
face value on the ticket, then the value of
such pass or ticket will now be the highest
face-value price of a ticket to the same
event. House Rule XXV, cl. 5(a)(1)(B)(ii).
CONGRESSIONAL
ETHICS REFORMS
Gifts — Valuation
No specific valuation provision in
Senate Rules or House Rules prior to
the 110th Congress.
CRS-3
Issue/Provision
Gifts — de minimis
exception not to apply
to gifts from lobbyists
Current Senate Provision and House
Rule Prior to 110th Congress
Senate Rule XXXV (and House Rule
XXV, cl. 5, prior to the 110th Congress),
prohibits receipt of gifts by Members
and staff from most sources, but
exempts a gift of less than $50 in value
(if aggregate gifts in one year from
same source do not exceed $100).
No current provision.
Gifts — Events at
National Convention to
Honor Members Paid
for By Lobbyists
S. 1
H.Res. 6
Section 108. Would amend the Senate Rule on
gifts (Rule XXXV) to provide that the $50 de
minimis exception to the gifts rule (wherein a
gift valued at less than $50 may be accepted by
Senators and staff) does not apply to gifts from
a registered lobbyist, an agent of a foreign
principal, or a private entity that retains or
employs a registered lobbyist or foreign agent.
(Note: other exceptions, in subparagraph (c), to
the general gift prohibition still generally apply,
even to gifts from lobbyists or their clients.
Senate Rule XXXV, cl. 1(c)(1)-(23)).
Section 203. Has amended the House Rule
on gifts (Rule XXV, cl. 5) to provide that
the de minimis exception for gifts (wherein
a gift valued at less than $50 may be
accepted by Members and staff) will no
longer apply if the gift is from a registered
lobbyist, agent of a foreign principal, or
from a private entity that retains or
employs registered lobbyists or foreign
agents. (Note: other exceptions, in
subparagraph (3), to the general gift
prohibition still generally apply, even to
gifts from lobbyists or their clients. H.
Rule XXV, cl. 5(a)(3)(A) - (W)).
Section 108A. Would prohibit a Senator from No provision.
participating in an event to honor that Senator
at a national party convention if the event is
paid for by someone who is required to register
as a lobbyist, or is identified as a lobbyist or a
client in any registration report under the
Lobbying Disclosure Act of 1995.
CRS-4
Issue/Provision
Gifts — “Officially
Connected” Travel
Expenses: Source of
private funds.
Current Senate Provision and House
Rule Prior to 110th Congress
House Rule XXV, cl. 5(f), Senate Rule
XXXV, cl. 2(d), have allow for
acceptance of “officially connected,”
“necessary” and “reasonable” travel
expenses from some private sources
(not lobbyists or foreign agents) for a
limited amount of time when purpose of
trip is sufficiently connected to official
duties, if such travel and expenses are
disclosed within 30 days of trip.
“Necessary expenses” currently
excludes expenses for personal
entertainment or recreational activities.
S. 1
H.Res. 6
Section 109(a). Would prohibit receipt of
payments or expenses for “officially
connected” travel from not only a lobbyist and
agent of a foreign principal, but also from a
private entity that retains or employs registered
lobbyists or foreign agents; except, if expenses
are from an “individual” (not a lobbyist or an
agent of a foreign principal), if acceptance is in
conformance with regulations of the Select
Committee on Ethics and (1) expenses are for
an event, meeting or fact-finding trip sponsored
by a 501(c)(3) (charitable) organization when
the organization has been pre-approved by the
Select Committee on Ethics, or (2) expenses are
provided for a one-day event (which could
include a 1 or, in some cases when necessary, a
2-night stay).
Section 205(a). House Rules, as of March
1, 2007, will prohibit the receipt of
payments or expenses for “officially
connected” travel from not only a lobbyist
and agent of a foreign principal, but also “a
private entity that retains or employs
registered lobbyists or agents of a foreign
principal,” except (1) if from a qualified
“institution of higher education,” or (2)
when provided for a one-day event when in
conformance with regulations prescribed
by the House Committee on Standards of
Official Conduct (which could include a 1
or, in some cases when necessary, a 2night stay).
CRS-5
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
S. 1
H.Res. 6
Gifts — “Officially
Connected” Travel
Expenses: Involvement
of lobbyists in travel
and arrangements
Under current Senate Rules and former
House Rules, although lobbyists were
not allowed to pay for “officially
connected” travel, there were no
restrictions on lobbyists traveling with
congressional party, or arranging for the
trip.
Section 109(a)(7). Provides that, in addition to
prohibiting acceptance of expenses from
lobbyists, foreign agents, or their private
clients, the Senate Rule would also prohibit the
acceptance of such travel expenses from anyone
if the trip was “planned, organized or arranged
by or at the request of a registered lobbyist or
agent of a foreign principal,” or for trips on
which a lobbyist accompanies the Member or
staffer on any segment of the trip.
Section 206(a). House Rules, as of March
1, 2007, in addition to prohibiting a
lobbyist, foreign agent or their private
clients from financing “officially
connected” travel, will prohibit a lobbyist
or foreign agent from planning, organizing,
requesting, or arranging for such a trip, and
from accompanying the Member or staffer
on any segment of the trip.
Gifts — “Officially
Connected” Travel
Expenses: Certification
and Pre-approval for
privately funded
“officially connected”
travel
Under former Rules only staff had to
seek and receive prior approval, in
writing from employing Member or
office, before accepting “officially
connected” travel expenses.
Section 109(a)(7). Members, officers and
employees must provide to Senate Select
Committee on Ethics certification from sponsor
specifying that financing and arrangements for
trip conform to Senate Rules, and must receive
prior approval from Committee before
accepting expenses for such travel.
Section 206(a). Members, officers and
employees must provide to House
Committee on Standards certification from
sponsor specifying that financing and
arrangements for trip conform to House
Rules, and must receive prior approval
from Committee before accepting expenses
for such travel.
CRS-6
Issue/Provision
Gifts — “Officially
Connected” Travel
Expenses: Additional
disclosure
Current Senate Provision and House
Rule Prior to 110th Congress
Current disclosures made within 30
days after travel, to include dates,
general itinerary, identification of
sponsor, specific dollar figure for
expenses when available (otherwise a
“good faith” estimate of expenses), and
in the case of a Member, an indication
that the member determined that the
purpose of the trip is officially
connected and “would not create the
appearance that the Member ... is using
public office for private gain.”
S. 1
H.Res. 6
Section 109(a)(5). Required disclosures would Section 209. Required disclosures will
also have to provide a description of the
now have to be filed within 15 days of the
meetings and events attended.
completed travel, and are to also detail a
description of the meetings and events
attended.
CRS-7
Issue/Provision
Gifts — “Officially
Connected” Travel
Expenses: Rules on
“reasonable” expenses
Current Senate Provision and House
Rule Prior to 110th Congress
Under current Senate and House Rules
there are no specific guidance or
guidelines concerning what are to be
considered “reasonable” expenses for
accepting “officially connected” travel
expenses from private sources.
S. 1
H.Res. 6
Section 109(a)(8). The Senate Select
Committee on Ethics is instructed to develop
guidelines concerning the connection between a
trip and official duties, reasonableness of an
amount spent by a sponsor, the relationship
between an event and an “officially connected”
purpose, and the relationship between the
source of funding and an event. In developing
these guidelines the Committee is instructed to
take into consideration the “maximum per diem
rates for official Government travel published
annually by the General Services
Administration, the Department of State, and
the Department of Defense.”
Section 208. The H. Com. on Standards of
Official Conduct is instructed to develop
guidelines concerning the connection
between a trip and official duties,
reasonableness of an amount spent by
sponsor, relationship between an event and
an “officially connected” purpose, and
relationship between source of funding and
event. In developing guidelines
Committee is instructed to take into
consideration maximum per diem rates for
official Government travel published
annually by the GSA, the Department of
State, and the Department of Defense.
CRS-8
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
S. 1
H.Res. 6
Section 207. Members and staff are now
prohibited from using any funds, whether
personal, campaign, or official funds, to
pay for or reimburse expenses of traveling
on private, corporate aircraft. Members
and staff traveling for personal purposes,
campaign purposes, or for purposes related
to official duties, will now generally be
required to fly on commercially scheduled
airlines, or to charter flights from
companies in that business.
Gifts — Travel on
private, “corporate
aircraft”
Travel on private, corporate aircraft
generally must be reimbursed so that
such travel will not be a contribution to
an “unofficial office account” (Senate
Rule XXXVIII, House Rule XXIV), or
a personal “gift” to Member, officer or
employee. No specific provision on
“market value,” rate of reimbursement,
required for such flights under House or
Senate Rules (but see F.E.C. regs.).
Section 109(b). Senate gift rule is amended to
require reimbursement at fair market value for
travel on private, noncommercial aircraft, with
the fair market value being the pro rata share of
the value of the normal and usual charter fare
or rental charge for similar travel and aircraft.
Members and staff must file a detailed report
within 60 days after the date of the flight to
include information on date of flight,
destination, owner or lessee of aircraft, purpose
of the travel, persons on flight, and charter rate
paid for the flight.
“Revolving Door,”
post-employment
conflicts of interest representing Indian
tribes
All representations of Indian tribes by
former federal officers or employees are
now exempt from “revolving door” law
at 18 U.S.C. § 207 by provisions of
Indian Self-Determination Act, 25
U.S.C. §450i(j).
No provision.
Section 110. Would more closely conform
exemption for representing Indian tribes by
former federal officials to current exemption
for representing State or local governments by
former federal officials, that is, exempting acts
of former officials who carry out official duties
or as elected officials for state or local
governments or for tribes.
CRS-9
Issue/Provision
“Revolving door,” postemployment conflicts
of interest — Rule for
staff
Current Senate Provision and House
Rule Prior to 110th Congress
Current Senate Rule, Rule XXXVII(9),
prohibits all former staff who have
become registered lobbyists or are in
employ of such from lobbying their
former office for one year.
No comparable House Rule, but see 18
U.S.C. § 207(e)(2)-(5), barring lobbying
by “senior” Hill staff of former office
for one year.
S. 1
Section 111. Would amend Senate Rule
XXXVII to prohibit all “senior” Senate staff
(paid at rate of 75% of Member’s salary) from
lobbying entire Senate for one year after
leaving office.
H.Res. 6
No provision.
CRS-10
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
“Revolving door,” post- No current provisions for legislative
branch.
employment conflicts
of interest —
employment
negotiations
S. 1
Section 112. Amends Senate Rules to prohibit No provision.
Senators from negotiating or having an
arrangement for private employment until
Senator’s successor has been elected, unless
Senator w/in three days after “negotiations”
begin, files a publicly disclosed signed
statement with Secretary of Senate revealing
names of private parties or entities involved,
and date negotiations or arrangements began. If
job involves “lobbying activities,” Senator may
not negotiate or arrange employment until after
successor is elected. Senior staff (compensated
at rate of 75% of a Senator) must notify Ethics
Committee w/in three days as to start of
negotiations or arrangements for private
employment. Staffer must recuse himself
concerning official matter creating conflict or
appearance of conflict of interest because of
negotiations or arrangements, and notify Ethics
Committee.
H.Res. 6
CRS-11
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
S. 1
H.Res. 6
Official contacts with
Member’s family who
lobby
No current provisions in law or Rule.
No provision.
Section 113. Would amend Senate Rule to
require Member to prohibit staff from having
official contact with any members of that
Senator’s immediate family who are registered
lobbyists or are employed by lobbyist to
influence legislation, except if spouse of
Senator was already a registered lobbyist at
least one year prior to election of Member, or
one year before their marriage. All Senators
and employees of any office would also appear
to be prohibited from having official contact
with a spouse of any Senator if that spouse is a
registered lobbyist or is retained by a registered
lobbyist to influence legislation.
Influencing private
employment decisions
No specific provisions in current law.
Section 114. Would amend Senate Rules
(Senate Rule XLIII) to prohibit a Senator from
taking or withholding, or threatening or
promising to take or withhold, any official act,
or to influence or to offer to influence an
official act of another, with the intent to
influence on the basis of partisan political
affiliation an employment decision or
employment practice of a private entity.
Section 202. Amends House Rules to
prohibit a Member from taking or
withholding, or threatening or promising to
take or withhold, any official act, or to
influence or to offer to influence an official
act of another, with the intent to influence
on basis of partisan political affiliation an
employment decision or employment
practice of a private entity.
CRS-12
Issue/Provision
“Revolving door,”
post-employment
conflicts of interest
Current Senate Provision and House
Rule Prior to 110th Congress
18 U.S.C. § 207(e) prohibits, for one
year after leaving office, Members and
certain senior staff from lobbying —
making communications or appearances
with intent to influence — either
House of Congress (for former
Members), or their former employing
office (for senior staff). Senate Rules
(Rule XXXVII(9)) prohibit all Senate
employees who become lobbyists from
lobbying their former office for one
year.
S. 1
Section 241. Would amend criminal law at 18 No provisions.
U.S.C. § 207 to expand from one year to two
years the “cooling off” period on Members of
Congress, prohibiting lobbying Congress for
two years after leaving office; to expand
one-year cooling off period to two years for
“very senior” executive branch officials
(cabinet officers and certain others); and to
expand one-year cooling off restriction for
“senior” Hill staff (paid at rate of 75% of
Member’s salary) to prohibit lobbying entire
House of Congress in which they had worked,
rather than merely the office or committee
where they had worked as currently provided.
Would also significantly expand the activities
of former Members and former elected
congressional officers for which criminal
penalties may be applied in two-year “cooling
off” period, by adding a new restriction to
include any behind-the-scenes activities,
advice, or consultations that the former
Member or officer may have that are “in
support of ... lobbying contacts” made by others
on behalf of a client.
H.Res. 6
CRS-13
Issue/Provision
Ethics Training
Current Senate Provision and House
Rule Prior to 110th Congress
No specific provision in Rules.
S. 1
H.Res. 6
Section 232. New Senators and staff required to
complete an ethics training program from
Senate Select Committee on Ethics within 60
days after commencing service. Existing
Members and staff serving on date of
enactment must complete the program not later
than 120 days after enactment of law.
Section 211. Training to be “offered” by
House Committee on Standards of Official
Conduct. Mandatory annual training for
staff; training for Members of the House,
however, is not mandatory. New staff to
take training within 60 days of
employment.
CRS-14
Issue/Provision
Ethics Committees’
Reports
Current Senate Provision and House
Rule Prior to 110th Congress
No specific provision in Rules.
S. 1
Section 234. Would require House Comm. on No provision.
Standards of Official Conduct and Senate
Select Committee on Ethics to issue annual
report by Jan. 31 of each year concerning: the
number of alleged violations of congressional
rules received from third parties, Members or
staff or from inquiries raised by committee
staff; number of violations dismissed for lack of
subject matter jurisdiction or failure to provide
sufficient facts; number of complaints for
which staff conducted preliminary
investigation; number of complaints presented
by staff to committee with recommendations
that complaint be dismissed; number of
complaints presented by staff to committee
with recommendations that investigation
proceed; number of ongoing inquiries; number
of complaints dismissed for lack of substantial
merit; number of private letters of admonition
issued; and the number of matters resulting in
disciplinary sanctions.
H.Res. 6
CRS-15
Issue/Provision
Current Senate Provision and House
Rule Prior to 110th Congress
S. 1
H.Res. 6
Congressional Pensions Members of Congress, like all federal
employees, lose their federal pensions
(annuities) for violations of various
national security offenses, under socalled “Hiss Act.” 5 U.S.C. §§ 8311,
8312.
Sections 301-304. Amends “Hiss Act” to add to
crimes “committed by a Member of Congress”
that would result in forfeiture of federal
annuities those of bribery and illegal gratuities
(18 U.S.C. § 201); conspiracy (18 U.S.C. § 371)
to violate the bribery law; or perjury or
subornation of perjury when it relates to
denying the commission of an offense violative
of the bribery statute, or of the conspiracy
statute concerning a conspiracy to violate the
bribery law. The effective date of this
provision of S. 1 would be delayed until
January 1, 2009.
No provision in H.Res. 6, but House
passed H.R. 476 which would provide a
loss of the credit for the years served as a
Member of Congress for one’s federal
annuity if a Member is convicted of
bribery or illegal gratuities (18 U.S.C.
§ 201), acting as agent of foreign principal
(18 U.S.C. § 219), conspiracy (18 U.S.C. §
371) to commit those offenses, perjury or
subornation of perjury relating to those
offenses.
Knowing Falsification
of Financial Disclosure
Report
Section 401. Would increase express civil fine
from $10,000 to $50,000, and would provide
new express criminal penalty for knowing and
willful failure to file or false filing of up to one
year imprisonment.
No provision.
Financial disclosure law (Ethics in
Government Act, see 5 U.S.C. app.
§§ 101 et seq.), does not have express
criminal penalty, but 18 U.S.C. § 1001
prohibits all intentionally false or
fraudulent writings or entries to Federal
Government and provides penalty of up
to five years’ imprisonment, and
$250,000 fine.
CRS-16
Issue/Provision
Ethics and Earmarks
Current Senate Provision and House
Rule Prior to 110th Congress
No provision in current Rules
S. 1
Section 404. Adds a provision to the Senate
Rule on conflicts of interest (Senate Rule
XXXVII) to make it an ethics violation for a
Member to use his or her official position to
“request, or otherwise aid in the progress or
passage of a congressional earmark” that
benefits the financial or pecuniary interests of
the Member, the Member’s spouse, the
Member’s immediate family, any employee of
the Member, or spouse or family member of
such employee. An earmark would include not
only a defined spending item, but also a
targeted tax deduction, exclusion, or preference
for 10 or fewer beneficiaries.
H.Res. 6
Section 404(b). Amends the Code of
Official Conduct, Rule XXIII, to make it
an ethics violation to condition the
inclusion of an earmark or limited tax or
tariff benefit on any vote of another
Member. Requires a Member requesting
an earmark or limited tax or tariff benefit
to provide a written statement identifying
the member, the intended recipient, the
purpose of such earmark or benefit, and a
certification that the Member has no
financial interest in the matter.