For other versions of this document, see http://wikileaks.org/wiki/CRS-RL33893 ------------------------------------------------------------------------------ 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 H19- H38 (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 rule- making 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 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress CONGRESSIONAL ETHICS REFORMS Gifts -- Valuation No specific valuation provision in Section 107. Would amend the Senate Rules Section 204. Has amended House Rules to Senate Rules or House Rules prior to on gifts (Rule XXXV) to provide that the provide that the "value" of a ticket or pass the 110th Congress. market value of a ticket to a sporting or to a sport or entertainment event will now entertainment event will be the face value of be determined by the actual face value the ticket. If there is no face value, then the printed on the ticket. When there is no value of the most similar ticket sold to the face value on the ticket, then the value of public (taking into consideration all features of such pass or ticket will now be the highest the ticket, including parking, food and face-value price of a ticket to the same refreshments, and any special access to venue event. House Rule XXV, cl. 5(a)(1)(B)(ii). 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. CRS-3 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- de minimis Senate Rule XXXV (and House Rule Section 108. Would amend the Senate Rule on Section 203. Has amended the House Rule exception not to apply XXV, cl. 5, prior to the 110th Congress), gifts (Rule XXXV) to provide that the $50 de on gifts (Rule XXV, cl. 5) to provide that to gifts from lobbyists prohibits receipt of gifts by Members minimis exception to the gifts rule (wherein a the de minimis exception for gifts (wherein and staff from most sources, but gift valued at less than $50 may be accepted by a gift valued at less than $50 may be exempts a gift of less than $50 in value Senators and staff) does not apply to gifts from accepted by Members and staff) will no (if aggregate gifts in one year from a registered lobbyist, an agent of a foreign longer apply if the gift is from a registered same source do not exceed $100). principal, or a private entity that retains or lobbyist, agent of a foreign principal, or employs a registered lobbyist or foreign agent. from a private entity that retains or (Note: other exceptions, in subparagraph (c), to employs registered lobbyists or foreign the general gift prohibition still generally apply, agents. (Note: other exceptions, in even to gifts from lobbyists or their clients. subparagraph (3), to the general gift Senate Rule XXXV, cl. 1(c)(1)-(23)). prohibition still generally apply, even to gifts from lobbyists or their clients. H. Rule XXV, cl. 5(a)(3)(A) - (W)). Gifts -- Events at No current provision. Section 108A. Would prohibit a Senator from No provision. National Convention to participating in an event to honor that Senator Honor Members Paid at a national party convention if the event is for By Lobbyists 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 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- "Officially House Rule XXV, cl. 5(f), Senate Rule Section 109(a). Would prohibit receipt of Section 205(a). House Rules, as of March Connected" Travel XXXV, cl. 2(d), have allow for payments or expenses for "officially 1, 2007, will prohibit the receipt of Expenses: Source of acceptance of "officially connected," connected" travel from not only a lobbyist and payments or expenses for "officially private funds. "necessary" and "reasonable" travel agent of a foreign principal, but also from a connected" travel from not only a lobbyist expenses from some private sources private entity that retains or employs registered and agent of a foreign principal, but also "a (not lobbyists or foreign agents) for a lobbyists or foreign agents; except, if expenses private entity that retains or employs limited amount of time when purpose of are from an "individual" (not a lobbyist or an registered lobbyists or agents of a foreign trip is sufficiently connected to official agent of a foreign principal), if acceptance is in principal," except (1) if from a qualified duties, if such travel and expenses are conformance with regulations of the Select "institution of higher education," or (2) disclosed within 30 days of trip. Committee on Ethics and (1) expenses are for when provided for a one-day event when in "Necessary expenses" currently an event, meeting or fact-finding trip sponsored conformance with regulations prescribed excludes expenses for personal by a 501(c)(3) (charitable) organization when by the House Committee on Standards of entertainment or recreational activities. the organization has been pre-approved by the Official Conduct (which could include a 1 Select Committee on Ethics, or (2) expenses are or, in some cases when necessary, a 2- provided for a one-day event (which could night stay). include a 1 or, in some cases when necessary, a 2-night stay). CRS-5 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- "Officially Under current Senate Rules and former Section 109(a)(7). Provides that, in addition to Section 206(a). House Rules, as of March Connected" Travel House Rules, although lobbyists were prohibiting acceptance of expenses from 1, 2007, in addition to prohibiting a Expenses: Involvement not allowed to pay for "officially lobbyists, foreign agents, or their private lobbyist, foreign agent or their private of lobbyists in travel connected" travel, there were no clients, the Senate Rule would also prohibit the clients from financing "officially and arrangements restrictions on lobbyists traveling with acceptance of such travel expenses from anyone connected" travel, will prohibit a lobbyist congressional party, or arranging for the if the trip was "planned, organized or arranged or foreign agent from planning, organizing, trip. by or at the request of a registered lobbyist or requesting, or arranging for such a trip, and agent of a foreign principal," or for trips on from accompanying the Member or staffer which a lobbyist accompanies the Member or on any segment of the trip. staffer on any segment of the trip. Gifts -- "Officially Under former Rules only staff had to Section 109(a)(7). Members, officers and Section 206(a). Members, officers and Connected" Travel seek and receive prior approval, in employees must provide to Senate Select employees must provide to House Expenses: Certification writing from employing Member or Committee on Ethics certification from sponsor Committee on Standards certification from and Pre-approval for office, before accepting "officially specifying that financing and arrangements for sponsor specifying that financing and privately funded connected" travel expenses. trip conform to Senate Rules, and must receive arrangements for trip conform to House "officially connected" prior approval from Committee before Rules, and must receive prior approval travel accepting expenses for such travel. from Committee before accepting expenses for such travel. CRS-6 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- "Officially Current disclosures made within 30 Section 109(a)(5). Required disclosures would Section 209. Required disclosures will Connected" Travel days after travel, to include dates, also have to provide a description of the now have to be filed within 15 days of the Expenses: Additional general itinerary, identification of meetings and events attended. completed travel, and are to also detail a disclosure sponsor, specific dollar figure for description of the meetings and events expenses when available (otherwise a attended. "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." CRS-7 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- "Officially Under current Senate and House Rules Section 109(a)(8). The Senate Select Section 208. The H. Com. on Standards of Connected" Travel there are no specific guidance or Committee on Ethics is instructed to develop Official Conduct is instructed to develop Expenses: Rules on guidelines concerning what are to be guidelines concerning the connection between a guidelines concerning the connection "reasonable" expenses considered "reasonable" expenses for trip and official duties, reasonableness of an between a trip and official duties, accepting "officially connected" travel amount spent by a sponsor, the relationship reasonableness of an amount spent by expenses from private sources. between an event and an "officially connected" sponsor, relationship between an event and purpose, and the relationship between the an "officially connected" purpose, and source of funding and an event. In developing relationship between source of funding and these guidelines the Committee is instructed to event. In developing guidelines take into consideration the "maximum per diem Committee is instructed to take into rates for official Government travel published consideration maximum per diem rates for annually by the General Services official Government travel published Administration, the Department of State, and annually by the GSA, the Department of the Department of Defense." State, and the Department of Defense. CRS-8 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Gifts -- Travel on Travel on private, corporate aircraft Section 109(b). Senate gift rule is amended to Section 207. Members and staff are now private, "corporate generally must be reimbursed so that require reimbursement at fair market value for prohibited from using any funds, whether aircraft" such travel will not be a contribution to travel on private, noncommercial aircraft, with personal, campaign, or official funds, to an "unofficial office account" (Senate the fair market value being the pro rata share of pay for or reimburse expenses of traveling Rule XXXVIII, House Rule XXIV), or the value of the normal and usual charter fare on private, corporate aircraft. Members a personal "gift" to Member, officer or or rental charge for similar travel and aircraft. and staff traveling for personal purposes, employee. No specific provision on Members and staff must file a detailed report campaign purposes, or for purposes related "market value," rate of reimbursement, within 60 days after the date of the flight to to official duties, will now generally be required for such flights under House or include information on date of flight, required to fly on commercially scheduled Senate Rules (but see F.E.C. regs.). destination, owner or lessee of aircraft, purpose airlines, or to charter flights from of the travel, persons on flight, and charter rate companies in that business. paid for the flight. "Revolving Door," All representations of Indian tribes by Section 110. Would more closely conform No provision. post-employment former federal officers or employees are exemption for representing Indian tribes by conflicts of interest - now exempt from "revolving door" law former federal officials to current exemption representing Indian at 18 U.S.C. § 207 by provisions of for representing State or local governments by tribes Indian Self-Determination Act, 25 former federal officials, that is, exempting acts U.S.C. §450i(j). of former officials who carry out official duties or as elected officials for state or local governments or for tribes. CRS-9 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress "Revolving door," post- Current Senate Rule, Rule XXXVII(9), Section 111. Would amend Senate Rule No provision. employment conflicts prohibits all former staff who have XXXVII to prohibit all "senior" Senate staff of interest -- Rule for become registered lobbyists or are in (paid at rate of 75% of Member's salary) from staff employ of such from lobbying their lobbying entire Senate for one year after former office for one year. leaving office. 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. CRS-10 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress "Revolving door," post- No current provisions for legislative Section 112. Amends Senate Rules to prohibit No provision. employment conflicts branch. Senators from negotiating or having an of interest -- arrangement for private employment until employment Senator's successor has been elected, unless negotiations 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. CRS-11 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Official contacts with No current provisions in law or Rule. Section 113. Would amend Senate Rule to No provision. Member's family who require Member to prohibit staff from having lobby 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 No specific provisions in current law. Section 114. Would amend Senate Rules Section 202. Amends House Rules to employment decisions (Senate Rule XLIII) to prohibit a Senator from prohibit a Member from taking or taking or withholding, or threatening or withholding, or threatening or promising to promising to take or withhold, any official act, take or withhold, any official act, or to or to influence or to offer to influence an influence or to offer to influence an official official act of another, with the intent to act of another, with the intent to influence influence on the basis of partisan political on basis of partisan political affiliation an affiliation an employment decision or employment decision or employment employment practice of a private entity. practice of a private entity. CRS-12 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress "Revolving door," 18 U.S.C. § 207(e) prohibits, for one Section 241. Would amend criminal law at 18 No provisions. post-employment year after leaving office, Members and U.S.C. § 207 to expand from one year to two conflicts of interest certain senior staff from lobbying -- years the "cooling off" period on Members of making communications or appearances Congress, prohibiting lobbying Congress for with intent to influence -- either two years after leaving office; to expand House of Congress (for former one-year cooling off period to two years for Members), or their former employing "very senior" executive branch officials office (for senior staff). Senate Rules (cabinet officers and certain others); and to (Rule XXXVII(9)) prohibit all Senate expand one-year cooling off restriction for employees who become lobbyists from "senior" Hill staff (paid at rate of 75% of lobbying their former office for one Member's salary) to prohibit lobbying entire year. 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. CRS-13 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Ethics Training No specific provision in Rules. Section 232. New Senators and staff required to Section 211. Training to be "offered" by complete an ethics training program from House Committee on Standards of Official Senate Select Committee on Ethics within 60 Conduct. Mandatory annual training for days after commencing service. Existing staff; training for Members of the House, Members and staff serving on date of however, is not mandatory. New staff to enactment must complete the program not later take training within 60 days of than 120 days after enactment of law. employment. CRS-14 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Ethics Committees' No specific provision in Rules. Section 234. Would require House Comm. on No provision. Reports 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. CRS-15 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Congressional Pensions Members of Congress, like all federal Sections 301-304. Amends "Hiss Act" to add to No provision in H.Res. 6, but House employees, lose their federal pensions crimes "committed by a Member of Congress" passed H.R. 476 which would provide a (annuities) for violations of various that would result in forfeiture of federal loss of the credit for the years served as a national security offenses, under so- annuities those of bribery and illegal gratuities Member of Congress for one's federal called "Hiss Act." 5 U.S.C. §§ 8311, (18 U.S.C. § 201); conspiracy (18 U.S.C. § 371) annuity if a Member is convicted of 8312. to violate the bribery law; or perjury or bribery or illegal gratuities (18 U.S.C. subornation of perjury when it relates to § 201), acting as agent of foreign principal denying the commission of an offense violative (18 U.S.C. § 219), conspiracy (18 U.S.C. § of the bribery statute, or of the conspiracy 371) to commit those offenses, perjury or statute concerning a conspiracy to violate the subornation of perjury relating to those bribery law. The effective date of this offenses. provision of S. 1 would be delayed until January 1, 2009. Knowing Falsification Financial disclosure law (Ethics in Section 401. Would increase express civil fine No provision. of Financial Disclosure Government Act, see 5 U.S.C. app. from $10,000 to $50,000, and would provide Report §§ 101 et seq.), does not have express new express criminal penalty for knowing and criminal penalty, but 18 U.S.C. § 1001 willful failure to file or false filing of up to one prohibits all intentionally false or year imprisonment. fraudulent writings or entries to Federal Government and provides penalty of up to five years' imprisonment, and $250,000 fine. CRS-16 Current Senate Provision and House Issue/Provision S. 1 H.Res. 6 Rule Prior to 110th Congress Ethics and Earmarks No provision in current Rules Section 404. Adds a provision to the Senate Section 404(b). Amends the Code of Rule on conflicts of interest (Senate Rule Official Conduct, Rule XXIII, to make it XXXVII) to make it an ethics violation for a an ethics violation to condition the Member to use his or her official position to inclusion of an earmark or limited tax or "request, or otherwise aid in the progress or tariff benefit on any vote of another passage of a congressional earmark" that Member. Requires a Member requesting benefits the financial or pecuniary interests of an earmark or limited tax or tariff benefit the Member, the Member's spouse, the to provide a written statement identifying Member's immediate family, any employee of the member, the intended recipient, the the Member, or spouse or family member of purpose of such earmark or benefit, and a such employee. An earmark would include not certification that the Member has no only a defined spending item, but also a financial interest in the matter. targeted tax deduction, exclusion, or preference for 10 or fewer beneficiaries. ------------------------------------------------------------------------------ For other versions of this document, see http://wikileaks.org/wiki/CRS-RL33893