[United States Senate Manual, 107th Congress]
[S. Doc. 107-1]
[USCODETITLE]
[Pages 661-708]
[From the U.S. Government Printing Office, www.gpo.gov]
[[Page 661]]
TITLE 5.--GOVERNMENT ORGANIZATION AND EMPLOYEES
Chapter 8.--CONGRESSIONAL REVIEW OF AGENCY RULEMAKING
880 Sec. 801. Congressional review.
(a)(1)(A) Before a rule can take effect, the Federal
agency promulgating such rule shall submit to each House of
the Congress and the Comptroller General a report
containing--
(i) a copy of the rule;
(ii) a concise general statement relating to
the rule, including whether it is a major rule;
and
(iii) the proposed effective date of the
rule.
(B) On the date of the submission of the report under
subparagraph (A), the Federal agency promulgating the rule
shall submit to the Comptroller General and make available
to each House of Congress--
(i) a complete copy of the cost-benefit
analysis of the rule, if any;
(ii) the agency's actions relevant to
sections 603, 604, 605, 607, and 609;
(iii) the agency's actions relevant to
sections 202, 203, 204, and 205 of the Unfunded
Mandates Reform Act of 1995; and
(iv) any other relevant information or
requirements under any other Act and any
relevant Executive orders.
(C) Upon receipt of a report submitted under
subparagraph (A), each House shall provide copies of the
report to the chairman and ranking member of each standing
committee with jurisdiction under the rules of the House of
Representatives or the Senate to report a bill to amend the
provision of law under which the rule is issued.
(2)(A) The Comptroller General shall provide a report on
each major rule to the committees of jurisdiction in each
House of the Congress by the end of 15 calendar days after
the submission or publication date as provided in section
802(b)(2). The report of the Comptroller General shall
include an assessment of the agency's compliance with
procedural steps required by paragraph (1)(B).
(B) Federal agencies shall cooperate with the
Comptroller General by providing information relevant to the
Comptroller General's report under subparagraph (A).
(3) A major rule relating to a report submitted under
paragraph (1) shall take effect on the latest of--
(A) the later of the date occurring 60 days
after the date on which--
(i) the Congress receives the report
submitted under paragraph (1); or
(ii) the rule is published in the
Federal Register, if so published;
[[Page 662]]
(B) if the Congress passes a joint
resolution of disapproval described in section
802 relating to the rule, and the President
signs a veto of such resolution, the earlier
date--
(i) on which either House of Congress
votes and fails to override the veto of the
President; or
(ii) occurring 30 session days after the
date on which the Congress received the veto
and objections of the President; or
(C) the date of rule would have otherwise
taken effect, if not for this section (unless a
joint resolution of disapproval under section
802 is enacted).
(4) Except for a major rule, a rule shall take effect as
otherwise provided by law after submission to Congress under
paragraph (1).
(5) Notwithstanding paragraph (3), the effective date of
a rule shall not be delayed by operation of this chapter
beyond the date on which either House of Congress votes to
reject a joint resolution of disapproval under section 802.
(b)(1) A rule shall not take effect (or continue), if
the Congress enacts a joint resolution of disapproval,
described under section 802, of the rule.
(2) A rule that does not take effect (or does not
continue) under paragraph (1) may not be reissued in
substantially the same form, and a new rule that is
substantially the same as such a rule may not be issued,
unless the reissued or new rule is specifically authorized
by a law enacted after the date of the joint resolution
disapproving the original rule.
(c)(1) Notwithstanding any other provision of this
section (except subject to paragraph (3)), a rule that would
not take effect by reason of subsection (a)(3) may take
effect, if the President makes a determination under
paragraph (2) and submits written notice of such
determination to the Congress.
(2) Paragraph (1) applies to a determination made by the
President by Executive order that the rule should take
effect because such rule is--
(A) necessary because of an imminent threat
to health or safety or other emergency;
(B) necessary for the enforcement of
criminal laws;
(C) necessary for national security; or
(D) issued pursuant to any statute
implementing an international trade agreement.
(3) An exercise by the President of the authority under
this subsection shall have no effect on the procedures under
section 802 or the effect of a joint resolution of
disapproval under this section.
(d)(1) In addition to the opportunity for review
otherwise provided under this chapter, in the case of any
rule for which a report was submitted in accordance with
subsection (a)(1)(A) during the period beginning on the date
occurring--
(A) in the case of the Senate; 60 session
days, or
(B) in the case of the House of
Representatives; 60 legislative days,
before the date the Congress adjourns a session of Congress
through the date on which the same or succeeding Congress
first convenes its next session, section 802 shall apply to
such rule in the succeeding session of Congress.
[[Page 663]]
(2)(A) In applying section 802 for purposes of such
additional review, a rule described under paragraph (1)
shall be treated as though--
(i) such rule were published in the Federal
Register (as a rule that shall take effect) on--
(I) in the case of the Senate, the 15th
session day, or
(II) in the case of the House of
Representatives, the 15th legislative day,
after the succeeding session of Congress
first convenes; and
(ii) a report on such rule were submitted to
Congress under subsection (a)(1) on such date.
(B) Nothing in this paragraph shall be construed to
affect the requirement under subsection (a)(1) that a report
shall be submitted to Congress before a rule can take
effect.
(3) A rule described under paragraph (1) shall take
effect as otherwise provided by law (including other
subsections of this section).
(e)(1) For purposes of this subsection, section 802
shall also apply to any major rule promulgated between March
1, 1996, and the date of the enactment of this chapter.
(2) In applying section 802 for purposes of
Congressional review, a rule described under paragraph (1)
shall be treated as though--
(A) such rule were published in the Federal
Register on the date of enactment of this
chapter; and
(B) a report on such rule were submitted to
Congress under subsection (a)(1) on such date.
(3) The effectiveness of a rule described under
paragraph (1) shall be as otherwise provided by law, unless
the rule is made of no force or effect under section 802.
(f) Any rule that takes effect and later is made of no
force or effect by enactment of a joint resolution under
section 802 shall be treated as though such rule had never
taken effect.
(g) If the Congress does not enact a joint resolution of
disapproval under section 802 respecting a rule, no court or
agency may infer any intent of the Congress from any action
or inaction of the Congress with regard to such rule,
related statute, or joint resolution of disapproval.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 868.)
881 Sec. 802. Congressional disapproval procedure.
(a) For purposes of this section, the term ``joint
resolution'' means only a joint resolution introduced in the
period beginning on the date on which the report referred to
in section 801(a)(1)(A) is received by Congress and ending
60 days thereafter (excluding days either House of Congress
is adjourned for more than 3 days during a session of
Congress), the matter after the resolving clause of which is
as follows: ``That Congress disapproves the rule submitted
by the _____ relating to _____, and such rule shall have no
force or effect.'' (The blank spaces being appropriately
filled in).
(b)(1) A joint resolution described in subsection (a)
shall be referred to the committees in each House of
Congress with jurisdiction.
(2) For purposes of this section, the term ``submission
or publication date'' means the later of the date on which--
(A) the Congress receives the report
submitted under section 801(a)(1); or
(B) the rule is published in the Federal
Register, if so published.
[[Page 664]]
(c) In the Senate, if the committee to which is referred
a joint resolution described in subsection (a) has not
reported such joint resolution (or an identical joint
resolution) at the end of 20 calendar days after the
submission or publication date defined under subsection
(b)(2), such committee may be discharged from further
consideration of such joint resolution upon a petition
supported in writing by 30 Members of the Senate, and such
joint resolution shall be placed on the calendar.
(d)(1) In the Senate, when the committee to which a
joint resolution is referred has reported, or when a
committee is discharged (under subsection (c)) from further
consideration of a joint resolution described in subsection
(a), it is at any time thereafter in order (even though a
previous motion to the same effect has been disagreed to)
for a motion to proceed to the consideration of the joint
resolution, and all points of order against the joint
resolution (and against consideration of the joint
resolution) are waived. The motion is not subject to
amendment, or to a motion to postpone, or to a motion to
proceed to the consideration of other business. A motion to
reconsider the vote by which the motion is agreed to or
disagreed to shall not be in order. If a motion to proceed
to the consideration of the joint resolution is agreed to,
the joint resolution shall remain the unfinished business of
the Senate until disposed of.
(2) In the Senate, debate on the joint resolution, and
on all debatable motions and appeals in connection
therewith, shall be limited to not more than 10 hours, which
shall be divided equally between those favoring and those
opposing the joint resolution. A motion further to limit
debate is in order and not debatable. An amendment to, or a
motion to postpone, or a motion to proceed to the
consideration of other business, or a motion to recommit the
joint resolution is not in order.
(3) In the Senate, immediately following the conclusion
of the debate on a joint resolution described in subsection
(a), and a single quorum call at the conclusion of the
debate if requested in accordance with the rules of the
Senate, the vote on final passage of the joint resolution
shall occur.
(4) Appeals from the decisions of the Chair relating to
the application of the rules of the Senate to the procedure
relating to a joint resolution described in subsection (a)
shall be decided without debate.
(e) In the Senate the procedure specified in subsection
(c) or (d) shall not apply to the consideration of a joint
resolution respecting a rule--
(1) after the expiration of the 60 session
days beginning with the applicable submission or
publication date, or
(2) if the report under section 801(a)(1)(A)
was submitted during the period referred to in
section 801(d)(1), after the expiration of the
60 session days beginning on the 15th session
day after the succeeding session of Congress
first convenes.
(f) If, before the passage by one House of a joint
resolution of that House described in subsection (a), that
House receives from the other House a joint resolution
described in subsection (a), then the following procedures
shall apply:
(1) The joint resolution of the other House
shall not be referred to a committee.
(2) With respect to a joint resolution
described in subsection (a) of the House
receiving the joint resolution--
[[Page 665]]
(A) the procedure in that House shall be
the same as if no joint resolution had been
received from the other House; but
(B) the vote on final passage shall be
on the joint resolution of the other House.
(g) This section is enacted by Congress--
(1) as an exercise of the rulemaking power
of the Senate and House of Representatives,
respectively, and as such it is deemed a part of
the rules of each House, respectively, but
applicable only with respect to the procedure to
be followed in that House in the case of a joint
resolution described in subsection (a), and it
supersedes other rules only to the extent that
it is inconsistent with such rules; and
(2) with full recognition of the
constitutional right of either House to change
the rules (so far as relating to the procedure
of that House) at any time, in the same manner,
and to the same extent as in the case of any
other rule of that House.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 871.)
882 Sec. 803. Special rule on statutory, regulatory, and
judicial deadlines.
(a) In the case of any deadline for, relating to, or
involving any rule which does not take effect (or the
effectiveness of which is terminated) because of enactment
of a joint resolution under section 802, that deadline is
extended until the date 1 year after the date of enactment
of the joint resolution. Nothing in this subsection shall be
construed to affect a deadline merely by reason of the
postponement of a rule's effective date under section
801(a).
(b) The term ``deadline'' means any date certain for
fulfilling any obligation or exercising any authority
established by or under any Federal statute or regulation,
or by or under any court order implementing any Federal
statute or regulation.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 873.)
883 Sec. 804. Definitions.
For purposes of this chapter--
(1) The term ``Federal agency'' means any
agency as that term is defined in section
551(1).
(2) The term ``major rule'' means any rule
that the Administrator of the Office of
Information and Regulatory Affairs of the Office
of Management and Budget finds has resulted in
or is likely to result in--
(A) an annual effect on the economy of
$100,000,000 or more;
(B) a major increase in costs or prices
for consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions; or
(C) significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the ability
of United States-based enterprises to
compete with foreign-based enterprises in
domestic and export markets.
The term does not include any rule promulgated under the
Telecommunications Act of 1996 and the amendments made by
that Act.
(3) The term ``rule'' has the meaning given
such term in section 551, except that such term
does not include--
[[Page 666]]
(A) any rule of particular
applicability, including a rule that
approves or prescribes for the future rates,
wages, prices, services, or allowances
therefor, corporate or financial structures,
reorganizations, mergers, or acquisitions
thereof, or accounting practices or
disclosures bearing on any of the foregoing;
thereof, or accounting practices or
disclosures bearing on any of the foregoing;
(B) any rule relating to agency
management or personnel; or
(C) any rule of agency organization,
procedure, or practice that does not
substantially affect the rights or
obligations of non-agency parties.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 873.)
884 Sec. 805. Judicial review.
No determination, finding, action, or omission under
this chapter shall be subject to judicial review.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 873.)
885 Sec. 806. Applicability; severability.
(a) This chapter shall apply notwithstanding any other
provisions of law.
(b) If any provision of this chapter or the application
of any provision of this chapter to any person or
circumstance, is held invalid, the application of such
provision to other persons or circumstances, and the
remainder of this chapter, shall not be affected thereby.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 873.)
886 Sec. 807. Exemption for monetary policy.
Nothing in this chapter shall apply to rules that
concern monetary policy proposed or implemented by the Board
of Governors of the Federal Reserve System or the Federal
Open Market Committee.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 874.)
887 Sec. 808. Effective date of certain rules.
Notwithstanding section 801--
(1) any rule that establishes, modifies,
opens, closes, or conducts a regulatory program
for a commercial, recreational, or subsistence
activity related to hunting, fishing, or
camping, or
(2) any rule which an agency for good cause
finds (and incorporates the finding and a brief
statement of reasons therefor in the rule
issued) that notice and public procedure thereon
are impracticable, unnecessary, or contrary to
the public interest,
shall take effect at such time as the Federal agency
promulgating the rule determines.
(Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
110 Stat. 874.)
[[Page 667]]
Chapter 29.--COMMISSIONS, OATHS, RECORDS, AND REPORTS
Subchapter I.--Commissions, Oaths, and Records
890 Sec. 2905. Oath; renewal.\1\
\1\ For text of oath to be taken by employees of the
Senate and House of Representatives, see section 3331 of
title 5, United States Code (not included herein).
* * * * * * *
(b) An individual who, on appointment, as an employee of
a House of Congress, subscribed to the oath of office
required by section 3331 of this title is not required to
renew the oath so long as his service as an employee of that
House of Congress is continuous. (Sept. 6, 1966, Pub. L. 89-
554, 80 Stat. 412.)
Subchapter II.--Reports
891 Sec. 2954. Information to committees of Congress on request.
An Executive agency, on request of the Committee on
Government Operations of the House of Representatives, or of
any seven members thereof, or on request of the Committee on
Governmental Affairs of the Senate, or any five members
thereof, shall submit any information requested of it
relating to any matter within the jurisdiction of the
committee. (Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 413;
Nov. 2, 1994, Pub. L. 103-437, Sec. 3(b), 108 Stat. 4581.)
Chapter 31.--AUTHORITY FOR EMPLOYMENT
892 Sec. 3110. Employment of relatives; restrictions.
(a) For the purpose of this section--
(1) ``agency'' means--
(A) an Executive agency;
(B) an office, agency, or other
establishment in the legislative branch;
(C) an office, agency, or other
establishment in the judicial branch; and
(D) the government of the District of
Columbia;
(2) ``public official'' means an officer
(including the President and a Member of
Congress), a member of the uniformed service,
and employee and any other individual, in whom
is vested the authority by law, rule, or
regulation, or to whom the authority has been
delegated, to appoint, employ, promote, or
advance individuals, or to recommend individuals
for appointment, employment, promotion, or
advancement, in connection with employment in an
agency; and
(3) ``relative'' means, with respect to a
public official, an individual who is related to
the public official as father, mother, son,
daughter, brother, sister, uncle, aunt, first
cousin, nephew, 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.
(b) A public official may not appoint, employ, promote,
advance, or advocate for appointment, employment, promotion,
or advancement, in or to a civilian position in the agency
in which he is serving or over
[[Page 668]]
which he exercises jurisdiction or control any individual
who is a relative of the public official. An individual may
not be appointed, employed, promoted, or advanced in or to a
civilian position in an agency if such appointment,
employment, promotion, or advancement has been advocated by
a public official, serving in or exercising jurisdiction or
control over the agency, who is a relative of the
individual.
(c) An individual appointed, employed, promoted, or
advanced in violation of this section is not entitled to
pay, and money may not be paid from the Treasury as pay to
an individual so appointed, employed, promoted, or advanced.
(d) The Office of Personnel Management may prescribe
regulations authorizing the temporary employment, in the
event of emergencies resulting from natural disasters or
similar unforeseen events or circumstances, of individuals
whose employment would otherwise be prohibited by this
section.
(e) This section shall not be construed to prohibit the
appointment of an individual who is a preference eligible in
any case in which the passing over of that individual on a
certificate of eligibles furnished under section 3317(a) of
this title will result in the selection for appointment of
an individual who is not a preference eligible. (Dec. 16,
1967, Pub. L. 90-206, Sec. 221(a), 81 Stat. 640; Oct. 13,
1978, Pub. L. 95-454, Sec. 906(a)(2), 92 Stat. 1224.)
Chapter 33.--EXAMINATION, SELECTION, AND PLACEMENT
Subchapter II.--Oath of Office
893 Sec. 3333. Employee affidavit; loyalty and striking against
the Government.
(a) Except as provided by subsection (b) of this
section, an individual who accepts office or employment in
the Government of the United States or in the government of
the District of Columbia shall execute an affidavit within
60 days after accepting the office or employment that his
acceptance and holding of the office or employment does not
or will not violate section 7311 of this title. The
affidavit is prima facie evidence that the acceptance and
holding of office or employment by the affiant does not or
will not violate section 7311 of this title.
(b) An affidavit is not required from an individual
employed by the Government of the United States or the
government of the District of Columbia for less than 60 days
for sudden emergency work involving the loss of human life
or the destruction of property. This subsection does not
relieve an individual from liability for violation of
section 7311 of this title. (Sept. 6, 1966, Pub. L. 89-554,
80 Stat. 424.)
Chapter 55.--PAY ADMINISTRATION
Subchapter I.--General Provisions
894 Sec. 5503. Recess appointments.\1\
(a) Payment for services may not be made from the
Treasury of the United States to an individual appointed
during a recess of the Senate
[[Page 669]]
to fill a vacancy in an existing office, if the vacancy
existed while the Senate was in session and was by law
required to be filled by and with the advice and consent of
the Senate, until the appointee has been confirmed by the
Senate. This subsection does not apply--
\1\ For proceedings on nominations see rule XXXI of the
Standing Rules of the Senate (Senate Manual section 31).
(1) if the vacancy arose within 30 days
before the end of the session of the Senate;
(2) if, at the end of the session, a
nomination for the office, other than the
nomination of an individual appointed during the
preceding recess of the Senate, was pending
before the Senate for its advice and consent; or
(3) if a nomination for the office was
rejected by the Senate within 30 days before the
end of the session and an individual other than
the one whose nomination was rejected thereafter
receives a recess appointment.
(b) A nomination to fill a vacancy referred to by
paragraph (1), (2), or (3) of subsection (a) of this section
shall be submitted to the Senate not later than 40 days
after the beginning of the next session of the Senate.
(Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 475.)
Subchapter IV.--Dual Pay and Dual Employment
895 Sec. 5531. Definitions.
For the purpose of section 5533 of this title--
(1) ``member'' has the meaning given such term by
section 101(23) of title 37;
(2) ``position'' means a civilian office or position
(including a temporary, part-time, or intermittent
position), appointive or elective, in the legislative,
executive, or judicial branch of the Government of the
United States (including a Government corporation and a
nonappropriated fund instrumentality under the jurisdiction
of the armed forces) or in the government of the District of
Columbia;
(3) ``retired or retainer pay'' means retired pay, as
defined in section 8311(3) of this title, determined without
regard to subparagraphs (B) through (D) of such section
8311(3); except that such term does not include an annuity
payable to an eligible beneficiary of a member or former
member of a uniformed service under chapter 73 of title 10;
(4) ``agency in the legislative branch'' means the
General Accounting Office, the Government Printing Office,
the Library of Congress, the Office of Technology
Assessment, the Office of the Architect of the Capitol, the
United States Botanic Garden, and the Congressional Budget
Office;
(5) ``employee of the House of Representatives'' means a
congressional employee whose pay is disbursed by the Chief
Administrative Officer of the House of Representatives;
(6) ``employee of the Senate'' means a congressional
employee whose pay is disbursed by the Secretary of the
Senate; and
(7) ``congressional employee'' has the meaning given
that term by section 2107 of this title, excluding an
employee of an agency in the legislative branch. (Dec. 5,
1991; Pub. L. 102-290; 105 Stat. 1391; Pub. L. 104-186,
Title II, Sec. 215(6), Aug. 20, 1996, 110 Stat. 1745; Pub.
L. 106-398, Sec. 1, Oct. 30, 2000, 114 Stat. 1654, 1654A-
293.)
[[Page 670]]
896 Sec. 5532. Repealed. Pub. L. 106-65, Title VI,
Sec. 651(a)(1), Oct. 5, 1999, 113 Stat. 664.
* * * * * * *
897 Sec. 5533. Dual pay from more than one position;
limitations; exceptions.
* * * * * * *
(c)(1) Unless otherwise authorized by law and except as
otherwise provided by paragraph (2) or (4) of this
subsection, appropriated funds are not available for payment
to an individual of pay from more than one position if the
pay of one of the positions is paid by the Secretary of the
Senate or the Chief Administrative Officer of the House of
Representatives, or one of the positions is under the Office
of the Architect of the Capitol, and if the aggregate gross
pay from the positions exceeds $7,724 a year ($10,540,\1\ in
the case of pay disbursed by the Secretary of the Senate).
\1\ Effective January 1, 2002, for individuals whose pay
is disbursed by the Secretary of the Senate, the figure
is ``$26,329''. (Dec. 20, 2001, Order of the President
pro tempore, pursuant to Act Jan. 8, 1971, Pub. L. 91-
656, Sec. 4, 84 Stat. 1952.)
(2) Notwithstanding paragraph (1) of this subsection,
appropriated funds are not available for payment to an
individual of pay from more than one position, for each of
which the pay is disbursed by the Chief Administrative
Officer of the House of Representatives, if the aggregate
gross pay from those positions exceeds the maximum per annum
gross rate of pay authorized to be paid to an employee out
of the clerk hire allowance of a Member of the House.
(3) For the purposes of this subsection, ``gross pay''
means the annual rate of pay (or equivalent thereof in the
case of an individual paid on other than an annual basis)
received by an individual.
(4) Paragraph (1) of this subsection does not apply to
pay on a when-actually-employed basis received from more
than one consultant or expert position if the pay is not
received for the same day. (Sept. 6, 1966, Pub. L. 89-554,
80 Stat. 483; July 28, 1967, Pub. L. 90-57, Sec. 105(h), 81
Stat. 143; Dec. 16, 1967, Pub. L. 90-206, Sec. 214(o), 81
Stat. 637; June 12, 1968, Order of President pro tempore,
Cong. Rec. Vol. 114, p. S7074 (June 12, 1968, daily ed.),
pursuant to Act Dec. 16, 1967, Pub. L. 90-206, Sec. 214(o),
81 Stat. 637; Oct. 26, 1970, Pub. L. 91-510, Sec. 477, 84
Stat. 1195; Nov. 1, 1973, Pub. L. 93-145, Sec. 101, 87 Stat.
532; Oct. 1, 1976, Pub. L. 94-440, Sec. 103, 90 Stat. 1443;
Pub. L. 95-454, Title IX, Sec. 906(a)(2), Oct. 13, 1978, 92
Stat. 1224; Pub. L. 96-70, Title III, Sec. 3302(e)(8), Sept.
27, 1979, 93 Stat. 498; Pub. L. 104-186, Title II,
Sec. 215(7), Aug. 20, 1996, 110 Stat. 1745.)
Chapter 57.--TRAVEL, TRANSPORTATION, AND SUBSISTENCE
898 Sec. 5702. Per diem; employees traveling on official
business.
(a)(1) Under regulations prescribed pursuant to section
5707 of this title, an employee when traveling on official
business away from the employee's designated post of duty,
or away from the employee's home or regular place of
business (if the employee is described in section 5703 of
this title), is entitled to any one of the following:
[[Page 671]]
(A) a per diem allowance at a rate not to
exceed that established by the Administrator of
General Services for travel within the
continental United States, and by the President
or his designee for travel outside the
continental United States;
(B) reimbursement for the actual and
necessary expenses of official travel not to
exceed an amount established by the
Administrator for travel within the continental
United States or an amount established by the
President or his designee for travel outside the
continental United States; or
(C) a combination of payments described in
subparagraphs (A) and (B) of this paragraph.
(2) Any per diem allowance or maximum amount of
reimbursement shall be established to the extent feasible,
by locality.
(3) For travel consuming less than a full day, the
payment prescribed by regulation shall be allocated in such
manner as the Administrator may prescribe.
(b)(1) Under regulations prescribed under section 5707
of this title, an employee who is described in subsection
(a) of this section and who abandons the travel assignment
prior to its completion--
(A) because of an incapacitating illness or
injury which is not due to the employee's own
misconduct is entitled to reimbursement for
expenses of transportation to the employee's
designated post of duty, or home or regular
place of business, as the case may be, and to
payments pursuant to subsection (a) of this
section until that location is reached; or
(B) because of a personal emergency
situation (such as serious illness, injury, or
death of a member of the employee's family, or
an emergency situation such as fire, flood, or
act of God), may be allowed, with the approval
of an appropriate official of the agency
concerned, reimbursement for expenses of
transportation to the employee's designated post
of duty, or home or regular place of business,
as the case may be, and payments pursuant to
subsection (a) of this section until that
location is reached.
(2)(A) Under regulations prescribed pursuant to section
5707 of this title, an employee who is described in
subsection (a) of this section and who, with the approval of
an appropriate official of the agency concerned, interrupts
the travel assignment prior to its completion for a reason
specified in subparagraph (A) or (B) of paragraph (1) of
this subsection, may be allowed (subject to the limitation
provided in subparagraph (B) of this paragraph)--
(i) reimbursement for expenses of
transportation to the location where necessary
medical services are provided or the emergency
situation exists,
(ii) payments pursuant to subsection (a) of
this section until that location is reached, and
(iii) such reimbursement and payments for
return to such assignment.
(B) The reimbursement which an employee may be allowed
pursuant to subparagraph (A) of this paragraph shall be the
employee's actual costs of transportation to the location
where necessary medical services are provided or the
emergency exists, and return to assignment from such
location, less the costs of transportation which the
employee would have incurred had such travel begun and ended
at the employee's des
[[Page 672]]
ignated post of duty or home or regular place of business,
as the case may be. The payments which an employee may be
allowed pursuant to subparagraph (A) of this paragraph shall
be based on the additional time (if any) which was required
for the employee's transportation as a consequence of the
transportation's having begun and ended at a location on the
travel assignment (rather than at the employee's designated
post of duty, or home or regular place of business, as the
case may be).
(3) Subject to the limitations contained in regulations
prescribed pursuant to section 5707 of this title, an
employee who is described in subsection (a) of this section
and who interrupts the travel assignment prior to its
completion because of an incapacitating illness or injury
which is not due to the employee's own misconduct is
entitled to payments pursuant to subsection (a) of this
section at the location where the interruption occurred.
(c) This section does not apply to a justice or judge,
except to the extent provided by section 456 of title 28.
(Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 498; Nov. 10, 1969,
Pub. L. 91-114, Sec. 1, 83 Stat. 190; May 19, 1975, Pub. L.
94-22, Sec. 3, 89 Stat. 84; Aug. 14, 1979, Pub. L. 96-54,
Sec. 2(a)(36), 93 Stat. 383; Sept. 10, 1980, Pub. L. 96-346,
Sec. 1, 94 Stat. 1148; Pub. L. 99-234, Sec. 102, Jan. 2,
1986, 99 Stat. 1756; Pub. L. 102-378, Sec. 2(47), Oct. 2,
1992, 106 Stat. 1353.)
899 Sec. 5704. Mileage and related allowances.
(a)(1) Under regulations prescribed under section 5707
of this title, an employee who is engaged on official
business for the Government is entitled to a rate per mile
established by the Administrator of General Services,
instead of the actual expenses of transportation, for the
use of a privately owned automobile when that mode of
transportation is authorized or approved as more
advantageous to the Government. In any year in which the
Internal Revenue Service establishes a single standard
mileage rate for optional use by taxpayers in computing the
deductible costs of operating their automobiles for business
purposes, the rate per mile established by the Administrator
shall not exceed the single standard mileage rate
established by the Internal Revenue Service.
(2) Under regulations prescribed under section 5707 of
this title, an employee who is engaged on official business
for the Government is entitled to a rate per mile
established by the Administrator of General Services,
instead of the actual expenses of transportation, for the
use of privately owned airplane or a privately owned
motorcycle when that mode of transportation is authorized or
approved as more advantageous to the Government.
(b) A determination that travel by a privately owned
vehicle is more advantageous to the Government is not
required under subsection (a) of this section when payment
on a mileage basis is limited to the cost of travel by
common carrier including per diem.
(c) Notwithstanding the provisions of subsections (a)
and (b) of this section, in any case in which an employee
who is engaged on official business for the Government
chooses to use a privately owned vehicle in lieu of a
Government vehicle, payment on a mileage basis is limited to
the cost of travel by a Government vehicle.
(d) In addition to the rate per mile authorized under
subsection (a) of this section, the employee may be
reimbursed for--
[[Page 673]]
(1) parking fees;
(2) ferry fees;
(3) bridge, road, and tunnel costs; and
(4) airplane landing and tie-down fees.
(Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 499; May 19, 1975,
Pub. L. 94-22, Sec. 5, 89 Stat. 85; Sept. 10, 1980, Pub. L.
96-346, Sec. 2, 94 Stat. 1148; Sept. 30, 1994, Pub. L. 103-
329, Title VI, Sec. 634(a), 108 Stat. 2428.)
900 Sec. 5706. Allowable travel expenses.
Except as otherwise permitted by this subchapter or by
statutes relating to members of the uniformed services, only
actual and necessary travel expenses may be allowed to an
individual holding employment or appointment under the
United States. (Sept. 6, 1966, Pub. L. 89-554, 80 Stat.
500.)
901 Sec. 5708. Effect on other statutes.
This subchapter does not modify or repeal--
* * * * * * *
(2) any statute providing for mileage
allowances for Members of Congress;
(3) any statute fixing or permitting
rates higher than the maximum rates
established under this subchapter; or
(4) any appropriation statute item for
examination of estimates in the field.
(Sept. 6, 1966, Pub. L. 89-554, 80 Stat.
500.)
902 Sec. 5742. Transportation of remains, dependents, and
effects; death occurring away from official station or
abroad.
(a) For the purpose of this section, ``agency'' means--
* * * * * * *
(3) an agency in the legislative branch; and
. . . .
(b) When an employee dies, the head of the agency
concerned, under the regulations prescribed by the President
and, except as otherwise provided by law, may pay from
appropriations available for the activity in which the
employee was engaged--
(1) the expense of preparing and
transporting the remains to the home or official
station of the employee, or such other place
appropriate for interment as is determined by
the head of the agency concerned, if death
occurred while the employee was in a travel
status away from his official station in the
United States or while performing official
duties outside the continental United States or
in transit thereto or therefrom;
(2) the expense of transporting his
dependents, including expenses of packing,
crating, draying, and transporting household
effects and other personal property to his
former home or such other place as is determined
by the head of the agency concerned, if death
occurred while the employee was performing
official duties outside the continental United
States or in transit thereto or therefrom; and
(3) the travel expenses of not more than 2
persons to escort the remains of a deceased
employee, if death occurred while the employee
was in travel status away from his official
station in the
[[Page 674]]
United States or while performing official
duties outside the United States or in transit
thereto or therefrom, from the place of death to
the home or official station of such person, or
such other place appropriate for interment as is
determined by the head of the agency concerned.
(Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 507; Pub. L. 101-
510; Sec. 1206(d), Nov. 5, 1990, 104 Stat. 1661; Pub. L.
105-277, Oct. 21, 1998, 112 Stat. 2681-210.)
Chapter 73.--SUITABILITY, SECURITY, AND CONDUCT
Subchapter II.--Employment Limitations
903 Sec. 7311. Loyalty and striking.
An individual may not accept or hold a position in the
Government of the United States or the government of the
District of Columbia if he--
(1) advocates the overthrow of our
constitutional form of government;
(2) is a member of an organization that he
knows advocates the overthrow of our
constitutional form of government;
(3) participates in a strike, or asserts the
right to strike, against the Government of the
United States or the government of the District
of Columbia; or
(4) is a member of an organization of
employees of the Government of the United States
or of individuals employed by the government of
the District of Columbia that he knows asserts
the right to strike against the Government of
the United States or the government of the
District of Columbia. (Sept. 6, 1966, Pub. L.
89-554, 80 Stat. 524.)
Subchapter IV.--Foreign Gifts and Decorations
904 Sec. 7342. Receipt and disposition of foreign gifts and
decorations.
(a) For the purpose of this section--
(1) ``employee'' means--
(A) an employee as defined by section
2105 of this title and an officer or
employee of the United States Postal Service
or of the Postal Rate Commission;
(B) an expert or consultant who is under
contract under section 3109 of this title
with the United States or any agency,
department, or establishment thereof,
including, in the case of an organization
performing services under such section, any
individual involved in the performance of
such services;
(C) an individual employed by, or
occupying an office or position in, the
government of a territory or possession of
the United States or the government of the
District of Columbia;
(D) a member of a uniformed service;
(E) the President and the Vice
President;
(F) a Member of Congress as defined by
section 2106 of this title (except the Vice
President) and any Delegate to the Congress;
and
(G) the spouse of an individual
described in subparagraphs (A) through (F)
(unless such individual and his or her
spouse
[[Page 675]]
are separated) or a dependent (within the
meaning of section 152 of the Internal
Revenue Code of 1986) of such an individual,
other than a spouse or dependent who is an
employee under subparagraphs (A) through
(F);
(2) ``foreign government'' means--
(A) any unit of foreign governmental
authority, including any foreign national,
State, local, and municipal government;
(B) any international or multinational
organization whose membership is composed of
any unit of foreign government described in
subparagraph (A); and
(C) any agent or representative of any
such unit or such organization, while acting
as such;
(3) ``gift'' means a tangible or intangible
present (other than a decoration) tendered by,
or received from, a foreign government;
(4) ``decoration'' means an order, device,
medal, badge, insignia, emblem, or award
tendered by, or received from, a foreign
government;
(5) ``minimal value'' means a retail value
in the United States at the time of acceptance
of $100 or less, except that--
(A) on January 1, 1981, and at 3-year
intervals thereafter, ``minimal value''
shall be redefined in regulations prescribed
by the Administrator of General Services, in
consultation with the Secretary of State, to
reflect changes in the consumer price index
for the immediately preceding 3-year period;
and
(B) regulations of an employing agency
may define ``minimal value'' for its
employees to be less than the value
established under this paragraph; and
(6) ``employing agency'' means--
(A) the Committee on Standards of
Official Conduct of the House of
Representatives, for Members and employees
of the House of Representatives, except that
those responsibilities specified in
subsections (c)(2)(A), (e)(1), and (g)(2)(B)
shall be carried out by the Clerk of the
House;
(B) the Select Committee on Ethics of
the Senate, for Senators and employees of
the Senate, except that those
responsibilities (other than
responsibilities involving approval of the
employing agency) specified in subsections
(c)(2), (d), and (g)(2)(B) shall be carried
out by the Secretary of the Senate;
(C) the Administrative Office of the
United States Courts, for judges and
judicial branch employees; and
(D) the department, agency, office, or
other entity in which an employee is
employed, for other legislative branch
employees and for all executive branch
employees.
(b) An employee may not--
(1) request or otherwise encourage the
tender of a gift or decoration; or
(2) accept a gift or decoration, other than
in accordance with the provisions of subsections
(c) and (d).
(c)(1) The Congress consents to--
(A) the accepting and retaining by an
employee of a gift of minimal value tendered and
received as a souvenir or mark of courtesy; and
[[Page 676]]
(B) the accepting by an employee of a gift
of more than minimal value when such gift is in
the nature of an educational scholarship or
medical treatment or when it appears that to
refuse the gift would likely cause offense or
embarrassment or otherwise adversely affect the
foreign relations of the United States, except
that--
(i) a tangible gift of more than minimal
value is deemed to have been accepted on
behalf of the United States and, upon
acceptance, shall become the property of the
United States; and
(ii) an employee may accept gifts of
travel or expenses for travel taking place
entirely outside the United States (such as
transportation, food, and lodging) of more
than minimal value if such acceptance is
appropriate, consistent with the interests
of the United States, and permitted by the
employing agency and any regulations which
may be prescribed by the employing agency.
(2) Within 60 days after accepting a tangible gift of
more than minimal value (other than a gift described in
paragraph (1)(B)(ii)), an employee shall--
(A) deposit the gift for disposal with his
or her employing agency; or
(B) subject to the approval of the employing
agency, deposit the gift with that agency for
official use.
Within 30 days after terminating the official use of a gift
under subparagraph (B), the employing agency shall forward
the gift to the Administrator of General Services in
accordance with subsection (e)(1) or provide for its
disposal in accordance with subsection (e)(2).
(3) When an employee deposits a gift of more than
minimal value for disposal or for official use pursuant to
paragraph (2), or within 30 days after accepting travel or
travel expenses as provided in paragraph (1)(B)(ii) unless
such travel or travel expenses are accepted in accordance
with specific instructions of his or her employing agency,
the employee shall file a statement with his or her
employing agency or its delegate containing the information
prescribed in subsection (f) for that gift.
(d) The Congress consents to the accepting, retaining,
and wearing by an employee of a decoration tendered in
recognition of active field service in time of combat
operations or awarded for other outstanding or unusually
meritorious performance, subject to the approval of the
employing agency of such employee. Without this approval,
the decoration is deemed to have been accepted on behalf of
the United States, shall become the property of the United
States, and shall be deposited by the employee, within sixty
days of acceptance, with the employing agency for official
use, for forwarding to the Administrator of General Services
for disposal in accordance with subsection (e)(1), or for
disposal in accordance with subsection (e)(2).
(e)(1) Except as provided in paragraph (2), gifts and
decorations that have been deposited with an employing
agency for disposal shall be (A) returned to the donor, or
(B) forwarded to the Administrator of General Services for
transfer, donation, or other disposal in accordance with the
provisions of subtitle I of Title 40 and Title III of the
Federal Property and Administrative Services Act of 1949.
However, no gift or decoration that has been deposited for
disposal may be sold without the approval of the Secretary
of State, upon a determination that the
[[Page 677]]
sale will not adversely affect the foreign relations of the
United States. Gifts and decorations may be sold by
negotiated sale.
(2) Gifts and decorations received by a Senator or an
employee of the Senate that are deposited with the Secretary
of the Senate for disposal, or are deposited for an official
use which has terminated, shall be disposed of by the
Commission on Arts and Antiquities of the United States
Senate. Any such gift or decoration may be returned by the
Commission to the donor or may be transferred or donated by
the Commission, subject to such terms and conditions as it
may prescribe, (A) to an agency or instrumentality of (i)
the United States, (ii) a State, territory, or possession of
the United States, or a political subdivision of the
foregoing, or (iii) the District of Columbia, or (B) to an
organization described in section 501(c)(3) of the Internal
Revenue Code of 1986 which is exempt from taxation under
section 501(a) of such Code. Any such gift or decoration not
disposed of as provided in the preceding sentence shall be
forwarded to the Administrator of General Services for
disposal in accordance with paragraph (1). If the
Administrator does not dispose of such gift or decoration
within one year, he shall, at the request of the Commission,
return it to the Commission and the Commission may dispose
of such gift or decoration in such manner as it considers
proper, except that such gift or decoration may be sold only
with the approval of the Secretary of State upon a
determination that the sale will not adversely affect the
foreign relations of the United States.
(f)(1) Not later than January 31 of each year, each
employing agency or its delegate shall compile a listing of
all statements filed during the preceding year by the
employees of that agency pursuant to subsection (c)(3) and
shall transmit such listing to the Secretary of State who
shall publish a comprehensive listing of all such statements
in the Federal Register.
(2) Such listings shall include for each tangible gift
reported--
(A) the name and position of the employee;
(B) a brief description of the gift and the
circumstances justifying acceptance;
(C) the identity, if known, of the foreign
government and the name and position of the
individual who presented the gift;
(D) the date of acceptance of the gift;
(E) the estimated value in the United States
of the gift at the time of acceptance; and
(F) disposition or current location of the
gift.
(3) Such listings shall include for each gift of travel
or travel expenses--
(A) the name and position of the employee;
(B) a brief description of the gift and the
circumstances justifying acceptance; and
(C) the identity, if known, of the foreign
government and the name and position of the
individual who presented the gift.
(4) In transmitting such listings for the Central
Intelligence Agency, the Director of Central Intelligence
may delete the information described in subparagraphs (A)
and (C) of paragraphs (2) and (3) if the Director certifies
in writing to the Secretary of State that the publication of
such information could adversely affect United States
intelligence sources.
[[Page 678]]
(g)(1) Each employing agency shall prescribe such
regulations as may be necessary to carry out the purpose of
this section. For all employing agencies in the executive
branch, such regulations shall be prescribed pursuant to
guidance provided by the Secretary of State. These
regulations shall be implemented by each employing agency
for its employees.
(2) Each employing agency shall--
(A) report to the Attorney General cases in
which there is reason to believe that an
employee has violated this section;
(B) establish a procedure for obtaining an
appraisal; when necessary, of the value of
gifts; and
(C) take any other actions necessary to
carry out the purpose of this section.
(h) The Attorney General may bring a civil action in any
district court of the United States against any employee who
knowingly solicits or accepts a gift from a foreign
government not consented to by this section or who fails to
deposit or report such gift as required by this section. The
court in which such action is brought may assess a penalty
against such employee in any amount not to exceed the retail
value of the gift improperly solicited or received plus
$5,000.
(i) The President shall direct all Chiefs of a United
States Diplomatic Mission to inform their host governments
that it is a general policy of the United States Government
to prohibit United States Government employees from
receiving gifts or decorations of more than minimal value.
(j) Nothing in this section shall be construed to
derogate any regulation prescribed by any employing agency
which provides for more stringent limitations on the receipt
of gifts and decorations by its employees.
(k) The provisions of this section do not apply to
grants and other forms of assistance to which section 108A
of the Mutual Educational and Cultural Exchange Act of 1961
applies. (Sept. 11, 1967, Pub. L. 90-83, Sec. 1(45)(C), 81
Stat. 208; Aug. 17, 1977, Pub. L. 95-105, Sec. 515, 91 Stat.
862; Oct. 7, 1978, Pub. L. 95-426, Sec. 712(a)-(c), 92 Stat.
994; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095;
Pub. L. 107-217, Sec. 3(a), Aug. 21, 2002, 116 Stat. 1295.)
Chapter 81.--COMPENSATION FOR WORK INJURIES
905 Sec. Sec. 8101--8152.
Note.--Since it is not feasible to reproduce in the
Senate Manual all the pertinent provisions of law relating
to compensation for work injuries sustained by employees of
the Congress, reference only is made here to those
provisions. See sections 8101-8152 of title 5, United States
Code.
Chapters 83 and 84.--RETIREMENT
906 Sec. Sec. 8331-8351, Sec. Sec. 8401-8479, and sections 201-
208 of the Federal Employees' Retirement Contribution
Temporary Adjustment Act of 1983.
Note.--Since it is not feasible to reproduce in the
Senate Manual all the pertinent provisions of law relating
to retirement benefits of Members and employees of Congress,
reference only is made here to those provisions. See
subchapter III of chapter 83 of title 5, United States Code,
and chapter 84 of such title (as added by the Federal
Employees' Retirement System Act of 1986; Pub. L. 99-335,
100 Stat. 514).
[[Page 679]]
Chapter 87.--LIFE INSURANCE
907 Sec. Sec. 8701-8716.
Note.--Since it is not feasible to reproduce in the
Senate Manual all the pertinent provisions of law relating
to group life insurance for Members and employees of
Congress, reference only is made here to those provisions.
See sections 8701-8716 of title 5, United States Code.
Chapter 89.--HEALTH INSURANCE
908 Sec. Sec. 8901-8914.
Note.--Since it is not feasible to reproduce in the
Senate Manual all the pertinent provisions of law relating
to health benefits of Members and employees of Congress,
reference only is made here to those provisions. See
sections 8901-8914 of title 5, United States Code.
APPENDIX 2
909 Federal Advisory Committee Act
(Oct. 6, 1972, Pub. L. 92-463, 86 Stat. 770; Sept. 13, 1976,
Pub. L. 94-409, Sec. 5(c), 90 Stat. 1247; Dec. 12, 1980,
Pub. L. 96-523, Sec. 2, 94 Stat. 3040; Dec. 21, 1982, Pub.
L. 97-375, Sec. 201(c), 96 Stat. 1822; 1977 Reorg. Plan No.
1, Sec. 5F, Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634).
definitions
Sec. 3. For the purpose of this Act--
(1) The term ``Administrator'' means the
Administrator of General Services.
(2) The term ``advisory committee'' means
any committee, board, commission, council,
conference, panel, task force, or other similar
group, or any subcommittee or other subgroup
thereof (hereafter in this paragraph referred to
as ``committee''), which is--
(A) established by statute or
reorganization plan, or
(B) established or utilized by the
President, or
(C) established or utilized by one or
more agencies,
in the interest of obtaining advice or
recommendations for the President or one or more
agencies or officers of the Federal Government,
except that such term excludes (i) any committee
that is composed wholly of full-time, or permanent
part-time, officers or employees of the Federal
Government, and (ii) any committee that is created
by the National Academy of Sciences or the National
Academy of Public Administration.
(3) The term ``agency'' has the same meaning
as in section 551(1) of title 5, United States
Code.
(4) The term ``Presidential advisory
committee'' means an advisory committee which
advises the President.
applicability
Sec. 4. (a) The provisions of this Act or of any rule,
order, or regulation promulgated under this Act shall apply
to each advisory committee except to the extent that any Act
of Congress establishing any such advisory committee
specifically provides otherwise.
(b) Nothing in this Act shall be construed to apply to
any advisory committee established or utilized by--
(1) the Central Intelligence Agency; or
[[Page 680]]
(2) the Federal Reserve System.
(c) Nothing in this Act shall be construed to apply to
any local civic group whose primary function is that of
rendering a public service with respect to a Federal
program, or any State or local committee, council, board,
commission, or similar group established to advise or make
recommendations to State or local officials or agencies.
responsibilities of congressional committees
Sec. 5. (a) In the exercise of its legislative review
functions, each standing committee of the Senate and the
House of Representatives shall make a continuing review of
the activities of each advisory committee under its
jurisdiction to determine whether such advisory committee
should be abolished or merged with any other advisory
committee, whether the responsibilities of such advisory
committee should be revised, and whether such advisory
committee performs a necessary function not already being
performed. Each such standing committee shall take
appropriate action to obtain the enactment of legislation
necessary to carry out the purpose of this subsection.
(b) In considering legislation establishing, or
authorizing the establishment of any advisory committee,
each standing committee of the Senate and of the House of
Representatives shall determine, and report such
determination to the Senate or to the House of
Representatives, as the case may be, whether the functions
of the proposed advisory committee are being or could be
performed by one or more agencies or by an advisory
committee already in existence, or by enlarging the mandate
of an existing advisory committee. Any such legislation
shall--
(1) contain a clearly defined purpose for
the advisory committee;
(2) require the membership of the advisory
committee to be fairly balanced in terms of the
points of view represented and the functions to
be performed by the advisory committee;
(3) contain appropriate provisions to assure
that the advice and recommendations of the
advisory committee will not be inappropriately
influenced by the appointing authority or by any
special interest, but will instead be the result
of the advisory committee's independent
judgement;
(4) contain provisions dealing with
authorization of appropriations, the date for
submission of reports (if any), the duration of
the advisory committee, and the publication of
reports and other materials, to the extent that
the standing committee determines the provisions
of section 10 of this Act to be inadequate; and
(5) contain provisions which will assure
that the advisory committee will have adequate
staff (either supplied by an agency or employed
by it), will be provided adequate quarters, and
will have funds available to meet its other
necessary expenses.
(c) To the extent they are applicable, the guidelines
set out in subsection (b) of this section shall be followed
by the President, agency heads, or other Federal officials
in creating an advisory committee.
* * * * * * *
establishment and purpose of advisory committees
Sec. 9. (a) No advisory committee shall be established
unless such establishment is--
(1) specifically authorized by statute or by
the President; or
[[Page 681]]
(2) determined as a matter of formal record,
by the head of the agency involved after
consultation with the Administrator, with timely
notice published in the Federal Register, to be
in the public interest in connection with the
performance of duties imposed on that agency by
law.
(b) Unless otherwise specifically provided by statute or
Presidential directive, advisory committees shall be
utilized solely for advisory functions. Determinations of
action to be taken and policy to be expressed with respect
to matters upon which an advisory committee reports or makes
recommendations shall be made solely by the President or an
officer of the Federal Government.
(c) No advisory committee shall meet or take any action
until an advisory committee charter has been filed with (1)
the Administrator, in the case of Presidential advisory
committees, or (2) with the head of the agency to whom any
advisory committee reports and with the standing committees
of the Senate and of the House of Representatives having
legislative jurisdiction of such agency. Such charter shall
contain the following information:
(A) the committee's official designation;
(B) the committee's objectives and the scope
of its activity;
(C) the period of time necessary for the
committee to carry out its purposes;
(D) the agency or official to whom the
committee reports;
(E) the agency responsible for providing the
necessary support for the committee;
(F) a description of the duties for which
the committee is responsible, and, if such
duties are not solely advisory, a specification
of the authority for such functions;
(G) the estimated annual operating costs in
dollars and man-years for such committee;
(H) the estimated number and frequency of
committee meetings;
(I) the committee's termination date, if
less than two years from the date of the
committee's establishment; and
(J) the date the charter is filed.
A copy of any such charter shall also be furnished to the
Library of Congress.
* * * * * * *
(Oct. 6, 1972, Pub. L. 92-463, 86 Stat. 770; 1997 Reorg.
Plan No. 1 Sec. 5F; 91 Stat. 1634.)
APPENDIX 4
Financial Disclosure Requirements of Federal Personnel
910 Sec. 101. Persons required to file.
(a) Within thirty days of assuming the position of an
officer or employee described in subsection (f), an
individual shall file a report containing the information
described in section 102(b) unless the individual has left
another position described in subsection (f) within thirty
days prior to assuming such new position or has already
filed a report under this title with respect to nomination
for the new position or as a candidate for the position.
(b)(1) Within five days of the transmittal by the
President to the Senate of the nomination of an individual
(other than an individual
[[Page 682]]
nominated for appointment to a position as a Foreign Service
Officer or a grade or rank in the uniformed services for
which the pay grade prescribed by section 201 of title 37,
United States Code, is O-6 or below) to a position,
appointment to which requires the advice and consent of the
Senate, such individual shall file a report containing the
information described in section 102(b). Such individual
shall, not later than the date of the first hearing to
consider the nomination of such individual, make current the
report filed pursuant to this paragraph by filing the
information required by section 102(a)(1)(A) with respect to
income and honoraria received as of the date which occurs
five days before the date of such hearing. Nothing in this
Act shall prevent any congressional committee from
requesting, as a condition of confirmation, any additional
financial information from any Presidential nominee whose
nomination has been referred to that committee.
(2) An individual whom the President or the President-
elect has publicly announced he intends to nominate to a
position may file the report required by paragraph (1) at
any time after that public announcement, but not later than
is required under the first sentence of such paragraph.
(c) Within thirty days of becoming a candidate as
defined in section 301 of the Federal Campaign Act of 1971,
in a calendar year for nomination or election to the office
of President, Vice President, or Member of Congress, or on
or before May 15 of that calendar year, whichever is later,
but in no event later than 30 days before the election, and
on or before May 15 of each successive year an individual
continues to be a candidate, an individual other than an
incumbent President, Vice President, or Member of Congress
shall file a report containing the information described in
section 102(b). Notwithstanding the preceding sentence, in
any calendar year in which an individual continues to be a
candidate for any office but all elections for such office
relating to such candidacy were held in prior calendar
years, such individual need not file a report unless he
becomes a candidate for another vacancy in that office or
another office during that year.
(d) Any individual who is an officer or employee
described in subsection (f) during any calendar year and
performs the duties of his position or office for a period
in excess of sixty days in that calendar year shall file on
or before May 15 of the succeeding year a report containing
the information described in section 102(a).
(e) Any individual who occupies a position described in
subsection (f) shall, on or before the thirtieth day after
termination of employment in such position, file a report
containing the information described in section 102(a)
covering the preceding calendar year if the report required
by subsection (d) has not been filed and covering the
portion of the calendar year in which such termination
occurs up to the date the individual left such office or
position, unless such individual has accepted employment in
another position described in subsection (f).
(f) The officers and employees referred to in
subsections (a), (d), and (e) are--
(1) the President;
(2) the Vice President;
(3) each officer or employee in the
executive branch, including a special Government
employee as defined in section 202 of title 18,
United States Code, who occupies a position
classified above GS-15 of the General Schedule
or, in the case of positions not
[[Page 683]]
under the General Schedule, for which the rate
of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable
for GS-15 of the General Schedule; each member
of a uniformed service whose pay grade is at or
in excess of O-7 under section 201 of title 37,
United States Code; and each officer or employee
in any other position determined by the Director
of the Office of Government Ethics to be of
equal classification;
(4) each employee appointed pursuant to
section 3105 of title 5, United States Code;
(5) any employee not described in paragraph
(3) who is in a position in the executive branch
which is excepted from the competitive service
by reason of being of a confidential or
policymaking character, except that the Director
of the Office of Government Ethics may, by
regulation, exclude from the application of this
paragraph any individual, or group of
individuals, who are in such positions, but only
in cases in which the Director determines such
exclusion would not affect adversely the
integrity of the Government or the public's
confidence in the integrity of the Government;
(6) the Postmaster General, the Deputy
Postmaster General, each Governor of the Board
of Governors of the United States Postal Service
and each officer or employee of the United
States Postal Service or Postal Rate Commission
who occupies a position for which the rate of
basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable
for GS-15 of the General Schedule;
(7) the Director of the Office of Government
Ethics and each designated agency ethics
official;
(8) any civilian employee not described in
paragraph (3), employed in the Executive Office
of the President (other than a special
government employee) who holds a commission of
appointment from the President;
(9) a Member of Congress as defined under
section 109(12);
(10) an officer or employee of the Congress
as defined under section 109(13);
(11) a judicial officer as defined under
section 109(10); and
(12) a judicial employee as defined under
section 109(8).
(g)(1) Reasonable extensions of time for filing any
report may be granted under procedures prescribed by the
supervising ethics office for each branch, but the total of
such extensions shall not exceed ninety days.
(2)(A) In the case of an individual who is serving in
the Armed Forces, or serving in support of the Armed Forces,
in an area while that area is designated by the President by
Executive order as a combat zone for purposes of section 112
of the Internal Revenue Code of 1986, the date for the
filing of any report shall be extended so that the date is
180 days after the later of--
(i) the last day of the individual's service
in such area during such designated period; or
(ii) the last day of the individual's
hospitalization as a result of injury received
or disease contracted while serving in such
area.
(B) The Office of Government Ethics, in consultation
with the Secretary of Defense, may prescribe procedures
under this paragraph.
(h) The provisions of subsections (a), (b), and (e)
shall not apply to an individual who, as determined by the
designated agency ethics official
[[Page 684]]
or Secretary concerned (or in the case of a Presidential
appointee under subsection (b), the Director of the Office
of Government Ethics), the congressional ethics committees,
or the Judicial Conference, is not reasonably expected to
perform the duties of his office or position for more than
sixty days in a calendar year, except that if such
individual performs the duties of his office or position for
more than sixty days in a calendar year--
(1) the report required by subsections (a)
and (b) shall be filed within fifteen days of
the sixtieth day, and
(2) the report required by subsection (e)
shall be filed as provided in such subsection.
(i) The supervising ethics office for each branch may
grant a publicly available request for a waiver of any
reporting requirement under this section for an individual
who is expected to perform or has performed the duties of
his office or position less than one hundred and thirty days
in a calendar year, but only if the supervising ethics
office determines that--
(1) such individual is not a full-time
employee of the Government,
(2) such individual is able to provide
services specially needed by the Government,
(3) it is unlikely that the individual's
outside employment or financial interests will
create a conflict of interest, and
(4) public financial disclosure by such
individual is not necessary in the
circumstances.
(Pub. L. 95-521, Title I, Sec. 101, Oct. 26, 1978, 92 Stat.
1824; Pub. L. 96-19, Sec. Sec. 2(a)(1), (b), (c)(1),
4(b)(1), (d)-(f), 5, June 13, 1979, 93 Stat. 37, 38, 40;
Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989, 103
Stat. 1725; Pub. L. 101-280, Sec. 3(1), (2), May 4, 1990,
104 Stat. 152; Pub. L. 102-25, Title VI, Sec. 605(a), Apr.
6, 1991, 105 Stat. 110; Pub. L. 102-378, Sec. 4(a)(1), Oct.
2, 1992, 106 Stat. 1356.)
911 Sec. 102. Contents of reports.
(a) Each report filed pursuant to section 101 (d) and
(e) shall include a full and complete statement with respect
to the following:
(1)(A) The source, type, and amount or value
of income (other than income referred to in
subparagraph (B)) from any source (other than
from current employment by the United States
Government), and the source, date, and amount of
honoraria from any source, received during the
preceding calendar year, aggregating $200 or
more in value and, effective January 1, 1991,
the source, date, and amount of payments made to
charitable organizations in lieu of honoraria,
and the reporting individual shall
simultaneously file with the applicable
supervising ethics office, on a confidential
basis, a corresponding list of recipients of all
such payments, together with the dates and
amounts of such payments.
(B) The source and type of income which
consists of dividends, rents, interest, and
capital gains, received during the preceding
calendar year which exceeds $200 in amount or
value, and an indication of which of the
following categories the amount or value of such
item of income is within:
(i) not more than $1,000,
(ii) greater than $1,000 but not more
than $2,500,
(iii) greater than $2,500 but not more
than $5,000,
(iv) greater than $5,000 but not more
than $15,000,
[[Page 685]]
(v) greater than $15,000 but not more
than $50,000,
(vi) greater than $50,000 but not more
than $100,000,
(vii) greater than $100,000 but not more
than $1,000,000,
(viii) greater than $1,000,000 but not
more than $5,000,000, or
(ix) greater than $5,000,000.
(2)(A) The identity of the source, a brief
description, and the value of all gifts
aggregating more than the minimal value as
established by section 7342(a)(5) of title 5,
United States Code, or $250, whichever is
greater, received from any source other than a
relative of the reporting individual during the
preceding calendar year, except that any food,
lodging, or entertainment received as personal
hospitality of an individual need not be
reported, and any gift with a fair market value
of $100 or less, as adjusted at the same time
and by the same percentage as the minimal value
is adjusted, need not be aggregated for purposes
of this subparagraph.
(B) The identity of the source and a brief
description (including a travel itinerary,
dates, and nature of expenses provided) of
reimbursements received from any source
aggregating more than the minimal value as
established by section 7342(a)(5) of title 5,
United States Code, or $250, whichever is
greater and received during the preceding
calendar year.
(C) In an unusual case, a gift need not be
aggregated under subparagraph (A) if a publicly
available request for a waiver is granted.
(3) The identity and category of value of
any interest in property held during the
preceding calendar year in a trade or business,
or for investment or the production of income,
which has a fair market value which exceeds
$1,000 as of the close of the preceding calendar
year, excluding any personal liability owed to
the reporting individual by a spouse, or by a
parent, brother, sister, or child of the
reporting individual or of the reporting
individual's spouse, or any deposits aggregating
$5,000 or less in a personal savings account.
For purposes of this paragraph, a personal
savings account shall include any certificate of
deposit or any other form of deposit in a bank,
savings and loan association, credit union, or
similar financial institution.
(4) The identity and category of value of
the total liabilities owed to any creditor other
than a spouse, or a parent, brother, sister, or
child of the reporting individual or of the
reporting individual's spouse which exceed
$10,000 at any time during the preceding
calendar year, excluding--
(A) any mortgage secured by real
property which is a personal residence of
the reporting individual or his spouse; and
(B) any loan secured by a personal motor
vehicle, household furniture, or appliances,
which loan does not exceed the purchase
price of the item which secures it.
With respect to revolving charge accounts, only
those with an outstanding liability which exceeds
$10,000 as of the close of the preceding calendar
year need be reported under this paragraph.
(5) Except as provided in this paragraph, a
brief description, the date, and category of
value of any purchase, sale or exchange during
the preceding calendar year which exceeds
$1,000--
[[Page 686]]
(A) in real property, other than
property used solely as a personal residence
of the reporting individual or his spouse;
or
(B) in stocks, bonds, commodities
futures, and other forms of securities.
Reporting is not required under this paragraph of
any transaction solely by and between the reporting
individual, his spouse, or dependent children.
(6)(A) The identity of all positions held on
or before the date of filing during the current
calendar year (and, for the first report filed
by an individual, during the two-year period
preceding such calendar year) as an officer,
director, trustee, partner, proprietor,
representative, employee, or consultant of any
corporation, company, firm, partnership, or
other business enterprise, any nonprofit
organization, any labor organization, or any
educational or other institution other than the
United States. This subparagraph shall not
require the reporting of positions held in any
religious, social, fraternal, or political
entity and positions solely of an honorary
nature.
(B) If any person, other than the United
States Government, paid a nonelected reporting
individual compensation in excess of $5,000 in
any of the two calendar years prior to the
calendar year during which the individual files
his first report under this title, the
individual shall include in the report--
(i) the identity of each source of such
compensation; and
(ii) a brief description of the nature
of the duties performed or services rendered
by the reporting individual for each such
source.
The preceding sentence shall not require any
individual to include in such report any information
which is considered confidential as a result of a
privileged relationship, established by law, between
such individual and any person nor shall it require
an individual to report any information with respect
to any person for whom services were provided by any
firm or association of which such individual was a
member, partner, or employee unless such individual
was directly involved in the provision of such
services.
(7) A description of the date, parties to,
and terms of any agreement or arrangement with
respect to (A) future employment; (B) a leave of
absence during the period of the reporting
individual's Government service; (C)
continuation of payments by a former employer
other than the United States Government; and (D)
continuing participation in an employee welfare
or benefit plan maintained by a former employer.
(8) The category of the total cash value of
any interest of the reporting individual in a
qualified blind trust, unless the trust
instrument was executed prior to July 24, 1995
and precludes the beneficiary from receiving
information on the total cash value of any
interest in the qualified blind trust.
(b)(1) Each report filed pursuant to subsections (a),
(b), and (c) of section 101 shall include a full and
complete statement with respect to the information required
by--
(A) paragraph (1) of subsection (a) for the
year of filing and the preceding calendar year.
[[Page 687]]
(B) paragraphs (3) and (4) of subsection (a)
as of the date specified in the report but which
is less than thirty-one days before the filing
date, and
(C) paragraphs (6) and (7) of subsection (a)
as of the filing date but for periods described
in such paragraphs.
(2)(A) In lieu of filling out one or more schedules of a
financial disclosure form, an individual may supply the
required information in an alternative format, pursuant to
either rules adopted by the supervising ethics office for
the branch in which such individual serves or pursuant to a
specific written determination by such office for a
reporting individual.
(B) In lieu of indicating the category of amount or
value of any item contained in any report filed under this
title, a reporting individual may indicate the exact dollar
amount of such item.
(c) In the case of any individual described in section
101(e), any reference to the preceding calendar year shall
be considered also to include that part of the calendar year
of filing up to the date of the termination of employment.
(d)(1) The categories for reporting the amount or value
of the items covered in paragraphs (3), (4), and (5) of
subsection (a) are as follows:
(A) not more than $15,000;
(B) greater than $15,000 but not more than
$50,000;
(C) greater than $50,000 but not more than
$100,000;
(D) greater than $100,000 but not more than
$250,000;
(E) greater than $250,000 but not more than
$500,000;
(F) greater than $500,000 but not more than
$1,000,000;
(G) greater than $1,000,000 but not more
than $5,000,000;
(H) greater than $5,000,000 but not more
than $25,000,000;
(I) greater than $25,000,000 but not more
than $50,000,000; and
(J) greater than $50,000,000.
(2) For the purposes of paragraph (3) of subsection (a)
if the current value of an interest in real property (or an
interest in a real estate partnership) is not ascertainable
without an appraisal, an individual may list (A) the date of
purchase and the purchase price of the interest in the real
property, or (B) the assessed value of the real property for
tax purposes, adjusted to reflect the market value of the
property used for the assessment if the assessed value is
computed at less than 100 percent of such market value, but
such individual shall include in his report a full and
complete description of the method used to determine such
assessed value, instead of specifying a category of value
pursuant to paragraph (1) of this subsection. If the current
value of any other item required to be reported under
paragraph (3) of subsection (a) is not ascertainable without
an appraisal, such individual may list the book value of a
corporation whose stock is not publicly traded, the net
worth of a business partnership, the equity value of an
individually owned business, or with respect to other
holdings, any recognized indication of value, but such
individual shall include in his report a full and complete
description of the method used in determining such value. In
lieu of any value referred to in the preceding sentence, an
individual may list the assessed value of the item for tax
purposes, adjusted to reflect the market value of the item
used for the assessment if the assessed value is computed at
less than 100 percent of such
[[Page 688]]
market value, but a full and complete description of the
method used in determining such assessed value shall be
included in the report.
(e)(1) Except as provided in the last sentence of this
paragraph, each report required by section 101 shall also
contain information listed in paragraphs (1) through (5) of
subsection (a) of this section respecting the spouse or
dependent child of the reporting individual as follows:
(A) The source of items of earned income
earned by a spouse from any person which exceeds
$1,000 and the source and amount of any
honoraria received by a spouse, except that,
with respect to earned income (other than
honoraria), if the spouse is self-employed in
business or a profession, only the nature of
such business or profession need be reported.
(B) All information required to be reported
in subsection (a)(1)(B) with respect to income
derived by a spouse or dependent child from any
asset held by the spouse or dependent child and
reported pursuant to subsection (a)(3).
(C) In the case of any gifts received by a
spouse or dependent child which are not received
totally independent of the relationship of the
spouse or dependent child to the reporting
individual, the identity of the source and a
brief description of gifts of transportation,
lodging, food, or entertainment and a brief
description and the value of other gifts.
(D) In the case of any reimbursements
received by a spouse or dependent child which
are not received totally independent of the
relationship of the spouse or dependent child to
the reporting individual, the identity of the
source and a brief description of each such
reimbursement.
(E) In the case of items described in
paragraphs (3) through (5) of subsection (a),
all information required to be reported under
these paragraphs other than items (i) which the
reporting individual certifies represent the
spouse's or dependent child's sole financial
interest or responsibility and which the
reporting individual has no knowledge of, (ii)
which are not in any way, past or present,
derived from the income, assets, or activities
of the reporting individual, and (iii) from
which the reporting individual neither derives,
nor expects to derive, any financial or economic
benefit.
(F) For purposes of this section, categories
with amounts or values greater than $1,000,000
set forth in sections 102(a)(1)(B) and 102(d)(1)
shall apply to the income, assets, or
liabilities of spouses and dependent children
only if the income, assets, or liabilities are
held jointly with the reporting individual. All
other income, assets, or liabilities of the
spouse or dependent children required to be
reported under this section in an amount or
value greater than $1,000,000 shall be
categorized only as an amount or value greater
than $1,000,000.
Reports required by subsections (a), (b), and (c) of section
101 shall, with respect to the spouse and dependent child of
the reporting individual, only contain information listed in
paragraphs (1), (3), and (4) of subsection (a), as specified
in this paragraph.
(2) No report shall be required with respect to a spouse
living separate and apart from the reporting individual with
the intention of terminating the marriage or providing for
permanent separation; or with respect
[[Page 689]]
to any income or obligations of an individual arising from
the dissolution of his marriage or the permanent separation
from his spouse.
(f)(1) Except as provided in paragraph (2), each
reporting individual shall report the information required
to be reported pursuant to subsections (a), (b), and (c) of
this section with respect to the holdings of and the income
from a trust or other financial arrangement from which
income is received by, or with respect to which a beneficial
interest in principal or income is held by, such individual,
his spouse, or any dependent child.
(2) A reporting individual need not report the holdings
of or the source of income from any of the holdings of--
(A) any qualified blind trust (as defined in
paragraph (3));
(B) a trust--
(i) which was not created directly by
such individual, his spouse, or any
dependent child, and
(ii) the holdings or sources of income
of which such individual, his spouse, and
any dependent child have no knowledge of; or
(C) an entity described under the provisions
of paragraph (8), but such individual shall
report the category of the amount of income
received by him, his spouse, or any dependent
child from the trust or other entity under
subsection (a)(1)(B) of this section.
(3) For purposes of this subsection, the term
``qualified blind trust'' includes any trust in which a
reporting individual, his spouse, or any minor or dependent
child has a beneficial interest in the principal or income,
and which meets the following requirements:
(A)(i) The trustee of the trust and any
other entity designated in the trust instrument
to perform fiduciary duties is a financial
institution, an attorney, a certified public
accountant, a broker, or an investment advisor
who--
(I) is independent of and not associated
with any interested party so that the
trustee or other person cannot be controlled
or influenced in the administration of the
trust by any interested party;
(II) is not and has not been an employee
of or affiliated with any interested party
and is not a partner of, or involved in any
joint venture or other investment with, any
interested party; and
(III) is not a relative of any
interested party.
(ii) Any officer or employee of a trustee or
other entity who is involved in the management
or control of the trust--
(I) is independent of and not associated
with any interested party so that such
officer or employee cannot be controlled or
influenced in the administration of the
trust by any interested party;
(II) is not a partner of, or involved in
any joint venture or other investment with,
any interested party; and
(III) is not a relative of any
interested party.
(B) Any asset transferred to the trust by an
interested party is free of any restriction with
respect to its transfer or sale unless such
restriction is expressly approved by the
supervising ethics office of the reporting
individual.
[[Page 690]]
(C) The trust instrument which establishes
the trust provides that--
(i) except to the extent provided in
subparagraph (B) of this paragraph, the
trustee in the exercise of his authority and
discretion to manage and control the assets
of the trust shall not consult or notify any
interested party;
(ii) the trust shall not contain any
asset the holding of which by an interested
party is prohibited by any law or
regulation;
(iii) the trustee shall promptly notify
the reporting individual and his supervising
ethics office when the holdings of any
particular asset transferred to the trust by
any interested party are disposed of or when
the value of such holding is less than
$1,000;
(iv) the trust tax return shall be
prepared by the trustee or his designee, and
such return and any information relating
thereto (other than the trust income
summarized in appropriate categories
necessary to complete an interested party's
tax return), shall not be disclosed to any
interested party;
(v) an interested party shall not
receive any report on the holdings and
sources of income of the trust, except a
report at the end of each calendar quarter
with respect to the total cash value of the
interest of the interested party in the
trust or the net income or loss of the trust
or any reports necessary to enable the
interested party to complete an individual
tax return required by law or to provide the
information required by subsection (a)(1) of
this section, but such report shall not
identify any asset or holding;
(vi) except for communications which
solely consist of requests for distributions
of cash or other unspecified assets of the
trust, there shall be no direct or indirect
communication between the trustee and an
interested party with respect to the trust
unless such communication is in writing and
unless it relates only (I) to the general
financial interest and needs of the
interested party (including, but not limited
to, an interest in maximizing income or
long-term capital gain), (II) to the
notification of the trustee of a law or
regulation subsequently applicable to the
reporting individual which prohibits the
interested party from holding an asset,
which notification directs that the asset
not be held by the trust, or (III) to
directions to the trustee to sell all of an
asset initially placed in the trust by an
interested party which in the determination
of the reporting individual creates a
conflict of interest or the appearance
thereof due to the subsequent assumption of
duties by the reporting individual (but
nothing herein shall require any such
direction); and
(vii) the interested parties shall make
no effort to obtain information with respect
to the holdings of the trust, including
obtaining a copy of any trust tax return
filed or any information relating thereto
except as otherwise provided in this
subsection.
(D) The proposed trust instrument and the
proposed trustee is approved by the reporting
individual's supervising ethics office.
(E) For purposes of this subsection,
``interested party'' means a reporting
individual, his spouse, and any minor or
dependent child; ``broker'' has the meaning set
forth in section 3(a)(4) of the Securities
[[Page 691]]
and Exchange Act of 1934 (15 U.S.C. 78c(a)(4));
and ``investment adviser'' includes any
investment adviser who, as determined under
regulations prescribed by the supervising ethics
office, is generally involved in his role as
such an adviser in the management or control of
trusts.
(F) Any trust qualified by a supervising
ethics office before the effective date of title
II of the Ethics Reform Act of 1989 shall
continue to be governed by the law and
regulations in effect immediately before such
effective date.
(4)(A) An asset placed in a trust by an interested party
shall be considered a financial interest of the reporting
individual, for the purposes of any applicable conflict of
interest statutes, regulations, or rules of the Federal
Government (including section 208 of title 18, United States
Code), until such time as the reporting individual is
notified by the trustee that such asset has been disposed
of, or has a value of less than $1,000.
(B)(i) The provisions of subparagraph (A) shall not
apply with respect to a trust created for the benefit of a
reporting individual, or the spouse, dependent child, or
minor child of such a person, if the supervising ethics
office for such reporting individual finds that--
(I) the assets placed in the trust consist
of a well-diversified portfolio of readily
marketable securities;
(II) none of the assets consist of
securities of entities having substantial
activities in the area of the reporting
individual's primary area of responsibility;
(III) the trust instrument prohibits the
trustee, notwithstanding the provisions of
paragraph (3)(C) (iii) and (iv) of this
subsection, from making public or informing any
interested party of the sale of any securities;
(IV) the trustee is given power of attorney,
notwithstanding the provisions of paragraph
(3)(C)(v) of this subsection, to prepare on
behalf of any interested party the personal
income tax returns and similar returns which may
contain information relating to the trust; and
(V) except as otherwise provided in this
paragraph, the trust instrument provides (or in
the case of a trust established prior to the
effective date of this Act which by its terms
does not permit amendment, the trustee, the
reporting individual, and any other interested
party agree in writing) that the trust shall be
administered in accordance with the requirements
of this subsection and the trustee of such trust
meets the requirements of paragraph (3)(A).
(ii) In any instance covered by subparagraph (B) in
which the reporting individual is an individual whose
nomination is being considered by a congressional committee,
the reporting individual shall inform the congressional
committee considering his nomination before or during the
period of such individual's confirmation hearing of his
intention to comply with this paragraph.
(5)(A) The reporting individual shall, within thirty
days after a qualified blind trust is approved by his
supervising ethics office, file with such office a copy of--
(i) the executed trust instrument of such
trust (other than those provisions which relate
to the testamentary disposition of the trust
assets), and
[[Page 692]]
(ii) a list of the assets which were
transferred to such trust, including the
category of value of each asset as determined
under subsection (d) of this section.
This subparagraph shall not apply with respect to a trust
meeting the requirements for being considered a qualified
blind trust under paragraph (7) of this subsection.
(B) The reporting individual shall, within thirty days
of transferring an asset (other than cash) to a previously
established qualified blind trust, notify his supervising
ethics office of the identity of each such asset and the
category of value of each asset as determined under
subsection (d) of this section.
(C) Within thirty days of the dissolution of a qualified
blind trust, a reporting individual shall--
(i) notify his supervising ethics office of
such dissolution, and
(ii) file with such office a copy of a list
of the assets of the trust at the time of such
dissolution and the category of value under
subsection (d) of this section of each such
asset.
(D) Documents filed under subparagraphs (A), (B), and
(C) of this paragraph and the lists provided by the trustee
of assets placed in the trust by an interested party which
have been sold shall be made available to the public in the
same manner as a report is made available under section 105
and the provisions of that section shall apply with respect
to such documents and lists.
(E) A copy of each written communication with respect to
the trust under paragraph (3)(C)(vi) shall be filed by the
person initiating the communication with the reporting
individual's supervising ethics office within five days of
the date of the communication.
(6)(A) A trustee of a qualified blind trust shall not
knowingly and willfully, or negligently, (i) disclose any
information to an interested party with respect to such
trust that may not be disclosed under paragraph (3) of this
subsection; (ii) acquire any holding the ownership of which
is prohibited by the trust instrument; (iii) solicit advice
from any interested party with respect to such trust, which
solicitation is prohibited by paragraph (3) of this
subsection or the trust agreement; or (iv) fail to file any
document required by this subsection.
(B) A reporting individual shall not knowingly and
willfully, or negligently, (i) solicit or receive any
information with respect to a qualified blind trust of which
he is an interested party that may not be disclosed under
paragraph (3)(C) of this subsection; or (ii) fail to file
any document required by this subsection.
(C)(i) The Attorney General may bring a civil action in
any appropriate United States district court against any
individual who knowingly and willfully violates the
provisions of subparagraph (A) or (B) of this paragraph. The
court in which such action is brought may assess against
such individual a civil penalty in any amount not to exceed
$10,000.
(ii) The Attorney General may bring a civil action in
any appropriate United States district court against any
individual who negligently violates the provisions of
subparagraph (A) or (B) of this paragraph. The court in
which such action is brought may assess against such
individual a civil penalty in any amount not to exceed
$5,000.
(7) Any trust may be considered to be a qualified blind
trust if--
(A) the trust instrument is amended to
comply with the requirements of paragraph (3)
or, in the case of a trust instrument which
[[Page 693]]
does not by its terms permit amendment, the
trustee, the reporting individual, and any other
interested party agree in writing that the trust
shall be administered in accordance with the
requirements of this subsection and the trustee
of such trust meets the requirements of
paragraph (3)(A); except that in the case of any
interested party who is a dependent child, a
parent or guardian of such child may execute the
agreement referred to in this subparagraph;
(B) a copy of the trust instrument (except
testamentary provisions) and a copy of the
agreement referred to in subparagraph (A), and a
list of the assets held by the trust at the time
of approval by the supervising ethics office,
including the category of value of each asset as
determined under subsection (d) of this section,
are filed with such office and made available to
the public as provided under paragraph (5)(D) of
this subsection; and
(C) the supervising ethics office determines
that approval of the trust arrangement as a
qualified blind trust is in the particular case
appropriate to assure compliance with applicable
laws and regulations.
(8) A reporting individual shall not be required to
report the financial interest held by a widely held
investment fund (whether such fund is a mutual fund,
regulated investment company, pension or deferred
compensation plan, or other investment fund), if--
(A)(i) the fund is publicly traded; or
(ii) the assets of the fund are widely
diversified; and
(B) the reporting individual neither
exercises control over nor has the ability to
exercise control over the financial interests
held by the fund.
(g) Political campaign funds, including campaign
receipts and expenditures, need not be included in any
report filed pursuant to this title.
(h) A report filed pursuant to subsection (a), (d), or
(e) of section 101 need not contain the information
described in subparagraphs (A), (B), and (C) of subsection
(a)(2) with respect to gifts and reimbursements received in
a period when the reporting individual was not an officer or
employee of the Federal Government.
(i) a reporting individual shall not be required under
this title to report--
(1) financial interests in or income derived
from--
(A) any retirement system under title 5,
United States Code (including the Thrift
Savings Plan under subchapter III of chapter
84 of such title); or
(B) any other retirement system
maintained by the United States for officers
or employees of the United States, including
the President, or for members of the
uniformed services; or
(2) benefits received under the Social
Security Act.
(Pub. L. 95-521, Title I, Sec. 102, Oct. 26, 1978, 92 Stat.
1825; Pub. L. 96-19, Sec. Sec. 3(a)(1), (b), 6(a), 7(a)-
(d)(1), (f), 9(b), (c)(1), (j), June 13, 1979, 93 Stat. 39-
43; Pub. L. 97-51, Sec. 130(b), Oct. 1, 1981, 95 Stat. 966;
Pub. L. 98-150, Sec. 10, Nov. 11, 1983, 97 Stat. 962; Pub.
L. 101-194, Title II, Sec. 202, Nov. 30, 1989, 103 Stat.
1727; Pub. L. 101-280, Sec. 3(3), May 4, 1990, 104 Stat.
152; Pub. L. 102-90, Title III, Sec. 314(a), Aug. 14, 1991,
105 Stat. 469; Pub. L. 104-65, Sec. Sec. 20, 22(a), (b),
Dec. 19, 1995, 109 Stat. 704, 705.)
[[Page 694]]
912 Sec. 103. Filing of reports.
(a) Except as otherwise provided in this section, the
reports required under this title shall be filed by the
reporting individual with the designated agency ethics
official at the agency by which he is employed (or in the
case of an individual described in section 101(e), was
employed) or in which he will serve. The date any report is
received (and the date of receipt of any supplemental
report) shall be noted on such report by such official.
(b) The President, the Vice President, and independent
counsel and persons appointed by independent counsel under
chapter 40 of title 28, United States Code, shall file
reports required under this title with the Director of the
Office of Government Ethics.
(c) Copies of the reports required to be filed under
this title by the Postmaster General, the Deputy Postmaster
General, the Governors of the Board of Governors of the
United States Postal Service, designated agency ethics
officials, employees described in section 105(a)(2) (A) or
(B), 106(a)(1) (A) or (B), or 107 (a)(1)(A) or (b)(1)(A)(i),
of title 3, United States Code, candidates for the office of
President or Vice President and officers and employees in
(and nominees to) offices or positions which require
confirmation by the Senate or by both Houses of Congress
other than individuals nominated to be judicial officers and
those referred to in subsection (f) shall be transmitted to
the Director of the Office of Government Ethics. The
Director shall forward a copy of the report of each nominee
to the congressional committee considering the nomination.
(d) Reports required to be filed under this title by the
Director of the Office of Government Ethics shall be filed
in the Office of Government Ethics and, immediately after
being filed, shall be made available to the public in
accordance with this title.
(e) Each individual identified in section 101(c) who is
a candidate for nomination or election to the Office of
President or Vice President shall file the reports required
by this title with the Federal Election Commission.
(f) Reports required of members of the uniformed
services shall be filed with the Secretary concerned.
(g) Each supervising ethics office shall develop and
make available forms for reporting the information required
by this title.
(h)(1) The reports required under this title shall be
filed by a reporting individual with--
(A)(i)(I) the Clerk of the House of
Representatives, in the case of a Representative
in Congress, a Delegate to Congress, the
Resident Commissioner from Puerto Rico, an
officer or employee of the Congress whose
compensation is disbursed by the Chief
Administrative Officer of the House of
Representatives, an officer or employee of the
Architect of the Capitol, the United States
Botanic Garden, the Congressional Budget Office,
the Government Printing Office, the Library of
Congress, or the Copyright Royalty Tribunal
(including any individual terminating service,
under section 101(e), in any office or position
referred to in this subclause), or an individual
described in section 101(c) who is a candidate
for nomination or election as a Representative
in Congress, a Delegate to Congress, or the
Resident Commissioner from Puerto Rico; and
[[Page 695]]
(II) the Secretary of the Senate, in the
case of a Senator, an officer or employee of the
Congress whose compensation is disbursed by the
Secretary of the Senate, an officer or employee
of the General Accounting Office, the Office of
Technology Assessment, or the Office of the
Attending Physician (including any individual
terminating service, under section 101(e), in
any office or position referred to in this
subclause), or an individual described in
section 101(c) who is a candidate for nomination
or election as a Senator; and
(ii) in the case of an officer or employee
of the Congress as described under section
101(f)(10) who is employed by an agency or
commission established in the legislative branch
after the date of the enactment of the Ethics
Reform Act of 1989--
(I) the Secretary of the Senate or the
Clerk of the House of Representatives, as
the case may be, as designated in the
statute establishing such agency or
commission; or
(II) if such statute does not designate
such committee, the Secretary of the Senate
for agencies and commissions established in
even numbered calendar years, and the Clerk
of the House of Representatives for agencies
and commissions established in odd numbered
calendar years; and
(B) the Judicial Conference with regard to a
judicial officer or employee described under
paragraphs (11) and (12) of section 101(f)
(including individuals terminating service in
such office or position under section 101(e) or
immediately preceding service in such office or
position).
(2) The date any report is received (and the date of
receipt of any supplemental report) shall be noted on such
report by such committee.
(i) A copy of each report filed under this title by a
Member or an individual who is a candidate for the office of
Member shall be sent by the Clerk of the House of
Representatives or Secretary of the Senate, as the case may
be, to the appropriate State officer designated under
section 316(a) of the Federal Election Campaign Act of 1971
of the State represented by the Member or in which the
individual is a candidate, as the case may be, within the
30-day period beginning on the day the report is filed with
the Clerk or Secretary.
(j)(1) A copy of each report filed under this title with
the Clerk of the House of Representatives shall be sent by
the Clerk to the Committee on Standards of Official Conduct
of the House of Representatives within the 7-day period
beginning on the day the report is filed.
(2) A copy of each report filed under this title with
the Secretary of the Senate shall be sent by the Secretary
to the Select Committee on Ethics of the Senate within the
7-day period beginning on the day the report is filed.
(k) In carrying out their responsibilities under this
title with respect to candidates for office, the Clerk of
the House of Representatives and the Secretary of the Senate
shall avail themselves of the assistance of the Federal
Election Commission. The Commission shall make available to
the Clerk and the Secretary on a regular basis a complete
list of names and addresses of all candidates registered
with the Commission, and shall cooperate and coordinate its
candidate information and notification program with the
Clerk and the Secretary to the greatest extent possible.
(Pub. L. 95-521, Title I, Sec. 103, Oct. 26, 1978, 92 Stat.
1831; Pub. L. 96-19, Sec. Sec. 4(b)(2), 9(a), June 13,
1979, 93 Stat.
[[Page 696]]
40, 42; Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989,
103 Stat. 1736; Pub. L. 101-280, Sec. 3(1), (4), May 4,
1990, 104 Stat. 152, 153; Pub. L. 102-90, Title III, Sec.
313(1), Aug. 14, 1991, 105 Stat. 469; Pub. L. 104-186, Title
II, Sec. 216(1), Aug. 20, 1996, 110 Stat. 1747.)
913 Sec. 104. Failure to file or filing false reports.
(a) The Attorney General may bring a civil action in any
appropriate United States district court against any
individual who knowingly and willfully falsifies or who
knowingly and willfully fails to file or report any
information that such individual is required to report
pursuant to section 102. The court in which such action is
brought may assess against such individual a civil penalty
in any amount, not to exceed $10,000.
(b) The head of each agency, each Secretary concerned,
the Director of the Office of Government Ethics, each
congressional ethics committee, or the Judicial Conference,
as the case may be, shall refer to the Attorney General the
name of any individual which such official or committee has
reasonable cause to believe has willfully failed to file a
report or has willfully falsified or willfully failed to
file information required to be reported. Whenever the
Judicial Conference refers a name to the Attorney General
under this subsection, the Judicial Conference also shall
notify the judicial council of the circuit in which the
named individual serves of the referral.
(c) The President, the Vice President, the Secretary
concerned, the head of each agency, the Office of Personnel
Management, a congressional ethics committee, and the
Judicial Conference, may take any appropriate personnel or
other action in accordance with applicable law or regulation
against any individual failing to file a report or
falsifying or failing to report information required to be
reported.
(d)(1) Any individual who files a report required to be
filed under this title more than 30 days after the later
of--
(A) the date such report is required to be
filed pursuant to the provisions of this title
and the rules and regulations promulgated
thereunder; or
(B) if a filing extension is granted to such
individual under section 101(g), the last day of
the filing extension period,
shall, at the direction of and pursuant to regulations
issued by the supervising ethics office, pay a filing fee of
$200. All such fees shall be deposited in the miscellaneous
receipts of the Treasury. The authority under this paragraph
to direct the payment of a filing fee may be delegated by
the supervising ethics office in the executive branch to
other agencies in the executive branch.
(2) The supervising ethics office may waive the filing
fee under this subsection in extraordinary circumstances.
(Pub. L. 95-521, Title I, Sec. 104, Oct. 26, 1978, 92 Stat.
1832; Pub. L. 96-19, Sec. 8(a), June 13, 1979, 93 Stat. 41;
Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989, 103
Stat. 1737; Pub. L. 101-280, Sec. 3(1), (5), May 4, 1990,
104 Stat. 152, 154; Pub. L. 101-650, Title IV, Sec. 405,
Dec. 1, 1990, 104 Stat. 5124.)
914 Sec. 105. Custody of and public access to reports.
(a) Each agency, each supervising ethics office in the
executive or judicial branch, the Clerk of the House of
Representatives, and the Secretary of the Senate shall make
available to the public, in accordance
[[Page 697]]
with subsection (b), each report filed under this title with
such agency or office or with the Clerk or the Secretary of
the Senate, except that--
(1) this section does not require public
availability of a report filed by any individual
in the Central Intelligence Agency, the Defense
Intelligence Agency, the National Imagery and
Mapping Agency, or the National Security Agency,
or any individual engaged in intelligence
activities in any agency of the United States,
if the President finds or has found that, due to
the nature of the office or position occupied by
such individual, public disclosure of such
report would be revealing the identity of the
individual or other sensitive information,
compromise the national interest of the United
States; and such individuals may be authorized,
notwithstanding section 104(a), to file such
additional reports as are necessary to protect
their identity from public disclosure if the
President first finds or has found that such
filing is necessary in the national interest;
and
(2) any report filed by an independent
counsel whose identity has not been disclosed by
the division of the court under chapter 40 of
title 28, United States Code, and any report
filed by any person appointed by that
independent counsel under such chapter, shall
not be made available to the public under this
title.
(b)(1) Except as provided in the second sentence of this
subsection, each agency, each supervising ethics office in
the executive or judicial branch, the Clerk of the House of
Representatives, and the Secretary of the Senate shall,
within thirty days after any report is received under this
title by such agency or office or by the Clerk or the
Secretary of the Senate, as the case may be, permit
inspection of such report by or furnish a copy of such
report to any person requesting such inspection or copy.
With respect to any report required to be filed by May 15 of
any year, such report shall be made available for public
inspection within 30 calendar days after May 15 of such year
or within 30 days of the date of filing of such a report for
which an extension is granted pursuant to section 101(g).
The agency, office, Clerk, or Secretary of the Senate, as
the case may be, may require a reasonable fee to be paid in
any amount which is found necessary to recover the cost of
reproduction or mailing of such report excluding any salary
of any employee involved in such reproduction or mailing. A
copy of such report may be furnished without charge or at a
reduced charge if it is determined that waiver or reduction
of the fee is in the public interest.
(3)(A) This section does not require the immediate and
unconditional availability of reports filed by an individual
described in section 109(8) or 109(10) of this Act if a
finding is made by the Judicial Conference, in consultation
with United States Marshall Service, that revealing personal
and sensitive information could endanger that individual.
(B) A report may be redacted pursuant to this paragraph
only--
(i) to the extent necessary to protect the
individual who filed the report; and
(ii) for as long as the danger to such
individual exists.
(C) The Administrative Office of the United States
Courts shall submit to the Committees on the Judiciary of
the House of Representatives and of the Senate an annual
report with respect to the operation of this paragraph
including--
[[Page 698]]
(i) the total number of reports redacted
pursuant to this paragraph;
(ii) the total number of individuals whose
reports have been redacted pursuant to this
paragraph; and
(iii) the types of threats against
individuals whose reports are redacted, if
appropriate.
(D) The Judicial Conference, in consultation with the
Department of Justice, shall issue regulations setting forth
the circumstances under which redaction is appropriate under
this paragraph and the procedures for redaction.
(E) This paragraph shall expire on December 31, 2005,
and apply to filings through calendar year 2005.
(2) Notwithstanding paragraph (1), a report may not be
made available under this section to any person nor may any
copy thereof be provided under this section to any person
except upon a written application by such person stating--
(A) that person's name, occupation and
address;
(B) the name and address of any other person
or organization on whose behalf the inspection
or copy is requested; and
(C) that such person is aware of the
prohibitions on the obtaining or use of the
report.
Any such application shall be made available to the public
throughout the period during which the report is made
available to the public.
(c)(1) It shall be unlawful for any person to obtain or
use a report--
(A) for any unlawful purpose;
(B) for any commercial purpose, other than
by news and communications media for
dissemination to the general public;
(C) for determining or establishing the
credit rating of any individual; or
(D) for use, directly or indirectly, in the
solicitation of money for any political,
charitable, or other purpose.
(2) The Attorney General may bring a civil action
against any person who obtains or uses a report for any
purpose prohibited in paragraph (1) of this subsection. The
court in which such action is brought may assess against
such person a penalty in any amount not to exceed $10,000.
Such remedy shall be in addition to any other remedy
available under statutory or common law.
(d) Any report filed with or transmitted to an agency or
supervising ethics office or to the Clerk of the House of
Representatives or the Secretary of the Senate pursuant to
this title shall be retained by such agency or office or by
the Clerk or the Secretary of the Senate, as the case may
be. Such report shall be made available to the public for a
period of six years after receipt of the report. After such
six-year period the report shall be destroyed unless needed
in an ongoing investigation, except that in the case of an
individual who filed the report pursuant to section 101(b)
and was not subsequently confirmed by the Senate, or who
filed the report pursuant to section 101(c) and was not
subsequently elected, such report shall be destroyed one
year after the individual either is no longer under
consideration by the Senate or is no longer a candidate for
nomination or election to the Office of President, Vice
President, or as a Member of Congress, unless needed in an
ongoing investigation. (Pub. L. 95-521, Title I, Sec. 105,
Oct. 26, 1978, 92 Stat. 1833; Pub. L. 101-194, Title II,
Sec. 202, Nov. 30, 1989,
[[Page 699]]
103 Stat. 1737; Pub. L. 101-280, Sec. 3(6), May 4, 1990, 104
Stat. 154; Pub. L. 102-90, Title III, Sec. 313(2), Aug. 14,
1991, 105 Stat. 469; Pub. L. 103-359, Title V, Sec. 501(m),
Oct. 14, 1994, 108 Stat. 3430; Pub. L. 104-201, Div. A,
Title XI, Sec. 1122(b)(2), Sept. 23, 1996, 110 Stat. 2687;
Pub. L. 105-318, Sec. 7, Oct. 30, 1998, 112 Stat. 3011; Pub.
L. 107-126, Jan. 16, 2002, 115 Stat. 2404.)
915 Sec. 106. Review of reports.
(a)(1) Each designated agency ethics official or
Secretary concerned shall make provisions to ensure that
each report filed with him under this title is reviewed
within sixty days after the date of such filing, except that
the Director of the Office of Government Ethics shall review
only those reports required to be transmitted to him under
this title within sixty days after the date of transmittal.
(2) Each congressional ethics committee and the Judicial
Conference shall make provisions to ensure that each report
filed under this title is reviewed within sixty days after
the date of such filing.
(b)(1) If after reviewing any report under subsection
(a), the Director of the Office of Government Ethics, the
Secretary concerned, the designated agency ethics official,
a person designated by the congressional ethics committee,
or a person designated by the Judicial Conference, as the
case may be, is of the opinion that on the basis of
information contained in such report the individual
submitting such report is in compliance with applicable laws
and regulations, he shall state such opinion on the report,
and shall sign such report.
(2) If the Director of the Office of Government Ethics,
the Secretary concerned, the designated agency ethics
official, a person designated by the congressional ethics
committee, or a person designated by the Judicial
Conference, after reviewing any report under subsection
(a)--
(A) believes additional information is
required to be submitted, he shall notify the
individual submitting such report what
additional information is required and the time
by which it must be submitted, or
(B) is of the opinion, on the basis of
information submitted, that the individual is
not in compliance with applicable laws and
regulations, he shall notify the individual,
afford a reasonable opportunity for a written or
oral response, and after consideration of such
response, reach an opinion as to whether or not,
on the basis of information submitted, the
individual is in compliance with such laws and
regulations.
(3) If the Director of the Office of Government Ethics,
the Secretary concerned, the designated agency ethics
official, a person designated by a congressional ethics
committee, or a person designated by the Judicial
Conference, reaches an opinion under paragraph (2)(B) that
an individual is not in compliance with applicable laws and
regulations, the official or committee shall notify the
individual of that opinion and, after an opportunity for
personal consultation (if practicable), determine and notify
the individual of which steps, if any, would in the opinion
of such official or committee be appropriate for assuring
compliance with such laws and regulations and the date by
which such steps should be taken. Such steps may include, as
appropriate--
(A) divestiture,
(B) restitution,
(C) the establishment of a blind trust,
[[Page 700]]
(D) request for an exemption under section
208(b) of title 18, United States Code, or
(E) voluntary request for transfer,
reassignment, limitation of duties, or
resignation.
The use of any such steps shall be in accordance with such
rules or regulations as the supervising ethics office may
prescribe.
(4) If steps for assuring compliance with applicable
laws and regulations are not taken by the date set under
paragraph (3) by an individual in a position in the
executive branch (other than in the Foreign Service or the
uniformed services), appointment to which requires the
advice and consent of the Senate, the matter shall be
referred to the President for appropriate action.
(5) If steps for assuring compliance with applicable
laws and regulations are not taken by the date set under
paragraph (3) by a member of the Foreign Service or the
uniformed services, the Secretary concerned shall take
appropriate action.
(6) If steps for assuring compliance with applicable
laws and regulations are not taken by the date set under
paragraph (3) by any other officer or employee, the matter
shall be referred to the head of the appropriate agency, the
congressional ethics committee, or the Judicial Conference,
for appropriate action; except that in the case of the
Postmaster General or Deputy Postmaster General, the
Director of the Office of Government Ethics shall recommend
to the Governors of the Board of Governors of the United
States Postal Service the action to be taken.
(7) Each supervising ethics office may render advisory
opinions interpreting this title within its respective
jurisdiction. Notwithstanding any other provision of law,
the individual to whom a public advisory opinion is rendered
in accordance with this paragraph, and any other individual
covered by this title who is involved in a fact situation
which is indistinguishable in all material aspects, and who
acts in good faith in accordance with the provisions and
findings of such advisory opinion shall not, as a result of
such act, be subject to any penalty or sanction provided by
this title. (Pub. L. 95-521, Title I, Sec. 106, Oct. 26,
1978, 92 Stat. 1833; Pub. L. 101-194, Title II, Sec. 202,
Nov. 30, 1989, 103 Stat. 1739; Pub. L. 101-280, Sec. 3(1),
(7), May 4, 1990, 104 Stat. 152, 155.)
916 Sec. 107. Confidential reports and other additional
requirements.
(a)(1) Each supervising ethics office may require
officers and employees under its jurisdiction (including
special Government employees as defined in section 202 of
title 18, United States Code) to file confidential financial
disclosure reports, in such form as the supervising ethics
office may prescribe. The information required to be
reported under this subsection by the officers and employees
of any department or agency shall be set forth in rules or
regulations prescribed by the supervising ethics office, and
may be less extensive than otherwise required by this title,
or more extensive when determined by the supervising ethics
office to be necessary and appropriate in light of sections
202 through 209 of title 18, United States Code, regulations
promulgated thereunder, or the authorized activities of such
officers or employees. Any individual required to file a
report pursuant to section 101 shall not be required to file
a confidential report pursuant to this subsection, except
with respect to information which is more extensive than
information otherwise required by this title. Subsections
(a), (b), and (d) of section 105 shall not apply with
respect to any such report.
[[Page 701]]
(2) Any information required to be provided by an
individual under this subsection shall be confidential and
shall not be disclosed to the public.
(3) Nothing in this subsection exempts any individual
otherwise covered by the requirement to file a public
financial disclosure report under this title from such
requirement.
(b) The provisions of this title requiring the reporting
of information shall supersede any general requirement under
any other provision of law or regulation with respect to the
reporting of information required for purposes of preventing
conflicts of interest or apparent conflicts of interest.
Such provisions of this title shall not supersede the
requirements of section 7342 of title 5, United States Code.
(c) Nothing in this Act requiring reporting of
information shall be deemed to authorize the receipt of
income, gifts, or reimbursements; the holding of assets,
liabilities, or positions; or the participation in
transactions that are prohibited by law, Executive order,
rule, or regulation. (Pub. L. 95-521, Title I, Sec. 107,
Oct. 26, 1978, 92 Stat. 1834; Pub. L. 96-19, Sec. 9(d), (g),
June 13, 1979, 93 Stat. 42, 43; Pub. L. 101-194, Title II,
Sec. 202 Nov. 30, 1989, 103 Stat. 1740.)
917 Sec. 108. Authority of Comptroller General.
(a) The Comptroller General shall have access to
financial disclosure reports filed under this title for the
purposes of carrying out his statutory responsibilities.
(b) No later than December 31, 1992, and regularly
thereafter, the Comptroller General shall conduct a study to
determine whether the provisions of this title are being
carried out effectively. (Pub. L. 95-521, Title I, Sec. 108,
Oct. 26, 1978, 92 Stat. 1835; Pub. L. 96-19, Sec. 9(t), June
13, 1979, 93 Stat. 44; Pub. L. 101-194, Title II, Sec. 202,
Nov. 30, 1989, 103 Stat. 1741.)
918 Sec. 109. Definitions.
For the purposes of this title, the term--
(1) ``congressional ethics committees''
means the Select Committee on Ethics of the
Senate and the Committee on Standards of
Official Conduct of the House of
Representatives;
(2) ``dependent child'' means, when used
with respect to any reporting individual, any
individual who is a son, daughter, stepson, or
stepdaughter and who--
(A) is unmarried and under age 21 and is
living in the household of such reporting
individual; or
(B) is a dependent of such reporting
individual within the meaning of section 152
of the Internal Revenue Code of 1986;
(3) ``designated agency ethics official''
means an officer or employee who is designated
to administer the provisions of this title
within an agency;
(4) ``executive branch'' includes each
Executive agency (as defined in section 105 of
title 5, United States Code), other than the
General Accounting Office, and any other entity
or administrative unit in the executive branch;
(5) ``gift'' means a payment, advance,
forbearance, rendering, or deposit of money, or
any thing of value, unless consideration of
equal or greater value is received by the donor,
but does not include--
[[Page 702]]
(A) bequest and other forms of
inheritance;
(B) suitable mementos of a function
honoring the reporting individual;
(C) food, lodging, transportation, and
entertainment provided by a foreign
government within a foreign country or by
the United States Government, the District
of Columbia, or a State or local government
or political subdivision thereof;
(D) food and beverages which are not
consumed in connection with a gift of
overnight lodging;
(E) communications to the offices of a
reporting individual, including
subscriptions to newspapers and periodicals;
or
(F) consumable products provided by
home-State businesses to the offices of a
reporting individual who is an elected
official, if those products are intended for
consumption by persons other than such
reporting individual;
(6) ``honoraria'' has the meaning given such
term in section 505 of this Act;
(7) ``income'' means all income from
whatever source derived, including but not
limited to the following items: compensation for
services, including fees, commissions, and
similar items; gross income derived from
business (and net income if the individual
elects to include it); gains derived from
dealings in property; interest; rents;
royalties; dividends; annuities; income from
life insurance and endowment contracts;
pensions; income from discharge of indebtedness;
distributive share of partnership income; and
income from an interest in an estate or trust;
(8) ``judicial employee'' means any employee
of the judicial branch of the Government, of the
United States Sentencing Commission, of the Tax
Court, of the Court of Federal Claims, of the
Court of Appeals for Veterans Claims, or of the
United States Court of Appeals for the Armed
Forces, who is not a judicial officer and who is
authorized to perform adjudicatory functions
with respect to proceedings in the judicial
branch, or who occupies a position for which the
rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule;
(9) ``Judicial Conference'' means the
Judicial Conference of the United States;
(10) ``judicial officer'' means the Chief
Justice of the United States, the Associate
Justices of the Supreme Court, and the judges of
the United States courts of appeals, United
States district courts, including the district
courts in Guam, the Northern Mariana Islands,
and the Virgin Islands, Court of Appeals for the
Federal Circuit, Court of International Trade,
Tax Court, Court of Federal Claims, Court of
Appeals for Veterans Claims, United States Court
of Appeals for the Armed Forces, and any court
created by Act of Congress, the judges of which
are entitled to hold office during good
behavior;
(11) ``legislative branch'' includes--
(A) the Architect of the Capitol;
(B) the Botanic Gardens;
(C) the Congressional Budget Office;
(D) the General Accounting Office;
[[Page 703]]
(E) the Government Printing Office;
(F) the Library of Congress;
(G) the United States Capitol Police;
(H) the Office of Technology Assessment;
and
(I) any other agency, entity, office, or
commission established in the legislative
branch;
(12) ``Member of Congress'' means a United
States Senator, a Representative in Congress, a
Delegate to Congress, or the Resident
Commissioner from Puerto Rico;
(13) ``officer or employee of the Congress''
means--
(A) any individual described under
subparagraph (B), other than a Member of
Congress or the Vice President, whose
compensation is disbursed by the Secretary
of the Senate or the Chief Administrative
Officer of the House of Representatives;
(B)(i) each officer or employee of the
legislative branch who, for at least 60
days, occupies a position for which the rate
of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule;
and
(ii) at least one principal assistant
designated for purposes of this paragraph by
each Member who does not have an employee
who occupies a position for which the rate
of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule;
(14) ``personal hospitality of any
individual'' means hospitality 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;
(15) ``reimbursement'' means any payment or
other thing of value received by the reporting
individual, other than gifts, to cover travel-
related expenses of such individual other than
those which are--
(A) provided by the United States
Government, the District of Columbia, or a
State or local government or political
subdivision thereof;
(B) required to be reported by the
reporting individual under section 7342 of
title 5, United States Code; or
(C) required to be reported under
section 304 of the Federal Election Campaign
Act of 1971 (2 U.S.C. 434);
(16) ``relative'' means an individual who is
related to the reporting individual, as father,
mother, son, daughter, brother, sister, uncle,
aunt, great aunt, great uncle, first cousin,
nephew, niece, husband, wife, grandfather,
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, or who is
the grandfather or grandmother of the spouse of
the reporting individual, and shall be deemed to
include the fiance or fiancee of the reporting
individual;
(17) ``Secretary concerned'' has the meaning
set forth in section 101(a)(9) of title 10,
United States Code, and, in addition, means--
(A) the Secretary of Commerce, with
respect to matters concerning the National
Oceanic and Atmospheric Administration;
[[Page 704]]
(B) the Secretary of Health and Human
Services, with respect to matters concerning
the Public Health Service; and
(C) the Secretary of State, with respect
to matters concerning the Foreign Service;
(18) ``supervising ethics office'' means--
(A) the Select Committee on Ethics of
the Senate, for Senators, officers and
employees of the Senate, and other officers
or employees of the legislative branch
required to file financial disclosure
reports with the Secretary of the Senate
pursuant to section 103(h) of this title;
(B) the Committee on Standards of
Official Conduct of the House of
Representatives, for Members, officers and
employees of the House of Representatives
and other officers or employees of the
legislative branch required to file
financial disclosure reports with the Clerk
of the House of Representatives pursuant to
section 103(h) of this title;
(C) the Judicial Conference for judicial
officers and judicial employees; and
(D) the Office of Government Ethics for
all executive branch officers and employees;
and
(19) ``value'' means a good faith estimate
of the dollar value if the exact value is
neither known nor easily obtainable by the
reporting individual.
(Pub. L. 95-521, Title I, Sec. 109, Oct. 26, 1978, 92 Stat.
1836; Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989,
103 Stat. 1724; Pub. L. 101-280, Sec. 3(1), (8), May 4,
1990, 104 Stat. 152, 155; Pub. L. 102-378, Sec. 4(a)(2),
Oct. 2, 1992, 106 Stat. 1357; Pub. L. 102-572, Title IX,
Sec. 902(b)(2), Oct. 29, 1992, 106 Stat. 4516; Pub. L. 103-
160, Div. A, Title XI, Sec. 1182(d)(3), Nov. 30, 1993, 107
Stat. 1773; Pub. L. 103-337, Div. A, Title IX,
Sec. 924(d)(3), Oct. 5, 1994, 108 Stat. 2832; Pub. L. 104-
186, Title II, Sec. 216(2), Aug. 20, 1996, 110 Stat. 1747;
Pub. L. 105-368, Nov. 11, 1998, 112 Stat. 3342.)
919 Sec. 110. Notice of actions taken to comply with ethics
agreements.
(a) In any case in which an individual agrees with that
individual's designated agency ethics official, the Office
of Government Ethics, a Senate confirmation committee, a
congressional ethics committee, or the Judicial Conference,
to take any action to comply with this Act or any other law
or regulation governing conflicts of interest of, or
establishing standards of conduct applicable with respect
to, officers or employees of the Government, that individual
shall notify in writing the designated agency ethics
official, the Office of Government Ethics, the appropriate
committee of the Senate, the congressional ethics committee,
or the Judicial Conference, as the case may be, of any
action taken by the individual pursuant to that agreement.
Such notification shall be made not later than the date
specified in the agreement by which action by the individual
must be taken, or not later than three months after the date
of the agreement, if no date for action is so specified.
(b) If an agreement described in subsection (a) requires
that the individual recuse himself or herself from
particular categories of agency or other official action,
the individual shall reduce to writing those subjects
regarding which the recusal agreement will apply and the
process by which it will be determined whether the
individual must recuse himself or herself in a specific
instance. An individual shall be considered
[[Page 705]]
to have complied with the requirements of subsection (a)
with respect to such recusal agreement if such individual
files a copy of the document setting forth the information
described in the preceding sentence with such individual's
designated agency ethics official or the appropriate
supervising ethics office within the time prescribed in the
last sentence of subsection (a). (Pub. L. 101-194, Title II,
Sec. 202, Nov. 30, 1989, 103 Stat. 1744, amended Pub. L.
101-280, Sec. 3(1), May 4, 1990, 104 Stat. 152.)
920 Sec. 111. Administration of provisions.
The provisions of this title shall be administered by--
(1) The Director of the Office of Government
Ethics, the designated agency ethics official,
or the Secretary concerned, as appropriate, with
regard to officers and employees described in
paragraphs (1) through (8) of section 101(f);
(2) the Select Committee on Ethics of the
Senate and the Committee on Standards of
Official Conduct of the House of
Representatives, as appropriate, with regard to
officers and employees described in paragraphs
(9) and (10) of section 101(f); and
(3) the Judicial Conference in the case of
an officer or employee described in paragraphs
(11) and (12) of section 101(f).
The Judicial Conference may delegate any authority it has
under this title to an ethics committee established by the
Judicial Conference. (Pub. L. 95-521, Title I, Sec. 111, as
added Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989,
103 Stat. 1744, amended Pub. L. 101-280, Sec. 3(1), (9), May
4, 1990, 104 Stat. 152, 157.)
921 Sec. 112. Repealed. (Pub.L. 101-280, Sec. 3(10)(A), May 4,
1990, 104 Stat. 157.)
Governmentwide Limitations on Outside Earned Income and
Employment
922 Sec. 501. Outside earned income limitation.
(a) Outside earned income limitation.--
(1) Except as provided by paragraph (2), a
Member or an officer or employee who is a
noncareer officer or employee and who occupies a
position classified above GS-15 of the General
Schedule, or in the case of positions not under
the General Schedule, for which the rate of work
pay is equal to or greater than 120 percent of
the minimum rate of basic pay payable for GS-15
of the General Schedule, may not in any calendar
year have outside earned income attributable to
such calendar year which exceeds 15 percent of
the annual rate of basic pay for level II of the
Executive Schedule under section 5313 of title
5, United States Code, as of January 1 of such
calendar year.
(2) In the case of any individual who during
a calendar year becomes a Member or an officer
or employee who is a noncareer officer or
employee and who occupies a position classified
above GS-15 of the General Schedule, or in the
case of positions not under the General
Schedule, for which the rate of work pay is
equal to or greater than 120 percent of the
minimum rate of basic pay payable for GS-15 of
the General Schedule, such individual may not
have outside earned income attributable to the
portion
[[Page 706]]
of that calendar year which occurs after such
individual becomes a Member or such an officer
or employee which exceeds 15 percent of the
annual rate of basic pay for level II of the
Executive Schedule under section 5313 of title
5, United States Code, as of January 1 of such
calendar year multiplied by a fraction the
numerator of which is the number of days such
individual is a Member or such officer or
employee during such calendar year and the
denominator of which is 365.
(b) Honoraria prohibition.--An individual may not
receive any honorarium while that individual is a Member,
officer or employee.
(c) Treatment of charitable contributions.--Any
honorarium which, except for subsection (b), might be paid
to a Member, officer or employee, but which is paid instead
on behalf of such Member, officer or employee to a
charitable organization, shall be deemed not to be received
by such Member, officer or employee. No such payment shall
exceed $2,000 or be made to a charitable organization from
which such individual or a parent, sibling, spouse, child,
or dependent relative of such individual derives any
financial benefit. (Pub. L. 95-521, Title V, Oct. 26, 1978,
92 Stat. 1864, as amended Pub. L. 101-194, Title VI
Sec. 601(a), Nov. 30, 1989, 103 Stat. 1760; Pub. L. 101-280,
Sec. 7(a), May 4, 1990, 104 Stat. 161; Pub. L. 102-378,
Sec. 4(b)(1), (2), Oct. 2, 1992, 106 Stat. 1357.)
923 Sec. 502. Limitations on outside employment.
(a) Limitations.--A Member or an officer or employee who
is a noncareer officer or employee and who occupies a
position classified above GS-15 of the General Schedule, or
in the case of positions not under the General Schedule, for
which the rate of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable for GS-15
of the General Schedule, shall not--
(1) receive compensation for affiliating
with or being employed by a firm, partnership,
association, corporation, or other entity which
provides professional services involving a
fiduciary relationship;
(2) permit that Member's, officer's or
employee's name to be used by any such firm,
partnership, association, corporation, or other
entity;
(3) receive compensation for practicing a
profession which involves a fiduciary
relationship;
(4) serve for compensation as an officer or
member of the board of any association,
corporation, or other entity; or
(5) receive compensation for teaching,
without the prior notification and approval of
the appropriate entity referred to in section
503.
(b) Teaching compensation of justices and judges retired
from regular active service.--For purposes of the limitation
under section 501(a), any compensation for teaching approved
under subsection (a)(5) of this section shall not be treated
as outside earned income--
(1) when received by a justice of the United
States retired from regular active service under
section 371(b) of title 28, United States Code;
(2) when received by a judge of the United
States retired from regular active service under
section 371(b) of title 28, United States Code,
for teaching performed during any calendar year
for which such judge has met the requirements of
subsection (f) of section
[[Page 707]]
371 of title 28, United States Code, as
certified in accordance with such subsection; or
(3) when received by a justice or judge of
the United States retired from regular active
service under section 372(a) of title 28, United
States Code.
(Pub. L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub. L. 101-194, Title VI Sec. 601(a), Nov. 30,
1989, 103 Stat. 1760; Pub. L. 101-280, Sec. 7(a)(1),(b), May
4, 1990, 104 Stat. 161; Pub. L. 101-650, Title III,
Sec. 319, Dec. 1, 1990, 104 Stat. 5117; Pub. L. 102-198,
Sec. 6, Dec. 9, 1991, 105 Stat. 1624; Pub. L. 102-378,
Sec. 4(b) (1), (2), Oct. 2, 1992, 106 Stat. 1357.)
924 Sec. 503. Administration.
This title shall be subject to the rules and regulations
of--
(1) and administered by--
(A) the Committee on Standards of
Official Conduct of the House of
Representatives, with respect to Members,
officers, and employees of the House of
Representatives; and
(B) in the case of Senators and
legislative branch officers and employees
other than those officers and employees
specified in subparagraph (A), the committee
to which reports filed by such officers and
employees under title I are transmitted
under such title, except that the authority
of this section may be delegated by such
committee with respect to such officer and
employees;
(2) the Office of Government Ethics and
administered by designated agency ethics
officials with respect to officers and employees
of the executive branch; and
(3) and administered by the Judicial
Conference of the United States (or such other
agency as it may designate) with respect to
officers and employees of the judicial branch.
(Pub. L. 95-521, Title V, Oct. 26, 1978, 92
Stat. 1864, as amended Pub. L. 101-194, Title
VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761;
Pub. L. 101-280, Sec. 7(c), May 4, 1990, 104
Stat. 161; Pub. L. 102-90, Title I,
Sec. 6(b)(1), Aug. 14, 1991, 105 Stat. 450.)
925 Sec. 504. Civil penalties.
(a) Civil action.--The Attorney General may bring a
civil action in any appropriate United States district court
against any individual who violates any provision of section
501 or 502. The court in which such action is brought may
assess against such individual a civil penalty of not more
than $10,000 or the amount of compensation, if any, which
the individual received for the prohibited conduct,
whichever is greater.
(b) Advisory opinions.--Any entity described in section
503 may render advisory opinions interpreting this title, in
writing, to individuals covered by this title. Any
individual to whom such an advisory opinion is rendered and
any other individual covered by this title who is involved
in a fact situation which is indistinguishable in all
material aspects, and who, after the issuance of such
advisory opinion, acts in good faith in accordance with its
provisions and findings shall not, as a result of such
actions, be subject to any sanction under subsection (a).
(Pub. L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub. L. 101-194, Title VI, Sec. 601(a), Nov. 30,
1989, 103 Stat. 1761.)
[[Page 708]]
926 Sec. 505. Definitions.
For purposes of this title:
(1) The term ``Member'' means a Senator in,
a Representative in, or a Delegate or Resident
Commissioner to, the Congress.
(2) The term ``officer or employee'' means
an officer or employee of the Government except
any special Government employee (as defined in
section 202 of title 18, United States Code).
(3) The term ``honorarium'' means a payment
of money or anything of value for an appearance,
speech or article (including a series of
appearances, speeches, or articles if the
subject matter is directly related to the
individual's official duties or the payment is
made because of the individual's status with the
Government) by a Member, officer or employee,
excluding any actual and necessary travel
expenses incurred by such individual (and one
relative) to the extent that such expenses are
paid or reimbursed by any other person, and the
amount otherwise determined shall be reduced by
the amount of any such expenses to the extent
that such expenses are not paid or reimbursed.
(4) The term ``travel expenses'' means, with
respect to a Member, officer or employee, or a
relative of any such individual, the cost of
transportation, and the cost of lodging and
meals while away from his or her residence or
principal place of employment.
(5) The term ``charitable organization''
means an organization described in section
170(c) of the Internal Revenue Code of 1986.
(Pub. L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
amended Pub. L. 101-194, Title VI, Sec. 601(a), Nov. 30,
1989, 103 Stat. 1761; Pub. L. 102-90, Title I, Sec. 6(b)(2),
(3), Title III, Sec. 314(b), Aug. 14, 1991, 105 Stat. 450,
469.)
10 u.s.c.--armed forces
general and permanent laws relating to the senate