[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