[United States Senate Manual, 104th Congress]
[S. Doc. 104-1]
[USCODETITLE]
[Pages 591-631]
[From the U.S. Government Publishing Office, www.gpo.gov]



[[Page 591]]
 
                   TITLE 5.--GOVERNMENT ORGANIZATION AND EMPLOYEES

            
                Chapter 29.--COMMISSIONS, OATHS, RECORDS, AND REPORTS

            
                   Subchapter I.--Commissions, Oaths, and Records

       430  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 Pub. L. 89-
            554, 80 Stat. 412.)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

       431  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. 36, 108 Stat. 4581.)

            
                        Chapter 31.--AUTHORITY FOR EMPLOYMENT

     431.1  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,

[[Page 592]]

                        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 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 I.--Examination, Certification, and Appointment

     431.5  Sec. 3304. Competitive service; examinations.

                                    * * * * * * *

                (c) Notwithstanding a contrary provision of this title 
            or of the rules and regulations prescribed under this title 
            for the administration of the competitive service, an 
            individual who served--
                            (1) for at least 3 years in the legislative 
                        branch in a position in which he was paid by the 
                        Secretary of the Senate or the Clerk of the 
                        House of Representatives; or
                            (2) for at least 4 years as a secretary or 
                        law clerk, or both, to a justice or judge of the 
                        United States;

            acquires a competitive status for transfer to the 
            competitive service if he is involuntarily separated without 
            prejudice from the legislative or judicial branch, passes a 
            suitable noncompetitive examination, and transfers to the 
            competitive service within 1 year of the separation from the 
            legislative or judicial branch. For the purpose of this 
            subsection, an individual who has served for at least 2 
            years in a position in the legislative branch described by 
            paragraph (1) of this subsection and who is separated from 
            that position to enter the armed forces is deemed to have 
            held that position during his service in the armed forces. 
            (Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 418.)


[[Page 593]]



            
                           Subchapter II.--Oath of Office

       432  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

       433  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 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.)
     433.1  Sec. 5531. Definitions.
                (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;

[[Page 594]]

                (5) ``employee of the House of Representatives'' means a 
            congressional employee whose pay is disbursed by the Clerk 
            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.)
     433.2  Sec. 5532. Employment of retired members of the uniformed 
                services; reduction in retired or retainer pay.
                (i)(1) If warranted by circumstances described in 
            subsection (g)(1) (A) or (B) (as applicable), an official or 
            committee designated in paragraph (2) shall, with respect to 
            the employees specified in the applicable subparagraph of 
            such paragraph, have the same waiver authority as would be 
            available to the Director of the Office of Personnel 
            Management, or a duly authorized agency head, under 
            subsection (g) with respect to an employee of an Executive 
            agency.
                (2) Authority under this subsection may be exercised--
                            (A) with respect to an employee of an agency 
                        in the legislative branch, by the head of such 
                        agency;
                            (B) with respect to an employee of the House 
                        of Representatives, by the Speaker of the House 
                        of Representatives; and
                            (C) with respect to an employee of the 
                        Senate, by the Committee on Rules and 
                        Administration of the Senate.
                (3) Any exercise of authority under this subsection 
            shall be in conformance with such written policies and 
            procedures as the agency head, the Speaker of the House of 
            Representatives, or the Committee on Rules and 
            Administration of the Senate (as applicable) shall 
            prescribe, consistent with the provisions of this 
            subsection.
                (j) For the purpose of subsections (g) through (i), 
            ``Executive agency'' shall not include the General 
            Accounting Office. (Dec. 5, 1991; Pub. L. 102-190; 105 Stat. 
            1391.)
     433.3  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 Clerk 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, 1992, for individuals whose pay 
                is disbursed by the Secretary of the Senate, the figure 
                is ``$20,978''. (Dec. 18, 1991, 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 Clerk of the House of 
            Representatives, if the aggregate gross pay from those

[[Page 595]]

            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. 212, 81 
            Stat. 634; 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.)

            
                Chapter 57.--TRAVEL, TRANSPORTATION, AND SUBSISTENCE

     433.4  Sec. 5702. Per diem; employee 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:
                            (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

[[Page 596]]

                        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 designated 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.)
     433.5  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

[[Page 597]]

            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--
                            (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.)

     433.6  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.)
     433.7  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.)

[[Page 598]]


     433.8  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 United States or in transit 
                        thereto or therefrom; and
                            (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 United States or in 
                        transit thereto or therefrom. (Sept. 6, 1966, 
                        Pub. L. 89-554, 80 Stat. 507.)

            
                   Chapter 73.--SUITABILITY, SECURITY, AND CONDUCT

            
                   Subchapter II.--Loyalty, Security, and Striking

       434  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

     434.5  Sec. 7342. Receipt and disposition of foreign gifts and 
                decorations.
                (a) For the purpose of this section--
                            (1) ``employee'' means--

[[Page 599]]

                                (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 are separated) or a dependent (within 
                            the meaning of section 152 of the Internal 
                            Revenue Code of 1954) 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

[[Page 600]]

                            (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
                            (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

[[Page 601]]

            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 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 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 1954 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;

[[Page 602]]

                            (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.
                (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.)


[[Page 603]]


            
                     Chapter 81.--COMPENSATION FOR WORK INJURIES

     434.6  Secs. 8101-8151.
                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 8101-8151 of title 5, United States 
            Code.

            
                               Chapter 83.--RETIREMENT

       435  Secs. 8331-8351 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).

            
                             Chapter 87.--LIFE INSURANCE

       436  Secs. 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

       437  Secs. 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

       438                 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).

                                     definitions
                Sec. 3. For the purpose of this Act--
                            (1) The term ``Director'' means the Director 
                        of the Office of Management and Budget.
                            (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) the Advisory 
                    Commission on Intergovernmental Relations, (ii) the 
                    Commission on Government

[[Page 604]]

                    Procurement, and (iii) any committee which is 
                    composed wholly of full-time officers or employees 
                    of the Federal Government.
                            (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
                            (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 Senat 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 mate-

[[Page 605]]

                        rials, 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
                            (2) determined as a matter of formal record, 
                        by the head of the agency involved after 
                        consultation with the Director, 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 Director, 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.

[[Page 606]]

            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.)

            
                                     APPENDIX 6

       439     Financial Disclosure Requirements of Federal Personnel
     439.1  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 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

[[Page 607]]

            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 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

[[Page 608]]

                            (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 perios; 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 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, Secs. 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.)

     439.2  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

[[Page 609]]

                        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,

                                (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, or

                                (viii) greater than $1,000,000.

                            (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.
                            (D) Redesignated (C).
                            (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

[[Page 610]]

                        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--

                                (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.

[[Page 611]]

                            (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.
                (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.
                            (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; and
                            (G) greater than $1,000,000.
                (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,

[[Page 612]]

            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 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.

            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 to any income or 
            obligations of an individual arising from the dissolution of 
            his marriage or the permanent separation from his spouse.

[[Page 613]]

                (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.
                            (C) The trust instrument which establishes 
                        the trust provides that--

[[Page 614]]

                                (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 and 
                        Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and 
                        ``investment adviser'' includes any investment 
                        adviser who, as determined under

[[Page 615]]

                        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 616]]

                            (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 617]]

                        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, Secs. 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.)

[[Page 618]]


     439.3  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 Clerk 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 619]]

                            (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, Secs.  4(b)(2), 9(a), June 13, 
            1979, 93 Stat.

[[Page 620]]

            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.)
     439.4  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.)
     439.5  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 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--

[[Page 621]]

                            (1) this section does not require public 
                        availability of a report filed by any individual 
                        in the Central Intelligence Agency, the Defense 
                        Intelligence 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.
                (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

[[Page 622]]

                            (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, 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.)
     439.6  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

[[Page 623]]

                            (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) divesture,
                            (B) restitution,
                            (C) the establishment of a blind trust,
                            (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 pro-

[[Page 624]]

            vided 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.)
     439.7  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.
                (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.)
     439.8  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.)

[[Page 625]]


     439.9  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--

                                (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 Claims Court, of the Court of 
                        Veterans Appeals, or of the United States Court 
                        of Military Appeals, who

[[Page 626]]

                        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, Claims Court, Court of Veterans 
                        Appeals, United States Court of Military 
                        Appeals, 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;

                                (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 Clerk 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--

[[Page 627]]

                                (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(8) 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;

                                (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.)

    439.10  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

[[Page 628]]

            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 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.)
    439.11  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.)

            [Sec. 112. Repealed.] (Pub.L. 101-280, Sec. 3(10)(A), May 4, 
                1990, 104 Stat. 157)
            
                                     APPENDIX 7

       440    Governmentwide Limitations on Outside Earned Income and 
                                     Employment
     440.1  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

[[Page 629]]

                        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 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.)
     440.2  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;

[[Page 630]]

                            (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 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.)

     440.3  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. 1760; Pub. L. 101-280, Sec. 7(c), May 4, 
            1990, 104 Title VI; Sec. 601(a) Stat. 161; Pub. L. 102-90, 
            Title I, Sec. 6(b)(1), Aug. 14, 1991, 105 Stat. 450.)

[[Page 631]]


     440.4  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. 1760.)

    440.5 
     Sec. 
     440.5  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. 1760; Pub. L. 102-90, Title I, 
            Sec. 6(b)(2)(3), Title III, Sec. 314(b), Aug. 14, 1991, 105 
            Stat. 450, 469.)