    [United States Senate Manual, 106th Congress]
    [S. Doc. 106-1]
    [USCODETITLE]
    [Pages 612-659]
    [From the U.S. Government Publishing Office, www.gpo.gov]

    [[Page 612]]

                       TITLE 5.--GOVERNMENT ORGANIZATION AND EMPLOYEES

                    Chapter 8.--CONGRESSIONAL REVIEW OF AGENCY RULEMAKING

         429.1
         429.1  Sec. 801. Congressional review.
                    (a)(1)(A) Before a rule can take effect, the Federal
                agency promulgating such rule shall submit to each House of
                the Congress and the Comptroller General a report
                containing--
                                (i) a copy of the rule;
                                (ii) a concise general statement relating to
                            the rule, including whether it is a major rule;
                            and
                                (iii) the proposed effective date of the
                            rule.
                    (B) On the date of the submission of the report under
                subparagraph (A), the Federal agency promulgating the rule
                shall submit to the Comptroller General and make available
                to each House of Congress--
                                (i) a complete copy of the cost-benefit
                            analysis of the rule, if any;
                                (ii) the agency's actions relevant to
                            sections 603, 604, 605, 607, and 609;
                                (iii) the agency's actions relevant to
                            sections 202, 203, 204, and 205 of the Unfunded
                            Mandates Reform Act of 1995; and
                                (iv) any other relevant information or
                            requirements under any other Act and any
                            relevant Executive orders.
                    (C) Upon receipt of a report submitted under
                subparagraph (A), each House shall provide copies of the
                report to the chairman and ranking member of each standing
                committee with jurisdiction under the rules of the House of
                Representatives or the Senate to report a bill to amend the
                provision of law under which the rule is issued.
                    (2)(A) The Comptroller General shall provide a report on
                each major rule to the committees of jurisdiction in each
                House of the Congress by the end of 15 calendar days after
                the submission or publication date as provided in section
                802(b)(2). The report of the Comptroller General shall
                include an assessment of the agency's compliance with
                procedural steps required by paragraph (1)(B).
                    (B) Federal agencies shall cooperate with the
                Comptroller General by providing information relevant to the
                Comptroller General's report under subparagraph (A).
                    (3) A major rule relating to a report submitted under
                paragraph (1) shall take effect on the latest of--
                                (A) the later of the date occurring 60 days
                            after the date on which--

                                    (i) the Congress receives the report
                                submitted under paragraph (1); or

                                    (ii) the rule is published in the
                                Federal Register, if so published;

    [[Page 613]]

                                (B) if the Congress passes a joint
                            resolution of disapproval described in section
                            802 relating to the rule, and the President
                            signs a veto of such resolution, the earlier
                            date--

                                    (i) on which either House of Congress
                                votes and fails to override the veto of the
                                President; or

                                    (ii) occurring 30 session days after the
                                date on which the Congress received the veto
                                and objections of the President; or

                                (C) the date of rule would have otherwise
                            taken effect, if not for this section (unless a
                            joint resolution of disapproval under section
                            802 is enacted).
                    (4) Except for a major rule, a rule shall take effect as
                otherwise provided by law after submission to Congress under
                paragraph (1).
                    (5) Notwithstanding paragraph (3), the effective date of
                a rule shall not be delayed by operation of this chapter
                beyond the date on which either House of Congress votes to
                reject a joint resolution of disapproval under section 802.
                    (b)(1) A rule shall not take effect (or continue), if
                the Congress enacts a joint resolution of disapproval,
                described under section 802, of the rule.
                    (2) A rule that does not take effect (or does not
                continue) under paragraph (1) may not be reissued in
                substantially the same form, and a new rule that is
                substantially the same as such a rule may not be issued,
                unless the reissued or new rule is specifically authorized
                by a law enacted after the date of the joint resolution
                disapproving the original rule.
                    (c)(1) Notwithstanding any other provision of this
                section (except subject to paragraph (3)), a rule that would
                not take effect by reason of subsection (a)(3) may take
                effect, if the President makes a determination under
                paragraph (2) and submits written notice of such
                determination to the Congress.
                    (2) Paragraph (1) applies to a determination made by the
                President by Executive order that the rule should take
                effect because such rule is--
                                (A) necessary because of an imminent threat
                            to health or safety or other emergency;
                                (B) necessary for the enforcement of
                            criminal laws;
                                (C) necessary for national security; or
                                (D) issued pursuant to any statute
                            implementing an international trade agreement.
                    (3) An exercise by the President of the authority under
                this subsection shall have no effect on the procedures under
                section 802 or the effect of a joint resolution of
                disapproval under this section.
                    (d)(1) In addition to the opportunity for review
                otherwise provided under this chapter, in the case of any
                rule for which a report was submitted in accordance with
                subsection (a)(1)(A) during the period beginning on the date
                occurring--
                                (A) in the case of the Senate; 60 session
                            days, or
                                (B) in the case of the House of
                            Representatives; 60 legislative days,

                before the date the Congress adjourns a session of Congress
                through the date on which the same or succeeding Congress
                first convenes its next session, section 802 shall apply to
                such rule in the succeeding session of Congress.

    [[Page 614]]

                    (2)(A) In applying section 802 for purposes of such
                additional review, a rule described under paragraph (1)
                shall be treated as though--
                                (i) such rule were published in the Federal
                            Register (as a rule that shall take effect) on--

                                    (I) in the case of the Senate, the 15th
                                session day, or

                                    (II) in the case of the House of
                                Representatives, the 15th legislative day,
                                after the succeeding session of Congress
                                first convenes; and

                                (ii) a report on such rule were submitted to
                            Congress under subsection (a)(1) on such date.
                    (B) Nothing in this paragraph shall be construed to
                affect the requirement under subsection (a)(1) that a report
                shall be submitted to Congress before a rule can take
                effect.
                    (3) A rule described under paragraph (1) shall take
                effect as otherwise provided by law (including other
                subsections of this section).
                    (e)(1) For purposes of this subsection, section 802
                shall also apply to any major rule promulgated between March
                1, 1996, and the date of the enactment of this chapter.
                    (2) In applying section 802 for purposes of
                Congressional review, a rule described under paragraph (1)
                shall be treated as though--
                                (A) such rule were published in the Federal
                            Register on the date of enactment of this
                            chapter; and
                                (B) a report on such rule were submitted to
                            Congress under subsection (a)(1) on such date.
                    (3) The effectiveness of a rule described under
                paragraph (1) shall be as otherwise provided by law, unless
                the rule is made of no force or effect under section 802.
                    (f) Any rule that takes effect and later is made of no
                force or effect by enactment of a joint resolution under
                section 802 shall be treated as though such rule had never
                taken effect.
                    (g) If the Congress does not enact a joint resolution of
                disapproval under section 802 respecting a rule, no court or
                agency may infer any intent of the Congress from any action
                or inaction of the Congress with regard to such rule,
                related statute, or joint resolution of disapproval.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 868.)

         429.2
         429.2  Sec. 802. Congressional disapproval procedure.
                    (a) For purposes of this section, the term ``joint
                resolution'' means only a joint resolution introduced in the
                period beginning on the date on which the report referred to
                in section 801(a)(1)(A) is received by Congress and ending
                60 days thereafter (excluding days either House of Congress
                is adjourned for more than 3 days during a session of
                Congress), the matter after the resolving clause of which is
                as follows: ``That Congress disapproves the rule submitted
                by the __________ relating to __________, and such rule
                shall have no force or effect.'' (The blank spaces being
                appropriately filled in).
                    (b)(1) A joint resolution described in subsection (a)
                shall be referred to the committees in each House of
                Congress with jurisdiction.
                    (2) For purposes of this section, the term ``submission
                or publication date'' means the later of the date on which--
                                (A) the Congress receives the report
                            submitted under section 801(a)(1); or
                                (B) the rule is published in the Federal
                            Register, if so published.

    [[Page 615]]

                    (c) In the Senate, if the committee to which is referred
                a joint resolution described in subsection (a) has not
                reported such joint resolution (or an identical joint
                resolution) at the end of 20 calendar days after the
                submission or publication date defined under subsection
                (b)(2), such committee may be discharged from further
                consideration of such joint resolution upon a petition
                supported in writing by 30 Members of the Senate, and such
                joint resolution shall be placed on the calendar.
                    (d)(1) In the Senate, when the committee to which a
                joint resolution is referred has reported, or when a
                committee is discharged (under subsection (c)) from further
                consideration of a joint resolution described in subsection
                (a), it is at any time thereafter in order (even though a
                previous motion to the same effect has been disagreed to)
                for a motion to proceed to the consideration of the joint
                resolution, and all points of order against the joint
                resolution (and against consideration of the joint
                resolution) are waived. The motion is not subject to
                amendment, or to a motion to postpone, or to a motion to
                proceed to the consideration of other business. A motion to
                reconsider the vote by which the motion is agreed to or
                disagreed to shall not be in order. If a motion to proceed
                to the consideration of the joint resolution is agreed to,
                the joint resolution shall remain the unfinished business of
                the Senate until disposed of.
                    (2) In the Senate, debate on the joint resolution, and
                on all debatable motions and appeals in connection
                therewith, shall be limited to not more than 10 hours, which
                shall be divided equally between those favoring and those
                opposing the joint resolution. A motion further to limit
                debate is in order and not debatable. An amendment to, or a
                motion to postpone, or a motion to proceed to the
                consideration of other business, or a motion to recommit the
                joint resolution is not in order.
                    (3) In the Senate, immediately following the conclusion
                of the debate on a joint resolution described in subsection
                (a), and a single quorum call at the conclusion of the
                debate if requested in accordance with the rules of the
                Senate, the vote on final passage of the joint resolution
                shall occur.
                    (4) Appeals from the decisions of the Chair relating to
                the application of the rules of the Senate to the procedure
                relating to a joint resolution described in subsection (a)
                shall be decided without debate.
                    (e) In the Senate the procedure specified in subsection
                (c) or (d) shall not apply to the consideration of a joint
                resolution respecting a rule--
                                (1) after the expiration of the 60 session
                            days beginning with the applicable submission or
                            publication date, or
                                (2) if the report under section 801(a)(1)(A)
                            was submitted during the period referred to in
                            section 801(d)(1), after the expiration of the
                            60 session days beginning on the 15th session
                            day after the succeeding session of Congress
                            first convenes.
                    (f) If, before the passage by one House of a joint
                resolution of that House described in subsection (a), that
                House receives from the other House a joint resolution
                described in subsection (a), then the following procedures
                shall apply:
                                (1) The joint resolution of the other House
                            shall not be referred to a committee.
                                (2) With respect to a joint resolution
                            described in subsection (a) of the House
                            receiving the joint resolution--

    [[Page 616]]

                                    (A) the procedure in that House shall be
                                the same as if no joint resolution had been
                                received from the other House; but

                                    (B) the vote on final passage shall be
                                on the joint resolution of the other House.

                    (g) This section is enacted by Congress--
                                (1) as an exercise of the rulemaking power
                            of the Senate and House of Representatives,
                            respectively, and as such it is deemed a part of
                            the rules of each House, respectively, but
                            applicable only with respect to the procedure to
                            be followed in that House in the case of a joint
                            resolution described in subsection (a), and it
                            supersedes other rules only to the extent that
                            it is inconsistent with such rules; and
                                (2) with full recognition of the
                            constitutional right of either House to change
                            the rules (so far as relating to the procedure
                            of that House) at any time, in the same manner,
                            and to the same extent as in the case of any
                            other rule of that House.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 871.)

         429.3
         429.3  Sec. 803. Special rule on statutory, regulatory, and
                    judicial deadlines.
                    (a) In the case of any deadline for, relating to, or
                involving any rule which does not take effect (or the
                effectiveness of which is terminated) because of enactment
                of a joint resolution under section 802, that deadline is
                extended until the date 1 year after the date of enactment
                of the joint resolution. Nothing in this subsection shall be
                construed to affect a deadline merely by reason of the
                postponement of a rule's effective date under section
                801(a).
                    (b) The term ``deadline'' means any date certain for
                fulfilling any obligation or exercising any authority
                established by or under any Federal statute or regulation,
                or by or under any court order implementing any Federal
                statute or regulation.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 873.)

         429.4
         429.4  Sec. 804. Definitions.
                    For purposes of this chapter--
                                (1) The term ``Federal agency'' means any
                            agency as that term is defined in section
                            551(1).
                                (2) The term ``major rule'' means any rule
                            that the Administrator of the Office of
                            Information and Regulatory Affairs of the Office
                            of Management and Budget finds has resulted in
                            or is likely to result in--

                                    (A) an annual effect on the economy of
                                $100,000,000 or more;

                                    (B) a major increase in costs or prices
                                for consumers, individual industries,
                                Federal, State, or local government
                                agencies, or geographic regions; or

                                    (C) significant adverse effects on
                                competition, employment, investment,
                                productivity, innovation, or on the ability
                                of United States-based enterprises to
                                compete with foreign-based enterprises in
                                domestic and export markets.

                The term does not include any rule promulgated under the
                Telecommunications Act of 1996 and the amendments made by
                that Act.

                                (3) The term ``rule'' has the meaning given
                            such term in section 551, except that such term
                            does not include--

    [[Page 617]]

                                    (A) any rule of particular
                                applicability, including a rule that
                                approves or prescribes for the future rates,
                                wages, prices, services, or allowances
                                therefor, corporate or financial structures,
                                reorganizations, mergers, or acquisitions
                                thereof, or accounting practices or
                                disclosures bearing on any of the foregoing;
                                thereof, or accounting practices or
                                disclosures bearing on any of the foregoing;

                                    (B) any rule relating to agency
                                management or personnel; or

                                    (C) any rule of agency organization,
                                procedure, or practice that does not
                                substantially affect the rights or
                                obligations of non-agency parties.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 873.)

         429.5
         429.5  Sec. 805. Judicial review.
                    No determination, finding, action, or omission under
                this chapter shall be subject to judicial review.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 873.)

         429.6
         429.6  Sec. 806. Applicability; severability.
                    (a) This chapter shall apply notwithstanding any other
                provisions of law.
                    (b) If any provision of this chapter or the application
                of any provision of this chapter to any person or
                circumstance, is held invalid, the application of such
                provision to other persons or circumstances, and the
                remainder of this chapter, shall not be affected thereby.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 873.)

         429.7
         429.7  Sec. 807. Exemption for monetary policy.
                    Nothing in this chapter shall apply to rules that
                concern monetary policy proposed or implemented by the Board
                of Governors of the Federal Reserve System or the Federal
                Open Market Committee.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 874.)

         429.8
         429.8  Sec. 808. Effective date of certain rules.
                    Notwithstanding section 801--
                                (1) any rule that establishes, modifies,
                            opens, closes, or conducts a regulatory program
                            for a commercial, recreational, or subsistence
                            activity related to hunting, fishing, or
                            camping, or
                                (2) any rule which an agency for good cause
                            finds (and incorporates the finding and a brief
                            statement of reasons therefor in the rule
                            issued) that notice and public procedure thereon
                            are impracticable, unnecessary, or contrary to
                            the public interest,

                shall take effect at such time as the Federal agency
                promulgating the rule determines.

                (Added Pub. L. 104-121, Title II, Sec. 251, Mar. 29, 1996,
                110 Stat. 874.)

    [[Page 618]]

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

                       Subchapter I.--Commissions, Oaths, and Records

           430
           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 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
           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. 3(b), 108 Stat. 4581.)

                            Chapter 31.--AUTHORITY FOR EMPLOYMENT

         431.1
         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, wife, father-in-
                            law, mother-in-law, son-in-law, daughter-in-law,
                            brother-in-law, sister-in-law, stepfather,
                            stepmother, stepson, stepdaughter, stepbrother,
                            stepsister, half brother, or half sister.
                    (b) A public official may not appoint, employ, promote,
                advance, or advocate for appointment, employment, promotion,
                or advancement, in or to a civilian position in the agency
                in which he is serving or over

    [[Page 619]]

                which he exercises jurisdiction or control any individual
                who is a relative of the public official. An individual may
                not be appointed, employed, promoted, or advanced in or to a
                civilian position in an agency if such appointment,
                employment, promotion, or advancement has been advocated by
                a public official, serving in or exercising jurisdiction or
                control over the agency, who is a relative of the
                individual.
                    (c) An individual appointed, employed, promoted, or
                advanced in violation of this section is not entitled to
                pay, and money may not be paid from the Treasury as pay to
                an individual so appointed, employed, promoted, or advanced.
                    (d) The Office of Personnel Management may prescribe
                regulations authorizing the temporary employment, in the
                event of emergencies resulting from natural disasters or
                similar unforeseen events or circumstances, of individuals
                whose employment would otherwise be prohibited by this
                section.
                    (e) This section shall not be construed to prohibit the
                appointment of an individual who is a preference eligible in
                any case in which the passing over of that individual on a
                certificate of eligibles furnished under section 3317(a) of
                this title will result in the selection for appointment of
                an individual who is not a preference eligible. (Dec. 16,
                1967, Pub. L. 90-206, Sec. 221(a), 81 Stat. 640; Oct. 13,
                1978, Pub. L. 95-454, Sec. 906(a)(2), 92 Stat. 1224.)

                     Chapter 33.--EXAMINATION, SELECTION, AND PLACEMENT

                               Subchapter II.--Oath of Office

           432
           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
           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

    [[Page 620]]

                to fill a vacancy in an existing office, if the vacancy
                existed while the Senate was in session and was by law
                required to be filled by and with the advice and consent of
                the Senate, until the appointee has been confirmed by the
                Senate. This subsection does not apply--
                    \1\ For proceedings on nominations see rule XXXI of the
                    Standing Rules of the Senate (Senate Manual section 31).
                                (1) if the vacancy arose within 30 days
                            before the end of the session of the Senate;
                                (2) if, at the end of the session, a
                            nomination for the office, other than the
                            nomination of an individual appointed during the
                            preceding recess of the Senate, was pending
                            before the Senate for its advice and consent; or
                                (3) if a nomination for the office was
                            rejected by the Senate within 30 days before the
                            end of the session and an individual other than
                            the one whose nomination was rejected thereafter
                            receives a recess appointment.
                    (b) A nomination to fill a vacancy referred to by
                paragraph (1), (2), or (3) of subsection (a) of this section
                shall be submitted to the Senate not later than 40 days
                after the beginning of the next session of the Senate.
                (Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 475.)

                        Subchapter IV.--Dual Pay and Dual Employment

         433.1
         433.1  Sec. 5531. Definitions.
                    For the purpose of sections 5532 and 5533 of this
                title--
                    (1) ``member'' has the meaning given such term by
                section 101(23) of title 37;
                    (2) ``position'' means a civilian office or position
                (including a temporary, part-time, or intermittent
                position), appointive or elective, in the legislative,
                executive, or judicial branch of the Government of the
                United States (including a Government corporation and a
                nonappropriated fund instrumentality under the jurisdiction
                of the armed forces) or in the government of the District of
                Columbia;
                    (3) ``retired or retainer pay'' means retired pay, as
                defined in section 8311(3) of this title, determined without
                regard to subparagraphs (B) through (D) of such section
                8311(3); except that such term does not include an annuity
                payable to an eligible beneficiary of a member or former
                member of a uniformed service under chapter 73 of title 10;
                    (4) ``agency in the legislative branch'' means the
                General Accounting Office, the Government Printing Office,
                the Library of Congress, the Office of Technology
                Assessment, the Office of the Architect of the Capitol, the
                United States Botanic Garden, and the Congressional Budget
                Office;
                    (5) ``employee of the House of Representatives'' means a
                congressional employee whose pay is disbursed by the Chief
                Administrative Officer of the House of Representatives;
                    (6) ``employee of the Senate'' means a congressional
                employee whose pay is disbursed by the Secretary of the
                Senate; and
                    (7) ``congressional employee'' has the meaning given
                that term by section 2107 of this title, excluding an
                employee of an agency in the legislative branch. (Dec. 5,
                1991; Pub. L. 102-290; 105 Stat. 1391; Pub. L. 104-186,
                Title II, Sec. 215(6), Aug. 20, 1996, 110 Stat. 1745.)

    [[Page 621]]

         433.2
         433.2  Sec. 5532. Repealed. Pub. L. 106-65, Title VI,
                    Sec. 651(a)(1), Oct. 5, 1999, 113 Stat. 664.

                                        * * * * * * *

         433.3
         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 Chief Administrative Officer of the House of
                Representatives, or one of the positions is under the Office
                of the Architect of the Capitol, and if the aggregate gross
                pay from the positions exceeds $7,724 a year ($10,540,\1\ in
                the case of pay disbursed by the Secretary of the Senate).
                    \1\ Effective January 1, 2000, for individuals whose pay
                    is disbursed by the Secretary of the Senate, the figure
                    is ``$25,362''. (Dec. 18, 1998, Order of the President
                    pro tempore, pursuant to Act Jan. 8, 1971, Pub. L. 91-
                    656, Sec. 4, 84 Stat. 1952.)
                    (2) Notwithstanding paragraph (1) of this subsection,
                appropriated funds are not available for payment to an
                individual of pay from more than one position, for each of
                which the pay is disbursed by the Chief Administrative
                Officer of the House of Representatives, if the aggregate
                gross pay from those positions exceeds the maximum per annum
                gross rate of pay authorized to be paid to an employee out
                of the clerk hire allowance of a Member of the House.
                    (3) For the purposes of this subsection, ``gross pay''
                means the annual rate of pay (or equivalent thereof in the
                case of an individual paid on other than an annual basis)
                received by an individual.
                    (4) Paragraph (1) of this subsection does not apply to
                pay on a when-actually-employed basis received from more
                than one consultant or expert position if the pay is not
                received for the same day. (Sept. 6, 1966, Pub. L. 89-554,
                80 Stat. 483; July 28, 1967, Pub. L. 90-57, Sec. 105(h), 81
                Stat. 143; Dec. 16, 1967, Pub. L. 90-206, Sec. 214(o), 81
                Stat. 637; June 12, 1968, Order of President pro tempore,
                Cong. Rec. Vol. 114, p. S7074 (June 12, 1968, daily ed.),
                pursuant to Act Dec. 16, 1967, Pub. L. 90-206, Sec. 214(o),
                81 Stat. 637; Oct. 26, 1970, Pub. L. 91-510, Sec. 477, 84
                Stat. 1195; Nov. 1, 1973, Pub. L. 93-145, Sec. 101, 87 Stat.
                532; Oct. 1, 1976, Pub. L. 94-440, Sec. 103, 90 Stat. 1443;
                Pub. L. 95-454, Title IX, Sec. 906(a)(2), Oct. 13, 1978, 92
                Stat. 1224; Pub. L. 96-70, Title III, Sec. 3302(e)(8), Sept.
                27, 1979, 93 Stat. 498; Pub. L. 104-186, Title II,
                Sec. 215(7), Aug. 20, 1996, 110 Stat. 1745.)

                    Chapter 57.--TRAVEL, TRANSPORTATION, AND SUBSISTENCE

         433.4
         433.4  Sec. 5702. Per diem; employees traveling on official
                    business.
                    (a)(1) Under regulations prescribed pursuant to section
                5707 of this title, an employee when traveling on official
                business away from the employee's designated post of duty,
                or away from the employee's home or regular place of
                business (if the employee is described in section 5703 of
                this title), is entitled to any one of the following:

    [[Page 622]]

                                (A) a per diem allowance at a rate not to
                            exceed that established by the Administrator of
                            General Services for travel within the
                            continental United States, and by the President
                            or his designee for travel outside the
                            continental United States;
                                (B) reimbursement for the actual and
                            necessary expenses of official travel not to
                            exceed an amount established by the
                            Administrator for travel within the continental
                            United States or an amount established by the
                            President or his designee for travel outside the
                            continental United States; or
                                (C) a combination of payments described in
                            subparagraphs (A) and (B) of this paragraph.
                    (2) Any per diem allowance or maximum amount of
                reimbursement shall be established to the extent feasible,
                by locality.
                    (3) For travel consuming less than a full day, the
                payment prescribed by regulation shall be allocated in such
                manner as the Administrator may prescribe.
                    (b)(1) Under regulations prescribed under section 5707
                of this title, an employee who is described in subsection
                (a) of this section and who abandons the travel assignment
                prior to its completion--
                                (A) because of an incapacitating illness or
                            injury which is not due to the employee's own
                            misconduct is entitled to reimbursement for
                            expenses of transportation to the employee's
                            designated post of duty, or home or regular
                            place of business, as the case may be, and to
                            payments pursuant to subsection (a) of this
                            section until that location is reached; or
                                (B) because of a personal emergency
                            situation (such as serious illness, injury, or
                            death of a member of the employee's family, or
                            an emergency situation such as fire, flood, or
                            act of God), may be allowed, with the approval
                            of an appropriate official of the agency
                            concerned, reimbursement for expenses of
                            transportation to the employee's designated post
                            of duty, or home or regular place of business,
                            as the case may be, and payments pursuant to
                            subsection (a) of this section until that
                            location is reached.
                    (2)(A) Under regulations prescribed pursuant to section
                5707 of this title, an employee who is described in
                subsection (a) of this section and who, with the approval of
                an appropriate official of the agency concerned, interrupts
                the travel assignment prior to its completion for a reason
                specified in subparagraph (A) or (B) of paragraph (1) of
                this subsection, may be allowed (subject to the limitation
                provided in subparagraph (B) of this paragraph)--
                                (i) reimbursement for expenses of
                            transportation to the location where necessary
                            medical services are provided or the emergency
                            situation exists,
                                (ii) payments pursuant to subsection (a) of
                            this section until that location is reached, and
                                (iii) such reimbursement and payments for
                            return to such assignment.
                    (B) The reimbursement which an employee may be allowed
                pursuant to subparagraph (A) of this paragraph shall be the
                employee's actual costs of transportation to the location
                where necessary medical services are provided or the
                emergency exists, and return to assignment from such
                location, less the costs of transportation which the
                employee would have incurred had such travel begun and ended
                at the employee's des

    [[Page 623]]

                ignated post of duty or home or regular place of business,
                as the case may be. The payments which an employee may be
                allowed pursuant to subparagraph (A) of this paragraph shall
                be based on the additional time (if any) which was required
                for the employee's transportation as a consequence of the
                transportation's having begun and ended at a location on the
                travel assignment (rather than at the employee's designated
                post of duty, or home or regular place of business, as the
                case may be).
                    (3) Subject to the limitations contained in regulations
                prescribed pursuant to section 5707 of this title, an
                employee who is described in subsection (a) of this section
                and who interrupts the travel assignment prior to its
                completion because of an incapacitating illness or injury
                which is not due to the employee's own misconduct is
                entitled to payments pursuant to subsection (a) of this
                section at the location where the interruption occurred.
                    (c) This section does not apply to a justice or judge,
                except to the extent provided by section 456 of title 28.
                (Sept. 6, 1966, Pub. L. 89-554, 80 Stat. 498; Nov. 10, 1969,
                Pub. L. 91-114, Sec. 1, 83 Stat. 190; May 19, 1975, Pub. L.
                94-22, Sec. 3, 89 Stat. 84; Aug. 14, 1979, Pub. L. 96-54,
                Sec. 2(a)(36), 93 Stat. 383; Sept. 10, 1980, Pub. L. 96-346,
                Sec. 1, 94 Stat. 1148; Pub. L. 99-234, Sec. 102, Jan. 2,
                1986, 99 Stat. 1756; Pub. L. 102-378, Sec. 2(47), Oct. 2,
                1992, 106 Stat. 1353.)
         433.5
         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 authorized or approved as more
                advantageous to the Government. In any year in which the
                Internal Revenue Service establishes a single standard
                mileage rate for optional use by taxpayers in computing the
                deductible costs of operating their automobiles for business
                purposes, the rate per mile established by the Administrator
                shall not exceed the single standard mileage rate
                established by the Internal Revenue Service.
                    (2) Under regulations prescribed under section 5707 of
                this title, an employee who is engaged on official business
                for the Government is entitled to a rate per mile
                established by the Administrator of General Services,
                instead of the actual expenses of transportation, for the
                use of privately owned airplane or a privately owned
                motorcycle when that mode of transportation is authorized or
                approved as more advantageous to the Government.
                    (b) A determination that travel by a privately owned
                vehicle is more advantageous to the Government is not
                required under subsection (a) of this section when payment
                on a mileage basis is limited to the cost of travel by
                common carrier including per diem.
                    (c) Notwithstanding the provisions of subsections (a)
                and (b) of this section, in any case in which an employee
                who is engaged on official business for the Government
                chooses to use a privately owned vehicle in lieu of a
                Government vehicle, payment on a mileage basis is limited to
                the cost of travel by a Government vehicle.
                    (d) In addition to the rate per mile authorized under
                subsection (a) of this section, the employee may be
                reimbursed for--

    [[Page 624]]

                                (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
         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
         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.)

         433.8
         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.)

    [[Page 625]]

                       Chapter 73.--SUITABILITY, SECURITY, AND CONDUCT

                           Subchapter II.--Employment Limitations

           434
           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
         434.5  Sec. 7342. Receipt and disposition of foreign gifts and
                    decorations.
                    (a) For the purpose of this section--
                                (1) ``employee'' means--

                                    (A) an employee as defined by section
                                2105 of this title and an officer or
                                employee of the United States Postal Service
                                or of the Postal Rate Commission;

                                    (B) an expert or consultant who is under
                                contract under section 3109 of this title
                                with the United States or any agency,
                                department, or establishment thereof,
                                including, in the case of an organization
                                performing services under such section, any
                                individual involved in the performance of
                                such services;

                                    (C) an individual employed by, or
                                occupying an office or position in, the
                                government of a territory or possession of
                                the United States or the government of the
                                District of Columbia;

                                    (D) a member of a uniformed service;

                                    (E) the President and the Vice
                                President;

                                    (F) a Member of Congress as defined by
                                section 2106 of this title (except the Vice
                                President) and any Delegate to the Congress;
                                and

                                    (G) the spouse of an individual
                                described in subparagraphs (A) through (F)
                                (unless such individual and his or her
                                spouse are separated) or a dependent (within
                                the meaning of section 152 of the Internal
                                Revenue Code of 1986) of such an individual,
                                other than a spouse or dependent who is an
                                employee under subparagraphs (A) through
                                (F);

                                (2) ``foreign government'' means--

                                    (A) any unit of foreign governmental
                                authority, including any foreign national,
                                State, local, and municipal government;

    [[Page 626]]

                                    (B) any international or multinational
                                organization whose membership is composed of
                                any unit of foreign government described in
                                subparagraph (A); and

                                    (C) any agent or representative of any
                                such unit or such organization, while acting
                                as such;

                                (3) ``gift'' means a tangible or intangible
                            present (other than a decoration) tendered by,
                            or received from, a foreign government;
                                (4) ``decoration'' means an order, device,
                            medal, badge, insignia, emblem, or award
                            tendered by, or received from, a foreign
                            government;
                                (5) ``minimal value'' means a retail value
                            in the United States at the time of acceptance
                            of $100 or less, except that--

                                    (A) on January 1, 1981, and at 3-year
                                intervals thereafter, ``minimal value''
                                shall be redefined in regulations prescribed
                                by the Administrator of General Services, in
                                consultation with the Secretary of State, to
                                reflect changes in the consumer price index
                                for the immediately preceding 3-year period;
                                and

                                    (B) regulations of an employing agency
                                may define ``minimal value'' for its
                                employees to be less than the value
                                established under this paragraph; and

                                (6) ``employing agency'' means--

                                    (A) the Committee on Standards of
                                Official Conduct of the House of
                                Representatives, for Members and employees
                                of the House of Representatives, except that
                                those responsibilities specified in
                                subsections (c)(2)(A), (e)(1), and (g)(2)(B)
                                shall be carried out by the Clerk of the
                                House;

                                    (B) the Select Committee on Ethics of
                                the Senate, for Senators and employees of
                                the Senate, except that those
                                responsibilities (other than
                                responsibilities involving approval of the
                                employing agency) specified in subsections
                                (c)(2), (d), and (g)(2)(B) shall be carried
                                out by the Secretary of the Senate;

                                    (C) the Administrative Office of the
                                United States Courts, for judges and
                                judicial branch employees; and

                                    (D) the department, agency, office, or
                                other entity in which an employee is
                                employed, for other legislative branch
                                employees and for all executive branch
                                employees.

                    (b) An employee may not--
                                (1) request or otherwise encourage the
                            tender of a gift or decoration; or
                                (2) accept a gift or decoration, other than
                            in accordance with the provisions of subsections
                            (c) and (d).
                    (c)(1) The Congress consents to--
                                (A) the accepting and retaining by an
                            employee of a gift of minimal value tendered and
                            received as a souvenir or mark of courtesy; and
                                (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

    [[Page 627]]

                                    (ii) an employee may accept gifts of
                                travel or expenses for travel taking place
                                entirely outside the United States (such as
                                transportation, food, and lodging) of more
                                than minimal value if such acceptance is
                                appropriate, consistent with the interests
                                of the United States, and permitted by the
                                employing agency and any regulations which
                                may be prescribed by the employing agency.

                    (2) Within 60 days after accepting a tangible gift of
                more than minimal value (other than a gift described in
                paragraph (1)(B)(ii)), an employee shall--
                                (A) deposit the gift for disposal with his
                            or her employing agency; or
                                (B) subject to the approval of the employing
                            agency, deposit the gift with that agency for
                            official use.

                Within 30 days after terminating the official use of a gift
                under subparagraph (B), the employing agency shall forward
                the gift to the Administrator of General Services in
                accordance with subsection (e)(1) or provide for its
                disposal in accordance with subsection (e)(2).

                    (3) When an employee deposits a gift of more than
                minimal value for disposal or for official use pursuant to
                paragraph (2), or within 30 days after accepting travel or
                travel expenses as provided in paragraph (1)(B)(ii) unless
                such travel or travel expenses are accepted in accordance
                with specific instructions of his or her employing agency,
                the employee shall file a statement with his or her
                employing agency or its delegate containing the information
                prescribed in subsection (f) for that gift.
                    (d) The Congress consents to the accepting, retaining,
                and wearing by an employee of a decoration tendered in
                recognition of active field service in time of combat
                operations or awarded for other outstanding or unusually
                meritorious performance, subject to the approval of the
                employing agency of such employee. Without this approval,
                the decoration is deemed to have been accepted on behalf of
                the United States, shall become the property of the United
                States, and shall be deposited by the employee, within sixty
                days of acceptance, with the employing agency for official
                use, for forwarding to the Administrator of General Services
                for disposal in accordance with subsection (e)(1), or for
                disposal in accordance with subsection (e)(2).
                    (e)(1) Except as provided in paragraph (2), gifts and
                decorations that have been deposited with an employing
                agency for disposal shall be (A) returned to the donor, or
                (B) forwarded to the Administrator of General Services for
                transfer, donation, or other disposal in accordance with the
                provisions of 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 Com

    [[Page 628]]

                mission, subject to such terms and conditions as it may
                prescribe, (A) to an agency or instrumentality of (i) the
                United States, (ii) a State, territory, or possession of the
                United States, or a political subdivision of the foregoing,
                or (iii) the District of Columbia, or (B) to an organization
                described in section 501(c)(3) of the Internal Revenue Code
                of 1986 which is exempt from taxation under section 501(a)
                of such Code. Any such gift or decoration not disposed of as
                provided in the preceding sentence shall be forwarded to the
                Administrator of General Services for disposal in accordance
                with paragraph (1). If the Administrator does not dispose of
                such gift or decoration within one year, he shall, at the
                request of the Commission, return it to the Commission and
                the Commission may dispose of such gift or decoration in
                such manner as it considers proper, except that such gift or
                decoration may be sold only with the approval of the
                Secretary of State upon a determination that the sale will
                not adversely affect the foreign relations of the United
                States.
                    (f)(1) Not later than January 31 of each year, each
                employing agency or its delegate shall compile a listing of
                all statements filed during the preceding year by the
                employees of that agency pursuant to subsection (c)(3) and
                shall transmit such listing to the Secretary of State who
                shall publish a comprehensive listing of all such statements
                in the Federal Register.
                    (2) Such listings shall include for each tangible gift
                reported--
                                (A) the name and position of the employee;
                                (B) a brief description of the gift and the
                            circumstances justifying acceptance;
                                (C) the identity, if known, of the foreign
                            government and the name and position of the
                            individual who presented the gift;
                                (D) the date of acceptance of the gift;
                                (E) the estimated value in the United States
                            of the gift at the time of acceptance; and
                                (F) disposition or current location of the
                            gift.
                    (3) Such listings shall include for each gift of travel
                or travel expenses--
                                (A) the name and position of the employee;
                                (B) a brief description of the gift and the
                            circumstances justifying acceptance; and
                                (C) the identity, if known, of the foreign
                            government and the name and position of the
                            individual who presented the gift.
                    (4) In transmitting such listings for the Central
                Intelligence Agency, the Director of Central Intelligence
                may delete the information described in subparagraphs (A)
                and (C) of paragraphs (2) and (3) if the Director certifies
                in writing to the Secretary of State that the publication of
                such information could adversely affect United States
                intelligence sources.
                    (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;

    [[Page 629]]

                                (B) establish a procedure for obtaining an
                            appraisal; when necessary, of the value of
                            gifts; and
                                (C) take any other actions necessary to
                            carry out the purpose of this section.
                    (h) The Attorney General may bring a civil action in any
                district court of the United States against any employee who
                knowingly solicits or accepts a gift from a foreign
                government not consented to by this section or who fails to
                deposit or report such gift as required by this section. The
                court in which such action is brought may assess a penalty
                against such employee in any amount not to exceed the retail
                value of the gift improperly solicited or received plus
                $5,000.
                    (i) The President shall direct all Chiefs of a United
                States Diplomatic Mission to inform their host governments
                that it is a general policy of the United States Government
                to prohibit United States Government employees from
                receiving gifts or decorations of more than minimal value.
                    (j) Nothing in this section shall be construed to
                derogate any regulation prescribed by any employing agency
                which provides for more stringent limitations on the receipt
                of gifts and decorations by its employees.
                    (k) The provisions of this section do not apply to
                grants and other forms of assistance to which section 108A
                of the Mutual Educational and Cultural Exchange Act of 1961
                applies. (Sept. 11, 1967, Pub. L. 90-83, Sec. 1(45)(C), 81
                Stat. 208; Aug. 17, 1977, Pub. L. 95-105, Sec. 515, 91 Stat.
                862; Oct. 7, 1978, Pub. L. 95-426, Sec. 712(a)-(c), 92 Stat.
                994; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095.)

                         Chapter 81.--COMPENSATION FOR WORK INJURIES

         434.6
         434.6  Secs. 8101--8162.
                    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 of title 5, United States
                Code.

                               Chapters 83 and 84.--RETIREMENT

           435
           435  Secs. 8331-8351, Secs. 8041-8479, and sections 201-208 of
                    the Federal Employees' Retirement Contribution Temporary
                    Adjustment Act of 1983.
                    Note.--Since it is not feasible to reproduce in the
                Senate Manual all the pertinent provisions of law relating
                to retirement benefits of Members and employees of Congress,
                reference only is made here to those provisions. See
                subchapter III of chapter 83 of title 5, United States Code,
                and chapter 84 of such title (as added by the Federal
                Employees' Retirement System Act of 1986; Pub. L. 99-335,
                100 Stat. 514).

                                 Chapter 87.--LIFE INSURANCE

           436
           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.

    [[Page 630]]

                                Chapter 89.--HEALTH INSURANCE

           437
           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
           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; 1977 Reorg. Plan No.
                1, Sec. 5F, Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634).

                                         definitions
                    Sec. 3. For the purpose of this Act--
                                (1) The term ``Administrator'' means the
                            Administrator of General Services.
                                (2) The term ``advisory committee'' means
                            any committee, board, commission, council,
                            conference, panel, task force, or other similar
                            group, or any subcommittee or other subgroup
                            thereof (hereafter in this paragraph referred to
                            as ``committee''), which is--

                                    (A) established by statute or
                                reorganization plan, or

                                    (B) established or utilized by the
                                President, or

                                    (C) established or utilized by one or
                                more agencies,

                        in the interest of obtaining advice or
                        recommendations for the President or one or more
                        agencies or officers of the Federal Government,
                        except that such term excludes (i) any committee
                        that is composed wholly of full-time, or permanent
                        part-time, officers or employees of the Federal
                        Government, and (ii) any committee that is created
                        by the National Academy of Sciences or the National
                        Academy of Public Administration.
                                (3) The term ``agency'' has the same meaning
                            as in section 551(1) of title 5, United States
                            Code.
                                (4) The term ``Presidential advisory
                            committee'' means an advisory committee which
                            advises the President.
                                        applicability
                    Sec. 4. (a) The provisions of this Act or of any rule,
                order, or regulation promulgated under this Act shall apply
                to each advisory committee except to the extent that any Act
                of Congress establishing any such advisory committee
                specifically provides otherwise.
                    (b) Nothing in this Act shall be construed to apply to
                any advisory committee established or utilized by--
                                (1) the Central Intelligence Agency; or
                                (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.

    [[Page 631]]

                        responsibilities of congressional committees
                    Sec. 5. (a) In the exercise of its legislative review
                functions, each standing committee of the Senate and the
                House of Representatives shall make a continuing review of
                the activities of each advisory committee under its
                jurisdiction to determine whether such advisory committee
                should be abolished or merged with any other advisory
                committee, whether the responsibilities of such advisory
                committee should be revised, and whether such advisory
                committee performs a necessary function not already being
                performed. Each such standing committee shall take
                appropriate action to obtain the enactment of legislation
                necessary to carry out the purpose of this subsection.
                    (b) In considering legislation establishing, or
                authorizing the establishment of any advisory committee,
                each standing committee of the Senate and of the House of
                Representatives shall determine, and report such
                determination to the Senate or to the House of
                Representatives, as the case may be, whether the functions
                of the proposed advisory committee are being or could be
                performed by one or more agencies or by an advisory
                committee already in existence, or by enlarging the mandate
                of an existing advisory committee. Any such legislation
                shall--
                                (1) contain a clearly defined purpose for
                            the advisory committee;
                                (2) require the membership of the advisory
                            committee to be fairly balanced in terms of the
                            points of view represented and the functions to
                            be performed by the advisory committee;
                                (3) contain appropriate provisions to assure
                            that the advice and recommendations of the
                            advisory committee will not be inappropriately
                            influenced by the appointing authority or by any
                            special interest, but will instead be the result
                            of the advisory committee's independent
                            judgement;
                                (4) contain provisions dealing with
                            authorization of appropriations, the date for
                            submission of reports (if any), the duration of
                            the advisory committee, and the publication of
                            reports and other materials, to the extent that
                            the standing committee determines the provisions
                            of section 10 of this Act to be inadequate; and
                                (5) contain provisions which will assure
                            that the advisory committee will have adequate
                            staff (either supplied by an agency or employed
                            by it), will be provided adequate quarters, and
                            will have funds available to meet its other
                            necessary expenses.
                    (c) To the extent they are applicable, the guidelines
                set out in subsection (b) of this section shall be followed
                by the President, agency heads, or other Federal officials
                in creating an advisory committee.

                                        * * * * * * *

                      establishment and purpose of advisory committees
                    Sec. 9. (a) No advisory committee shall be established
                unless such establishment is--
                                (1) specifically authorized by statute or by
                            the President; or
                                (2) determined as a matter of formal record,
                            by the head of the agency involved after
                            consultation with the Administrator, with timely
                            notice published in the Federal Register, to be
                            in the public interest in connection with the
                            performance of duties imposed on that agency by
                            law.
                    (b) Unless otherwise specifically provided by statute or
                Presidential directive, advisory committees shall be
                utilized solely for advisory func

    [[Page 632]]

                tions. Determinations of action to be taken and policy to be
                expressed with respect to matters upon which an advisory
                committee reports or makes recommendations shall be made
                solely by the President or an officer of the Federal
                Government.
                    (c) No advisory committee shall meet or take any action
                until an advisory committee charter has been filed with (1)
                the Administrator, in the case of Presidential advisory
                committees, or (2) with the head of the agency to whom any
                advisory committee reports and with the standing committees
                of the Senate and of the House of Representatives having
                legislative jurisdiction of such agency. Such charter shall
                contain the following information:
                                (A) the committee's official designation;
                                (B) the committee's objectives and the scope
                            of its activity;
                                (C) the period of time necessary for the
                            committee to carry out its purposes;
                                (D) the agency or official to whom the
                            committee reports;
                                (E) the agency responsible for providing the
                            necessary support for the committee;
                                (F) a description of the duties for which
                            the committee is responsible, and, if such
                            duties are not solely advisory, a specification
                            of the authority for such functions;
                                (G) the estimated annual operating costs in
                            dollars and man-years for such committee;
                                (H) the estimated number and frequency of
                            committee meetings;
                                (I) the committee's termination date, if
                            less than two years from the date of the
                            committee's establishment; and
                                (J) the date the charter is filed.

                A copy of any such charter shall also be furnished to the
                Library of Congress.

                                        * * * * * * *

                (Oct. 6, 1972, Pub. L. 92-463, 86 Stat. 770; 1997 Reorg.
                Plan No. 1 Sec. 5F; 91 Stat. 1634.)

                                         APPENDIX 4

           439
           439     Financial Disclosure Requirements of Federal Personnel

         439.1
         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

    [[Page 633]]

                of such individual, make current the report filed pursuant
                to this paragraph by filing the information required by
                section 102(a)(1)(A) with respect to income and honoraria
                received as of the date which occurs five days before the
                date of such hearing. Nothing in this Act shall prevent any
                congressional committee from requesting, as a condition of
                confirmation, any additional financial information from any
                Presidential nominee whose nomination has been referred to
                that committee.
                    (2) An individual whom the President or the President-
                elect has publicly announced he intends to nominate to a
                position may file the report required by paragraph (1) at
                any time after that public announcement, but not later than
                is required under the first sentence of such paragraph.
                    (c) Within thirty days of becoming a candidate as
                defined in section 301 of the Federal Campaign Act of 1971,
                in a calendar year for nomination or election to the office
                of President, Vice President, or Member of Congress, or on
                or before May 15 of that calendar year, whichever is later,
                but in no event later than 30 days before the election, and
                on or before May 15 of each successive year an individual
                continues to be a candidate, an individual other than an
                incumbent President, Vice President, or Member of Congress
                shall file a report containing the information described in
                section 102(b). Notwithstanding the preceding sentence, in
                any calendar year in which an individual continues to be a
                candidate for any office but all elections for such office
                relating to such candidacy were held in prior calendar
                years, such individual need not file a report unless he
                becomes a candidate for another vacancy in that office or
                another office during that year.
                    (d) Any individual who is an officer or employee
                described in subsection (f) during any calendar year and
                performs the duties of his position or office for a period
                in excess of sixty days in that calendar year shall file on
                or before May 15 of the succeeding year a report containing
                the information described in section 102(a).
                    (e) Any individual who occupies a position described in
                subsection (f) shall, on or before the thirtieth day after
                termination of employment in such position, file a report
                containing the information described in section 102(a)
                covering the preceding calendar year if the report required
                by subsection (d) has not been filed and covering the
                portion of the calendar year in which such termination
                occurs up to the date the individual left such office or
                position, unless such individual has accepted employment in
                another position described in subsection (f).
                    (f) The officers and employees referred to in
                subsections (a), (d), and (e) are--
                                (1) the President;
                                (2) the Vice President;
                                (3) each officer or employee in the
                            executive branch, including a special Government
                            employee as defined in section 202 of title 18,
                            United States Code, who occupies a position
                            classified above GS-15 of the General Schedule
                            or, in the case of positions not 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;

    [[Page 634]]

                                (4) each employee appointed pursuant to
                            section 3105 of title 5, United States Code;
                                (5) any employee not described in paragraph
                            (3) who is in a position in the executive branch
                            which is excepted from the competitive service
                            by reason of being of a confidential or
                            policymaking character, except that the Director
                            of the Office of Government Ethics may, by
                            regulation, exclude from the application of this
                            paragraph any individual, or group of
                            individuals, who are in such positions, but only
                            in cases in which the Director determines such
                            exclusion would not affect adversely the
                            integrity of the Government or the public's
                            confidence in the integrity of the Government;
                                (6) the Postmaster General, the Deputy
                            Postmaster General, each Governor of the Board
                            of Governors of the United States Postal Service
                            and each officer or employee of the United
                            States Postal Service or Postal Rate Commission
                            who occupies a position for which the rate of
                            basic pay is equal to or greater than 120
                            percent of the minimum rate of basic pay payable
                            for GS-15 of the General Schedule;
                                (7) the Director of the Office of Government
                            Ethics and each designated agency ethics
                            official;
                                (8) any civilian employee not described in
                            paragraph (3), employed in the Executive Office
                            of the President (other than a special
                            government employee) who holds a commission of
                            appointment from the President;
                                (9) a Member of Congress as defined under
                            section 109(12);
                                (10) an officer or employee of the Congress
                            as defined under section 109(13);
                                (11) a judicial officer as defined under
                            section 109(10); and
                                (12) a judicial employee as defined under
                            section 109(8).
                    (g)(1) Reasonable extensions of time for filing any
                report may be granted under procedures prescribed by the
                supervising ethics office for each branch, but the total of
                such extensions shall not exceed ninety days.
                    (2)(A) In the case of an individual who is serving in
                the Armed Forces, or serving in support of the Armed Forces,
                in an area while that area is designated by the President by
                Executive order as a combat zone for purposes of section 112
                of the Internal Revenue Code of 1986, the date for the
                filing of any report shall be extended so that the date is
                180 days after the later of--
                                (i) the last day of the individual's service
                            in such area during such designated period; or
                                (ii) the last day of the individual's
                            hospitalization as a result of injury received
                            or disease contracted while serving in such
                            area.
                    (B) The Office of Government Ethics, in consultation
                with the Secretary of Defense, may prescribe procedures
                under this paragraph.
                    (h) The provisions of subsections (a), (b), and (e)
                shall not apply to an individual who, as determined by the
                designated agency ethics official 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--

    [[Page 635]]

                                (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
         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 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,

                                    (viii) greater than $1,000,000 but not
                                more than $5,000,000, or

                                    (ix) greater than $5,000,000.

    [[Page 636]]

                                (2)(A) The identity of the source, a brief
                            description, and the value of all gifts
                            aggregating more than the minimal value as
                            established by section 7342(a)(5) of title 5,
                            United States Code, or $250, whichever is
                            greater, received from any source other than a
                            relative of the reporting individual during the
                            preceding calendar year, except that any food,
                            lodging, or entertainment received as personal
                            hospitality of an individual need not be
                            reported, and any gift with a fair market value
                            of $100 or less, as adjusted at the same time
                            and by the same percentage as the minimal value
                            is adjusted, need not be aggregated for purposes
                            of this subparagraph.
                                (B) The identity of the source and a brief
                            description (including a travel itinerary,
                            dates, and nature of expenses provided) of
                            reimbursements received from any source
                            aggregating more than the minimal value as
                            established by section 7342(a)(5) of title 5,
                            United States Code, or $250, whichever is
                            greater and received during the preceding
                            calendar year.
                                (C) In an unusual case, a gift need not be
                            aggregated under subparagraph (A) if a publicly
                            available request for a waiver is granted.
                                (3) The identity and category of value of
                            any interest in property held during the
                            preceding calendar year in a trade or business,
                            or for investment or the production of income,
                            which has a fair market value which exceeds
                            $1,000 as of the close of the preceding calendar
                            year, excluding any personal liability owed to
                            the reporting individual by a spouse, or by a
                            parent, brother, sister, or child of the
                            reporting individual or of the reporting
                            individual's spouse, or any deposits aggregating
                            $5,000 or less in a personal savings account.
                            For purposes of this paragraph, a personal
                            savings account shall include any certificate of
                            deposit or any other form of deposit in a bank,
                            savings and loan association, credit union, or
                            similar financial institution.
                                (4) The identity and category of value of
                            the total liabilities owed to any creditor other
                            than a spouse, or a parent, brother, sister, or
                            child of the reporting individual or of the
                            reporting individual's spouse which exceed
                            $10,000 at any time during the preceding
                            calendar year, excluding--

                                    (A) any mortgage secured by real
                                property which is a personal residence of
                                the reporting individual or his spouse; and

                                    (B) any loan secured by a personal motor
                                vehicle, household furniture, or appliances,
                                which loan does not exceed the purchase
                                price of the item which secures it.

                        With respect to revolving charge accounts, only
                        those with an outstanding liability which exceeds
                        $10,000 as of the close of the preceding calendar
                        year need be reported under this paragraph.
                                (5) Except as provided in this paragraph, a
                            brief description, the date, and category of
                            value of any purchase, sale or exchange during
                            the preceding calendar year which exceeds
                            $1,000--

                                    (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.

    [[Page 637]]

                        Reporting is not required under this paragraph of
                        any transaction solely by and between the reporting
                        individual, his spouse, or dependent children.
                                (6)(A) The identity of all positions held on
                            or before the date of filing during the current
                            calendar year (and, for the first report filed
                            by an individual, during the two-year period
                            preceding such calendar year) as an officer,
                            director, trustee, partner, proprietor,
                            representative, employee, or consultant of any
                            corporation, company, firm, partnership, or
                            other business enterprise, any nonprofit
                            organization, any labor organization, or any
                            educational or other institution other than the
                            United States. This subparagraph shall not
                            require the reporting of positions held in any
                            religious, social, fraternal, or political
                            entity and positions solely of an honorary
                            nature.
                                (B) If any person, other than the United
                            States Government, paid a nonelected reporting
                            individual compensation in excess of $5,000 in
                            any of the two calendar years prior to the
                            calendar year during which the individual files
                            his first report under this title, the
                            individual shall include in the report--

                                    (i) the identity of each source of such
                                compensation; and

                                    (ii) a brief description of the nature
                                of the duties performed or services rendered
                                by the reporting individual for each such
                                source.

                        The preceding sentence shall not require any
                        individual to include in such report any information
                        which is considered confidential as a result of a
                        privileged relationship, established by law, between
                        such individual and any person nor shall it require
                        an individual to report any information with respect
                        to any person for whom services were provided by any
                        firm or association of which such individual was a
                        member, partner, or employee unless such individual
                        was directly involved in the provision of such
                        services.
                                (7) A description of the date, parties to,
                            and terms of any agreement or arrangement with
                            respect to (A) future employment; (B) a leave of
                            absence during the period of the reporting
                            individual's Government service; (C)
                            continuation of payments by a former employer
                            other than the United States Government; and (D)
                            continuing participation in an employee welfare
                            or benefit plan maintained by a former employer.
                                (8) The category of the total cash value of
                            any interest of the reporting individual in a
                            qualified blind trust, unless the trust
                            instrument was executed prior to July 24, 1995
                            and precludes the beneficiary from receiving
                            information on the total cash value of any
                            interest in the qualified blind trust.
                    (b)(1) Each report filed pursuant to subsections (a),
                (b), and (c) of section 101 shall include a full and
                complete statement with respect to the information required
                by--
                                (A) paragraph (1) of subsection (a) for the
                            year of filing and the preceding calendar year.
                                (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.

    [[Page 638]]

                    (2)(A) In lieu of filling out one or more schedules of a
                financial disclosure form, an individual may supply the
                required information in an alternative format, pursuant to
                either rules adopted by the supervising ethics office for
                the branch in which such individual serves or pursuant to a
                specific written determination by such office for a
                reporting individual.
                    (B) In lieu of indicating the category of amount or
                value of any item contained in any report filed under this
                title, a reporting individual may indicate the exact dollar
                amount of such item.
                    (c) In the case of any individual described in section
                101(e), any reference to the preceding calendar year shall
                be considered also to include that part of the calendar year
                of filing up to the date of the termination of employment.
                    (d)(1) The categories for reporting the amount or value
                of the items covered in paragraphs (3), (4), and (5) of
                subsection (a) are as follows:
                                (A) not more than $15,000;
                                (B) greater than $15,000 but not more than
                            $50,000;
                                (C) greater than $50,000 but not more than
                            $100,000;
                                (D) greater than $100,000 but not more than
                            $250,000;
                                (E) greater than $250,000 but not more than
                            $500,000;
                                (F) greater than $500,000 but not more than
                            $1,000,000;
                                (G) greater than $1,000,000 but not more
                            than $5,000,000;
                                (H) greater than $5,000,000 but not more
                            than $25,000,000;
                                (I) greater than $25,000,000 but not more
                            than $50,000,000; and
                                (J) greater than $50,000,000.
                    (2) For the purposes of paragraph (3) of subsection (a)
                if the current value of an interest in real property (or an
                interest in a real estate partnership) is not ascertainable
                without an appraisal, an individual may list (A) the date of
                purchase and the purchase price of the interest in the real
                property, or (B) the assessed value of the real property for
                tax purposes, adjusted to reflect the market value of the
                property used for the assessment if the assessed value is
                computed at less than 100 percent of such market value, but
                such individual shall include in his report a full and
                complete description of the method used to determine such
                assessed value, instead of specifying a category of value
                pursuant to paragraph (1) of this subsection. If the current
                value of any other item required to be reported under
                paragraph (3) of subsection (a) is not ascertainable without
                an appraisal, such individual may list the book value of a
                corporation whose stock is not publicly traded, the net
                worth of a business partnership, the equity value of an
                individually owned business, or with respect to other
                holdings, any recognized indication of value, but such
                individual shall include in his report a full and complete
                description of the method used in determining such value. In
                lieu of any value referred to in the preceding sentence, an
                individual may list the assessed value of the item for tax
                purposes, adjusted to reflect the market value of the item
                used for the assessment if the assessed value is computed at
                less than 100 percent of such 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:

    [[Page 639]]

                                (A) The source of items of earned income
                            earned by a spouse from any person which exceeds
                            $1,000 and the source and amount of any
                            honoraria received by a spouse, except that,
                            with respect to earned income (other than
                            honoraria), if the spouse is self-employed in
                            business or a profession, only the nature of
                            such business or profession need be reported.
                                (B) All information required to be reported
                            in subsection (a)(1)(B) with respect to income
                            derived by a spouse or dependent child from any
                            asset held by the spouse or dependent child and
                            reported pursuant to subsection (a)(3).
                                (C) In the case of any gifts received by a
                            spouse or dependent child which are not received
                            totally independent of the relationship of the
                            spouse or dependent child to the reporting
                            individual, the identity of the source and a
                            brief description of gifts of transportation,
                            lodging, food, or entertainment and a brief
                            description and the value of other gifts.
                                (D) In the case of any reimbursements
                            received by a spouse or dependent child which
                            are not received totally independent of the
                            relationship of the spouse or dependent child to
                            the reporting individual, the identity of the
                            source and a brief description of each such
                            reimbursement.
                                (E) In the case of items described in
                            paragraphs (3) through (5) of subsection (a),
                            all information required to be reported under
                            these paragraphs other than items (i) which the
                            reporting individual certifies represent the
                            spouse's or dependent child's sole financial
                            interest or responsibility and which the
                            reporting individual has no knowledge of, (ii)
                            which are not in any way, past or present,
                            derived from the income, assets, or activities
                            of the reporting individual, and (iii) from
                            which the reporting individual neither derives,
                            nor expects to derive, any financial or economic
                            benefit.
                                (F) For purposes of this section, categories
                            with amounts or values greater than $1,000,000
                            set forth in sections 102(a)(1)(B) and 102(d)(1)
                            shall apply to the income, assets, or
                            liabilities of spouses and dependent children
                            only if the income, assets, or liabilities are
                            held jointly with the reporting individual. All
                            other income, assets, or liabilities of the
                            spouse or dependent children required to be
                            reported under this section in an amount or
                            value greater than $1,000,000 shall be
                            categorized only as an amount or value greater
                            than $1,000,000.

                Reports required by subsections (a), (b), and (c) of section
                101 shall, with respect to the spouse and dependent child of
                the reporting individual, only contain information listed in
                paragraphs (1), (3), and (4) of subsection (a), as specified
                in this paragraph.

                    (2) No report shall be required with respect to a spouse
                living separate and apart from the reporting individual with
                the intention of terminating the marriage or providing for
                permanent separation; or with respect to any income or
                obligations of an individual arising from the dissolution of
                his marriage or the permanent separation from his spouse.
                    (f)(1) Except as provided in paragraph (2), each
                reporting individual shall report the information required
                to be reported pursuant to subsections (a), (b), and (c) of
                this section with respect to the holdings of and the income
                from a trust or other financial arrangement from which
                income is received by, or with respect to which a beneficial
                inter

    [[Page 640]]

                est 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--

                                    (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;

    [[Page 641]]

                                    (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 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.

    [[Page 642]]

                    (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
                                (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

    [[Page 643]]

                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 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

    [[Page 644]]

                            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; Pub. L. 104-65, Secs. 20, 22(a), (b), Dec. 19, 1995,
                109 Stat. 704, 705.)

         439.3
         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,

    [[Page 645]]

                United States Code, shall file reports required under this
                title with the Director of the Office of Government Ethics.
                    (c) Copies of the reports required to be filed under
                this title by the Postmaster General, the Deputy Postmaster
                General, the Governors of the Board of Governors of the
                United States Postal Service, designated agency ethics
                officials, employees described in section 105(a)(2) (A) or
                (B), 106(a)(1) (A) or (B), or 107 (a)(1)(A) or (b)(1)(A)(i),
                of title 3, United States Code, candidates for the office of
                President or Vice President and officers and employees in
                (and nominees to) offices or positions which require
                confirmation by the Senate or by both Houses of Congress
                other than individuals nominated to be judicial officers and
                those referred to in subsection (f) shall be transmitted to
                the Director of the Office of Government Ethics. The
                Director shall forward a copy of the report of each nominee
                to the congressional committee considering the nomination.
                    (d) Reports required to be filed under this title by the
                Director of the Office of Government Ethics shall be filed
                in the Office of Government Ethics and, immediately after
                being filed, shall be made available to the public in
                accordance with this title.
                    (e) Each individual identified in section 101(c) who is
                a candidate for nomination or election to the Office of
                President or Vice President shall file the reports required
                by this title with the Federal Election Commission.
                    (f) Reports required of members of the uniformed
                services shall be filed with the Secretary concerned.
                    (g) Each supervising ethics office shall develop and
                make available forms for reporting the information required
                by this title.
                    (h)(1) The reports required under this title shall be
                filed by a reporting individual with--
                                (A)(i)(I) the Clerk of the House of
                            Representatives, in the case of a Representative
                            in Congress, a Delegate to Congress, the
                            Resident Commissioner from Puerto Rico, an
                            officer or employee of the Congress whose
                            compensation is disbursed by the Chief
                            Administrative Officer of the House of
                            Representatives, an officer or employee of the
                            Architect of the Capitol, the United States
                            Botanic Garden, the Congressional Budget Office,
                            the Government Printing Office, the Library of
                            Congress, or the Copyright Royalty Tribunal
                            (including any individual terminating service,
                            under section 101(e), in any office or position
                            referred to in this subclause), or an individual
                            described in section 101(c) who is a candidate
                            for nomination or election as a Representative
                            in Congress, a Delegate to Congress, or the
                            Resident Commissioner from Puerto Rico; and
                                (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

    [[Page 646]]

                            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. 40, 42; Pub. L. 101-194, Title II, Sec.  202, Nov. 30,
                1989, 103 Stat. 1736; Pub. L. 101-280, Sec.  3(1), (4), May
                4, 1990, 104 Stat. 152, 153; Pub. L. 102-90, Title III,
                Sec.  313(1), Aug. 14, 1991, 105 Stat. 469; Pub. L. 104-186,
                Title II, Sec. 216(1), Aug. 20, 1996, 110 Stat. 1747.)
         439.4
         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

    [[Page 647]]

                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
         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--
                                (1) this section does not require public
                            availability of a report filed by any individual
                            in the Central Intelligence Agency, the Defense
                            Intelligence Agency, the National Imagery and
                            Mapping Agency, or the National Security Agency,
                            or any individual engaged in intelligence
                            activities in any agency of the United States,
                            if the President finds or has found that, due to
                            the nature of the office or position occupied by
                            such individual, public disclosure of such
                            report would be revealing the identity of the
                            individual or other sensitive information,
                            compromise the national interest of the United
                            States; and such individuals may be authorized,
                            notwithstanding

    [[Page 648]]

                            section 104(a), to file such additional reports
                            as are necessary to protect their identity from
                            public disclosure if the President first finds
                            or has found that such filing is necessary in
                            the national interest; and
                                (2) any report filed by an independent
                            counsel whose identity has not been disclosed by
                            the division of the court under chapter 40 of
                            title 28, United States Code, and any report
                            filed by any person appointed by that
                            independent counsel under such chapter, shall
                            not be made available to the public under this
                            title.
                    (b)(1) Except as provided in the second sentence of this
                subsection, each agency, each supervising ethics office in
                the executive or judicial branch, the Clerk of the House of
                Representatives, and the Secretary of the Senate shall,
                within thirty days after any report is received under this
                title by such agency or office or by the Clerk or the
                Secretary of the Senate, as the case may be, permit
                inspection of such report by or furnish a copy of such
                report to any person requesting such inspection or copy.
                With respect to any report required to be filed by May 15 of
                any year, such report shall be made available for public
                inspection within 30 calendar days after May 15 of such year
                or within 30 days of the date of filing of such a report for
                which an extension is granted pursuant to section 101(g).
                The agency, office, Clerk, or Secretary of the Senate, as
                the case may be, may require a reasonable fee to be paid in
                any amount which is found necessary to recover the cost of
                reproduction or mailing of such report excluding any salary
                of any employee involved in such reproduction or mailing. A
                copy of such report may be furnished without charge or at a
                reduced charge if it is determined that waiver or reduction
                of the fee is in the public interest.
                    (3)(A) This section does not require the immediate and
                unconditional availability of reports filed by an individual
                described in section 109(8) or 109(10) of this Act if a
                finding is made by the Judicial Conference, in consultation
                with United States Marshall Service, that revealing personal
                and sensitive information could endanger that individual.
                    (B) A report may be redacted pursuant to this paragraph
                only--
                                (i) to the extent necessary to protect the
                            individual who filed the report; and
                                (ii) for as long as the danger to such
                            individual exists.
                    (C) The Administrative Office of the United States
                Courts shall submit to the Committees on the Judiciary of
                the House of Representatives and of the Senate an annual
                report with respect to the operation of this paragraph
                including--
                                (i) the total number of reports redacted
                            pursuant to this paragraph;
                                (ii) the total number of individuals whose
                            reports have been redacted pursuant to this
                            paragraph; and
                                (iii) the types of threats against
                            individuals whose reports are redacted, if
                            appropriate.
                    (D) The Judicial Conference, in consultation with the
                Department of Justice, shall issue regulations setting forth
                the circumstances under which redaction is appropriate under
                this paragraph and the procedures for redaction.
                    (E) This paragraph shall expire on December 31, 2001,
                and apply to filings through calendar year 2001.

    [[Page 649]]

                    (2) Notwithstanding paragraph (1), a report may not be
                made available under this section to any person nor may any
                copy thereof be provided under this section to any person
                except upon a written application by such person stating--
                                (A) that person's name, occupation and
                            address;
                                (B) the name and address of any other person
                            or organization on whose behalf the inspection
                            or copy is requested; and
                                (C) that such person is aware of the
                            prohibitions on the obtaining or use of the
                            report.

                Any such application shall be made available to the public
                throughout the period during which the report is made
                available to the public.

                    (c)(1) It shall be unlawful for any person to obtain or
                use a report--
                                (A) for any unlawful purpose;
                                (B) for any commercial purpose, other than
                            by news and communications media for
                            dissemination to the general public;
                                (C) for determining or establishing the
                            credit rating of any individual; or
                                (D) for use, directly or indirectly, in the
                            solicitation of money for any political,
                            charitable, or other purpose.
                    (2) The Attorney General may bring a civil action
                against any person who obtains or uses a report for any
                purpose prohibited in paragraph (1) of this subsection. The
                court in which such action is brought may assess against
                such person a penalty in any amount not to exceed $10,000.
                Such remedy shall be in addition to any other remedy
                available under statutory or common law.
                    (d) Any report filed with or transmitted to an agency or
                supervising ethics office or to the Clerk of the House of
                Representatives or the Secretary of the Senate pursuant to
                this title shall be retained by such agency or office or by
                the Clerk or the Secretary of the Senate, as the case may
                be. Such report shall be made available to the public for a
                period of six years after receipt of the report. After such
                six-year period the report shall be destroyed unless needed
                in an ongoing investigation, except that in the case of an
                individual who filed the report pursuant to section 101(b)
                and was not subsequently confirmed by the Senate, or who
                filed the report pursuant to section 101(c) and was not
                subsequently elected, such report shall be destroyed one
                year after the individual either is no longer under
                consideration by the Senate or is no longer a candidate for
                nomination or election to the Office of President, Vice
                President, or as a Member of Congress, unless needed in an
                ongoing investigation. (Pub. L. 95-521, Title I, Sec. 105,
                Oct. 26, 1978, 92 Stat. 1833; Pub. L. 101-194, Title II,
                Sec. 202, Nov. 30, 1989, 103 Stat. 1737; Pub. L. 101-280,
                Sec. 3(6), May 4, 1990, 104 Stat. 154; Pub. L. 102-90, Title
                III, Sec. 313(2), Aug. 14, 1991, 105 Stat. 469; Pub. L. 103-
                359, Title V, Sec. 501(m), Oct. 14, 1994, 108 Stat. 3430;
                Pub. L. 104-201, Div. A, Title XI, Sec. 1122(b)(2), Sept.
                23, 1996, 110 Stat. 2687; Pub. L. 105-318, Sec. 7, Oct. 30,
                1998, 112 Stat. 3011.)
         439.6
         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.

    [[Page 650]]

                    (2) Each congressional ethics committee and the Judicial
                Conference shall make provisions to ensure that each report
                filed under this title is reviewed within sixty days after
                the date of such filing.
                    (b)(1) If after reviewing any report under subsection
                (a), the Director of the Office of Government Ethics, the
                Secretary concerned, the designated agency ethics official,
                a person designated by the congressional ethics committee,
                or a person designated by the Judicial Conference, as the
                case may be, is of the opinion that on the basis of
                information contained in such report the individual
                submitting such report is in compliance with applicable laws
                and regulations, he shall state such opinion on the report,
                and shall sign such report.
                    (2) If the Director of the Office of Government Ethics,
                the Secretary concerned, the designated agency ethics
                official, a person designated by the congressional ethics
                committee, or a person designated by the Judicial
                Conference, after reviewing any report under subsection
                (a)--
                                (A) believes additional information is
                            required to be submitted, he shall notify the
                            individual submitting such report what
                            additional information is required and the time
                            by which it must be submitted, or
                                (B) is of the opinion, on the basis of
                            information submitted, that the individual is
                            not in compliance with applicable laws and
                            regulations, he shall notify the individual,
                            afford a reasonable opportunity for a written or
                            oral response, and after consideration of such
                            response, reach an opinion as to whether or not,
                            on the basis of information submitted, the
                            individual is in compliance with such laws and
                            regulations.
                    (3) If the Director of the Office of Government Ethics,
                the Secretary concerned, the designated agency ethics
                official, a person designated by a congressional ethics
                committee, or a person designated by the Judicial
                Conference, reaches an opinion under paragraph (2)(B) that
                an individual is not in compliance with applicable laws and
                regulations, the official or committee shall notify the
                individual of that opinion and, after an opportunity for
                personal consultation (if practicable), determine and notify
                the individual of which steps, if any, would in the opinion
                of such official or committee be appropriate for assuring
                compliance with such laws and regulations and the date by
                which such steps should be taken. Such steps may include, as
                appropriate--
                                (A) divestiture,
                                (B) restitution,
                                (C) the establishment of a blind trust,
                                (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.

    [[Page 651]]

                    (5) If steps for assuring compliance with applicable
                laws and regulations are not taken by the date set under
                paragraph (3) by a member of the Foreign Service or the
                uniformed services, the Secretary concerned shall take
                appropriate action.
                    (6) If steps for assuring compliance with applicable
                laws and regulations are not taken by the date set under
                paragraph (3) by any other officer or employee, the matter
                shall be referred to the head of the appropriate agency, the
                congressional ethics committee, or the Judicial Conference,
                for appropriate action; except that in the case of the
                Postmaster General or Deputy Postmaster General, the
                Director of the Office of Government Ethics shall recommend
                to the Governors of the Board of Governors of the United
                States Postal Service the action to be taken.
                    (7) Each supervising ethics office may render advisory
                opinions interpreting this title within its respective
                jurisdiction. Notwithstanding any other provision of law,
                the individual to whom a public advisory opinion is rendered
                in accordance with this paragraph, and any other individual
                covered by this title who is involved in a fact situation
                which is indistinguishable in all material aspects, and who
                acts in good faith in accordance with the provisions and
                findings of such advisory opinion shall not, as a result of
                such act, be subject to any penalty or sanction provided by
                this title. (Pub. L. 95-521, Title I, Sec. 106, Oct. 26,
                1978, 92 Stat. 1833; Pub. L. 101-194, Title II, Sec. 202,
                Nov. 30, 1989, 103 Stat. 1739; Pub. L. 101-280, Sec. 3(1),
                (7), May 4, 1990, 104 Stat. 152, 155.)
         439.7
         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.

    [[Page 652]]

                    (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
         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.)
         439.9
         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

    [[Page 653]]

                                    (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
                            Appeals for Veterans Claims, or of the United
                            States Court of Appeals for the Armed Forces,
                            who is not a judicial officer and who is
                            authorized to perform adjudicatory functions
                            with respect to proceedings in the judicial
                            branch, or who occupies a position for which the
                            rate of basic pay is equal to or greater than
                            120 percent of the minimum rate of basic pay
                            payable for GS-15 of the General Schedule;
                                (9) ``Judicial Conference'' means the
                            Judicial Conference of the United States;
                                (10) ``judicial officer'' means the Chief
                            Justice of the United States, the Associate
                            Justices of the Supreme Court, and the judges of
                            the United States courts of appeals, United
                            States district courts, including the district
                            courts in Guam, the Northern Mariana Islands,
                            and the Virgin Islands, Court of Appeals for the
                            Federal Circuit, Court of International Trade,
                            Tax Court, Claims Court, Court of Appeals for
                            Veterans Claims, United States Court of Appeals
                            for the Armed Forces, and any court created by
                            Act of Congress, the judges of which are
                            entitled to hold office during good behavior;
                                (11) ``legislative branch'' includes--

                                    (A) the Architect of the Capitol;

                                    (B) the Botanic Gardens;

                                    (C) the Congressional Budget Office;

                                    (D) the General Accounting Office;

                                    (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 com

    [[Page 654]]

                                pensation is disbursed by the Secretary of
                                the Senate or the Chief Administrative
                                Officer of the House of Representatives;

                                    (B)(i) each officer or employee of the
                                legislative branch who, for at least 60
                                days, occupies a position for which the rate
                                of basic pay is equal to or greater than 120
                                percent of the minimum rate of basic pay
                                payable for GS-15 of the General Schedule;
                                and

                                    (ii) at least one principal assistant
                                designated for purposes of this paragraph by
                                each Member who does not have an employee
                                who occupies a position for which the rate
                                of basic pay is equal to or greater than 120
                                percent of the minimum rate of basic pay
                                payable for GS-15 of the General Schedule;

                                (14) ``personal hospitality of any
                            individual'' means hospitality extended for a
                            nonbusiness purpose by an individual, not a
                            corporation or organization, at the personal
                            residence of that individual or his family or on
                            property or facilities owned by that individual
                            or his family;
                                (15) ``reimbursement'' means any payment or
                            other thing of value received by the reporting
                            individual, other than gifts, to cover travel-
                            related expenses of such individual other than
                            those which are--

                                    (A) provided by the United States
                                Government, the District of Columbia, or a
                                State or local government or political
                                subdivision thereof;

                                    (B) required to be reported by the
                                reporting individual under section 7342 of
                                title 5, United States Code; or

                                    (C) required to be reported under
                                section 304 of the Federal Election Campaign
                                Act of 1971 (2 U.S.C. 434);

                                (16) ``relative'' means an individual who is
                            related to the reporting individual, as father,
                            mother, son, daughter, brother, sister, uncle,
                            aunt, great aunt, great uncle, first cousin,
                            nephew, niece, husband, wife, grandfather,
                            grandmother, grandson, granddaughter, father-in-
                            law, mother-in-law, son-in-law, daughter-in-law,
                            brother-in-law, sister-in-law, stepfather,
                            stepmother, stepson, stepdaughter, stepbrother,
                            stepsister, half brother, half sister, or who is
                            the grandfather or grandmother of the spouse of
                            the reporting individual, and shall be deemed to
                            include the fiance or fiancee of the reporting
                            individual;
                                (17) ``Secretary concerned'' has the meaning
                            set forth in section 101(a)(9) of title 10,
                            United States Code, and, in addition, means--

                                    (A) the Secretary of Commerce, with
                                respect to matters concerning the National
                                Oceanic and Atmospheric Administration;

                                    (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

    [[Page 655]]

                                of the House of Representatives and other
                                officers or employees of the legislative
                                branch required to file financial disclosure
                                reports with the Clerk of the House of
                                Representatives pursuant to section 103(h)
                                of this title;

                                    (C) the Judicial Conference for judicial
                                officers and judicial employees; and

                                    (D) the Office of Government Ethics for
                                all executive branch officers and employees;
                                and

                                (19) ``value'' means a good faith estimate
                            of the dollar value if the exact value is
                            neither known nor easily obtainable by the
                            reporting individual.

                (Pub. L. 95-521, Title I, Sec. 109, Oct. 26, 1978, 92 Stat.
                1836; Pub. L. 101-194, Title II, Sec. 202, Nov. 30, 1989,
                103 Stat. 1724; Pub. L. 101-280, Sec. 3(1), (8), May 4,
                1990, 104 Stat. 152, 155; Pub. L. 102-378, Sec. 4(a)(2),
                Oct. 2, 1992, 106 Stat. 1357; Pub. L. 102-572, Title IX,
                Sec. 902(b)(2), Oct. 29, 1992, 106 Stat. 4516; Pub. L. 103-
                160, Div. A, Title XI, Sec. 1182(d)(3), Nov. 30, 1993, 107
                Stat. 1773; Pub. L. 103-337, Div. A, Title IX,
                Sec. 924(d)(3), Oct. 5, 1994, 108 Stat. 2832; Pub. L. 104-
                186, Title II, Sec. 216(2), Aug. 20, 1996, 110 Stat. 1747.)

        439.10
        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 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
        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,

    [[Page 656]]

                            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.)

           440
           440    Governmentwide Limitations on Outside Earned Income and
                                         Employment

         440.1
         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 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

    [[Page 657]]

                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
         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;
                                (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
         440.3  Sec. 503. Administration.
                    This title shall be subject to the rules and regulations
                of--

    [[Page 658]]

                                (1) and administered by--

                                    (A) the Committee on Standards of
                                Official Conduct of the House of
                                Representatives, with respect to Members,
                                officers, and employees of the House of
                                Representatives; and

                                    (B) in the case of Senators and
                                legislative branch officers and employees
                                other than those officers and employees
                                specified in subparagraph (A), the committee
                                to which reports filed by such officers and
                                employees under title I are transmitted
                                under such title, except that the authority
                                of this section may be delegated by such
                                committee with respect to such officer and
                                employees;

                                (2) the Office of Government Ethics and
                            administered by designated agency ethics
                            officials with respect to officers and employees
                            of the executive branch; and
                                (3) and administered by the Judicial
                            Conference of the United States (or such other
                            agency as it may designate) with respect to
                            officers and employees of the judicial branch.
                            (Pub. L. 95-521, Title V, Oct. 26, 1978, 92
                            Stat. 1864, as amended Pub. L. 101-194, Title
                            VI, Sec. 601(a), Nov. 30, 1989, 103 Stat. 1761;
                            Pub. L. 101-280, Sec. 7(c), May 4, 1990, 104
                            Stat. 161; Pub. L. 102-90, Title I,
                            Sec. 6(b)(1), Aug. 14, 1991, 105 Stat. 450.)
         440.4
         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. 1761.)

        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

    [[Page 659]]

                            that such expenses are paid or reimbursed by any
                            other person, and the amount otherwise
                            determined shall be reduced by the amount of any
                            such expenses to the extent that such expenses
                            are not paid or reimbursed.
                                (4) The term ``travel expenses'' means, with
                            respect to a Member, officer or employee, or a
                            relative of any such individual, the cost of
                            transportation, and the cost of lodging and
                            meals while away from his or her residence or
                            principal place of employment.
                                (5) The term ``charitable organization''
                            means an organization described in section
                            170(c) of the Internal Revenue Code of 1986.

                (Pub. L. 95-521, Title V, Oct. 26, 1978, 92 Stat. 1864, as
                amended Pub. L. 101-194, Title VI, Sec. 601(a), Nov. 30,
                1989, 103 Stat. 1761; Pub. L. 102-90, Title I, Sec. 6(b)(2),
                (3), Title III, Sec. 314(b), Aug. 14, 1991, 105 Stat. 450,
                469.)