186 
rity Committee during the preceding fiscal year, 
which shall include the following: 
‘‘(A) The number of allegations received. 
‘‘(B) The number of allegations referred to 
the Department of Justice or the Office of Spe-
cial Counsel, including the number of allega-
tions referred for criminal investigation. 
‘‘(C) The number of allegations referred to 
the Chairperson of the Integrity Committee for 
investigation. 
‘‘(D) The number of allegations closed 
without referral. 
‘‘(E) The date each allegation was received 
and the date each allegation was finally dis-
posed of. 
‘‘(F) In the case of allegations referred to 
the Chairperson of the Integrity Committee, a 
summary of the status of the investigation of 
the allegations and, in the case of investigations 
completed during the preceding fiscal year, a 
summary of the findings of the investigations. 
‘‘(G) Other matters that the Council con-
siders appropriate. 
‘‘(10) REQUESTS FOR MORE INFORMATION.— 
With respect to paragraphs (8) and (9), the Council
187 
shall provide more detailed information about spe-
cific allegations upon request from any Member of 
Congress. 
‘‘(11) NO RIGHT OR BENEFIT.—This subsection 
is not intended to create any right or benefit, sub-
stantive or procedural, enforceable at law by a per-
son against the United States, its agencies, its offi-
cers, or any person. 
‘‘(12) ALLEGATIONS OF WRONGDOING AGAINST 
SPECIAL COUNSEL OR DEPUTY SPECIAL COUNSEL.— 
‘‘(A) SPECIAL COUNSEL DEFINED.—In this 
paragraph, the term ‘Special Counsel’ means 
the Special Counsel appointed under section 
1211(b) of title 5. 
‘‘(B) AUTHORITY
OF
INTEGRITY
COM-
MITTEE.— 
‘‘(i) IN GENERAL.—An allegation of 
wrongdoing against the Special Counsel or 
the Deputy Special Counsel may be re-
ceived, reviewed, and referred for investiga-
tion to the same extent and in the same 
manner as in the case of an allegation 
against an Inspector General or against a 
staff member of an Office of Inspector 
General described under paragraph (4)(C),
188 
subject to the requirement that the rep-
resentative designated by the Special 
Counsel under paragraph (5)(A)(ii) shall 
recuse himself or herself from the consider-
ation of any allegation brought under this 
paragraph. 
‘‘(ii) COORDINATION WITH EXISTING 
PROVISIONS
OF
LAW.—This paragraph 
shall not eliminate access to the Merit Sys-
tems Protection Board for review under 
section 7701 of title 5. To the extent that 
an allegation brought under this paragraph 
involves section 2302(b)(8) of title 5, a 
failure to obtain corrective action within 
120 days after the date on which the alle-
gation is received by the Integrity Com-
mittee shall, for purposes of section 1221 
of title 5, be considered to satisfy section 
1214(a)(3)(B) of title 5. 
‘‘(C) REGULATIONS.—The Integrity Com-
mittee may prescribe any rules or regulations 
necessary to carry out this paragraph, subject 
to such consultation or other requirements as 
may otherwise apply.
189 
‘‘(13) COMMITTEE RECORDS.—The Chairperson 
of the Council shall maintain the records of the In-
tegrity Committee. 
‘‘(e) OVERSIGHT.GOV.— 
‘‘(1) DEFINITION.—In this subsection, the term 
‘Office of Inspector General’ means the Office of— 
‘‘(A) an Inspector General described in 
subparagraph (A), (B), or (I) of subsection 
(b)(1); 
‘‘(B) the Special Inspector General for Af-
ghanistan Reconstruction established under sec-
tion 1229 of the National Defense Authoriza-
tion Act for Fiscal Year 2008 (Public Law 
110–181; 122 Stat. 378); 
‘‘(C) the Special Inspector General for the 
Troubled Asset Relief Program established 
under section 121 of title I of the Emergency 
Economic Stabilization Act of 2008 (12 U.S.C. 
5231); and 
‘‘(D) the Special Inspector General for 
Pandemic Recovery established under section 
4018 of the Coronavirus Economic Stabilization 
Act of 2020 (15 U.S.C. 9053).
190 
‘‘(2) ESTABLISHMENT.—The Council shall es-
tablish and maintain a website entitled ‘over-
sight.gov’— 
‘‘(A) to consolidate all public reports from 
each Office of Inspector General to improve the 
access of the public to any audit report, inspec-
tion report, or evaluation report (or portion of 
any such report) made by an Office of Inspector 
General; and 
‘‘(B) that shall include any additional re-
sources, information, and enhancements as the 
Council determines are necessary or desirable. 
‘‘(3) PARTICIPATION OF OFFICES OF INSPEC-
TORS GENERAL.—Each Office of Inspector General 
that publishes an audit report, inspection report, or 
evaluation report (or portion of any such report) on 
the website of the Office of Inspector General shall, 
or in the case of the office of an Inspector General 
described in subparagraph (I) of subsection (b)(1) 
may, contemporaneously publish the report (or por-
tion of the report) on oversight.gov in a manner pre-
scribed by the Council. 
‘‘(4) EFFECTIVE DATE.—This subsection shall 
take effect on the date that is 30 days after the date 
of receipt by the Council of the Inspectors General
191 
on Integrity and Efficiency of an appropriation for 
the implementation of this subsection.’’. 
(c) ENACTMENT OF PART IV, CHAPTER 131.—Title 
5, United States Code, is amended by inserting after part 
III the following: 
‘‘Part IV—ETHICS 
REQUIREMENTS 
‘‘Chapter 131—ETHICS IN 
GOVERNMENT 
‘‘SUBCHAPTER I—FINANCIAL DISCLOSURE REQUIRE-
MENTS OF FEDERAL PERSONNEL 
‘‘Sec. 
‘‘13101. Definitions. 
‘‘13102. Administration of provisions. 
‘‘13103. Persons required to file. 
‘‘13104. Contents of reports. 
‘‘13105. Filing of reports. 
‘‘13106. Failure to file or filing false reports. 
‘‘13107. Custody of and public access to reports. 
‘‘13108. Review of reports. 
‘‘13109. Confidential reports and other additional requirements. 
‘‘13110. Authority of Comptroller General. 
‘‘13111. Notice of actions taken to comply with ethics agreements. 
‘‘SUBCHAPTER II—OFFICE OF GOVERNMENT ETHICS 
‘‘13121. Establishment; appointment of Director. 
‘‘13122. Authority and functions. 
‘‘13123. Administrative provisions. 
‘‘13124. Rules and regulations. 
‘‘13125. Authorization of appropriations. 
‘‘13126. Reports to Congress. 
‘‘SUBCHAPTER 
III—LIMITATIONS 
ON 
OUTSIDE 
EARNED INCOME AND EMPLOYMENT 
‘‘13141. Definitions. 
‘‘13142. Administration. 
‘‘13143. Outside earned income limitation. 
‘‘13144. Limitations on outside employment. 
‘‘13145. Civil penalties. 
‘‘13146. Conditional termination.
192 
‘‘Subchapter I—FINANCIAL DIS-
CLOSURE REQUIREMENTS OF 
FEDERAL PERSONNEL 
‘‘§ 13101. Definitions 
‘‘In this subchapter: 
‘‘(1) CONGRESSIONAL ETHICS COMMITTEES.— 
The term ‘congressional ethics committees’ means 
the Select Committee on Ethics of the Senate and 
the Committee on Ethics of the House of Represent-
atives. 
‘‘(2) DEPENDENT CHILD.—The term ‘depend-
ent child’ means, when used with respect to any re-
porting 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 indi-
vidual; or 
‘‘(B) is a dependent of such reporting indi-
vidual within the meaning of section 152 of the 
Internal Revenue Code of 1986 (26 U.S.C. 
152). 
‘‘(3) DESIGNATED AGENCY ETHICS OFFICIAL.— 
The term ‘designated agency ethics official’ means 
an officer or employee who is designated to admin-
193 
ister the provisions of this subchapter within an 
agency. 
‘‘(4) EXECUTIVE BRANCH.—The term ‘execu-
tive branch’ includes each Executive agency (as de-
fined in section 105 of this title), other than the 
Government Accountability Office, and any other en-
tity or administrative unit in the executive branch. 
‘‘(5) GIFT.—The term ‘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 inherit-
ance; 
‘‘(B) suitable mementos of a function hon-
oring the reporting individual; 
‘‘(C) food, lodging, transportation, and en-
tertainment 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 subdivi-
sion thereof; 
‘‘(D) food and beverages which are not 
consumed in connection with a gift of overnight 
lodging;
194 
‘‘(E) communications to the offices of a re-
porting individual, including subscriptions to 
newspapers and periodicals; or 
‘‘(F) consumable products provided by 
home-State businesses to the offices of a report-
ing individual who is an elected official, if those 
products are intended for consumption by per-
sons other than such reporting individual. 
‘‘(6) HONORARIA.—The term ‘honoraria’ means 
the plural of ‘honorarium’ as defined in section 
13141 of this title. 
‘‘(7) INCOME.—The term ‘income’ means all in-
come 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 in-
surance and endowment contracts; pensions; income 
from discharge of indebtedness; distributive share of 
partnership income; and income from an interest in 
an estate or trust.
195 
‘‘(8) JUDICIAL CONFERENCE.—The term ‘Judi-
cial Conference’ means the Judicial Conference of 
the United States. 
‘‘(9) JUDICIAL EMPLOYEE.—The term ‘judicial 
employee’ means any employee of the judicial branch 
of the Government, of the United States Sentencing 
Commission, of the Tax Court, of the Court of Fed-
eral Claims, of the Court of Appeals for Veterans 
Claims, or of the United States Court of Appeals for 
the Armed Forces, who is not a judicial officer and 
who is authorized to perform adjudicatory functions 
with respect to proceedings in the judicial branch, or 
who occupies a position for which the rate of basic 
pay is equal to or greater than 120 percent of the 
minimum rate of basic pay payable for GS–15 of the 
General Schedule. 
‘‘(10) JUDICIAL OFFICER.—The term ‘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 ap-
peals, United States district courts, including the 
district courts in Guam, the Northern Mariana Is-
lands, and the Virgin Islands, Court of Appeals for 
the Federal Circuit, Court of International Trade, 
Tax Court, Court of Federal Claims, Court of Ap-
196 
peals for Veterans Claims, United States Court of 
Appeals for the Armed Forces, and any court cre-
ated by Act of Congress, the judges of which are en-
titled to hold office during good behavior. 
‘‘(11) LEGISLATIVE BRANCH.—The term ‘legis-
lative branch’ includes— 
‘‘(A) the Architect of the Capitol; 
‘‘(B) the Botanic Gardens; 
‘‘(C) the Congressional Budget Office; 
‘‘(D) the Government Accountability Of-
fice; 
‘‘(E) the Government Publishing 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.—The term 
‘Member of Congress’ means a United States Sen-
ator, a Representative in Congress, a Delegate to 
Congress, or the Resident Commissioner from Puer-
to Rico. 
‘‘(13) OFFICER OR EMPLOYEE OF CONGRESS.— 
The term ‘officer or employee of Congress’ means an
197 
individual described in subparagraph (A), (B), or 
(C), other than a Member of Congress or the Vice 
President, whose compensation is disbursed by the 
Secretary of the Senate or the Chief Administrative 
Officer of the House of Representatives. The individ-
uals described in subparagraphs (A), (B), and (C) 
are— 
‘‘(A) each officer or employee of the legis-
lative branch (except any officer or employee of 
the Government Accountability Office) 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; 
‘‘(B) each officer or employee of the Gov-
ernment Accountability Office who, for at least 
60 consecutive days, occupies a position for 
which the rate of basic pay, minus the amount 
of locality pay that would have been authorized 
under section 5304 of this title (had the officer 
or employee been paid under the General 
Schedule) for the locality within which the posi-
tion of such officer or employee is located (as 
determined by the Comptroller General), is 
equal to or greater than 120 percent of the
198 
minimum rate of basic pay payable for GS–15 
of the General Schedule; and 
‘‘(C) at least one principal assistant des-
ignated 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 INDI-
VIDUAL.—The term ‘personal hospitality of any indi-
vidual’ means hospitality extended for a nonbusiness 
purpose by an individual, not a corporation or orga-
nization, at the personal residence of that individual 
or the individual’s family or on property or facilities 
owned by that individual or the individual’s family. 
‘‘(15) REIMBURSEMENT.—The term ‘reimburse-
ment’ means any payment or other thing of value re-
ceived 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 Gov-
ernment, the District of Columbia, or a State or 
local government or political subdivision thereof;
199 
‘‘(B) required to be reported by the report-
ing individual under section 7342 of this title; 
or 
‘‘(C) required to be reported under section 
304 of the Federal Election Campaign Act of 
1971 (52 U.S.C. 30104). 
‘‘(16) RELATIVE.—The term ‘relative’ means 
an individual who is related to the reporting indi-
vidual, 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 indi-
vidual, and shall be deemed to include the fiance or 
fiancee of the reporting individual. 
‘‘(17) SECRETARY
CONCERNED.—The term 
‘Secretary concerned’ has the meaning set forth in 
section 101(a) of title 10, and, in addition, means— 
‘‘(A) the Secretary of Commerce, with re-
spect to matters concerning the National Oce-
anic and Atmospheric Administration;
200 
‘‘(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.—The term 
‘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 finan-
cial disclosure reports with the Secretary of the 
Senate pursuant to section 13105(h) of this 
title; 
‘‘(B) the Committee on Ethics of the 
House of Representatives, for Members, officers 
and employees of the House of Representatives 
and other officers or employees of the legislative 
branch required to file financial disclosure re-
ports with the Clerk of the House of Represent-
atives pursuant to section 13105(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.
201 
‘‘(19) VALUE.—The term ‘value’ means a good 
faith estimate of the dollar value if the exact value 
is neither known nor easily obtainable by the report-
ing individual. 
‘‘§ 13102. Administration of provisions 
‘‘(a) IN GENERAL.—The provisions of this sub-
chapter shall be administered by— 
‘‘(1) the Director of the Office of Government 
Ethics, the designated agency ethics official, or the 
Secretary concerned, as appropriate, with regard to 
officers and employees described in paragraphs (1) 
through (8) of section 13103(f) of this title; 
‘‘(2) the Select Committee on Ethics of the 
Senate and the Committee on Ethics of the House 
of Representatives, as appropriate, with regard to 
officers and employees described in paragraphs (9) 
and (10) of section 13103(f) of this title; and 
‘‘(3) the Judicial Conference in the case of an 
officer or employee described in paragraphs (11) and 
(12) of section 13103(f) of this title. 
‘‘(b) DELEGATION BY JUDICIAL CONFERENCE.—The 
Judicial Conference may delegate any authority it has 
under this subchapter to an ethics committee established 
by the Judicial Conference.
202 
‘‘§ 13103. Persons required to file 
‘‘(a) REPORTS FILED UPON ENTERING A FILING PO-
SITION.—Within 30 days of assuming the position of an 
officer or employee described in subsection (f), an indi-
vidual shall file a report containing the information de-
scribed in section 13104(b) of this title unless the indi-
vidual has left another position described in subsection (f) 
within 30 days prior to assuming such new position or 
has already filed a report under this subchapter with re-
spect to nomination for the new position or as a candidate 
for the position. 
‘‘(b) REPORTS FOR NOMINEES TO POSITIONS RE-
QUIRING SENATE CONFIRMATION.— 
‘‘(1) IN GENERAL.—Within 5 days of the trans-
mittal by the President to the Senate of the nomina-
tion of an individual (other than an individual nomi-
nated 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 sec-
tion 201 of title 37 is O–6 or below) to a position, 
appointment to which requires the advice and con-
sent of the Senate, such individual shall file a report 
containing the information described in section 
13104(b) of this title. Such individual shall, not 
later than the date of the first hearing to consider 
the nomination of such individual, make current the
203 
report filed pursuant to this paragraph by filing the 
information required by section 13104(a)(1)(A) of 
this title with respect to income and honoraria re-
ceived as of the date which occurs 5 days before the 
date of such hearing. Nothing in this chapter shall 
prevent any congressional committee from request-
ing, as a condition of confirmation, any additional fi-
nancial information from any Presidential nominee 
whose nomination has been referred to that com-
mittee. 
‘‘(2) PUBLIC
ANNOUNCEMENT
OF
INTENDED 
NOMINATION.—An individual whom the President or 
the President-elect has publicly announced he or she 
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 1st sentence of paragraph (1). 
‘‘(c) REPORTS FOR CANDIDATES FOR ELECTED FED-
ERAL OFFICE.—Within 30 days of becoming a candidate 
as defined in section 301 of the Federal Election Cam-
paign Act of 1971 (52 U.S.C. 30101), 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
204 
before May 15 of each successive year an individual con-
tinues to be a candidate, an individual other than an in-
cumbent President, Vice President, or Member of Con-
gress shall file a report containing the information de-
scribed in section 13104(b) of this title. 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 the individual becomes a candidate for an-
other vacancy in that office or another office during that 
year. 
‘‘(d) ANNUAL REPORTS.—Any individual who is an 
officer or employee described in subsection (f) during any 
calendar year and performs the duties of the position or 
office for a period in excess of 60 days in that calendar 
year shall file on or before May 15 of the succeeding year 
a report containing the information described in section 
13104(a) of this title. 
‘‘(e) TERMINATION REPORTS.—Any individual who 
occupies a position described in subsection (f) shall, on 
or before the 30th day after termination of employment 
in such position, file a report containing the information 
described in section 13104(a) of this title covering the pre-
ceding calendar year if the report required by subsection
205 
(d) has not been filed and covering the portion of the cal-
endar 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) INDIVIDUALS REQUIRED TO FILE.—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, who occupies a po-
sition classified above GS–15 of the General Sched-
ule 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 Sched-
ule; each member of a uniformed service whose pay 
grade is at or in excess of O–7 under section 201 
of title 37; and each officer or employee in any other 
position determined by the Director of the Office of 
Government Ethics to be of equal classification; 
‘‘(4) each employee appointed pursuant to sec-
tion 3105 of this title;
206 
‘‘(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 in-
tegrity of the Government; 
‘‘(6) the Postmaster General, the Deputy Post-
master General, each Governor of the Board of Gov-
ernors of the United States Postal Service and each 
officer or employee of the United States Postal Serv-
ice or Postal Regulatory 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 Sched-
ule; 
‘‘(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
207 
the President (other than a special Government em-
ployee) who holds a commission of appointment from 
the President; 
‘‘(9) a Member of Congress as defined in sec-
tion 13101 of this title; 
‘‘(10) an officer or employee of the Congress as 
defined in section 13101 of this title; 
‘‘(11) a judicial officer as defined in section 
13101 of this title; and 
‘‘(12) a judicial employee as defined in section 
13101 of this title. 
‘‘(g) EXTENSIONS OF TIME FOR FILING.— 
‘‘(1) IN
GENERAL.—Reasonable extensions of 
time for filing any report may be granted under pro-
cedures prescribed by the supervising ethics office 
for each branch, but the total of such extensions 
shall not exceed 90 days. 
‘‘(2) ARMED FORCES.— 
‘‘(A) COMBAT ZONE.—In the case of an in-
dividual 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 Presi-
dent by Executive order as a combat zone for 
purposes of section 112 of the Internal Revenue 
Code of 1986 (26 U.S.C. 112), the date for the
208 
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 des-
ignated period; or 
‘‘(ii) the last day of the individual’s 
hospitalization as a result of injury re-
ceived or disease contracted while serving 
in such area. 
‘‘(B) PROCEDURES.—The Office of Gov-
ernment Ethics, in consultation with the Sec-
retary of Defense, may prescribe procedures 
under this paragraph. 
‘‘(h) EXCEPTIONS.—The provisions of subsections 
(a), (b), and (e) shall not apply to an individual who, as 
determined by the designated agency ethics official or Sec-
retary concerned (or in the case of a Presidential ap-
pointee under subsection (b), the Director of the Office 
of Government Ethics), the congressional ethics commit-
tees, or the Judicial Conference, is not reasonably ex-
pected to perform the duties of the individual’s office or 
position for more than 60 days in a calendar year, except 
that if such individual performs the duties of the office 
or position for more than 60 days in a calendar year—
209 
‘‘(1) the report required by subsections (a) and 
(b) shall be filed within 15 days of the 60th day; 
and 
‘‘(2) the report required by subsection (e) shall 
be filed as provided in that subsection. 
‘‘(i) REQUEST FOR WAIVER.—The supervising ethics 
office for each branch may grant a publicly available re-
quest for a waiver of any reporting requirement under this 
section for an individual who is expected to perform or 
has performed the duties of the individual’s office or posi-
tion less than 130 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 con-
flict of interest; and 
‘‘(4) public financial disclosure by such indi-
vidual is not necessary in the circumstances. 
‘‘§ 13104. Contents of reports 
‘‘(a) ANNUAL AND TERMINATION REPORTS.—Each 
report filed pursuant to section 13103(d) and (e) of this
210 
title shall include a full and complete statement with re-
spect to the following: 
‘‘(1) INCOME.— 
‘‘(A) IN GENERAL.—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, ag-
gregating $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 su-
pervising ethics office, on a confidential basis, a 
corresponding list of recipients of all such pay-
ments, together with the dates and amounts of 
such payments. 
‘‘(B) DIVIDENDS, RENTS, INTEREST, AND 
CAPITAL GAINS.—The source and type of in-
come which consists of dividends, rents, inter-
est, and capital gains, received during the pre-
ceding calendar year which exceeds $200 in 
amount or value, and an indication of which of
211 
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. 
‘‘(2) GIFTS AND REIMBURSEMENTS.— 
‘‘(A) GIFTS.—The identity of the source, a 
brief description, and the value of all gifts ag-
gregating more than the minimal value as es-
tablished by section 7342(a)(5) of this title, or 
$250, whichever is greater, received from any 
source other than a relative of the reporting in-
212 
dividual during the preceding calendar year, ex-
cept 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 aggre-
gated for purposes of this subparagraph. 
‘‘(B) REIMBURSEMENTS.—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 
this title, or $250, whichever is greater, and re-
ceived during the preceding calendar year. 
‘‘(C) WAIVER.—In an unusual case, a gift 
need not be aggregated under subparagraph (A) 
if a publicly available request for a waiver is 
granted. 
‘‘(3) INTERESTS IN PROPERTY.—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
213 
$1,000 as of the close of the preceding calendar 
year, excluding any personal liability owed to the re-
porting individual by a spouse or by a parent, broth-
er, sister, or child of the reporting individual or of 
the reporting individual’s spouse, or any deposits ag-
gregating $5,000 or less in a personal savings ac-
count. For purposes of this paragraph, a personal 
savings account shall include any certificate of de-
posit or any other form of deposit in a bank, savings 
and loan association, credit union, or similar finan-
cial institution. 
‘‘(4) LIABILITIES.—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, exclud-
ing— 
‘‘(A) any mortgage secured by real prop-
erty which is a personal residence of the report-
ing individual or the individual’s spouse, except 
that this exception shall not apply to a report-
ing individual— 
‘‘(i) described in paragraph (1), (2), 
or (9) of 13103(f) of this title;
214 
‘‘(ii) described in section 13103(b) of 
this title who has been nominated for ap-
pointment as an officer or employee in the 
executive branch described in subsection 
(f) of that section, other than— 
‘‘(I) an individual appointed to a 
position— 
‘‘(aa) as a Foreign Service 
Officer below the rank of ambas-
sador; or 
‘‘(bb) in the uniformed serv-
ices for which the pay grade pre-
scribed by section 201 of title 37 
is O–6 or below; or 
‘‘(II) a special Government em-
ployee, as defined under section 202 
of title 18; or 
‘‘(iii) described in section 13103(f) of 
this title who is in a position in the execu-
tive branch the appointment to which is 
made by the President and requires advice 
and consent of the Senate, other than— 
‘‘(I) an individual appointed to a 
position—
215 
‘‘(aa) as a Foreign Service 
Officer below the rank of ambas-
sador; or 
‘‘(bb) in the uniformed serv-
ices for which the pay grade pre-
scribed by section 201 of title 37 
is O–6 or below; or 
‘‘(II) a special Government em-
ployee, as defined under section 202 
of title 18; 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) TRANSACTIONS.—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—
216 
‘‘(A) in real property, other than property 
used solely as a personal residence of the re-
porting individual or the individual’s spouse; or 
‘‘(B) in stocks, bonds, commodities fu-
tures, and other forms of securities. 
Reporting is not required under this paragraph of 
any transaction solely by and between the reporting 
individual, the individual’s spouse, or dependent chil-
dren. 
‘‘(6) POSITIONS WITH OUTSIDE ENTITIES AND 
MAJOR SOURCES OF COMPENSATION.— 
‘‘(A) POSITIONS
WITH
OUTSIDE
ENTI-
TIES.—The identity of all positions held on or 
before the date of filing during the current cal-
endar year (and, for the first report filed by an 
individual, during the 2-year period preceding 
such calendar year) as an officer, director, 
trustee, partner, proprietor, representative, em-
ployee, or consultant of any corporation, com-
pany, firm, partnership, or other business en-
terprise, any nonprofit organization, any labor 
organization, or any educational or other insti-
tution other than the United States. This sub-
paragraph shall not require the reporting of po-
sitions held in any religious, social, fraternal, or
217 
political entity and positions solely of an hon-
orary nature. 
‘‘(B) MAJOR
SOURCES
OF
COMPENSA-
TION.—If any person, other than the United 
States Government, paid a nonelected reporting 
individual compensation in excess of $5,000 in 
any of the 2 calendar years prior to the cal-
endar year during which the individual files the 
individual’s first report under this chapter, 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 ren-
dered by the reporting individual for each 
such source. 
The preceding sentence shall not require any indi-
vidual to include in such report any information 
which is considered confidential as a result of a priv-
ileged relationship, established by law, between such 
individual and any person, nor shall it require an in-
dividual 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
218 
was directly involved in the provision of such serv-
ices. 
‘‘(7) AGREEMENTS OR ARRANGEMENTS RELAT-
ING TO OTHER EMPLOYMENT.—A description of the 
date, parties to, and terms of any agreement or ar-
rangement with respect to— 
‘‘(A) future employment; 
‘‘(B) a leave of absence during the period 
of the reporting individual’s Government serv-
ice; 
‘‘(C) continuation of payments by a former 
employer other than the United States Govern-
ment; and 
‘‘(D) continuing participation in an em-
ployee welfare or benefit plan maintained by a 
former employer. 
‘‘(8) QUALIFIED BLIND TRUSTS.—The category 
of the total cash value of any interest of the report-
ing 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) REPORTS FOR NEW EMPLOYEES, NOMINEES, 
AND CANDIDATES.—
219 
‘‘(1) IN GENERAL.—Each report filed pursuant 
to subsections (a), (b), and (c) of section 13103 of 
this title 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 31 days before the filing 
date; and 
‘‘(C) paragraphs (6) and (7) of subsection 
(a) as of the filing date but for periods de-
scribed in such paragraphs. 
‘‘(2) ALTERNATIVES FOR REPORTING.— 
‘‘(A) FORMATS.—In lieu of filling out one 
or more schedules of a financial disclosure 
form, an individual may supply the required in-
formation 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 deter-
mination by such office for a reporting indi-
vidual.
220 
‘‘(B) AMOUNTS.—In lieu of indicating the 
category of amount or value of any item con-
tained in any report filed under this subchapter, 
a reporting individual may indicate the exact 
dollar amount of such item. 
‘‘(c) REPORT AFTER TERMINATION
OF EMPLOY-
MENT.—In the case of any individual described in section 
13103(e) of this title, any reference to the preceding cal-
endar year shall be considered also to include that part 
of the calendar year of filing up to the date of the termi-
nation of employment. 
‘‘(d) CATEGORIES
FOR REPORTING AMOUNTS
OR 
VALUES.— 
‘‘(1) PARAGRAPHS (3), (4), (5), AND (8) OF SUB-
SECTION
(A).—The categories for reporting the 
amount or value of the items covered in paragraphs 
(3), (4), (5), and (8) of subsection (a) are— 
‘‘(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;
221 
‘‘(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) VALUATION OF INTERESTS IN REAL PROP-
ERTY.—For the purposes of paragraph (3) of sub-
section (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 indi-
vidual 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 
or her report a full and complete description of the 
method used to determine such assessed value, in-
222 
stead 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 ascer-
tainable 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 part-
nership, the equity value of an individually owned 
business, or with respect to other holdings, any rec-
ognized indication of value, but such individual shall 
include in his or her report a full and complete de-
scription of the method used in determining such 
value. In lieu of any value referred to in the pre-
ceding sentence, an individual may list the assessed 
value of the item for tax purposes, adjusted to re-
flect the market value of the item used for the as-
sessment 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 de-
termining such assessed value shall be included in 
the report. 
‘‘(e) 
REPORTING
INFORMATION
RELATING
TO 
SPOUSE OR DEPENDENT CHILD.— 
‘‘(1) IN GENERAL.—Except as provided in the 
last sentence of this paragraph, each report required
223 
by section 13103 of this title shall also contain in-
formation listed in paragraphs (1) through (5) of 
subsection (a) of this section respecting the spouse 
or dependent child of the reporting individual as fol-
lows: 
‘‘(A) SOURCE
OF
EARNED
INCOME
AND 
HONORARIA.—The source of items of earned in-
come earned by a spouse from any person 
which exceed $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-em-
ployed in business or a profession, only the na-
ture of such business or profession need be re-
ported. 
‘‘(B) DIVIDENDS, RENTS, INTEREST, AND 
CAPITAL GAINS.—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) GIFTS.—In the case of any gifts re-
ceived by a spouse or dependent child which are 
not received totally independent of the relation-
224 
ship of the spouse or dependent child to the re-
porting individual, the identity of the source 
and a brief description of gifts of transpor-
tation, lodging, food, or entertainment and a 
brief description and the value of other gifts. 
‘‘(D) REIMBURSEMENTS.—In the case of 
any reimbursements received by a spouse or de-
pendent 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) INTERESTS
IN
PROPERTY, LIABIL-
ITIES, AND
TRANSACTIONS.—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 ex-
225 
pects to derive, any financial or economic ben-
efit. 
‘‘(F) AMOUNTS
OR
VALUES
GREATER 
THAN $1,000,000.—For purposes of this section, 
categories with amounts or values greater than 
$1,000,000 set forth in subsection (a)(1)(B) 
and subsection (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 re-
ported 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 13103 of this title shall, with respect to the 
spouse and dependent child of the reporting indi-
vidual, contain only information listed in paragraphs 
(1), (3), and (4) of subsection (a), as specified in 
this paragraph. 
‘‘(2) SEPARATED SPOUSE.—No report shall be 
required with respect to a spouse living separate and 
apart from the reporting individual with the inten-
226 
tion of terminating the marriage or providing for 
permanent separation; or with respect to any income 
or obligations of an individual arising from the dis-
solution of the individual’s marriage or the perma-
nent separation from the individual’s spouse. 
‘‘(f) TRUSTS
AND OTHER FINANCIAL ARRANGE-
MENTS.— 
‘‘(1) IN GENERAL.—Except as provided in para-
graph (2), each reporting individual shall report the 
information required to be reported pursuant to sub-
sections (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 in-
terest in principal or income is held by, such indi-
vidual, the individual’s spouse, or any dependent 
child. 
‘‘(2) EXCEPTIONS.—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—
227 
‘‘(i) which was not created directly by 
such individual, the individual’s spouse, or 
any dependent child; and 
‘‘(ii) the holdings or sources of income 
of which such individual, the individual’s 
spouse, and any dependent child have no 
knowledge; or 
‘‘(C) an entity described under the provi-
sions of paragraph (8), 
but such individual shall report the category of the 
amount of income received by the individual, the in-
dividual’s spouse, or any dependent child from the 
trust or other entity under subsection (a)(1)(B). 
‘‘(3) 
DEFINITION
OF
QUALIFIED
BLIND 
TRUST.—For purposes of this subsection, the term 
‘qualified blind trust’ includes any trust in which a 
reporting individual, the individual’s spouse, or any 
minor or dependent child has a beneficial interest in 
the principal or income, and which meets the fol-
lowing requirements: 
‘‘(A) TRUSTEE.— 
‘‘(i) The trustee of the trust and any 
other entity designated in the trust instru-
ment to perform fiduciary duties is a fi-
nancial institution, an attorney, a certified
228 
public accountant, a broker, or an invest-
ment 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 in-
terested 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 in-
terested 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 can-
not be controlled or influenced in the 
administration of the trust by any in-
terested party;
229 
‘‘(II) is not a partner of, or in-
volved in any joint venture or other 
investment with, any interested party; 
and 
‘‘(III) is not a relative of any in-
terested party. 
‘‘(B) TRANSFERRED
ASSET.—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 ex-
pressly approved by the supervising ethics office 
of the reporting individual. 
‘‘(C) TRUST INSTRUMENT.—The trust in-
strument which establishes the trust provides 
that— 
‘‘(i) except to the extent provided in 
subparagraph (B) of this paragraph, the 
trustee in the exercise of the trustee’s au-
thority and discretion to manage and con-
trol 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 regula-
tion;
230 
‘‘(iii) the trustee shall promptly notify 
the reporting individual and the reporting 
individual’s supervising ethics office when 
the holdings of any particular asset trans-
ferred 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 pre-
pared by the trustee or the trustee’s des-
ignee, and such return and any informa-
tion relating thereto (other than the trust 
income summarized in appropriate cat-
egories necessary to complete an interested 
party’s tax return) shall not be disclosed to 
any interested party; 
‘‘(v) an interested party shall not re-
ceive any report on the holdings and 
sources of income of the trust, except a re-
port 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 inter-
ested party to complete an individual tax 
return required by law or to provide the in-
231 
formation required by subsection (a)(1) of 
this section, but such report shall not iden-
tify 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 inter-
ested 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 subse-
quently applicable to the reporting indi-
vidual 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 appear-
232 
ance thereof due to the subsequent as-
sumption of duties by the reporting indi-
vidual (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, includ-
ing obtaining a copy of any trust tax re-
turn filed or any information relating 
thereto except as otherwise provided in this 
subsection. 
‘‘(D) APPROVAL BY SUPERVISING ETHICS 
OFFICE.—The proposed trust instrument and 
the proposed trustee are approved by the re-
porting individual’s supervising ethics office. 
‘‘(E) DEFINITIONS.—For purposes of this 
subsection, ‘interested party’ means a reporting 
individual, the individual’s spouse, and any 
minor or dependent child; ‘broker’ has the 
meaning set forth in section 3(a)(4) of the Se-
curities 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 the role as
233 
such an adviser in the management or control 
of trusts. 
‘‘(F) TRUST QUALIFIED BEFORE EFFEC-
TIVE DATE OF TITLE II OF ETHICS REFORM 
ACT OF 1989.—Any trust qualified by a super-
vising 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 regula-
tions in effect immediately before such effective 
date. 
‘‘(4) TRUST ASSET CONSIDERED FINANCIAL IN-
TEREST.— 
‘‘(A) IN GENERAL.—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 in-
terest statutes, regulations, or rules of the Fed-
eral Government (including section 208 of title 
18), 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) EXCEPTION.— 
‘‘(i) The provisions of subparagraph 
(A) shall not apply with respect to a trust
234 
created for the benefit of a reporting indi-
vidual, or the spouse, dependent child, or 
minor child of such a person, if the super-
vising ethics office for such reporting indi-
vidual 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 substan-
tial activities in the area of the report-
ing individual’s primary area of re-
sponsibility; 
‘‘(III) the trust instrument pro-
hibits the trustee, notwithstanding the 
provisions of paragraphs (3)(C)(iii) 
and (iv) of this subsection, from mak-
ing public or informing any interested 
party of the sale of any securities; 
‘‘(IV) the trustee is given power 
of attorney, notwithstanding the pro-
visions of paragraph (3)(C)(v) of this 
subsection, to prepare on behalf of 
any interested party the personal in-
come tax returns and similar returns
235 
which may contain information relat-
ing to the trust; and 
‘‘(V) except as otherwise provided 
in this paragraph, the trust instru-
ment 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 admin-
istered in accordance with the require-
ments of this subsection and the 
trustee of such trust meets the re-
quirements of paragraph (3)(A). 
‘‘(ii) In any instance covered by this 
subparagraph in which the reporting indi-
vidual is an individual whose nomination is 
being considered by a congressional com-
mittee, the reporting individual shall in-
form the congressional committee consid-
ering the individual’s nomination before or 
during the period of such individual’s con-
firmation hearing of the individual’s inten-
tion to comply with this paragraph.
236 
‘‘(5) NOTIFICATION.— 
‘‘(A) COPIES.—The reporting individual 
shall, within 30 days after a qualified blind 
trust is approved by the individual’s 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 disposi-
tion 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 deter-
mined 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 para-
graph (7) of this subsection. 
‘‘(B) TRANSFER OF ASSET.—The reporting 
individual shall, within 30 days of transferring 
an asset (other than cash) to a previously es-
tablished qualified blind trust, notify the indi-
vidual’s supervising ethics office of the identity 
of each such asset and the category of value of 
each asset as determined under subsection (d) 
of this section.
237 
‘‘(C) DISSOLUTION.—Within 30 days of 
the dissolution of a qualified blind trust, a re-
porting individual shall— 
‘‘(i) notify the individual’s 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
AVAILABLE
TO
PUB-
LIC.—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 avail-
able under section 13107 of this title, and the 
provisions of that section shall apply with re-
spect to such documents and lists. 
‘‘(E) COPY
OF
WRITTEN
COMMUNICA-
TION.—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 individ-
238 
ual’s supervising ethics office within 5 days of 
the date of the communication. 
‘‘(6) PROHIBITIONS.— 
‘‘(A) TRUSTEES.—A trustee of a qualified 
blind trust shall not knowingly and willfully, or 
negligently— 
‘‘(i) disclose any information to an in-
terested party with respect to such trust 
that may not be disclosed under paragraph 
(3) of this subsection; 
‘‘(ii) acquire any holding the owner-
ship of which is prohibited by the trust in-
strument; 
‘‘(iii) solicit advice from any inter-
ested party with respect to such trust, 
which solicitation is prohibited by para-
graph (3) of this subsection or the trust 
agreement; or 
‘‘(iv) fail to file any document re-
quired by this subsection. 
‘‘(B) REPORTING INDIVIDUALS.—A report-
ing individual shall not knowingly and willfully, 
or negligently— 
‘‘(i) solicit or receive any information 
with respect to a qualified blind trust of
239 
which the reporting individual is an inter-
ested 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) CIVIL ACTIONS FOR VIOLATIONS.— 
‘‘(i) KNOWING AND WILLFUL VIOLA-
TIONS.—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) NEGLIGENT
VIOLATIONS.—The 
Attorney General may bring a civil action 
in any appropriate United States district 
court against any individual who neg-
ligently violates the provisions of subpara-
graph (A) or (B) of this paragraph. The 
court in which such action is brought may
240 
assess against such individual a civil pen-
alty in any amount not to exceed $5,000. 
‘‘(7) TRUST
CONSIDERED
TO
BE
QUALIFIED 
BLIND TRUST.—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 trust-
ee, the reporting individual, and any other in-
terested party agree in writing that the trust 
shall be administered in accordance with the re-
quirements 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 agree-
ment referred to in this subparagraph; 
‘‘(B) a copy of the trust instrument (ex-
cept testamentary provisions) and a copy of the 
agreement referred to in subparagraph (A), and 
a list of the assets held by the trust at the time 
of approval by the supervising ethics office, in-
cluding the category of value of each asset as 
determined under subsection (d) of this section,
241 
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 deter-
mines that approval of the trust arrangement 
as a qualified blind trust is in the particular 
case appropriate to assure compliance with ap-
plicable laws and regulations. 
‘‘(8) EXCEPTED
INVESTMENT
FUNDS.—A re-
porting individual shall not be required to report the 
financial interests held by a widely held investment 
fund (whether such fund is a mutual fund, regulated 
investment company, pension or deferred compensa-
tion plan, or other investment fund)— 
‘‘(A) if— 
‘‘(i) the fund is publicly traded; or 
‘‘(ii) the assets of the fund are widely 
diversified; and 
‘‘(B) if the reporting individual neither ex-
ercises control over nor has the ability to exer-
cise control over the financial interests held by 
the fund. 
‘‘(g) POLITICAL CAMPAIGN FUNDS.—Political cam-
paign funds, including campaign receipts and expendi-
242 
tures, need not be included in any report filed pursuant 
to this subchapter. 
‘‘(h) GIFTS
AND
REIMBURSEMENTS
RECEIVED 
WHILE INDIVIDUAL NOT OFFICER
OR EMPLOYEE
OF 
FEDERAL GOVERNMENT.—A report filed pursuant to sub-
section (a), (d), or (e) of section 13103 of this title 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 report-
ing individual was not an officer or employee of the Fed-
eral Government. 
‘‘(i) NON-REPORTABLE RETIREMENT BENEFITS.—A 
reporting individual shall not be required under this sub-
chapter to report— 
‘‘(1) financial interests in or income derived 
from— 
‘‘(A) any retirement system under this title 
(including the Thrift Savings Plan under sub-
chapter III of chapter 84 of this title); or 
‘‘(B) any other retirement system main-
tained by the United States for officers or em-
ployees of the United States, including the 
President, or for members of the uniformed 
services; or
243 
‘‘(2) benefits received under the Social Security 
Act (42 U.S.C. 301 et seq.). 
‘‘§ 13105. Filing of reports 
‘‘(a) REPORTS FILED WITH DESIGNATED AGENCY 
ETHICS OFFICIAL.—Except as otherwise provided in this 
section, the reports required under this subchapter shall 
be filed by the reporting individual with the designated 
agency ethics official at the agency by which the reporting 
individual is employed (or in the case of an individual de-
scribed in section 13103(e) of this title, was employed) 
or in which the individual will serve. The date any report 
is received (and the date of receipt of any supplemental 
report) shall be noted on such report by the designated 
agency ethics official. 
‘‘(b) REPORTS FILED WITH DIRECTOR OF OFFICE 
OF GOVERNMENT ETHICS.—The President, the Vice 
President, and independent counsel and persons appointed 
by independent counsel under chapter 40 of title 28, shall 
file reports required under this subchapter with the Direc-
tor of the Office of Government Ethics. 
‘‘(c) COPIES OF REPORTS TRANSMITTED TO THE OF-
FICE OF GOVERNMENT ETHICS.—Copies of the reports re-
quired to be filed under this subchapter by the Postmaster 
General, the Deputy Postmaster General, the Governors 
of the Board of Governors of the United States Postal
244 
Service, designated agency ethics officials, employees de-
scribed 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, 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 Gov-
ernment Ethics. The Director shall forward a copy of the 
report of each nominee to the congressional committee 
considering the nomination. 
‘‘(d) AVAILABILITY TO PUBLIC.—Reports required to 
be filed under this subchapter by the Director of the Office 
of Government Ethics shall be filed in the Office of Gov-
ernment Ethics and, immediately after being filed, shall 
be made available to the public in accordance with this 
subchapter. 
‘‘(e) REPORTS FILED WITH FEDERAL ELECTION 
COMMISSION.—Each individual identified in section 
13103(c) of this title who is a candidate for nomination 
or election to the Office of President or Vice President 
shall file the reports required by this subchapter with the 
Federal Election Commission.
245 
‘‘(f) REPORTS
FILED
WITH
SECRETARY
CON-
CERNED.—Reports required of members of the uniformed 
services shall be filed with the Secretary concerned. 
‘‘(g) FORMS
FOR REPORTING.—Each supervising 
ethics office shall develop and make available forms for 
reporting the information required by this subchapter. 
‘‘(h) REPORTS FILED BY CERTAIN GOVERNMENT 
OFFICIALS.— 
‘‘(1) OFFICIALS
WITH
WHOM
REPORTS
ARE 
FILED.— 
‘‘(A) REPORTS BY MEMBERS AND STAFF 
OF CONGRESS.— 
‘‘(i) IN GENERAL.— 
‘‘(I) 
REPORTS
FILED
WITH 
CLERK
OF
THE
HOUSE
OF
REP-
RESENTATIVES.—The reports required 
under this subchapter shall be filed by 
a reporting individual with the Clerk 
of the House of Representatives, in 
the case of a Representative in Con-
gress, a Delegate to Congress, the 
Resident Commissioner from Puerto 
Rico, an officer or employee of the 
Congress whose compensation is dis-
bursed by the Chief Administrative
246 
Officer of the House of Representa-
tives, an officer or employee of the Ar-
chitect of the Capitol, the United 
States Capitol Police, the United 
States Botanic Garden, the Congres-
sional Budget Office, the Government 
Publishing Office, the Library of Con-
gress, or the Copyright Royalty Tri-
bunal (including any individual termi-
nating service, under section 13103(e) 
of this title, in any office or position 
referred to in this subclause), or an 
individual 
described 
in 
section 
13103(c) of this title who is a can-
didate for nomination or election as a 
Representative in Congress, a Dele-
gate to Congress, or the Resident 
Commissioner from Puerto Rico. 
‘‘(II) REPORTS FILED WITH SEC-
RETARY
OF
THE
SENATE.—The re-
ports required under this subchapter 
shall be filed by a reporting individual 
with the Secretary of the Senate, in 
the case of a Senator, an officer or 
employee of the Congress whose com-
247 
pensation is disbursed by the Sec-
retary of the Senate, an officer or em-
ployee of the Government Account-
ability Office, the Office of Tech-
nology Assessment, or the Office of 
the Attending Physician (including 
any individual terminating service, 
under section 13103(e) of this title, in 
any office or position referred to in 
this subclause), or an individual de-
scribed in section 13103(c) of this 
title who is a candidate for nomina-
tion or election as a Senator. 
‘‘(ii) OTHER REPORTS.—In the case 
of an officer or employee of the Congress 
as described under section 13103(f)(10) of 
this title who is employed by an agency or 
commission established in the legislative 
branch after November 30, 1989, the re-
ports required under this subchapter shall 
be filed by a reporting individual with— 
‘‘(I) the Secretary of the Senate 
or the Clerk of the House of Rep-
resentatives, as the case may be, as
248 
designated in the statute establishing 
such agency or commission; or 
‘‘(II) if such statute does not 
designate such committee, the Sec-
retary of the Senate for agencies and 
commissions established in even num-
bered calendar years, and the Clerk of 
the House of Representatives for 
agencies and commissions established 
in odd numbered calendar years. 
‘‘(B) REPORTS FILED WITH JUDICIAL CON-
FERENCE.—The reports required under this 
subchapter shall be filed by a reporting indi-
vidual with the Judicial Conference with regard 
to a judicial officer or employee described under 
paragraphs (11) and (12) of section 13103(f) of 
this title (including individuals terminating 
service in such office or position under section 
13103(e) of this title or immediately preceding 
service in such office or position). 
‘‘(2) DATE REPORT RECEIVED.—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) COPIES OF REPORTS TO STATE OFFICERS.—
249 
‘‘(1) IN GENERAL.—A copy of each report filed 
under this subchapter 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 
312(a) of the Federal Election Campaign Act of 
1971 (52 U.S.C. 30113(a)) of the State represented 
by the Member or in which the individual is a can-
didate, as the case may be, within the 30-day period 
beginning on the day the report is filed with the 
Clerk or Secretary. 
‘‘(2) EXCEPTION FOR ELECTRONICALLY FILED 
REPORTS.—The requirements of paragraph (1) do 
not apply to any report filed under this subchapter 
which is filed electronically and for which there is 
online public access, in accordance with the systems 
developed by the Secretary and Sergeant at Arms of 
the Senate and the Clerk of the House of Represent-
atives under section 8(b) of the STOCK Act. 
‘‘(j) COPIES
OF REPORTS
TO ETHICS COMMIT-
TEES.— 
‘‘(1) HOUSE OF REPRESENTATIVES.—A copy of 
each report filed under this subchapter with the 
Clerk of the House of Representatives shall be sent
250 
by the Clerk to the Committee on Ethics of the 
House of Representatives within the 7-day period 
beginning on the day the report is filed. 
‘‘(2) SENATE.—A copy of each report filed 
under this subchapter with the Secretary of the Sen-
ate shall be sent by the Secretary to the Select Com-
mittee on Ethics of the Senate within the 7-day pe-
riod beginning on the day the report is filed. 
‘‘(k) ASSISTANCE OF FEDERAL ELECTION COMMIS-
SION.—In carrying out their responsibilities under this 
subchapter 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 Fed-
eral 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 pro-
gram with the Clerk and the Secretary to the greatest ex-
tent possible. 
‘‘(l) PERIODIC TRANSACTION REPORTS.—Not later 
than 30 days after receiving notification of any trans-
action 
required 
to 
be 
reported 
under 
section 
13104(a)(5)(B of this title, but in no case later than 45 
days after such transaction, the following persons, if re-
251 
quired to file a report under any subsection of section 
13103 of this title, subject to any waivers and exclusions, 
shall file a report of the transaction: 
‘‘(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, who occupies a po-
sition classified above GS–15 of the General Sched-
ule 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 Sched-
ule; each member of a uniformed service whose pay 
grade is at or in excess of O–7 under section 201 
of title 37; and each officer or employee in any other 
position determined by the Director of the Office of 
Government Ethics to be of equal classification. 
‘‘(4) Each employee appointed pursuant to sec-
tion 3105 of this title. 
‘‘(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
252 
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 in-
tegrity of the Government. 
‘‘(6) The Postmaster General, the Deputy Post-
master General, each Governor of the Board of Gov-
ernors of the United States Postal Service and each 
officer or employee of the United States Postal Serv-
ice or Postal Regulatory 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 Sched-
ule. 
‘‘(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 em-
ployee as defined in section 202 of title 18) who 
holds a commission of appointment from the Presi-
dent.
253 
‘‘(9) A Member of Congress, as defined under 
section 13101 of this title. 
‘‘(10) An officer or employee of the Congress, 
as defined under section 13101 of this title. 
‘‘§ 13106. Failure to file or filing false reports 
‘‘(a) VIOLATION.— 
‘‘(1) CIVIL
ACTIONS.—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 13104 of this title. The court in which 
such action is brought may assess against such indi-
vidual a civil penalty in any amount, not to exceed 
$50,000. 
‘‘(2) VIOLATIONS AND PENALTIES.— 
‘‘(A) VIOLATIONS.—It shall be unlawful 
for any person to knowingly and willfully— 
‘‘(i) falsify any information that such 
person is required to report under section 
13104 of this title; and 
‘‘(ii) fail to file or report any informa-
tion that such person is required to report 
under section 13104 of this title.
254 
‘‘(B) PENALTIES.—Any person who— 
‘‘(i) violates subparagraph (A)(i) shall 
be fined under title 18, imprisoned for not 
more than 1 year, or both; and 
‘‘(ii) violates subparagraph (A)(ii) 
shall be fined under title 18. 
‘‘(b) REFERRAL TO ATTORNEY GENERAL.—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 re-
quired to be reported. Whenever the Judicial Conference 
refers a name to the Attorney General under this sub-
section, the Judicial Conference also shall notify the judi-
cial council of the circuit in which the named individual 
serves of the referral. 
‘‘(c) PERSONNEL ACTION.—The President, the Vice 
President, the Secretary concerned, the head of each agen-
cy, 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
255 
failing to file a report or falsifying or failing to report in-
formation required to be reported. 
‘‘(d) LATE FEES.— 
‘‘(1) IN GENERAL.—Any individual who files a 
report required to be filed under this subchapter 
more than 30 days after the later of— 
‘‘(A) the date such report is required to be 
filed pursuant to the provisions of this sub-
chapter and the rules and regulations promul-
gated under this subchapter; or 
‘‘(B) if a filing extension is granted to 
such individual under section 13103(g) of this 
title, 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 author-
ity 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) WAIVER.—The supervising ethics office 
may waive the filing fee under this subsection in ex-
traordinary circumstances.
256 
‘‘§ 13107. Custody of and public access to reports 
‘‘(a) AVAILABILITY OF REPORTS TO PUBLIC.—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 subchapter with such agency or office or 
with the Clerk or the Secretary of the Senate, except 
that— 
‘‘(1) this section does not require public avail-
ability of a report filed by any individual in the Of-
fice of the Director of National Intelligence, the 
Central Intelligence Agency, the Defense Intelligence 
Agency, the National Geospatial-Intelligence Agency, 
or the National Security Agency, or any individual 
engaged in intelligence activities in any agency of 
the United States, if the President finds or has 
found that, due to the nature of the office or posi-
tion occupied by such individual, public disclosure of 
such report would, by 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 sec-
tion 13106(a) of this title, to file such additional re-
ports as are necessary to protect their identity from 
public disclosure if the President first finds or has
257 
found that such filing is necessary in the national in-
terest; 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, and any 
report filed by any person appointed by that inde-
pendent counsel under such chapter, shall not be 
made available to the public under this subchapter. 
‘‘(b) INSPECTION OF REPORTS.— 
‘‘(1) IN GENERAL.—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 30 
days after any report is received under this sub-
chapter by such agency or office or by the Clerk or 
the Secretary of the Senate, as the case may be, per-
mit inspection of such report by or furnish a copy 
of such report to any person requesting such inspec-
tion 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 cal-
endar 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
258 
13103(g) of this title. The agency, office, Clerk, or 
Secretary of the Senate, as the case may be, may re-
quire a reasonable fee to be paid in any amount 
which is found necessary to recover the cost of re-
production 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 deter-
mined that waiver or reduction of the fee is in the 
public interest. 
‘‘(2) 
PROCEDURE
FOR
REQUESTING
RE-
PORTS.—Notwithstanding paragraph (1), a report 
may not be made available under this section to any 
person nor may any copy of the report be provided 
under this section to any person except upon a writ-
ten 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 in-
spection or copy is requested; and 
‘‘(C) that such person is aware of the pro-
hibitions on the obtaining or use of the report.
259 
Any such application shall be made available to the 
public throughout the period during which the report 
is made available to the public. 
‘‘(3) JUDICIAL EMPLOYEES AND OFFICERS.— 
‘‘(A) IN GENERAL.—This section does not 
require the immediate and unconditional avail-
ability of reports filed by an individual de-
scribed in paragraph (9) or (10) of section 
13101 of this title if a finding is made by the 
Judicial Conference, in consultation with the 
United States Marshals Service, that revealing 
personal and sensitive information could endan-
ger that individual or a family member of that 
individual. 
‘‘(B) REDACTION.—A report may be re-
dacted pursuant to this paragraph only— 
‘‘(i) to the extent necessary to protect 
the individual who filed the report or a 
family member of that individual; and 
‘‘(ii) for as long as the danger to such 
individual exists. 
‘‘(C) REDACTION REPORT.—The Adminis-
trative Office of the United States Courts shall 
submit to the Committees on the Judiciary of 
the House of Representatives and of the Senate
260 
and the Senate Committee on Homeland Secu-
rity and Governmental Affairs and the House 
Committee on Oversight and Reform an annual 
report with respect to the operation of this 
paragraph including— 
‘‘(i) the total number of reports re-
dacted pursuant to this paragraph; 
‘‘(ii) the total number of individuals 
whose reports have been redacted pursuant 
to this paragraph; 
‘‘(iii) the types of threats against indi-
viduals whose reports are redacted, if ap-
propriate; 
‘‘(iv) the nature or type of informa-
tion redacted; 
‘‘(v) what steps or procedures are in 
place to ensure that sufficient information 
is available to litigants to determine if 
there is a conflict of interest; 
‘‘(vi) principles used to guide imple-
mentation of redaction authority; and 
‘‘(vii) any public complaints received 
relating to redaction. 
‘‘(D) REGULATIONS.—The Judicial Con-
ference, in consultation with the Department of
261 
Justice, shall issue regulations setting forth the 
circumstances under which redaction is appro-
priate under this paragraph and the procedures 
for redaction. 
‘‘(E) EXPIRATION OF PARAGRAPH.—This 
paragraph shall expire on December 31, 2027, 
and apply to filings through calendar year 
2027. 
‘‘(c) PROHIBITED USES OF REPORTS.— 
‘‘(1) IN GENERAL.—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, chari-
table, or other purpose. 
‘‘(2) CIVIL
ACTIONS.—The Attorney General 
may bring a civil action against any person who ob-
tains 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 per-
262 
son a penalty in any amount not to exceed $10,000. 
Such remedy shall be in addition to any other rem-
edy available under statutory or common law. 
‘‘(d) RETENTION OF REPORTS.— 
‘‘(1) IN GENERAL.—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 sub-
chapter shall be retained by such agency or office or 
by the Clerk of the House of Representatives or the 
Secretary of the Senate, as the case may be. 
‘‘(2) PUBLIC AVAILABILITY.—Such report shall 
be made available to the public— 
‘‘(A) in the case of a Member of Congress, 
until a date that is 6 years from the date the 
individual ceases to be a Member of Congress; 
and 
‘‘(B) in the case of all other reports filed 
pursuant to this subchapter, for a period of 6 
years after receipt of the report. 
‘‘(3) DESTRUCTION
OF
REPORTS.—After the 
relevant time period identified under paragraph (2), 
the report shall be destroyed unless needed in an on-
going investigation, except that in the case of an in-
dividual who filed the report pursuant to section
263 
13103(b) of this title and was not subsequently con-
firmed by the Senate, or who filed the report pursu-
ant to section 13103(c) of this title and was not sub-
sequently elected, such reports shall be destroyed 1 
year after the individual either is no longer under 
consideration by the Senate or is no longer a can-
didate for nomination or election to the Office of 
President, Vice President, or as a Member of Con-
gress, unless needed in an ongoing investigation or 
inquiry. 
‘‘§ 13108. Review of reports 
‘‘(a) TIME FOR REVIEW.— 
‘‘(1) EXECUTIVE
BRANCH.—Each designated 
agency ethics official or Secretary concerned shall 
make provisions to ensure that each report filed with 
the designated agency ethics official or Secretary 
under this subchapter is reviewed within 60 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 the Di-
rector of the Office of Government Ethics under this 
subchapter within 60 days after the date of trans-
mittal. 
‘‘(2) CONGRESSIONAL ETHICS COMMITTEE AND 
JUDICIAL CONFERENCE.—Each congressional ethics
264 
committee and the Judicial Conference shall make 
provisions to ensure that each report filed under this 
subchapter is reviewed within 60 days after the date 
of such filing. 
‘‘(b) RESULTS OF REVIEW.— 
‘‘(1) COMPLIANCE.—If after reviewing any re-
port under subsection (a), the Director of the Office 
of Government Ethics, the Secretary concerned, the 
designated agency ethics official, a person des-
ignated 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 applica-
ble laws and regulations, he or she shall state such 
opinion on the report, and shall sign such report. 
‘‘(2) ADDITIONAL INFORMATION REQUIRED OR 
POSSIBLE NONCOMPLIANCE.—If the Director of the 
Office of Government Ethics, the Secretary con-
cerned, the designated agency ethics official, a per-
son designated by the congressional ethics com-
mittee, or a person designated by the Judicial Con-
ference, after reviewing any report under subsection 
(a)—
265 
‘‘(A) believes additional information is re-
quired to be submitted, he or she shall notify 
the individual submitting such report what ad-
ditional information is required and the time by 
which it must be submitted; or 
‘‘(B) is of the opinion, on the basis of in-
formation submitted, that the individual is not 
in compliance with applicable laws and regula-
tions, he or she shall notify the individual, af-
ford 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 indi-
vidual is in compliance with such laws and reg-
ulations. 
‘‘(3) NONCOMPLIANCE AND NOTIFICATION OF 
STEPS TO ASSURE COMPLIANCE.—If the Director of 
the Office of Government Ethics, the Secretary con-
cerned, the designated agency ethics official, a per-
son 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 oppor-
266 
tunity for personal consultation (if practicable), de-
termine and notify the individual of which steps, if 
any, would in the opinion of such official or com-
mittee 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 sec-
tion 208(b) of title 18; or 
‘‘(E) voluntary request for transfer, reas-
signment, limitation of duties, or resignation. 
The use of any such steps shall be in accordance 
with such rules or regulations as the supervising eth-
ics office may prescribe. 
‘‘(4) REFERRAL OF INDIVIDUALS IN POSITIONS 
REQUIRING
SENATE
CONFIRMATION.—If steps for 
assuring compliance with applicable laws and regula-
tions 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
267 
shall be referred to the President for appropriate ac-
tion. 
‘‘(5) REFERRAL
OF
MEMBER
OF
FOREIGN 
SERVICE OR UNIFORMED SERVICES.—If steps for as-
suring compliance with applicable laws and regula-
tions are not taken by the date set under paragraph 
(3) by a member of the Foreign Service or the uni-
formed services, the Secretary concerned shall take 
appropriate action. 
‘‘(6) REFERRAL OF OTHER OFFICERS OR EM-
PLOYEES.—If steps for assuring compliance with ap-
plicable 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 appro-
priate action, except that in the case of the Post-
master General or Deputy Postmaster General, the 
Director of the Office of Government Ethics shall 
recommend to the Governors of the Board of Gov-
ernors of the United States Postal Service the action 
to be taken. 
‘‘(7) ADVISORY
OPINIONS.—Each supervising 
ethics office may render advisory opinions inter-
preting this subchapter within its respective jurisdic-
268 
tion. Notwithstanding any other provision of law, the 
individual to whom a public advisory opinion is ren-
dered in accordance with this paragraph, and any 
other individual covered by this subchapter 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 subchapter. 
‘‘§ 13109. Confidential reports and other additional 
requirements 
‘‘(a) IN GENERAL.— 
‘‘(1) AUTHORITY TO REQUIRE CONFIDENTIAL 
FINANCIAL
DISCLOSURE
REPORTS.—Each super-
vising ethics office may require officers and employ-
ees under its jurisdiction (including special Govern-
ment employees as defined in section 202 of title 18) 
to file confidential financial disclosure reports, in 
such form as the supervising ethics office may pre-
scribe. 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 other-
269 
wise required by this subchapter, 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, regulations promulgated 
under those sections, or the authorized activities of 
such officers or employees. Any individual required 
to file a report pursuant to section 13103 of this 
title shall not be required to file a confidential report 
pursuant to this subsection, except with respect to 
information which is more extensive than informa-
tion otherwise required by this subchapter. Sub-
sections (a), (b), and (d) of section 13107 of this 
title shall not apply with respect to any such report. 
‘‘(2) CONFIDENTIALITY.—Any information re-
quired to be provided by an individual under this 
subsection shall be confidential and shall not be dis-
closed to the public. 
‘‘(3) NO EXEMPTION FROM OTHER REPORTING 
REQUIREMENTS.—Nothing in this subsection ex-
empts any individual otherwise covered by the re-
quirement to file a public financial disclosure report 
under this subchapter from such requirement. 
‘‘(b) PREEMPTION.—The provisions of this sub-
chapter requiring the reporting of information shall super-
sede any general requirement under any other provision
270 
of law or regulation with respect to the reporting of infor-
mation required for purposes of preventing conflicts of in-
terest or apparent conflicts of interest. Such provisions of 
this subchapter shall not supersede the requirements of 
section 7342 of this title. 
‘‘(c) NO AUTHORIZATION FOR ACTIVITY OTHERWISE 
PROHIBITED.—Nothing in this chapter requiring report-
ing 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 regu-
lation. 
‘‘§ 13110. Authority of Comptroller General 
‘‘(a) ACCESS
TO
FINANCIAL
DISCLOSURE
RE-
PORTS.—The Comptroller General shall have access to fi-
nancial disclosure reports filed under this subchapter for 
the purposes of carrying out the Comptroller General’s 
statutory responsibilities. 
‘‘(b) STUDIES.—Not later than December 31, 1992, 
and regularly thereafter, the Comptroller General shall 
conduct a study to determine whether the provisions of 
this subchapter are being carried out effectively.
271 
‘‘§ 13111. Notice of actions taken to comply with eth-
ics agreements 
‘‘(a) IN GENERAL.—In any case in which an indi-
vidual agrees with that individual’s designated agency eth-
ics official, the Office of Government Ethics, a Senate con-
firmation committee, a congressional ethics committee, or 
the Judicial Conference, to take any action to comply with 
this chapter or any other law or regulation governing con-
flicts 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 con-
gressional 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 3 months after the date of the agreement, if 
no date for action is so specified. 
‘‘(b) RECUSAL.—If an agreement described in sub-
section (a) requires that the individual recuse himself or 
herself from particular categories of agency or other offi-
cial 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