Ethics Reform Act of 1989
PL 101-194 (H.R.3660), enacted 11/30/1989

103 STAT. 1716 
PUBLIC LAW 101-194—NOV. 30, 1989 
Nov. 30, 1989 
[H.R. 3660] 
Ethics Reform 
Act of 1989. 
5 u s e app. 101 
note. 
Public Law 101-194 
101st Congress 
An Act 
To amend the Rules of the House of Representatives and the Ethics in Government 
Act of 1978 to provide for Government-wide ethics reform, and for other purposes. 
Be it enacted by the Senate and House of Representatives of the 
United States of America in Congress assembled, 
SECTION 1. SHORT TITLE. 
This Act may be cited as the 'Ethics Reform Act of 1989". 
TITLE I—POST EMPLOYMENT RESTRIC-
TIONS ON THE EXECUTIVE AND LEGIS-
LATIVE BRANCHES 
District of 
Columbia. 
SEC. 101. RESTRICTIONS ON POSTEMPLOYMENT ACTIVITIES. 
(a) RESTRICTIONS.—Section 207 of title 18, United States Code, is 
amended to read as follows: 
"§ 207. Restrictions on former officers, employees, and elected 
officials of the executive and legislative branches 
"(a) RESTRICTIONS ON ALL OFFICERS AND EMPLOYEES OF THE EXECU-
TIVE BRANCH AND CERTAIN OTHER AGENCIES.— 
"(1) 
PERMANENT 
RESTRICTIONS 
ON 
REPRESENTATION ON 
PARTICULAR MATTERS.—Any person who is an officer or em-
ployee of the executive branch of the United States Government 
(including any independent agency of the United States and any 
special Government employee), or of the District of Columbia, 
and who, after the termination of his or her service or employ-
ment with the United States Government or the District of 
Columbia, as the case may be, knowingly makes, with the intent 
to influence, any communication to or appearance before any 
officer or employee of any department, agency, court, or court-
martial of the United States or the District of Columbia, as the 
case may be, on behalf of any other person (except the United 
States) in connection with a particular matter— 
"(A) in which the United States is a party or has a direct 
and substantial interest, 
"(B) in which the person participated personally and 
substantially as such officer or employee, and 
"(C) which involved a specific party or specific parties at 
the time of such participation, 
shall be punished £is provided in section 216 of this title. 
"(2) TWO-YEAR RESTRICTIONS CONCERNING PARTICULAR MATTERS 
UNDER OFFICIAL RESPONSIBILITY.—Any person subject to the 
restrictions contained in paragraph (1) who, within 2 years after 
the termination of his or her service or employment with the 
United States Government, knowingly makes, with the intent to 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1717 
influence, any communication to or appearance before any 
officer or employee of any department, agency, court, or court-
martial of the United States or the District of Columbia, on 
behalf of any other person (except the United States), in connec-
tion with a particular matter— 
"(A) in which the United States is a party or has a direct 
and substantial interest, 
"(B) which such person knows or reasonably should know 
was actually pending under his or her official responsibility 
as such officer or employee within a period of 1 year before 
the termination of his or her service or employment with 
the United States Government or the District of (Columbia, 
and 
"(C) which involved a specific party or specific parties at 
the time it was so pending, 
shall be punished as provided in section 216 of this title. 
"(b) ONE-YEAR RESTRICTIONS ON AIDING O
R ADVISING.— 
"(1) IN GENERAL.—Any person who is a former officer or 
employee subject to the restrictions contained in subsection 
(a)(1), and any person described in subsection (eX7), who person-
ally and substantially participated in any ongoing trade or 
treaty negotiation on behalf of the United States within the 1-
year period preceding the date on which his or her service or 
employment with the United States terminated, and who had 
access to information concerning such trade or treaty negotia-
tion which is exempt from disclosure under section 552 of title 5, 
and which is so designated by the appropriate department or 
agency, shall not, on the basis of that information, which the 
person knew or should have known was so designated, know-
ingly represent, aid, or advise any other person (except the 
United States) concerning such ongoing trade or treaty negotia-
tion for 1 year after his or her service or employment with the 
• United States Government terminates. Any person who violates 
this subsection shall be punished as provided in section 216 of 
this title. 
"(2) DEFINITION.—For purposes of this paragraph— 
"(A) the term 'trade negotiation' means negotiations 
which the President determines to undertake to enter into 
a trade agreement pursuant to section 1102 of the Omnibus 
Trade and Competitiveness Act of 1988, and does not 
include any action taken before that determination is 
made; and 
"(B) the term 'treaty' means an international agreement 
made by the President that requires the advice and consent 
of the Senate. 
"(c) ONE-YEAR RESTRICTIONS ON CERTAIN SENIOR PERSONNEL OF 
THE EXECUTIVE BRANCH AND INDEPENDENT AGENCIES.— 
"(1) RESTRICTIONS.—In addition to the restrictions set forth in 
subsections (a) and (b), any person who is an officer or employee 
of the executive branch (including an independent agency), who 
is referred to in paragraph (2), and who, within 1 year after the 
termination of his or her service or employment as such officer 
or employee, knowingly makes, with the intent to influence, any 
communication to or appearance before any officer or employee 
of the department or agency in which such person served within 
1 year before such termination, on beh£ilf of any other person 
(except the United States), in connection with any matter on 
103 STAT. 1718 
PUBLIC LAW 101-194—NOV. 30, 1989 
which such person seeks official action by any officer or 
employee of such department or agency, shall be punished £is 
provided in section 216 of this title, 
"(2) PERSONS TO W
H
O
M RESTRICTIONS APPLY.—(A) Paragraph (1) 
sh£ill apply to a person (other than a person subject to the 
restrictions of subsection (d))— 
"(i) employed at a rate of pay fixed according to sub-
chapter II of chapter 53 of title 5, or a comparable or 
greater rate of pay under other authority, 
"(ii) employed in a position which is not referred to in 
* clause (i) emd for which the basic rate of pay is equal to or 
greater than the basic rate of pay payable for GS-17 of the 
General Schedule, 
"(iii) appointed by the President to a position under 
section 105(aX2XB) of title 3 or by the Vice President to a 
position under section 106(aXlXB) of title 3, or 
Uniformed 
"(iv) employed in a position which is held by an active 
services. 
duty commissioned officer of the uniformed services who is 
serving in a grade or rank for which the pay grade (as 
specified in section 201 of title 37) is pay grade 0-7 or 
above. 
"(B) Paragraph (1) shall not apply to a special Government 
employee who serves less than 60 days in the 1-year period 
before his or her service or employment as such employee 
terminates. 
"(C) Subparagraph (AXii) includes persons employed in the 
Senior Executive Service at the basic rate of pay specified in 
that subparagraph. 
"(D) At the request of a department or agency, the Director of 
the Office of Government Ethics may waive the restrictions 
contained in paragraph (1) with respect to any position, or 
category of positions, referred to in clause (ii) or (iv) of subpara-
graph (A), in such department or agency if the Director deter-
mines that— 
"(i) the imposition of the restrictions with respect to such 
position or positions would create an undue hardship on the 
department or agency in obtaining qualified personnel to 
fill such position or positions, and 
"(ii) granting the waiver would not create the potential 
for use of undue influence or unfair advantage. 
"(d) RESTRICTIONS ON VERY SENIOR PERSONNEL OF THE EXECUTIVE 
BRANCH AND INDEPENDENT AGENCIES.— 
"(1) RESTRICTIONS.—In addition to the restrictions set forth in 
subsections (a) and (b), any person who— 
"(A) serves in the position of Vice President of the United 
States, 
"(B) is employed in a position paid at a rate of pay 
payable for level I of the Executive Schedule or employed in 
a position in the Executive Office of the President at a rate 
of pay payable for level II of the Executive Schedule, or 
' (C) is appointed by the President to a position under 
section 105(aX2XA) of title 3 or by the Vice President to a 
position under section 106(aXlXA) of title 3, 
and who, within 1 year after the termination of that person's 
service in that position, knowingly makes, with the intent to 
influence, any communication to or appearance before any 
person described in paragraph (2), on behalf of any other person 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1719 
(except the United States), in connection with any matter on 
which such person seeks official action by any officer or em-
ployee of the executive branch of the United States, shall be 
punished as provided in section 216 of this title. 
"(2) ENTITIES TO WHICH RESTRICTIONS APPLY.—The persons 
referred to in paragraph (1) with respect to appearances or 
communications by a person in a position described in subpara-
graph (A), (B), or (C) of paragraph (1) are— 
"(A) any officer or employee of any department or agency 
in which such person served in such position within a 
period of 1 year before such person's service or employment 
with the United States Government terminated, and 
"(B) any other person appointed to a position in the 
executive branch which is listed in section 5312, 5313, 5314, 
. 5315, or 5316 of title 5. 
"(e) RESTRICTIONS ON MEMBERS OF (DONGRESS AND OFFICERS AND 
EMPLOYEES OF THE LEGISLATIVE BRANCH.— 
"(1) MEMBERS OF CONGRESS AND ELECTED OFFICERS.—(A) Any 
person who is a Member of CJongress or an elected officer of 
either House of Congress and who, within 1 year after that 
person leaves office, knowingly makes, with the intent to influ-
ence, any communication to or appearance before any of the 
persons described in subparagraph (B) or (C), on behalf of any 
other person (except the United States) in connection with any 
matter on which such former Member of Congress or elected 
officer seeks action by a Member, officer, or employee of either 
House of Ck)ngress, in his or her official capacity, shall be 
punished as provided in section 216 of this title. 
"(B) The persons referred to in subparagraph (A) with respect 
to appearances or communications by a former Member of 
Congress are any Member, officer, or employee of either House 
of Congress, and any employee of any other legislative office of 
the Congress. 
"(C) The persons referred to in subparsigraph (A) with respect 
to appearances or communications by a former elected officer 
are any Member, officer, or employee of the House of Congress 
in which the elected officer served. 
"(2) PERSONAL STAFF.—(A) Any person who is an employee of a 
Senator or an employee of a Member of the House of Represent-
atives and who, within 1 year after the termination of that 
employment, knowingly makes, with the intent to influence, 
any communication to or appearance before any of the persons 
described in subparagraph (B), on behalf of any other person 
(except the United States) in connection with any matter on 
which such former employee seeks action by a Member, officer, 
or employee of either House of Congress, in his or her official 
capacity, shall be punished as provided in section 216 of this 
title. 
"(B) The persons referred to in subparagraph (A) with respect 
to appearances or communications by a person who is a former 
employee are the following: 
"(i) the Senator or Member of the House of Representa-
tives for whom that person w£is an employee; and 
"(ii) any employee of that Senator or Member of the 
House of Representatives. 
"(3) COMMITTEE STAFF.—Any person who is an employee of a 
committee of Congress and who, within 1 year after the termi-
103 STAT. 1720 
PUBLIC LAW 101-194—NOV. 30, 1989 
nation of that person's employment on such committee, know-
ingly makes, with the intent to influence, any communication to 
or appearance before any person who is a Member or an em-
ployee of that committee or who was a Member of the commit-
tee in the year immediately prior to the termination of such 
person's employment by the committee, on behalf of any other 
person (except the United States) in connection with any matter 
on which such former employee seeks action by a Member, 
officer, or employee of either House of Congress, in his or her 
oflicial capacity, shall be punished as provided in section 216 of 
this title. 
"(4) LEADERSHIP STAFF.—(A) Any person who is an employee 
on the leadership staff of the House of Representatives or an 
employee on the leadership staff of the Senate and who, within 
1 year after the termination of that person's employment on 
such staff, knowingly makes, with the intent to influence, any 
communication to or appearance before any of the persons 
described in subparagraph (B), on behalf of any other person 
(except the United States) in connection with any matter on 
which such former employee seeks action by a Member, officer, 
or employee of either House of Congress, in his or her official 
capacity, shall be punished as provided in section 216 of this 
title. 
V 
"(B) The persons referred to in subparagraph (A) with respect 
to appearances or communications by a former employee are 
the following: 
"(i) in the case of a former employee on the leadership 
staff of the House of Representatives, those persons are any 
Member of the leadership of the House of Representatives 
and any employee on the leadership staff of the House of 
Representatives; and 
' (ii) in the case of a former employee on the leadership 
staff of the Senate, those persons are any Member of the 
leadership of the Senate and any employee on the leader-
ship staff of the Senate. 
"(5) OTHER LEGISLATIVE OFFICES.—(A) Any person who is an 
employee of any other legislative office of the Congress and who, 
^ 
within 1 year after the termination of that person s employment 
in such office, knowingly makes, with the intent to influence, 
any communication to or appearance before any of the persons 
described in subparagraph (B), on behalf of any other person 
(except the United States) in connection with £uiy matter on 
which such former employee seeks action by any officer or 
employee of such office, in his or her official capacity, shall be 
punished sis provided in section 216 of this title. 
"(B) The persons referred to in subparagraph (A) with respect 
to appearances or communications by a former employee are 
the employees and officers of the former legislative office of the 
Congress of the former employee. 
"(6) LIMITATION ON RESTRICTIONS.—The restrictions contained 
in paragraphs (2), (3), (4), and (5) apply only to acts by a former 
employee who, for at least 60 days, in the aggregate, during the 
1-year period before that former employee s service as such 
employee terminated, was paid for such service at a basic rate of 
pay equal to or greater than the basic rate of pay payable for 
GS-17 of the General Schedule under section 5332 of title 5. 
"(7) DEFINITIONS.—As used in this subsection— 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1721 
"(A) the term 'committee of Congress' includes standing 
committees, joint committees, and select committees; 
"(B) a person is an employee of a House of Congress if 
that person is an employee of the Senate or an employee of 
the House of Representatives; 
"(C) the term 'employee of the House of Representatives' 
means an employee of a Member of the House of Represent-
atives, an employee of a committee of the House of Rep-
resentatives, an employee of a joint committee of the 
Congress whose pay is disbursed by the Clerk of the House 
of Representatives, and an employee on the leadership staff 
of the House of Representatives; 
"(D) the term 'employee of the Senate' means an em-
ployee of a Senator, an employee of a committee of the 
Senate, an employee of a joint committee of the Congress 
whose pay is disbursed by the Secretary of the Senate, and 
an employee on the leadership staff of the Senate; 
"(E) a person is an employee of a Member of the House of 
Representatives if that person is an employee of a Member 
of the House of Representatives under the clerk hire allow-
ance; 
"(F) a person is an employee of a Senator if that person is 
an employee in a position in the office of a Senator; 
"(G) the term 'employee of any other legislative office of 
the Congress' means an officer or employee of the Architect 
of the Capitol, the United States Botanic Garden, the Gen-
eral Accounting Office, the Government Printing Office, 
the Library of Congress, the Office of Technology Assess-
ment, the Ck)ngressional Budget Office, the Copyright Roy-
alty Tribunal, the United States Capitol Police, and any 
other agency, entity, or office in the legislative branch not 
covered by paragraph (1), (2), (3), or (4) of this subsection; 
"(H) the term 'employee on the leadership staff of the 
House of Representatives' means an employee of the office 
of a Member of the leadership of the House of Representa-
tives described in subparagraph (L), and any elected minor-
ity employee of the House of Representatives; 
"(I) the term 'employee on the leadership staff of the 
Senate' means an employee of the office of a Member of the 
leadership of the Senate described in subparagraph (M); 
"(J) the term 'Member of Congress' means a Senator or a 
Member of the House of Representatives; 
"(K) the term 'Member of the House of Representatives' 
means a Representative in, or a Delegate or Resident 
Commissioner to, the (Dongress; 
"(L) the term 'Member of the leadership of the House of 
Representatives' means the Speaker, majority 
leader, 
minority leader, majority whip, minority whip, chief deputy 
majority whip, chief deputy minority whip, chairman of 
the Democratic Steering Committee, chairman and vice 
chairman of the Democratic Caucus, chairmsui, vice chair-
man, and secretary of the Republican Conference, chair-
man of the Republican Research Committee, and chairman 
of the Republican Policy Committee, of the House of Rep-
resentatives (or any similar position created after the effec-
tive date set forth in section 102(a) of the Ethics Reform Act 
of 1989); 
103 STAT. 1722 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(M) the term 'Member of the leadership of the Senate' 
means the Vice President, and the President pro tempore, 
Deputy President pro tempore, majority leader, minority 
leader, majority whip, minority whip, chairman and sec-
retary of the Conference of the Majority, chairman and 
secretary of the Conference of the Minority, chairman and 
) 
co-chairman of the Majority Policy Committee, and chair-
man of the Minority Policy Committee, of the Senate (or 
any similar position created after the effective date set 
forth in section 102(a) of the Ethics Reform Act of 1989). 
"(f) RESTRICTIONS RELATING TO FOREIGN ENTITIES.— 
"(1) RESTRICTIONS.—Any person who is subject to the restric-
tions contained in subsection (c), (d), or (e) and who knowingly, 
within 1 year after leaving the position, office, or emplo5rment 
referred to in subsection (c), (d), or (e), as the case may be— 
"(A) represents the interests of a foreign entity before 
any officer or employee of any department or agency of the 
Government of the United States with the intent to influ-
ence a decision of such officer or employee in carrying out 
his or her official duties, or 
"(B) aids or advises a foreign entity with the intent to 
influence a decision of any officer or employee of any 
department or agency of the Government of the United 
States, in carrying out his or her official duties, 
shall be punished as provided in section 216 of this title. 
"(2) DEFINITION.—For purposes of this subsection, the term 
'foreign entity' means the government of a foreign country as 
defined in section 1(e) of the Foreign Agents Registration Act of 
1938, as amended, or a foreign political party as defined in 
section 1(f) of that Act.". 
"(g) SPECIAL RULES FOR DETAILEES.—For purposes of this section, a 
person who is detailed from one department, agency, or other entity 
to another department, sigency, or other entity shall, during the 
period such person is detailed, be deemed to be an officer or em-
ployee of both departments, agencies, or such entities. 
'(h) 
DESIGNATIONS OF SEPARATE STATUTORY AGENCIES AND BU-
REAUS.— 
"(1) DESIGNATIONS.—For purposes of subsection (c) and except 
as provided in paragraph (2), whenever the Director of the 
Office of Government Ethics determines that an agency or 
V 
bureau within a department or agency in the executive branch 
exercises functions which are distinct and separate from the 
remaining functions of the department or gigency and that there 
exists no potential for use of undue influence or unfair advan-
tage based on past Government service, the Director shall by 
rule designate such agency or bureau as a separate department 
or agency. On an annual basis the Director of the Office of 
Grovemment Ethics shall review the designations and deter-
minations made under this subparagraph and, in consultation 
with the department or agency concerned, make such additions 
and deletions as are necessary. Departments and agencies shall 
cooperate to the fullest extent with the Director of the Office of 
Government Ethics in the exercise of his or her responsibilities 
under this paragraph. 
"(2) INAPPLICABILITY OF DESIGNATIONS.—No agency or bureau 
within the Executive Office of the President may be designated 
under paragraph (1) as a separate department or agency. No 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1723 
designation under paragraph (1) shall apply to persons referred 
to in subsection (cX2XA) (i) or (iii). 
'(i) DEFINITIONS.—For purposes of this section— 
"(1) the term 'intent to influence' means the intent to affect 
any official action by a Government entity of the United States 
through any officer or employee of the United States, including 
Members of Congress; 
"(2) the term 'participated' means an action taken as an 
officer or employee through decision, approval, disapproval, 
recommendation, the rendering of advice, investigation, or 
other such action; and 
"(3) the term 'particular matter' includes any investigation, 
application, request for a ruling or determination, rulemaking, 
contract, controversy, claim, charge, accusation, arrest, or ju-
dicial or othgr proceeding, 
'(j) EXCEPTIONS.— 
"(1) OFFICIAL GOVERNMENT DUTIES.—The restrictions con-
tained in subsections (a), (c), (d), and (e) shall not apply to acts 
done in carrying out official duties as an officer or employee of 
the United States Government or as an elected official of a 
State or local government. 
"(2) STATE AND LOCAL GOVERNMENTS AND INSTITUTIONS, HOS-
PITALS, AND ORGANIZATIONS.—The restrictions contained in 
subsections (c), (d), and (e) shall not apply to acts done in 
carrjring out official duties as an employee o
f
— 
"(A) an gigency or instrumentality of a State or local 
government if the appearance, communication, or represen-
tation is on behalf of such government, or 
"(B) an accredited, degree-granting institution of higher 
education, as defined in section 1201(a) of the Higher Edu-
cation Act of 1965, or a hospital or medical research 
organization, exempted and defined under section 501(cX3) 
of the Internal Revenue Code of 1986, if the appearance, 
communication, or representation is on behalf of such 
institution, hospital, or organization. 
"(3) INTERNATIONAL ORGANIZATIONS.—The restrictions con-
tained in subsections (c), (d), and (e) shall not apply to an 
appearance or communication on behalf of, or advice or aid to, 
an international organization of which the United States is a 
member. 
"(4) 
PERSONAL MATTERS AND 
SPECIAL 
KNOWLEDGE.—The 
restrictions contained in subsections (c), (d), and (e) shall not 
apply to appearances or communications by a former officer or 
employee concerning matters of a personal and individual 
nature, such as personal income taxes or pension benefits; nor 
shall the prohibitions of those subsections prevent a former 
officer or employee from making or providing a statement, 
which is based on the former officer's or employee's own specisd 
knowledge in the particular area that is the subject of the 
statement, if no compensation is thereby received, other than 
that regularly provided for by law or regulation for witnesses. 
"(5) EXCEPTION FOR SCIENTIFIC OR TECHNOLOGICAL INFORMA-
TION.—The restrictions contained in subsections (a), (c), (d), and 
(e) shall not apply with respect to the making of communica-
tions solely for the purpose of furnishing scientific or techno-
logical information, if such communications are made under 
procedures acceptable to the department or agency concerned 
Federal 
Register, 
publication. 
103 STAT. 1724 
PUBLIC LAW 101-194—NOV. 30, 1989 
or if the head of the department or agency concerned with the 
particular matter, in consultation with the Director of the 
Office of Government Ethics, makes a certification, published in 
the Federal Register, that the former officer or employee has 
outstanding qualifications in a scientific, technological, or other 
technical discipline, and is acting with respect to a particular 
matter which requires such qualifications, and that the national 
interest would be served by the participation of the former 
officer or employee. 
Vice President 
"(6) EXCEPTION FOR TESTIMONY.—Nothing in this section shall 
prevent a former Member of Congress or officer or employee of 
the executive or legislative branch or an independent agency 
(including the Vice President and any special Government em-
ployee) from giving testimony under oath, or from making 
statements required to be made under penalty of perjury. Not-
withstanding the preceding sentence, a former officer or em-
ployee subject to the restrictions contained in subsection (aXD 
with respect to a particular matter may not, except pursuant to 
court order, serve as an expert witness for any other person 
(except the United States) in that matter.", 
(b) CONFORMING AMENDMENT.—The item relating to section 207 in 
the table of sections at the beginning of chapter 11 of title 18, United 
States CJode, is amended to read as follows: 
"207. Restrictions on former officers, employees, and elected officials of the execu-
tive and legislative branches." 
18 u s e 207 note. 
SEC. 102. EFFECTIVE DATE. 
(a) IN GENERAL.—Subject to subsection (b), the amendments made 
by section 101 take effect on January 1,1991. 
(b) EFFECT ON EMPLOYMENT.—(1) The amendments made by sec-
tion 101 apply only to persons whose service as a Member of 
Congress or an officer or employee to which such amendments apply 
terminates on or after the effective date of such amendments. 
(2) With respect to service as an officer or employee which termi-
nates before the effective date set forth in subsection (a), section 207 
of title 18, United States Ckxie, as in effect at the time of the 
termination of such service, shall continue to apply, on and after 
such effective date, with respect to such service. 
TITLE II—FINANCIAL DISCLOSURE OF 
FEDERAL PERSONNEL 
SEC. 201. REPEAL OF TITLES II AND III OF THE ETHICS IN GOVERNMENT 
ACT OF 1978. 
Titles II and III of the Ethics in Government Act of 1978 (5 U.S.C. 
App.; 28 U.S.C. App.) are repealed. 
SEC. 202. FINANCIAL 
DISCLOSURE 
REQUIREMENTS 
OF 
FEDERAL 
PERSONNEL. 
Title I of the Ethics in Government Act of 1978 (2 U.S.C. 701 et 
seq.) is amended to read as follows: 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1725 
"TITLE I—FINANCIAL DISCLOSURE REQUIREMENTS OF 
FEDERAL PERSONNEL 
"PERSONS REQUIRED TO FILE 
"SEC. 101. (a) Within thirty days of assuming the position of an 
SUSCapp. 101. 
officer or employee described in subsection (f), an individual shall 
file a report containing the information described in section 1020)) 
unless the individual has left another position described in subsec-
tion (f) within thirty days prior to assuming such new position or ha^ 
already filed a report under this title with respect to nomination for 
the new position or as a candidate for the position. 
"Ot)Xl) Within five days of the transmittal by the President to the 
Senate of the nomination of an individual (other than an individual 
nominated for appointment to a position as a Foreign Service Officer 
or a grade or rank in the uniformed services for which the pay grade 
prescribed by section 201 of title 37, United States Code, is 0-6 or 
below) to a position, appointment to which requires the advice and 
consent of the Senate, such individued shall file a report containing 
the information described in section 1020^). Such individual shall, 
not later than the date of the first hearing to consider the nomina-
tion of such individual, make current the report filed pursuant to 
this paragraph by filing the information required by section 
102(aXlXA) with respect to income and honoraria received as of the 
date which occurs five days before the date of such hearing. Nothing 
in this Act shall prevent any Congressional committee from request-
ing, as a condition of confirmation, any additional financial informa-
tion from any Presidential nominee whose nomination has been 
referred to that committee. 
"(2) An individual whom the President or the President-elect has 
publicly announced he intends to nominate to a position may file the 
report required by paragraph (1) at any time after that public 
announcement, but not later than is required under the first sen-
tence of such paragraph. 
"(c) Within thirty days of becoming a candidate as defined in 
section 301 of the Federal Campaign Act of 1971, in a calendar year 
for nomination or election to the office of President, Vice President, 
or Member of Congress, or on or before May 15 of that calendar 
year, whichever is later, but in no event later than 30 days before 
the election, and on or before May 15 of each successive year an 
individual continues to be a candidate, an individual other than an 
incumbent President, Vice President, or Member of Congress shall 
file a report containing the information described in section 102(b). 
Notwithstanding the preceding sentence, in any calendar year in 
which an individual continues to be a candidate for any office but all 
elections for such office relating to such candidacy were held in 
prior calendar years, such individual need not file a report unless he 
becomes a candidate for another vacancy in that office or another 
office during that year. 
"(d) Any individual who is an officer or employee described in 
subsection (f) during any calendar year and performs the duties of 
his position or office for a period in excess of sixty days in that 
calendar year shall file on or before May 15 of the succeeding year a 
report containing the information described in section 102(a). 
'(e) Any individual who occupies a position described in subsec-
tion (f) shall, on or before the later of May 15 or the thirtieth day 
after termination of employment in such position, file a report 
103 STAT. 1726 
PUBLIC LAW 101-194—NOV. 30, 1989 
containing the information described in section 102(a) covering the 
preceding calendar year if the report required by subsection (d) has 
not been filed and covering the portion of the calendar year in which 
such termination occurs up to the date the individual left such office 
or position, unless such individual has accepted emplo3rment in 
another position described in subsection (f). 
"(f) The officers and employees referred to in subsections (a), (d), 
and (e) are— 
"(1) the President; 
"(2) the Vice President; 
"(3) each officer or employee in the executive branch, includ-
ing a special Government employee as defined in section 202 of 
title 18, United States Oode, whose position is classified at GS-
16 or above of the General Schedule prescribed by section 5332 
of title 5, United States Code, or the rate of basic pay for which 
is fixed (other than under the General Schedule) at a rate equal 
to or greater than the minimum rate of beisic pay fixed for GS-
16; each member of a uniformed service whose pay grade is at or 
in excess of 0-7 under section 201 of title 37, United States 
Code; and each officer or employee in any other position deter-
mined by the Director of the Office of Government Ethics to be 
of equal classification; 
"(4) each employee appointed pursuant to section 3105 of title 
5, United States CJode; 
"(5) any employee not described in par£igraph (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 ap-
plication of this paragraph any individual, or group of individ-
uals, who are in such positions, but only in cases in which the 
Director determines such exclusion would not affect adversely 
the integrity of the Government or the public's confidence in 
the integrity of the Government; 
"(6) the Postmaster General, the Deputy Postmaster General, 
each Governor of the Board of Governors of the United States 
Postal Service and each officer or employee of the United States 
Postal Service or Postal Rate (Commission whose basic rate of 
pay is equal to or greater than the minimum rate of basic pay 
fixed for GS-16; 
"(7) the Director of the Office of Government Ethics and each 
designated agency ethics official; 
"(8) any civilian employee not described in pareigraph (3), 
employed in the Executive Office of the President (other than a 
special government employee) who holds a commission of 
appointment from the President; 
(9) a Member of CJongress as defined under section 109(12); 
"(10) an officer or employee of the Congress as defined under 
section 109(13); 
"(11) a judicial officer as defined under section 109(10); and 
"(12) a judicial employee as defined under section 109(8). 
"(g) Reasonable extensions of time for filing any report may be 
granted under procedures prescribed by the supervising ethics office 
for each branch, but the total of such extensions shml not exceed 
ninety days. 
"(h) The provisions of subsections (a), (b), and (e) shall not apply to 
an individual who, as determined by the designated agency ethics 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1727 
official or Secretary concerned (or in the ceise of a Presidential 
appointee under subsection (b), the Director of the Office of Govern-
ment Ethics), the congressional ethics committees, or the Judicial 
Conference of the United States, is not reasonably expected to 
perform the duties of his office or position for more than sixty days 
in a calendar year, except that if such individual performs the 
duties of his office or position for more than sixty days in a calendar 
year— 
"(1) the report required by subsections (a) and (b) shall be filed 
within fifteen days of the sixtieth day, and 
"(2) the report required by subsection (e) shall be filed as 
provided in such subsection, 
"(i) The supervising ethics office for each branch may grant a 
publicly available request for a waiver of any reporting requirement 
under this section for an individual who is expected to perform or 
has performed the duties of his office or position less than one 
hundred and thirty days in a calendar year, but only if the super-
vising ethics office determines that— 
"(1) such individual is not a full-time employee of the Govern-
ment, 
"(2) such individual is able to provide services specially 
needed by the Government, 
"(3) it is unlikely that the individual's outside employment or 
financial interests will create a conflict of interest, and 
"(4) public financial disclosure by such individual is not 
necessary in the circumstances. 
"CONTENTS OF REPORTS 
"SEC. 102. (a) Each report filed pursuant to section 101 (d) and (e) 5 USC app. 102. 
shall include a full and complete statement with respect to the 
following: 
"(IXA) The source, type, and amount or value of income (other 
Classified 
than income referred to in subparagraph (B)) from any source 
information, 
(other than from current employment by the United States 
Government), and the source, date, and amount of honoraria 
from any source, received during the preceding calendar year, 
aggregating $200 or more in value and, effective January 1, 
1991, the source, date, and amount of pajrments made to chari-
table org£mizations in lieu of honoraria, and such individuals 
shall simultaneously file with the applicable supervising ethics 
office, on a confidential basis, a corresponding list of recipients 
of all such payments, together with the dates and amounts of 
such payments. 
"(B) The source and type of income which consists of divi-
dends, rents, interest, and capital gains, received during the 
preceding calendar year which exceeds $200 in amount or value, 
and an indication of which of the following categories the 
amount or value of such item of income is within: 
"(i) not more than $1,000, 
"(ii) greater than $1,000 but not more than $2,500, 
"(iii) greater than $2,500 but not more than $5,000, 
"(iv) greater than $5,000 but not more than $15,000, 
"(v) greater than $15,000 but not more than $50,000, 
"(vi) greater than $50,000 but not more than $100,000, 
"(vii) greater than $100,000 but not more than $1,000,000, 
or 
103 STAT. 1728 
PUBLIC LAW 101-194—NOV. 30, 1989 
Gifts and 
property. 
Real property. 
Real property. 
Real property. 
Securities. 
"(viii) greater than $1,000,000. 
"(2XA) The identity of the source and a brief description 
(including a travel itinerary, dates, and nature of expenses 
provided) of any gifts of transportation, lodging, food, or enter-
tainment aggregating $250 or more in value received from any 
source other than a relative of the reporting individual during 
the preceding calendar year, except that any food, lodging, or 
entertainment received as personal hospitality of any individual 
need not be reported, and any gift with a fair market value of 
$75 or less need not be aggregated for purposes of this subpara-
graph. 
"(B) The identity of the source, a brief description, and the 
value of all gifts other than transportation, lodging, food, or 
entertainment aggregating $100 or more in value received from 
any source other than a relative of the reporting individual 
during the preceding calendar year, except that any gift with a 
fair market value of $75 or less need not be aggregated for 
purposes of this subparagraph. 
"(C) The identity of the source and a brief description (includ-
ing a travel itinerary, dates, and nature of expenses provided) of 
reimbursements received from any source aggregating $250 or 
more in value and received during the preceding calendar year. 
"(D) In an unusual case, a gift need not be aggregated under 
subparagraph (A) or (B) if a publicly available request for a 
waiver is granted. 
"(3) The identity and category of value of any interest in 
property held during the preceding calendar year in a trade or 
business, or for investment or the production of income, which 
has a fair market value which exceeds $1,000 as of the close of 
the preceding calendar year, excluding any personal liability 
owed to the reporting individual by a spouse, parent, brother, 
sister, or child or any deposits aggregating $5,000 or less in a 
personal savings account. For puri>oses of this paragraph, a 
personal savings account shall include any certificate of deposit 
or any other form of deposit in a bank, savings and loan 
association, credit union, or similar financial institution. 
"(4) The identity and category of value of the total liabilities 
owed to any creditor other than a relative which exceed $10,000 
at any time during the preceding calendar year, excluding— 
"(A) any mortgage secured by real property which is a 
personal residence of the reporting individual or his spouse; 
and 
"(B) any loan secured by a personal motor vehicle, house-
hold furniture, or appliances, which loan does not exceed 
the purchase price of the item which secures it. 
With respect to revolving charge accounts, only those with an 
outstanding liability which exceeds $10,000 as of the close of the 
preceding calendar year need be reported under this paragraph. 
"(5) Except as provided in this paragn*apb, a brief description, 
the date, and category of value of any purchase, sale or ex-
change during the preceding calendar year which exceeds 
$1,000— 
"(A) in real property, other than property used solely as a 
personal residence of the reporting individual or his spouse; 
or 
"(B) in stocks, bonds, commodities futures, and other 
forms of securities. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1729 
Reporting is not required under this paragraph of any trans-
action solely by and between the reporting individual, his 
spouse, or dependent children. 
"(6XA) The identity of all positions held on or before the date 
of filing during the current calendar year (and, for the first 
report filed by an individual, during the two-year period preced-
ing such calendar year) as an officer, director, trustee, partner, 
proprietor, representative, employee, or consultant of any cor-
poration, company, firm, partnership, or other business enter-
prise, any nonprofit organization, any labor organization, or any 
educational or other institution other than the United States. 
This subparagraph shall not require the reporting of positions 
held in any religious, social, fraternal, or political entity and 
positions solely of an honorary nature. 
"(B) If any person, other than the United States Government, 
paid a nonelected reporting individusd compensation in excess 
of $5,000 in any of the two calendar years prior to the calendar 
year during which the individual files his first report under this 
title, the individual shall include in the report— 
"(i) the identity of each source of such compensation; and 
"(ii) a brief description of the nature of the duties per-
formed or services rendered by the reporting individual for 
each such source. 
The preceding sentence shall not require any individual to 
Classified 
include in such report any information which is considered 
information. 
confidential as a result of a privileged relationship, established 
by law, between such individual and any person nor shall it 
require an individual to report any information with respect to 
any person for whom services were provided by any firm or 
association of which such individual was a member, partner, or 
employee unless such individual wsis directly involved in the 
provision of such services. 
"(7) A description of the date, parties to, and terms of any 
agreement or arrangement with respect to (A) future employ-
ment; (B) a leave of absence during the period of the reporting 
individual's Government service; (C) continuation of payments 
by a former employer other than the United States Govern-
ment; and (D) continuing participation in an employee welfare 
or benefit plan maintained by a former employer. 
"(bXD Each report filed pursuant to subsections (a), (h), and (c) of 
section 101 shall include a full and complete statement with respect 
to the information required by— 
"(A) paragraph (1) of subsection (a) for the year of filing and 
the preceding calendar year, 
"(B) paragraphs (3) and (4) of subsection (a) as of the date 
specified in the report but which is less than thirty-one days 
before the filing date, and 
"(C) paragraphs (6) and (7) of subsection (a) as of the filing 
date but for periods described in such paragraphs. 
"(2XA) In lieu of filling out one or more schedules of a financial 
disclosure form, an individual may supply the required information 
in an alternative format, pursuant to either rules adopted by the 
supervising ethics office for the branch in which such individual 
serves or pursuant to a specific written determination by such office 
for a reporting individual. 
103 STAT. 1730 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(B) In lieu of indicating the category of amount or value of any 
item contained in any report filed under this title, a reporting 
individual may indicate the exact dollar amount of such item. 
"(c) In the case of any individual described in section 101(e), any 
reference to the preceding calendar year shall be considered also to 
include that part of the calendar year of filing up to the date of the 
termination of employment. 
"(dXD The categories for reporting the amount or value of the 
items covered in paragraphs (3), (4), and (5) of subsection (a) are as 
follows: 
"(A) not more than $15,000; 
"(B) greater than $15,000 but not more than $50,000; 
"(C) greater than $50,000 but not more than $100,000; 
"(D) greater than $100,000 but not more than $250,000; 
"(E) greater than $250,000 but not more than $500,000; 
"(F) greater than $500,000 but not more than $1,000,000; and 
"(G) greater than $1,000,000. 
Real property. 
"(2) For the purposes of paragraph (3) of subsection (a) if the 
current value of an interest in real property (or an interest in a real 
estate partnership) is not ascertainable without an appraisal, an 
individual may list (A) the date of purchase and the purchase price 
of the interest in the real property, or (B) the assessed value of the 
real property for tax purposes, adjusted to reflect the market value 
of the property used for the assessment if the assessed value is 
computed at less than 100 percent of such market value, but such 
individual shall include in his report a full and complete description 
of the method used to determine such assessed value, instead of 
specifying a category of value pursuant to paragraph (1) of this 
Securities. 
subsection. If the current value of any other item required to be 
reported under paragraph (3) of subsection (a) is not ascertainable 
without an appraisal, such individual may list the book value of a 
corporation whose stock is not publicly traded, the net worth of a 
business partnership, the equity value of an individually owned 
business, or with respect to other holdings, any recognized indica-
tion of value, but such individual shall include in his report a full 
and complete description of the method used in determining such 
value. In lieu of any value referred to in the preceding sentence, an 
individual may list the assessed value of the item for tax purposes, 
adjusted to reflect the market value of the item used for the 
assessment if the assessed value is computed at less than 100 
percent of such market value, but a full and complete description of 
the method used in determining such assessed value shall be in-
cluded in the report. 
"(eXD Except as provided in the last sentence of this paragraph, 
each report required by section 101 shall also contain information 
listed in paragraphs (1) through (5) of subsection (a) of this section 
respecting the spouse or dependent child of the reporting individual 
as follows: 
"(A) The source of items of earned income earned by a spouse 
from any person which 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-employed in business or a profession, only the nature of 
such business or profession need be reported. 
"(B) All information required to be reported in subsection 
(aXlXB) with respect to income derived by a spouse or dependent 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1731 
child from any asset held by the spouse or dependent child and 
reported pursuant to subsection (aX3). 
(C) In the case of any gifts received by a spouse or dependent 
child which are not received totally independent of the relation-
ship of the spouse or dependent child to the reporting individ-
ual, the identity of the source and a brief description of gifts of 
transportation, lodging, food, or entertainment and a brief 
description and the value of other gifts. 
"(D) In the case of any reimbursements received by a spouse 
or dependent child which are not received totally independent 
of the relationship of the spouse or dependent child to the 
reporting individual, the identity of the source and a brief 
description of each such reimbursement. 
"(E) In the case of items described in paragraphs (3) through 
(5), all information required to be reported under these para-
graphs other than items (i) which the reporting individual 
certifies represent the spouse's or dependent child's sole finan-
cial interest or responsibility and which the reporting individ-
ual 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 individ-
ual neither derives, nor expects to derive, any financial or 
economic benefit. 
Reports required by subsections (a), (b), and (c) of section 101 shall, 
with respect to the spouse and dependent child of the reporting 
individual, only contain information listed in paragraphs (1), (3), and 
(4) of subsection (a), as specified in this paragraph. 
"(2) No report shall be required with respect to a spouse living 
separate and apart from the reporting individual Math the intention 
of terminating the marriage or providing for permanent separation; 
or with respect to any income or obligations of an individual arising 
from the dissolution of his marriage or the permanent separation 
from his spouse. 
"(fXD Except as provided in paragraph (2), each reporting individ-
ual shall report the information required to be reported pursuant to 
subsections (a), (b), and (c) of this section with respect to the holdings 
of and the income from a trust or other financial arrangement from 
which income is received by, or with respect to which a beneficial 
interest in principal or income is held by, such individual, his 
spouse, or any dependent child. 
"(2) A reporting individual need not report the holdings of or the 
source of income from any of the holdings o
f
— 
"(A) any qualified blind trust (as defined in paragraph (3)); 
"(B) a trust— 
"(i) which was not created directly by such individual, his 
spouse, or any dependent child, and 
"(ii) the holdings or sources of income of which such 
individual, his spouse, and any dependent child have no 
knowledge of; or 
"(C) an entity described under the provisions of paragraph (8), 
but such individual shall report the cat^ory of the amount of 
income received by him, his spouse, or any dependent child from the 
trust or other entity under subsection (aXlXB) of this section. 
"(3) For purposes of this subsection, the term 'qualified blind 
trust' includes any trust in which a reporting individual, his spouse, 
or any minor or dependent child has a beneficial interest in the 
principal or income, and which meets the following requirements: 
103 STAT. 1732 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(AXi) The trustee of the trust and any other entity des-
ignated in the trust instrument to perform fiduciary duties is a 
financial institution, an attorney, a certified public accountant, 
a broker, or an investment advisor who— 
"(I) is independent of and not associated with any in-
terested party so that the trustee or other person cannot be 
controlled or influenced in the administration of the trust 
by any interested party; and 
"(II) is not and has not been an employee of or affiliated 
with any interested party and 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 interested party, 
"(ii) Any officer or employee of a trustee or other entity who 
is involved in the management or control of the trust— 
"(I) is independent of and not associated with any in-
terested party so that such officer or employee cannot be 
controlled or influenced in the administration of the trust 
by any interested party; 
"(II) is not or has not been a partner of any interested 
party and is not a partner of, or involved in any joint 
venture or other investment with any interested party; and 
"(III) is not a relative of any interested party. 
"(B) Any asset transferred to the trust by an interested party 
is free of any restriction with respect to its transfer or sale 
unless such restriction is expressly approved by the supervising 
ethics office of the reporting individual. 
"(C) The trust instrument which establishes the trust pro-
vides that— 
"(i) except to the extent provided in subparagraph (B) of 
this paragraph, the trustee in the exercise of his authority 
and discretion to manage and control the assets of the trust 
shall not consult or notify any interested party; 
"(ii) the trust shall not contain any asset the holding of 
which by an interested party is prohibited by any law or 
regulation; 
"(iii) the trustee shall promptly notify the reporting 
individual and his supervising ethics office when the hold-
ings of any particular asset transferred to the trust by any 
interested party are disposed of or when the value of such 
holding is less than $1,000; 
"(iv) the trust tax return shall be prepared by the trustee 
or his designee, and such return and any information relat-
ing thereto (other than the trust income summarized in 
^ 
appropriate categories necessary to complete an interested 
party's tax return), shall not be disclosed to any interested 
party; 
"(v) an interested party shall not receive any report on 
the holdings and sources of income of the trust, except a 
report at the end of each calendar quarter with respect to 
the total cash value of the interest of the interested party in 
the trust or the net income or loss of the trust or any 
reports necessary to enable the interested party to complete 
\ 
an individual tax return required by law or to provide the 
information required by s^i^bsection (aXD of this section, but 
. " 
such report shall not identify any asset or holding; 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1733 
"(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 communica-
tion 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 in-
terest and needs of the interested party (including, but not 
limited to, an interest in maximizing income or long-term 
capital gain), (II) to the notification of the trustee of a law 
or regulation subsequently applicable to the reporting 
individual which prohibits the interested party from hold-
ing an eisset, 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 individ-
ual creates a conflict of interest or the appearance thereof 
due to the subsequent assumption of duties by the reporting 
individual (but nothing herein shall require any such direc-
tion); and 
"(vii) the interested parties shall make no effort to obtain 
information with respect to the holdings of the trust, 
including obtaining a copy of any trust tax return filed or 
any information relating thereto except as otherwise pro-
vided in this subsection. 
"(D) The proposed trust instrument and the proposed trustee 
is approved by the reporting individual's supervising ethics 
office. 
"(E) For purposes of this subsection, 'interested party' means 
a reporting individual, his spouse, and any minor or dependent 
child; 'broker' has the meaning set forth in section 3(aX4) of the 
Securities and Exchange Act of 1934 (15 U.S.C. 78c(aX4)); and 
'investment adviser' includes any investment adviser who, as 
determined under regulations prescribed by the supervising 
ethics office, is generally involved in his role as such an adviser 
in the management or control of trusts. 
"(F) Any trust qualified by a supervising ethics office before 
the effective date of this section shall continue to be governed 
by the law and regulations in effect immediately before such 
effective date. 
"(4XA) An asset placed in a trust by an interested party shall be 
considered a financial interest of the reporting individual, for the 
purposes of any applicable conflict of interest statutes, regulations, 
or rules of the Federed Government (including section 208 of title 18, 
United States C!ode), 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, 
"(BXi) The provisions of subparagraph (A) shall not apply with 
respect to a trust created for the benefit of a reporting individual, or 
the spouse, dependent child, or minor child of such a person, if the 
supervising ethics office for such reporting individual finds that— 
"(I) the assets placed in the trust consist of a well-
diversified portfolio of readily marketable securities; 
"(II) none of the assets consist of securities of entities 
having substantial activities in the area of the reporting 
individual's primary area of responsibility; 
"(III) the trust instrument prohibits the trustee, notwith-
standing the provisions of paragraphs (SXCXiii) and (iv) of 
103 STAT. 1734 
PUBLIC LAW 101-194—NOV. 30, 1989 
this subsection, from making public or informing any in-
terested party of the sale of any securities; 
"(IV) the trustee is given power of attorney, notwith-
standing the provisions of paragraph (3XCXv) of this subsec-
tion, to prepare on behsdf of any interested party the 
personal income tax returns and similar returns which may 
contain information relating to the trust; and 
"(V) except as otherwise provided in this paragraph, the 
trust instrument provides (or in the case of a trust estab-
lished prior to the effective date of this Act which by its 
terms does not permit amendment, the trustee, the report-
ing individual, and any other interested party agree in 
writing) that the trust shall be administered in accordance 
with the requirements of this subsection and the trustee of 
such trust meets the requirements of parsigraph (3XA). 
"(ii) In any instance covered by subparagraph (B) in which the 
reporting individual is an individual whose nomination is being 
considered by a congressional committee, the reporting individ-
ual shall inform the congressional committee considering his 
nomination before or during the period of such individual's 
confirmation hearing of his intention to comply with this para-
graph. 
"(5XA) The reporting individual shall, within thirty days after a 
qualiHed blind trust is approved by his supervising ethics office, file 
with such office a copy of— 
"(i) the executed trust instrument of such trust (other than 
those provisions which relate to the testamentary disposition of 
the trust assets), and 
"(ii) a list of the assets which were transferred to such trust, 
including the category of value of each asset as determined 
under subsection (d) of this section. 
This subparagraph shall not apply with respect to a trust meeting 
the requirements for being considered a qualified blind trust under 
paragraph (7) of this subsection. 
"(B) The reporting individual shall, within thirty days of transfer-
ring an asset (other than cash) to a previously established qualified 
blind trust, notify his supervising ethics office of the identity of each 
such asset and the category of value of each asset as determined 
under subsection (d) of this section. 
"(C) Within thirty days of the dissolution of a qualified blind trust, 
a reporting individual shall— 
"(i) notify his supervising ethics office of such dissolution, and 
"(ii) file with such office a copy of a list of the assets of the 
trust at the time of such dissolution and the category of value 
under subsection (d) of this section of each such asset. 
"(D) Documents filed under subparagraphs (A), (B), and (C) of this 
paragraph and the lists provided by the trustee of assets placed in 
the trust by an interested party which have been sold shall be made 
available to the public in the same manner as a report is made 
available under section 105 and the provisions of that section shall 
apply with respect to such documents and lists. 
(E) A copy of each written communication with respect to the 
trust under paragraph (BXCXvi) shall be filed by the person initiat-
ing the communication with the reporting individual's supervising 
ethics office within five days of the date of the communication. 
"(6XA) A trustee of a qualified blind trust shall not knowingly or 
negligently (i) disclose any information to an interested party with 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1735 
respect to such trust that may not be disclosed under paragraph (3) 
of this subsection; (ii) acquire any holding the ownership of which is 
prohibited by the trust instrument; (iii) solicit advice from any 
interested party with respect to such trust, which solicitation is 
prohibited by paragraph (3) of this subsection or the trust agree-
ment; or (iv) fail to file any document required by this subsection. 
"(B) A reporting individual shall not knowingly or negligently (i) 
solicit or receive any information with respect to a qualified blind 
trust of which he is an interested party that may not be disclosed 
under paragraph (3XC) of this subsection or (ii) fail to file any 
document required by this subsection. 
"(CXi) The Attorney Greneral may bring a civil action in any 
appropriate United States district court against any individual who 
knowingly and willfully violates the provisions of subparagraph (A) 
or (B) of this paragraph. The court in which such action is brought 
may assess against such individual a civil penalty in any amount 
not to exceed $10,000. 
"(ii) The Attorney General may bring a civil action in any appro-
priate United States district court against any individual who neg-
ligently violates the provisions of subparagraph (A) or (B) of this 
parsigraph. The court in which such action is brought may assess 
against such individual a civil penalty in any amount not to exceed 
$5,000. 
"(7) Any trust may be considered to be a qualified blind trust i
f
— 
"(A) the trust instrument is amended to comply with the 
requirements of paragraph (3) or, in the case of a trust in-
strument which does not by its terms permit amendment, the 
trustee, the reporting individual, and any other interested party 
agree in writing that the trust shall be administered in accord-
ance with the requirements of this subsection and the trustee of 
such trust meets the requirements of paragraph (3XA); except 
that in the case of any interested party who is a dependent 
child, a parent or guardian of such child may execute the 
sigreement referred to in this subparagraph; 
"(B) a copy of the trust instrument (except 
testamentary 
provisions) and a copy of the agreement referred to in subpara-
graph (A), and a list of the assets held by the trust at the time of 
approval by the supervising ethics office, including the category 
oi value of each asset as determined under subsection (d) of this 
section, are filed with such office and made available to the 
public as provided under paragraph (5)(D) of this subsection; and 
"(C) the supervising ethics office determines that approval of 
the trust arrangement as a qualified blind trust is in the 
particular case appropriate to assure compliance with ap-
plicable laws and regulations. 
"(8) A reporting 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 compensation plan, or other investment fund), i
f
— 
"(AXi) the fund is publicly traded; or 
"(ii) the £issets of the fund are widely diversified; and 
"(B) the reporting individual neither exercises control over 
hor has the ability to exercise control over the financial in-
terests held by the fund. 
"(g) Political campaign funds, including campaign receipts and 
expenditures, need not be included in any report filed pursuant to 
this title. 
103 STAT. 1736 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(h) A report filed pursuant to subsection (a), (d), or (e) of section 
101 need not contain the information described in subparagraphs 
(A), (B), and (C) of subsection (aX2) with respect to gifts and 
reimbursements received in a period when the reporting individual 
was not an officer or employee of the Federal Government. 
President of U.S. 
Vice President 
ofU.S. 
FILING OF REPORTS 
5 use app. 103. 
"SEC. 103. (a) Except as otherwise provided in this section, the 
reports required under this title shall be filed by the reporting 
individual with the designated agency ethics official at the agency 
by which he is employed (or in the case of an individual described in 
section 101(e), was employed) or in which he will serve. The date any 
report is received (and the date of receipt of any supplemental 
report) shall be noted on such report by such official. 
"(b) The President, the Vice President, and independent counsel 
and persons appointed by independent counsel under chapter 40 of 
title 28, United States Code, shall file reports required under this 
title with the Director of the Office of Government Ethics. 
"(c) (Dopies of the reports required to be filed under this title by 
the Postmaster General, the Deputy Postmaster General, the Gov-
ernors of the Board of Governors of the United States Postal Service, 
designated agency ethics officials, employees described in section 
105(aX2XA) or (B), 106(aXlXA) or (B), or 107(aXlXA) or (bXlXAXi), of 
title 3, United States Code, candidates for the office of President or 
Vice President and officers and employees in (and nominees to) 
offices or positions which require confirmation by the Senate or by 
both Houses of CJongress other than those referred to in subsection 
(f) shall be transmitted to the Director of the Office of Government 
Ethics. The Director shall forward a copy of the report of each 
nominee to the congressional committee considering the nomina-
tion. 
"(d) Reports required to be filed under this title by the Director 
shall be filed in the Office of Government Ethics and, immediately 
after being filed, shall be made available to the public in accordance 
with this title. 
"(e) Each individual identified in section 101(c) shall file the 
reports required by this title with the Federal Elections Commis-
sion. 
Uniformed 
"(f) Reports required of members of the uniformed services shall 
services. 
^ie filed with the Secretary concerned. 
"(g) The Office of Government Ethics shall develop and make 
available forms for reporting the information required by this title. 
"(hXD The reports required under this title shall be filed by a 
reporting individual with— 
"(AXi) the appropriate congressional ethics committee with 
regard to a Member of Congress, officer or employee of the 
Congress described under paragraphs (9) and (10) of section 
101(f) (including individuals terminating service in such office 
or position under section 101(e) or immediately preceding serv-
ice in such office or position); and 
"(ii) in the case of an officer or employee of the Congress as 
described under section lOl(fXlO) who is employed by an agency 
or commission established in the legislative branch after the 
date of the enactment of the Ethics Reform Act of 1989— 
"(I) the congressional ethics committee designated in the 
statute establishing such agency or commission; or 
Public 
information. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1737 
"(II) if such statute does not designate such committee, 
the Senate Select Committee on Ethics for agencies and 
commissions established in even numbered calendar years, 
and the Committee on Standards of Official Conduct of the 
House of Representatives for agencies and commissions 
established in odd numbered calendar years; and 
"(B) the Judicial Conference of the United States with regard 
to a judicial officer or employee described under paragraphs (11) 
and (12) of section 101(f) (including individuals terminating 
service in such office or position under section 101(e) or imme-
diately preceding service in such office or position). 
"(2) The date any report is received (and the date of receipt of 
any supplemental report) shall be noted on such report by such 
committee. 
"FAILURE TO FILE OR FIUNG FALSE REPORTS 
"SEC. 104. (a) The Attorney CJeneral may bring a civil action in 
5 USC app. 104. 
any appropriate United States district court against any individual 
who knowingly and willfully falsifies or who knowingly and will-
fully fails to file or report any information that such individual is 
required to report pursusmt to section 102. The court in which such 
action is brought may assess against such individual a civil penalty 
in any amount, not to exceed $10,000. 
"(b) The head of each agency, each Secretary concerned, the 
Director of the Office of Government Ethics, each congressional 
ethics committee, or the Chairman of the Judicial (Donference of the 
United States, as the case may be, shall refer to the Attorney 
Genersd the name of any individual which such official or committee 
h£is reasonable cause to believe has willfully failed to file a report or 
has willfully falsified or willfully failed to file information required 
to be reported. 
"(c) The President, the Vice President, the Secretary concerned, 
the head of each agency, the Office of Personnel Management, a 
congressional ethics committee, and the Judicial CJonference of the 
United States, may take any appropriate personnel or other action 
in accordance with applicable law or regulation against any individ-
ual failing to file a report or falsifying or failing to report informa-
tion required to be reported. 
"(dXD Any individual who files a report required to be filed under 
this title more than 30 days after the later of— 
"(A) the date such report is required to be filed pursuant to 
the provisions of this title and the rules and regulations promul-
gated thereunder; or 
"(B) if a filing extension is granted to such individual under 
section 101(g), the last day of the filing extension p>eriod, 
shall pay a filing fee of $200 to the miscellaneous receipts of the 
General Treasury. 
"(2) The supervising ethics office may waive the filing fee under 
this subsection in extraordinary circumstances. 
"CUSTODY OF AND PUBLIC ACCESS TO REPORTS 
"SEC, 105. (a) Each agency and each supervisory ethics office shall 
5 USC app. 105. 
make each report filed with it under this title available to the public 
in accordance with the provisions of subsection (b) of this section, 
except that this section does not require public availability of a 
report filed by— 
103 STAT. 1738 
PUBLIC LAW 101-194—NOV. 30, 1989 
Defense and 
"(1) any individual in the Central Intelligence Agency, the 
national security. 
Defense Intelligence Agency, or the National Security Agency, 
Classified 
or any individual engaged in intelligence activities in any 
information. 
agency of the United States, if the President finds that, due to 
the nature of the office or position 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. In addition, such individ-
uals may be authorized, notwithstanding section 104(a), to file 
such additional reports £is are necessary to protect their identity 
from public disclosure if the President first finds that such 
filing is necessary in the national interest; or 
"(2) an independent counsel or person appointed by independ-
ent counsel under chapter 40 of title 28, United States Code, 
whose identity has not otherwise been disclosed. 
"O^XD Each agency and each supervising ethics office shall, within 
thirty days after any report is received by such agency or office 
under this title, permit inspection of such report by or furnish a 
copy of such report to any person requesting such inspection or copy. 
The agency or office may require a reasonable fee to be paid in any 
amount which is found necessary to recover the cost of reproduction 
or mailing of such report excluding any salary of any employee 
involved in such reproduction or mailing. A copy of such report may 
be furnished without charge or at a reduced charge if it is deter-
mined that waiver or reduction of the fee is in the public interest. 
"(2) Notwithstanding paragraph (1), a report may not be made 
available under this section to any person nor may any copy thereof 
be provided under this section to any person except upon a written 
application by such person stating— 
"(A) that person's name, occupation and address; 
"(B) the name and address of any other person or organization 
on whose behalf the inspection or copy is requested; and 
"(C) that such person is aware of the prohibitions on the 
obtaining or use of the report. 
Any such application shall be made available to the public through-
out the period during which the report is made available to the 
public. 
"(cXD It shall be unlawful for any person to obtain or use a 
report— 
"(A) for any unlawful purpose; 
"(B) for any commercial purpose, other than by news and 
communications media for dissemination to the general public; 
"(C) for determining or establishing the credit rating of any 
individual; or 
"(D) for use, directly or indirectly, in the solicitation of money 
for any political, charitable, or other purpose. 
"(2) The Attorney General may bring a civil action against any 
person who obtains or uses a report for any purpose prohibited in 
paragraph (1) of this subsection. The court in which such action is 
brought may assess against such person a penalty in any amount 
not to exceed $10,000. Such remedy shall be in addition to any other 
remedy available under statutory or common law. 
"(d) Any report filed with or transmitted to £in agency or super-
vising ethics office pursuant to this title shall be retained by such 
agency or office, as the case may be. Such report shall be made 
available to the public for a period of six years after receipt of the 
report. After such six-year period the report shall be destroyed 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1739 
unless needed in an ongoing investigation, except that in the case of 
an individual who filed the report pursuant to section 101(b) and 
was not subsequently confirmed by the Senate, or who filed the 
report pursuant to section 101(c) and was not subsequently elected, 
such reports shall be destroyed one year after the individual either 
is no longer under consideration by the Senate or is no longer a 
candidate for nomination or election to the Office of President, Vice 
President, or as a Member of Congress, unless needed in an ongoing 
investigation. 
"REVIEW OF REPORTS 
"SEC. 106. (aXD Each designated agency ethics official or Sec- 
5 USC app. 106. 
retary concerned shall make provisions to ensure that each report 
filed with him under this title is reviewed within sixty days after the 
date of such filing, except that the Director of the Office of Govern-
ment Ethics shall review only those reports required to be transmit-
ted to him under this title within sixty days after the date of 
transmittal. 
"(2) Each congressional ethics committee and the Judicial Con-
ference of the United States shall make provisions to ensure that 
each report filed under this title is reviewed within sixty days after 
the date of such filing. 
"0)X1) If after reviewing any report under subsection (a), the 
Director of the Office of Government Ethics, Secretary concerned, 
designated agency ethics official, or a person designated by the 
congressional ethics committee, or the Chairman of the Judicial 
Conference of the United States, as the case may be, is of the 
opinion that on the basis of information contained in such report the 
individual submitting such report is in compliance with applicable 
laws and regulations, he shall state such opinion on the report, and 
shall sign such report. 
"(2) If the Director of the Office of Government Ethics, Secretary 
concerned, designated agency ethics official or a person designated 
by the congressional ethics committee, or the Chairman of the 
Judicial Conference of the United States, after reviewing any report 
under subsection (a)— 
"(A) believes additional information is required to be submit-
ted, he shall notify the individual submitting such report what 
additional information is required and the time by which it 
must be submitted, or 
"(B) is of the opinion, on the basis of information submitted, 
that the individual is not in compliance with applicable laws 
and regulations, he shall notify the individual, afford a reason-
able opportunity for a written or oral response, and after consid-
eration of such response, reach an opinion as to whether or not, 
on the basis of information submitted, the individual is in 
compliance with such laws and regulations. 
"(3) If the Director of the Office of Government Ethics, Secretary 
concerned, designated agency ethics official, a congressional ethics 
committee, or the Judicial Conference of the United States, reaches 
an opinion under paragraph (2XB) that an individual is not in 
compliance with applicable laws and regulations, the official or 
committee shall notify the individual of that opinion and, after an 
opportunity for personal consultation (if practicable), determine and 
notify the individual of which steps, if any, would in the opinion of 
such official or committee be appropriate for assuring compliance 
103 STAT. 1740 
PUBLIC LAW 101-194—NOV. 30, 1989 
with such laws and regulations and the date by which such steps 
should be taken. Such steps may include, as appropriate— 
"(A) divestiture, 
"(B) restitution, 
"(C) the establishment of a blind trust, 
"(D) request for an exemption under section 208(b) of title 18, 
United States (Dode, or 
"(E) voluntary request for transfer, reassignment, limitation 
of duties, or resignation. 
The use of any such steps shall be in accordance with such rules or 
regulations as the supervising ethics office may prescribe. 
"(4) If steps for assuring compliance with applicable laws and 
regulations are not taken by the date set under paragraph (3) by an 
individual in a position (other than in the foreign service or the 
uniformed services), appointment to which requires the advice and 
consent of the Senate, the matter shall be referred to the President 
for appropriate action. 
"(5) If steps for assuring compliance with applicable laws and 
regulations are not taken by the date set under paragraph (3) by a 
member of the foreign service or the uniformed services, the Sec-
retary concerned shall take appropriate action. 
"(6) If steps for assuring compliance with applicable laws and 
regulations are not taken by the date set under paragraph (3) by any 
other officer or employee the matter shall be referred to the head of 
the appropriate agency, the congressional ethics committee, or the 
Judicial Conference of the United States, for appropriate action; 
except that in the case of the Postmaster General or Deputy Post-
master General, the Director of the Office of Government Ethics 
shall recommend to the Governors of the Board of Governors of the 
United States Postal Service the action to be taken. 
"(7) Each supervising ethics office may render advisory opinions 
interpreting this title within its respective jurisdiction. Notwith-
standing any other provision of law, the individual to whom a public 
advisory opinion is rendered in accordance with this paragraph, and 
any other individual covered by this title who is involved in a fact 
situation which is indistinguishable in all material aspects, and who 
acts in good faith in accordance with the provisions and findings of 
such advisory opinion shall not, as a result of such act, be subject to 
any penalty or sanction provided by this title. 
"CONFIDENTIAL REPORTS AND OTHER ADDITIONAL REQUIREMENTS 
5 use app. 107. 
"SEC. 107. (aXD Each supervising ethics office may require officers 
and employees under its jurisdiction (including special Government 
employees as defined in section 202 of title 18, United States Code) 
to file confidential financial disclosure reports, in such form as the 
supervising ethics office may prescribe. The information required to 
be reported under this subsection by the officers and employees of 
any department or agency shall be set forth in rules or regulations 
prescribed by the supervising ethics office, and may be less extensive 
than otherwise required by this title, or more extensive when 
determined by the supervising ethics office to be necessary and 
appropriate in light of sections 202 through 209 of title 18, United 
States (Dode, regulations promulgated thereunder, or the authorized 
activities of such officers or employees. Any individual required to 
file a report pursueint to section 101 shall not be required to file a 
confidential report pursuant to this subsection, except with respect 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1741 
to information which is more extensive than information otherwise 
required by this title. Subsections (a), (b), and (d) of section 105 shall 
not apply with respect to any such report. 
"(2) Ajiy information required to be provided by an individusd 
under this subsection shall be confidential and shall not be disclosed 
to the public. 
"(3) Nothing in this subsection exempts any individual otherwise 
covered by the requirement to file a public financial disclosure 
report under this title from such requirement. 
"0>) The provisions of this title requiring the reporting of informa-
tion shall supersede any general requirement under any other 
provision of law or regulation with respect to the reporting of 
information required for purposes of preventing conflicts of interest 
or apparent conflicts of interest. Such provisions of this title shall 
not supersede the requirements of section 7342 of title 5, United 
States Code. 
"(c) Nothing in this Act requiring reporting of information shall 
be deemed to authorize the receipt of income, gifts, or reimburse-
ments; the holding of assets, liabilities, or positions; or the participa-
tion in transactions that are prohibited by law, Executive order, 
rule, or regulation. 
"AUTHORITY OP COMPTROLLER GENERAL 
"SEC. 108. (a) The Comptroller General shall have access to finan- 
5 USC app. 108. 
cial disclosure reports filed under this title for the purposes of 
carrying out his statutory responsibilities. 
"(b) No later than December 31, 1992, and regularly thereafter, 
the Comptroller General shall conduct a study to determine 
whether the provisions of this title are being carried out effectively. 
"DEFINITIONS 
"SEC. 109. For the purposes of this title, the term— 
5 USC app. 109. 
"(1) 'congressional ethics committees' means the Senate 
Select Committee on Ethics and the Committee on Standards of 
Official Conduct of the House of Representatives; 
"(2) 'dependent child' means, when used with respect to any 
reporting individual, any individual who is a son, daughter, 
stepson, or stepdaughter and who— 
"(A) is unmarried and under age 21 and is living in the 
household of such reporting individual; or 
"(B) is a dependent of such reporting individual within 
the meaning of section 152 of the Internal Revenue Code of 
1986; 
"(3) 'designated agency ethics official' means an officer or 
employee who is designated to administer the provisions of this 
title within an agency; 
"(4) 'executive branch' includes each Executive agency (as 
defined in section 105 of title 5, United States Code) and any 
other entity or administrative unit in the executive branch; 
"(5) 'gift' means a pajrment, advance, forbearance, rendering, 
or deposit of money, or any thing of value, unless consideration 
of equal or greater value is received by the donor, but does not 
include— 
"(A) bequest and other forms of inheritance; 
103 STAT. 1742 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(B) suitable mementos of a function honoring the report-
'*"*' 
ing individual; 
' 
*(C) food, lodging, transportation, and entertainment pro-
.
*
* •,' 
vided by a foreign government within a foreign country or 
' i 
.:: 
by the United States Government; 
"(D) food and beverages consumed at banquets, recep-
tions, or similar events; or 
"(E) communications to the offices of a reporting individ-
ual including subscriptions to newspapers and periodicals; 
"(6) 'honoraria has the meaning given such term in section 
505 of this Act; 
"(7) 'income' means all income from whatever source derived, 
including but not limited to the following items: compensation 
for services, including fees, commissions, and similar items; 
gross income derived from business (and net income if the 
individual elects to include it); gains derived from dealings in 
property; interest; rents; royalties; dividends; annuities; income 
from life insurance and endowment contracts; pensions; income 
from discharge of indebtedness; distributive share of partner-
ship income; and income from an interest in an estate or trust; 
' (8) 'judicial employee' means any employee of the judicial 
branch of the Government, of the Tax (Jourt, of the Court of 
Veterans Appeals, or of the United States (Jourt of Military 
Appeals, who is not a judicial officer and who is authorized to 
. > 
perform adjudicatory functions with respect to proceedings in 
,^- 
the judicial branch, or who receives compensation at a rate at or 
in excess of the minimum rate prescribed for grade 16 of the 
General Schedule under section 5332 of title 5, United Stetes 
(Dode; 
^^, 
"(9) 'Judicial Conference' means the Judicial (Conference of 
the United States; 
"(10) 'judicial officer' means the (Dhief Justice of the United 
States, the Associate Justices of the Supreme Ck>urt, and the 
judges of the United States courts of appeals. United Stetes 
;* 
district courts, including the district courts in the Canal Zone, 
Guam, and the Virgin Islands, (Dourt of Claims, (Dourt of Ap-
peals for the Federal Circuit, Court of International Trade, Tax 
(Dourt, United Stetes (Dourt of Militery Appeals, and any court 
created by Act of CJongress, the judges of which are entitled to 
hold office during good behavior; 
"(11) 'legislative branch' includes— 
"(A) the Architect of the Capitol; 
. 
"(B) the Botenic Gardens; 
"(C) the (Dongressional Budget Office; 
^ 
"(D) the General Accounting Office; 
, 
"(E) the Government Printing Office; 
"(F) the Library of Congress; 
^ 
"(G) the United States Capitol Police; 
"(H) the Office of Technology Assessment; and 
"(I) any other agency, entity, office, or commission esteb-
lished in the legislative branch; 
"(12) 'Member of CJongress' means a United Stetes Senator, a 
Representetive in (iJongress, a Delegate to CDongress, or the 
Resident Commissioner from Puerto Rico; 
"(13) 'officer or employee of the CDongress' means— 
"(A) any individual described under subparagraph (B), 
other than a Member of CDongress or the Vice President, 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1743 
whose compensation is disbursed by the Secretary of the 
Senate or the Clerk of the House of Representatives; 
"(BXi) each officer or employee of the legislative branch 
who is compensated for 60 consecutive days at a rate equal 
to or in excess of the annual rate of basic pay in effect for 
grade GS-16 of the General Schedule; and 
"(ii) at least one principal assistant designated for pur-
poses of this paragraph by each Member who does not have 
an employee compensated at a rate equal to or in excess of 
the annual rate of basic pay in effect for grade GS-16 of the 
General Schedule; 
"(14) 'personal hospitality of any individual' means hospi-
tality extended for a nonbusiness purpose by an individual, not 
a corporation or organization, at the personal residence of that 
individual or his family or on property or facilities owned by 
that individual or his family; 
"(15) 'reimbursement' means any payment or other thing of 
value received by the reporting individual, other than gifts, to 
cover travel-related expenses of such individual other than 
those which are— 
"(A) provided by the United States Government; 
"(B) required to be reported by the reporting individual 
under section 7342 of title 5, United States (Dode; or 
"(C) required to be reported under section 304 of the 
Federal Election Campaign Act of 1971 (2 U.S.C. 434); 
"(16) 'relative' means an individual who is related to the 
reporting individual, as father, mother, son, daughter, brother, 
sister, uncle, aunt, great aunt, great uncle, first cousin, nephew, 
niece, husband, wife, grandfather, gfrandmother, grandson, 
granddaughter, father-in-law, mother-in-law, son-in-law, daugh-
ter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, 
stepson, stepdaughter, stepbrother, stepsister, half brother, half 
sister, or who is the grandfather or grandmother of the spouse 
of the reporting individual, and shall be deemed to include the 
fiance or fiancee of the reporting individual; 
"(17) 'Secretary concerned' has the meaning set forth in 
section 101(8) of title 10, United States Code, and, in addition, 
means— 
"(A) the Secretary of CJommerce, with respect to matters 
concerning 
the 
National 
Oceanic 
and 
Atmospheric 
Administration; and 
"(B) the Secretary of Health and Human Services, with 
respect to matters concerning the Public Health Service; 
"(18) supervising ethics office' means— 
"(A) the Select Committee on Ethics of the Senate, for 
Senators, officers and employees of the Senate, and other 
officers or emplovees of the legislative branch required to 
file financial disclosure reports with such committee pursu-
ant to section 103(h) of this title; 
"(B) the Committee on Standards of Official (Ik)nduct of 
the House of Representatives, for Members, officers and 
employees of the House of Representatives and other offi-
cers or employees of the legislative branch required to file 
financial disclosure reports with such committee pursuant 
to section 103(h) of this title; 
"(C) the Judicial Conference of the United States for 
judicial officers and judicial employees; and 
103 STAT. 1744 
PUBLIC LAW 101-194—NOV. 30, 1989 
. 
"(D) the Office of Government Ethics for all executive 
branch employees; and 
"(19) 'value' means a good faith estimate of the dollar value if 
the exact value is neither known nor easily obtainable by the 
reporting individual. 
"NOTICE OF ACTIONS TAKEN TO COMPLY WITH ETHICS AGREEMENTS 
5 use app. 110. 
"SEC. 110. (a) In any case in which an individual agrees with that 
individual's designated agency ethics official, the Office of Govern-
ment Ethics, a Senate confirmation committee, a congressional 
ethics committee, or the Judicial Conference of the United States, to 
take any action to comply with this Act or any other law or 
regulation governing conflicts of interest of, or establishing stand-
ards of conduct applicable with respect to, officers or employees of 
the Government, that individual shall notify in writing the des-
ignated agency ethics official, the Office of Grovernment Ethics, the 
appropriate committee of the Senate, the congressional ethics 
committee, or the Judicial Conference of the United States, as the 
case may be, of any action taken by the individual pursuant to that 
agreement. Such notification shall be made not later than the date 
specified in the agreement by which action by the individual must 
be taken, or not later than three months after the date of the 
agreement, if no date for action is so specified. 
"(b) If an agreement described in subsection (a) requires that the 
individual recuse himself or herself from particular categories of 
agency or other official action, the individual shall reduce to writing 
those subjects regarding which the recusal agreement will apply and 
the process by which it will be determined whether the individual 
must recuse himself or herself in a specific instaijice. An individual 
shall be considered to have complied with the requirements of 
subsection (a) with respect to such recusal agreement if such individ-
ual files a copy of the document setting forth the information 
described in the preceding sentence with such individual's des-
ignated agency ethics official or the appropriate supervising ethics 
office within the time prescribed in the last sentence of sub-
section (a). 
"ADMINISTRATION OF PROVISIONS 
5 use app. 111. 
"SEC. 111. The provisions of this title shall be administered by— 
"(1) the Director of the Office of Government Ethics, the 
designated agency ethics official, or the Secretary concerned, as 
appropriate, with regard to officers and employees described in 
paragraphs (1) through (8) of section 101(f); 
"(2) the Senate Select Committee on Ethics and the Commit-
tee on Standards of Official (Donduct of the House of Representa-
tives, as appropriate, with regard to officers and employees 
described in paragraphs (9) and (10) of section 101(f); and 
"(3) the Judicial (Donference of the United States and clerk of 
the applicable court, as appropriate, in the case of an officer or 
employee described in parsigraphs (11) and (12) of section 101(f). 
"EFFECTIVE DATE 
5 use app. 112. 
"S«iC» 112. The provisions made by this title shall take effect on 
January 1, 1990, and shall be applicable to reports filed under this 
title* after January 1,1991.". 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1745 
SEC. 203. PRESIDENTS COMMISSION ON THE FEDERAL APPOINTMENT 
PROCESS. 
(a) E^STABLiSHMENT.—There shall be established an advisory 
commission to study the best means of simplifying the Presidential 
appointment process, in particular by reducing the number and 
complexity of forms to be completed by nominees. The Commission 
shall be known as the President's Commission on the Federal 
Appointment Process. 
(b) MEMBERSHIP.—The Commission shall be composed of 14 mem-
bers from among officers and employees of the three branches of the 
Federal Government. Eight members shall be appointed by the 
President, two members shall be appointed by the majority leader of 
the Senate, two members shall be appointed by the minority leader 
of the Senate, one member shall be appointed by the Speaker of the 
House of Representatives, and one member shall be appointed by 
the minority leader of the House of Representatives. Any vacancy 
on the Commission shall be filled in the same manner as the initial 
appointment. 
(c) REPORT.—The Commission shall present its report to the Presi-
dent no later than ninety days after its first meeting. The Commis-
sion shall cease to exist upon submission of its report. 
TITLE III—GIFTS AND TRAVEL 
SEC. 301. GIFTS TO SUPERIORS. 
Section 7351 of title 5, United States Code, is amended b y -
C
D adding "(a)" before "An employee may not"; and 
(2) striking the final sentence and inserting the following: 
"Oa) An employee who violates this section shall be subject to 
appropriate disciplinary action by the emplojdng agency or entity. 
*(c) The Office of Government Ethics is authorized to issue regula-
tions implementing this section, including regulations exempting 
voluntary gifts or contributions that are given or received for specif 
occasions such as marriage or retirement or under other similar 
circumstances.", 
SEC. 302. TRAVEL ACCEPTANCE AUTHORITY. 
(a) IN GENERAL.—Subchapter III of chapter 13 of title 31, United 
States Code, is amended by adding at the end thereof the following: 
"§1352. Acceptance of travel and related expenses from non-
Federal sources 
"(a) Notwithstanding any other provision of law, the Adminis-
trator of General Services, in consultation with the Director of the 
Office of Cxovemment Ethics, shall prescribe by regulation the 
conditions under which an agency or employee in the executive 
branch may accept pajnnent from non-Federal sources for travel, 
subsistence, and related expenses with respect to attendance of the 
employee (or the spouse of such employee) at any meeting or similar 
function relating to the official duties of the employee. Any cash 
payment so accepted shall be credited to the appropriation ap-
plicable to such expenses. In the case of a payment in kind so 
accepted, a pro rata reduction shall be made in any entitlement of 
the employee to payment from the Government for such expenses. 
Regulations. 
Regulations. 
103 STAT. 1746 
PUBLIC LAW 101-194—NOV. 30, 1989 
"Q>) Except as provided in this section or section 4111 of title 5, an 
agency or employee may not accept payment for expenses referred 
to in subsection (a). An employee who accepts any payment in 
violation of the preceding sentence— 
"(1) may be required, in addition to any penalty provided by 
law, to repay, for deposit in the general fund of the Treasury, an 
amount equal to the amount of the payment so accepted; and 
"(2) in the case of a repayment under paragraph (1) shall not 
be entitled to any payment from the Government for such 
expenses. 
"(c) As used in this section— 
"(1) the term 'executive branch' means any executive agency 
(as such term is defined in section 105 of title 5); and 
"(2) the term 'employee in the executive branch' means— 
"(A) an appointed officer or employee in the executive 
branch; and 
"(B) an expert or consultant in the executive branch, 
under section 3109 of title 5; and 
"(3) the term 'payment* means a payment or reimbursement, 
in cash or in kind. 
"(dXD The head of each agency of the executive branch shall, in 
the manner provided in paragraph (2), submit to the Director of the 
Office of Government Ethics reports of payments of more than $250 
accepted under this section with respect to employees of the agency. 
Public 
The Director shall make such reports available for public inspection 
information. 
and copying. 
"(2) "nie reports required by paragraph (1) shall, with respect to 
each payment— 
"(A) specify the amount and method of payment, the name of 
the person making the payment, the name of the employee, the 
nature of the meeting or similar function, the time and place of 
travel, the nature of the expenses, and such other information 
as the Administrator of Gfeneral Services may prescribe by 
regulation under subsection (a); 
(B) be submitted not later than May 31 of each year with 
respect to payments in the preceding period beginning on Octo-
ber 1 and ending on March 31; and 
"(C) be submitted not later than November 30 of each year 
with respect to pajnnents in the preceding period beginning on 
April 1 and ending on September 30.". 
(b) CLERICAL AMENDMENT.—The table of sections for subchapter 
m of chapter 13 of title 31, United States Code, is amended by 
adding at the end the following new item: 
"1352. Acceptance of travel and related expenses from non-Federal sources.". 
SEC. 303. GIFTS TO FEDERAL EMPLOYEES. 
(a) IN GENERAL.—Subchapter V of chapter 73 of title 5, United 
States diode, is amended by adding at the end thereof the following 
new section: 
"§ 7353. Gifts to Federal employees 
"(a) Except as permitted by subsection (b), no Member of Confess 
> or officer or employee of the executive, legislative, or jumcial 
branches shall solicit or accept anything of value from a person— 
"(1) seeking official action from, doing business with, or (in 
the case of executive branch officers and employees) conducting 
activities regulated by the individual's employing agency; or 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1747 
"(2) whose interests may be substantially affected by the 
performance or nonperformance of the individual's official 
duties. 
"(bXD Each supervising ethics office is authorized to issue rules or 
Regulations, 
regulations implementing the provisions of this section and provid-
ing for such reasonable exceptions as may be appropriate. 
"(2XA) Subject to subparagraph (B), a Member, officer, or em-
ployee may accept a gift pursuant to rules or regulations established 
by such individual's supervising ethics office pursuant to para-
graph (1). 
"(B) No gift may be accepted pursuant to subparagraph (A) in 
return for being influenced in the performance of any official act. 
"(3) Nothing in this section precludes a Member, officer, or em-
ployee from accepting gifts on behalf of the United States Govern-
ment or any of its agencies in accordance with statutory authority. 
"(c) An employee who violates this section shall be subject to 
appropriate disciplinary and other remedial action in accordance 
with any applicable laws. Executive orders, and rules or regulations. 
"(d) For purposes of this section— 
"(1) the term 'supervising ethics office' means— 
"(A) the Committee on Standards of Official Conduct of 
the House of Representatives or the House of Representa-
tives as a whole, for Members, officers, and employees of 
the House of Representatives; 
"(B) the Select Committee on Ethics of the Senate, or the 
Senate as a whole, for Senators, officers and employees of 
the Senate; 
"(C) the Judicial Conference of the United States for 
judges and judicial branch officers and employees; 
"(D) the Office of Government Ethics for all executive 
branch officers and employees; and 
"(E) the ethics committee with which the officer or em-
ployee is required to file financial disclosure forms, for all 
legislative branch officers and employees other than those 
specified in subparsigraphs (A) and (B), except that such 
authority may be delegated; and 
"(2) the term 'officer or employee' means an individual hold-
ing an appointive or elective position in the executive, legisla-
tive, or judicial branch of Government other than a Member of 
Congress, 
(b) AMENDMENT TO TABLE OF CONTENTS.—The table of contents for 
chapter 73 of title 5, United States CJode, is amended by inserting 
after the item relating to section 7352 the following new item: 
"7353. Gifts to Federal employees.". 
TITLE IV—AMENDMENTS TO TITLE 18 OF 
THE UNITED STATES CODE 
SEC. 401. AMENDMENT TO SECTION 202 OF TITLE 18, UNITED STATES CODE. 
Section 202 of title 18, United States Code, is amended by adding 
at the end thereof the following new subsections: 
"(c) Except as otherwise provided in such sections, the terms 
'officer' and 'employee' in sections 203, 205, 207, 208, and 209 of this 
title, mean those individuals defined in sections 2104 and 2105 of 
103 STAT. 1748 
PUBLIC LAW 101-194—NOV. 30, 1989 
title 5. The terms 'officer' and 'employee' shall not include the 
President, the Vice President, a Member of Congress, or a Federal 
judge. 
"(d) The term 'Member of Congress' in sections 204 and 207 shall 
include— 
"(1) a United States Senator, and 
"(2) a Representative in, or a Del^ate or Resident Commis-
sioner to, the House of Representatives. 
"(e) As used in this chapter, the term— 
"(1) 'executive branch' means any executive agency as defined 
in title 5, and any other entity or administrative unit in the 
executive branch; 
"(2) 'judicial branch' means the Supreme Court of the United 
States; the United States courts of appeals; the United States 
district courts; the (Dourt of International Trade; the United 
States bankruptcy courts; any court created pursuant to article 
I of the United States Constitution, including the C!ourt of 
Military Appeals, the United States Claims Court, and the 
United Stat^ Tax Court, but not including a court of a territory 
or possession of the United States; the Federal Judicial Center; 
and any other agency, office, or entity in the judicial branch; 
and 
"(3) 'legislative branch' means— 
"(A) a Member of Ck>ngress, or any officer or em-
ployee of the United States Senate or United States House 
of Representatives; and 
"(B) an officer or employee of the Architect of the Capitol, 
the United States Botanic Garden, the General Accounting 
Office, the Government Printing Office, the Library of Con-
gress, the 'Office of Technology Assessment, the Congres-
sional Budget Office, the United States Capitol Police, and 
any other agency, entity, office, or commission established 
in the l^islative branch.". 
SEC. 402. AMENDMENTS TO SECTION 203 OF TITLE 18. UNITED STATES 
CODE. 
Section 203 of title 18, United States Code, is amended by— 
(1) striking "services" the first place it appears in subsection 
(a)(1) and inserting "representational services, as agent or attor-
nev or otherwise,'^ 
(2) inserting "court," after "department, agency," in subsec-
tion (aXD; 
(3) striking "shall be fined under this title or imprisoned for 
not more than two vears, or both; and shall be incapable of 
holding any office of honor, trust, or profit under the United 
States in subsection (a) and inserting "shall be subject to the 
penalties set forth in section 216 of this title"; 
(4) inserting "representational" before "services" in subsec-
tion (aX2); 
(5) inserting "Member Elect," after "Member," in subsection 
(aX2); 
(6) inserting "Delegate Elect," after "Del^ate," in subsection 
(aX2); 
(7) striking "including the District of Columbia," in subsection 
(aXlXB); 
(8) in subsection (b)— 
(A) by redesignating such subsection as subsection (c); and 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1749 
(B) by striking "subsection (a)" and inserting "subsections 
(a) and (b)"; 
(9) by inserting after subsection (a) the following: 
"(b) Whoever, otherwise than as provided by law for the proper 
discharge of official duties, directly or indirectly— 
"(1) demands, seeks, receives, accepts, or agrees to receive or 
accept any compensation for any representational services, as 
! 
agent or attorney or otherwise, rendered or to be rendered 
either personally or by another, at a time when such person is 
an officer or employee of the District of Columbia, in relation to 
any proceeding, application, request for a ruling or other deter-
mination, contract, claim, controversy, charge, accusation, 
arrest, or other particular matter in which the District of 
Columbia is a party or has a direct and substantial interest, 
before any department, agency, court, officer, or commission; or 
"(2) knowingly gives, promises, or offers any compensation for 
any such services rendered or to be rendered at a time when the 
person to whom the compensation is given, promised, or offered, 
is or was an officer or employee of the District of Columbia; 
shall be subject to the penalties set forth in section 216 of this title."; 
and 
(10) adding at the end the following: 
"(d) Nothing in this section prevents an officer or employee, 
including a special Government employee, from acting, with or 
without compensation, as agent or attorney for or otherwise rep-
resenting his parents, spouse, child, or any person for whom, or for 
any estate for which, he is serving as guardian, executor, adminis-
trator, trustee, or other personal fiduciary except— 
"(1) in those matters in which he has participated personally 
and substantially £is a Government employee, through decision, 
approval, disapproval, recommendation, the rendering of 
advice, investigation, or otherwise; or 
"(2) in those matters that are the subject of his official 
responsibility, 
subject to approval by the Government official responsible for 
appointment to his position. 
"(e) Nothing in this section prevents a special Government em-
ployee from acting as agent or attorney for another person in the 
performance of work under a grant by, or a contract with or for the 
benefit of, the United States if the head of the department or agency 
concerned with the grant or contract certifies in writing that the 
national interest so requires and publishes such certification in the 
Federal Register.". 
SEC. 403. AMENDMENT TO SECTION 204 OF TITLE 18, UNITED STATES CODE. 
Section 204 of title 18, United States Code, is amended to read as 
follows: 
*'§ 204. Practice in United States Claims Court or the United States 
Court of Appeals for the Federal Circuit by Members of 
Congress 
"Whoever, being a Member of Congress or Member of Congress 
Elect, practices in the United States Claims Court or the United 
States Court of Appeals for the Federal Circuit shall be subject to 
the penalties set forth in section 216 of this title.". 
District of 
Columbia. 
Grants. 
Contracts. 
Federeil 
Register, 
publication. 
103 STAT. 1750 
PUBLIC LAW 101-194—NOV. 30, 1989 
SEC. 404. AMENDMENT TO SECTION 205 OF TITLE 18, UNITED STATES CODE. 
Section 205 of title 18, United States Code, is amended to read as 
follows: 
Mg205. Activities of ofHcers and employees in claims against and 
other matters affecting the Government 
"(a) Whoever, being an officer or employee of the United States in 
the executive, l^islative, or judicial branch of the Government or in 
any agency of the United States, other than in the proper discharge 
of his official duties— 
"(1) acts as agent or attorney for prosecuting any claim 
• against the United States, or receives any gratuity, or any share 
of or interest in any such claim, in consideration of assistance in 
'' the prosecution of such claim; or 
"(2) acts as agent or attorney for anyone before any depart-
> ment, agency, court, court-martial, officer, or any civil, military, 
-' or naval commission in connection with any covered matter in 
which the United States is a party or has a direct and substan-
tial interest; 
shall be subject to the penalties set forth in section 216 of this title. 
District of 
"(b) Whoever, being an officer or employee of the District of 
Columbia. 
Columbia or an officer or employee of the Office of the United States 
Attorney for the District of Columbia, otherwise than in the proper 
discharge of official duties— 
"(1) acts as agent or attorney for prosecuting any claim 
- against the District of Columbia, or receives any gratuity, or 
any share of or interest in any such claim in consideration of 
assistcmce in the prosecution of such claim; or 
"(2) acts as agent or attorney for anyone before any depart-
ment, agency, court, officer, or any commission in connection 
with any covered matter in which the District of Columbia is a 
r
arty or has a direct and substantial interest; 
be subject to the penalties set forth in section 216 of this title. 
"(c) A special Government employee shall be subject to subsec-
tions (a) and (b) only in relation to a covered matter involving a 
specific party or parties— 
"(1) in which he has at any time participated personally and 
substantially as a Government employee or special Government 
employee through decision, approval, disapproval, recommenda-
tion, the rendering of advice, investigation, or otherwise; or 
"(2) which is pending in the department or agency of the 
Government in which he is serving. 
Paragraph (2) shall not apply in the case of a special Government 
employee who has served in such department or agency no more 
than sixty days during the immediately preceding period of three 
hundred and sixty-five consecutive days. 
"(d) Nothing in subsection (a) or (b) prevents an officer or em-
ployee, if not inconsistent with the faithful performance of his 
duties, from acting without compensation as agent or attorney for, 
or otherwise representing, any person who is the subject of discipli-
nary, loyalty, or other personnel administration proceedings in 
connection with those proceedings. 
"(e) Nothing in subsection (a) or (b) prevents an officer or em-
ployee, includmg a special Government employee, from acting, with 
or without compensation, as agent or attorney for, or otherwise 
representing, his parents, spouse, child, or any person for whom, or 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1751 
for any estate for which, he is serving as guardian, executor, 
administrator, trustee, or other personal fiduciary except— 
"(1) in those matters in which he has participated personally 
and substantially as a Government employee or special Govern-
ment employee through decision, approval, disapproval, 
recommendation, the rendering of advice, investigation, or 
otherwise, or 
"(2) in those matters which are the subject of his ofRcial 
responsibility, 
subject to approval by the Government official responsible for 
appointment to his position. 
(f) Nothing in subsection (a) or (b) prevents a special Government 
employee from acting as agent or attorney for another person in the 
peiformance of work under a grant by, or a contract with or for the 
benefit of, the United States if the head of the department or agency 
concerned with the grant or contract certifies in writing that the 
national interest so requires and publishes such certification in the 
Federal Register. 
"(g) Nothing in this section prevents an officer or employee from 
giving testimony under oath or from making statements required to 
be made under penalty for peijury or contempt. 
"(h) For the purpose of this section, the term 'covered matter' 
means any judicial or other proceeding, application, request for a 
ruling or other determination, contract, claim, controversy, inves-
tigation, charge, accusation, arrest, or other particular matter.". 
SEC. 405. AMENDMENTS TO SECTION 208 OF TITLE 18, UNITED STATES 
CODE. 
Section 208 of title 18, United States Code, is amended— 
(1) in subsection (a)— 
(A) by inserting "or" after "United States Government,"; 
(B) by inserting "an officer or employee" before "of the 
District of Columbia"; 
(C) by striking "partner" and inserting "general part-
ner"; and 
(D) by striking "Shall be fined not more than $10,000, or 
imprisoned not more than two years, or both." and insert-
ing "Shall be subject to the pensdties set forth in section 216 
of this title."; and 
(2) by striking subsection (b) and inserting the following: 
"(b) Subsection (a) shall not apply— 
"(1) if the officer or employee first advises the Government 
official responsible for appointment to his or her position of the 
nature ana circumstances of the judicial or other proceeding, 
application, request for a ruling or other determination, con-
tract, claim, controversy, cheurge, accusation, arrest, or other 
particular matter and makes full disclosure of the financial 
mterest and receives in advance a written determination made 
by such official that the interest is not so substantial as to be 
deemed likely to affect the int^rity of the services which the 
Government may expect from such officer or employee; 
"(2) if, by regulation issued by the Director of the Office of 
Government Ethics, applicable to all or a portion of all officers 
and employees covered by this section, and published in the 
Federal Roister, the financial interest has been exempted from 
the requirements of paragraph (1) as being too remote or too 
inconsequential to anect the int^rity of the services of the 
Grants. 
Contracts. 
Federal 
Register, 
publication. 
103 STAT. 1752 
PUBLIC LAW 101-194—NOV. 30, 1989 
Indians. 
Alaska. 
Claims. 
Public 
information. 
Classified 
information. 
Regulations. 
Government officers or employees to which such regulation 
applies; 
(3) in the case of a special Government employee serving on 
an advisory committee within the meaning of the Federal Ad-
visory Committee Act (including an individual being considered 
for an appointment to such a position), the official responsible 
for the employee's appointment, after review of the financial 
disclosure report filed by the individual pursuant to section 107 
of the Ethics in Government Act of 1978, certifies in writing 
that the need for the individual's services outweighs the poten-
tial for a conflict of interest created by the financial interest 
involved; or 
"(4) the financial interest that would be affected by the 
particular matter involved is that resulting solely from the 
interest of the officer or employee, or his or her spouse or minor 
child, in birthrights— 
"(A) in an Indian tribe, band, nation, or other organized 
group or community, including any Alaska Native village 
corporation as defined in or established pursuant to the 
Alaska Native Claims Settlement Act, which is recognized 
as eligible for the special programs and services provided by 
the United States to Indians because of their status as 
Indians, 
"(B) in an Indian allotment the title to which is held in 
trust by the United States or which is inalienable by the 
allottee without the consent of the United States, or 
"(C) in an Indian claims fund held in trust or adminis-
tered by the United States, 
if the particular matter does not involve the Indian allotment or 
claims fund or the Indian tribe, band, nation, organized group or 
community, or Alaska Native village corporation as a specific 
party or parties. 
"(cXD For the purpose of paragraph (1) of subsection (b), in the 
case of class A and B directors of Federal Reserve Banks, the Board 
of Grovemors of the Federal Reserve System shall be deemed to be 
the Government official responsible for appointment. 
"(2) The potential availability of an exemption under any particu-
lar paragraph of subsection (b) does not preclude an exemption 
being granted pursuant to another paragraph of subsection (b). 
"(dXl) A copy of any determination by other than the Director of 
the Office of Government Ethics granting an exemption pursuant to 
subsection (bXD or (bX3) shall be submitted to the Director, who 
shall make all determinations available to the public pursuant to 
section 105 of the Ethics in Government Act of 1978. For determina-
tions pursuant to subsection (bX3), the information from the finan-
cial disclosure report of the officer or employee involved describing 
the asset or assets that necessitated the waiver shall also be made 
available to the public. This subsection shall not apply, however, if 
the head of the agency or his or her designee determines that the 
determination under subsection (bXD or $X3), as the case may be, 
involves classified information. 
"(2) The Office of Government Ethics, after consultation with the 
Attorney General, shall issue uniform regulations for the issuance 
of waivers and exemptions under subsection (b) which shall— 
"(A) list and describe exemptions; and 
"(B) provide guidance with respect to the types of interests 
tlj^at are not so substantial as to be deemed likely to affect the 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1753 
integrity of the services the Government may expect from the 
employee,". 
SEC. 406. AMENDMENT TO SECTION 209 OF TITLE 18, UNITED STATES CODE. 
Section 209(a) of title 18, United States Code, is amended by 
striking "Shall be fined not more than $5,000 or imprisoned not 
more than one year, or both." and inserting "Shall be subject to the 
penalties set forth in section 216 of this title.". 
SEC. 407. PENALTIES AND INJUNCTIONS. 
(a) IN GENERAL.—Chapter 11 of title 18, United States Code, is 
amended by inserting after section 215 the following new section: 
"§ 216. Penalties and injunctions 
"(a) The punishment for an offense under sections 203, 204, 205, 
207, 208, and 209 of this title is the following: 
"(1) Whoever engages in the conduct constituting the offense 
shall be imprisoned for not more than one year or fined in the 
amount set forth in this title, or both. 
"(2) Whoever willfully engages in the conduct constituting the 
offense shall be imprisoned for not more than five years or nned 
in the amount set forth in this title, or both. 
"G)) The Attorney General may bring a civil action in the appro-
priate United States district court against any person who engages 
in conduct constituting an offense under sections 203, 204, 205, 207, 
208, and 209 of this title and, upon proof of such conduct by a 
preponderance of the evidence, such person shall be subject to a civil 
penalty of not more than $50,000 for each violation or the amount of 
compensation which the person received or offered for the prohib-
ited conduct, whichever amount is greater. The imposition of a civil 
penalty imder this subsection does not preclude any other criminal 
or civil statutory, common law, or admmistrative remedy, which is 
available by law to the United States or any other person. 
"(c) If the Attorney General has reason to believe that a person is 
engaging in conduct constituting an offense imder section 203, 204, 
205, 207, 208, or 209 of this title, the Attorney (Jeneral may petition 
an appropriate United States district court for an order prohibiting 
that person from engaging in such conduct. The court may issue an 
order prohibiting that person from engaging in such conduct if the 
court finds that the conduct constitutes such an offense. The filing of 
a petition under this section does not preclude any other remedv 
which is available by law to the United States or any other person. . 
(b) TABLE OP SECTIONS.—The table of sections at the beginning of 
chapter 11 of title 18, United States Code, is amended by inserting 
after the item relating to section 215 the following: 
"216. Penalties and injunctions.". 
TITLE V—OTHER ETHICS REFORMS 
SEC. 501. REFERRAL OF ETHICS VIOLATIONS BY THE SENATE ETHICS 
2 USC 72a-lg. 
COMMITTEE TO THE GENERAL ACCOUNTING OFFICE FOR 
INVESTIGATION. 
If the Committee on Ethics of the Senate determines that there is 
a reasonable basis to believe that a Member, officer, or employee of 
the Senate may have committed an ethics violation, the committee 
may request the Office of Special Investigations of the General 
103 STAT. 1754 
PUBLIC LAW 101-194—NOV. 30, 1989 
Accounting Office to conduct factfinding and an investigation into 
the matter. The Office of Special Investigations shall promptly 
investigate the matter as directed by the committee. 
Taxes. 
SEC. 502. NONRECOGNITION FOR CERTAIN SALES TO COMPLY WITH 
CONFLICT-OF-INTEREST REQUIREMENTS. 
(a) GENERAL RULE.—Part III of subchapter O of chapter 1 of the 
Internal Revenue Code of 1986 (relating to common nontaxable 
exchanges) is amended by adding at the end thereof the following 
new section: 
"SEC. 1043. SALE OF PROPERTY TO COMPLY WITH CONFLICT-OF-
INTEREST REQUIREMENTS. 
"(a) NoNRECOGNinoN OF GAIN.—If an eligible person sells any 
property pursuant to a certificate of divestiture, at the election of 
the taxpayer, gain from such sale shall be recognized only to the 
extent that the amount realized on such sale exceeds the cost 
(reduced by any basis adjustment under subsection (c) attributable 
to a prior sale) of any permitted property purchased by the taxpayer 
during the 60-day period beginning on the date of such sale. 
"(b) DEFINITIONS.—For purposes of this section— 
"(1) EuGiBLE PERSON.—The term 'eligible person' means— 
"(A) an officer or employee of the executive branch of the 
Federal Government, but does not mean a special Govern-
ment employee as defined in section 202 of title 18, United 
States Code, and 
"(B) any spouse or minor or dependent child whose 
ownership of any property is attributable under any stat-
ute, regulation, rule, or executive order referred to in para-
graph (2) to a person referred to in subparagraph (A). 
"(2) CERTIFICATE OF DIVESTITURE.—The term 'certificate of 
divestiture' means any written determination— 
"(A) that states that divestiture of specific property is 
reasonably necessary to comply with any Federal conflict of 
interest statute, regulation, rule, or executive order (includ 
ing section 208 of title 18, United States Code), or requested 
by a congressional committee as a condition of confirma-
tion, 
"(B) that has been issued by the President or the Director 
of the Office of Government Ethics, and 
"(C) that identifies the specific property to be divested. 
"(3) PERMITTED PROPERTY.—The term permitted property' 
means any obligation of the United States or any diversified 
investment fund approved by regulations issued by the Office of 
" 
Government Ethics. 
"(4) PURCHASE.—The teixpayer shall be considered to have 
purchased any permitted property if, but for subsection (c), the 
unadjusted basis of such property would be its cost within the 
meaning of section 1012. 
"(c) BASIS ADJUSTMENTS.—If gain from the sale of any property is 
not recognized by reason of subsection (a), such gain shall be applied 
to reduce (in the order acquired) the basis for determining gain or 
loss of any permitted property which is purchased by the taxpayer 
during the 60-day period described in subsection (a).". 
(b) TECHNICAL AMENDMENTS.— 
(1) Section 1223 of such CJode (relating to holding period of 
property) is amended by redesignating paragraph (14) as para-
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1755 
graph (15) and by inserting after paragraph (13) the following 
new paragraph: 
"(14) In determining the period for which the taxpayer has 
held property the acquisition of which resulted under section 
1043 in the nonrecognition of any part of the gain realized on 
the sale of other property, there shall be included the period for 
which such other property had been held as of the date of such 
sale.". 
(2) Subsection (a) of section 1016 of such Code (relating to 
a4justments to basis) is amended by striking "and" at the end of 
paragraph (23), by striking the period at the end of paragraph 
(24) and inserting ", and", and by adding at the end thereof the 
following new paragraph: 
"(25) in the case of property the acquisition of which resulted 
under section 1043 in the nonrecognition of any part of the gain 
realized on the sale of other property, to the extent provided in 
section 1043(c).". 
(3) The table of sections for part III of subchapter O of chapter 
1 of such Code is amended by adding at the end thereof the 
following new item: 
"Sec. 1043. Sale of property to comply with conflict-of-interest require-
ments.", 
(c) EFFECTIVE DATE.—The amendments made by this section shall 
26 use 1016 
apply to sales after the date of the enactment of this Act. 
^ 
SEC. 503. USE OF G
O
V
E
R
N
M
E
N
T VEHICLES. 
31 USC1344 
Notwithstanding any other provision of law, the head of each 
department, agency, or other entity of each branch of the Govern-
ment shall prescribe by rule appropriate conditions for the inciden-
tal use, for other than official business, of vehicles owned or leased 
by the Government. Such use with respect to vehicles owned or 
leased by, or the cost of which is reimbursed by, the House of 
Representatives or the Senate shall be only as prescribed by rule of 
the House of Representatives or the Senate, as applicable. 
SEC. 504. A
M
E
N
D
M
E
N
T T
O THE FEDERAL ELECTION C
A
M
P
A
I
G
N A
C
T OF 
1971 T
O ELIMINATE THE EXCESS C
A
M
P
A
I
G
N FUND GRAND-
FATHER PROVISION. 
(a) IN GENERAL.—Section 313 of the Federal Election Campaign 
Act of 1971 (2 U.S.C. 439a) is amended by striking ", with respect 
to" and all that follows through "1979,". 
(b) EFFEcnvE DATE.—The amendment made by subsection (a)— 
2 USC 439a note. 
(1) in the case of an individual who serves as a Senator or 
Representative in, or Delegate or Resident Commissioner to, the 
Congress in the 102nd Congress or an earlier Congress, shall 
apply, except as provided in paragraph (2), to the use of excess 
amounts totaling more than the amount equsd to the unobli-
gated balance on hand on the date of the enactment of this Act; 
and 
(2) in the case of an individual who serves as a Senator or 
Representative in, or Delegate or Resident Commissioner to, the 
Congress after the 102nd Congress (including an individual 
referred to in paragraph (1) who so serves), shall apply to the 
use of any excess amount on or after the first day of such 
service. 
103 STAT. 1756 
PUBLIC LAW 101-194—NOV. 30, 1989 
SEC. 505. REPEAL OF CERTAIN OBSOLETE PROVISIONS. 
(a) RESTRICTION ON PAYMENT TO CERTAIN RETIRED MILITARY OFFI-
CERS.—Subsection (a) of section 801 of title 37, United States Code, is 
repealed. 
(b) INTERIOR APPROPRIATIONS.—Section 319 of the Act of Septem-
ber 27,1988 (Interior Department Appropriations, Fiscal Year 1988) 
18 use 208 note. 
(Public Law 100-446,102 Stat. 1774,1826) is repealed. 
SEC. 506. RECERTIFICATION OF SENIOR EXECUTIVES. 
(a) Chapter 33 of title 5, United States Code, is amended— 
(1) by inserting immediately following section 3393 the follow-
ing new section: 
"§ 3393a. Recertification 
"(aXl) In order to ensure that the performance of career ap-
pointees demonstrates the excellence needed to meet the goals of the 
Senior Executive Service, as set forth in section 3131, each career 
appointee shall be subject to recertification by the employing agency 
in accordance with the provisions of this section. 
"(2) Beginning in calendar year 1991, and recurring every third 
calendar year thereafter, the head of an agency shall determine a 
time during such calendar year when the performance of career 
appointees in the agency shall be subject to recertification. 
Recertification shall not be required of any career appointee who 
has not been continuously employed as a senior executive for the 
156 weeks preceding the time determined for the recertification. For 
the purposes of the previous sentence, a break in service of 6 months 
shall be deemed not to interrupt the 156 weeks of continuous 
employment. 
' 0)) The supervising official of each career appointee shall submit 
to a performance review board established by the agency under 
section 4314 a recommendation as to whether the career appointee's 
performance justifies recertification as a senior executive, based on 
such factors as the career appointee's performance ratings for the 3 
preceding years under section 4314, any award or other recognition 
received by the career appointee, any developmental activities of the 
career appointee, and any other relevant factors. The supervising 
official's recommendation shall reflect that official's view as to 
whether the career appointee's overall performance over the 3 
preceding years has demonstrated the excellence expected of a 
senior executive in relation to the written performance require-
ments for the career appointee's senior executive position as estab-
lished under section 4312(b). The career appointee may submit to 
the performance review board a statement of accomplishments and 
other documentation giving evidence of the quality of the career 
appointee's performance. 
*(cXl) After considering the recommendation and other informa-
tion received imder subsection (b), the performance review board 
shall submit to the appointing authority a recommendation as to 
whether the career appointee should be recertified, conditionally 
recertified, or not recertified as a senior executive. If the board 
proposes 
to 
recommend 
conditioned 
recertification 
or 
non-
recertification, then the affected appointee shall be so notified 
and shall have the opportunity to appear before the performance 
review board. If the board is recommending that the career ap-
pointee be recertified, the board may also recommend that the 
career appointee's rate of basic pay be increased to a higher rate 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1757 
established under section 5382. If the board is recommending that 
the career appointee be conditionally recertified, the board may 
recommend that the career appointee's pay be reduced to the next 
lower rate established under section 5382. The board shall also 
provide to the appointing authority the recommendation and other 
information received under subsection fla). 
"(2) More than one-half of the members of a performance review 
board under this section shall consist of career appointees. The 
requirement of the preceding sentence shall not apply in any case in 
which the Office of Personnel Management determines that there 
exists an insufficient number of career appointees available to 
comply with the requirement. 
"(dXD If the appointing authority determines that the career 
appointee's performance during the preceding 3 years demonstrates 
the excellence expected of a senior executive, the appointing author-
ity shall recommend to the head of the agency that the career 
appointee be recertified as a senior executive. 
"(2) If the appointing authority determines that the career ap-
pointee's performance has not demonstrated the excellence expected 
of a senior executive, the appointing authority shall recommend to 
the head of the agency that the career appointee be conditionally 
recertified as a senior executive or not be recertified as a senior 
executive. 
"(eXD If the head of the agency decides that the career appointee's 
performance warrants recertification as a senior executive, the 
career appointee shall continue in the Senior Executive Service. If a 
career appointee is recertified as a senior executive, the career 
appointee's rate of basic pay may not be reduced at the time of 
recertification. 
"(2) If the head of the agency decides that the career appointee's 
performance does not warrant full recertification, but does warrant 
conditional recertification, the career appointee— 
"(A) shall remain a career appointee in the Senior Executive 
Service; 
"(B) shall be subject to continuing close review of the career 
appointee's performance by the supervising official in coordina-
tion with an executive resources board established under sec-
tion 3393, in accordance with a performance improvement plan 
developed by the supervising official and subject to the approval 
of the executive resources board; 
"(C) may, if the head of the agency so determines, be reduced 
to the next lower rate of basic pay established under section 
5382; and 
"(D) shall be removed from the Senior Executive Service if the 
career appointee is not recertified as a senior executive at the 
end 
of the 
12-month period 
following 
the 
conditional 
recertification. 
If, at the end of the 12-month period following the conditional 
recertification, the career appointee is recertified as a senior execu-
tive, any reduction that was made in the career appointee's rate of 
basic pay under subparagraph (C) shall be restored prospectively. 
"(3) If the head of the agency decides that the career appointee's 
performance does not demonstrate that the career appointee quali-
fies for recertification or conditional recertification as a senior 
executive, the career appointee shall be removed from the Senior 
Executive Service in accordance with section 3592. 
103 STAT. 1758 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(f) The Office of Personnel Management shall prescribe stand-
ards and procedures to ensure consistency and fairness for the 
process of recertification under this section.". 
(2) by inserting in the analysis, immediately following the 
item relating to section 3393, the following new item: 
"3393a. Recertification.". 
(b) Title 5, United States Code, is further amended as follows: 
(1) in section 3151(aX5)— 
(A) by striking "and" at the end of subparagraph (C); 
(B) by inserting "and" after the semicolon at the end of 
subparagraph (D); and 
(C) by inserting after subparagraph (D) the following new 
subparagraph: 
"(E) recertification consistent with section 3393a;"; 
(2) in section 3393(g), by inserting after "1207," the following: 
"3393a,"; 
(3) in section 3592(a)— 
(A) by striking "or" at the end of paragraph (1); 
(B) by inserting "or" after the comma at the end of 
paragraph (2); 
(C) by inserting after paragraph (2) the following new 
paragraph: 
"(3) if the career appointee is not recertified as a senior 
executive under section 3393a,"; and 
(D) by inserting at the end thereof the following: "In the 
case of a removal under paragraph (3) of this subsection, the 
career appointee shall have the right to appeal the removal 
from the Senior Executive Service to the Merit Systems 
Protection Board under section 7701."; 
(4) in section 3593(aX2)— 
(A) by striking "or"; 
(B) by striking the period and inserting in lieu thereof the 
following: ", or failure to be recertified as a senior executive 
under section 3393a."; 
(5) in section 3594(b)— 
(A) by striking "or" at the end of paragraph (1); 
(B) by inserting "or" after the semicolon at the end of 
paragraph (2); and 
(C) by inserting after paragraph (2) the following new 
paragraph: 
"(3) is removed from the Senior Executive Service for failure 
to be recertified under section 3393a;"; 
(6) in section 7701(cXlXA) by striking "of and inserting in 
lieu thereof the following: "of a removal from the Senior Execu-
tive Service for failure to be recertified under section 3393a or"; 
(7) in section 8336(h)— 
(A) in paragraph (1) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive under section 3393a or for"; 
(B) in paragraph (2) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive or for"; and 
(C) in paragraph (3) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive or for"; 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1759 
(8) in section 8339(h) by striking the period at the end of the 
first sentence and inserting in lieu thereof the following: 
", except that such reduction shall not apply in the case of an 
employee retiring under section 8336(h) for failure to be 
recertified as a senior executive."; 
(9) in section 8414(a)— 
(A) in paragraph (1) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive under section 3393a or for"; 
(B) in parsigraph (2) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive or for"; and 
(C) in paragraph (3) by striking "for" and inserting in lieu 
thereof the following: "for failure to be recertified as a 
senior executive or for"; and 
(10) in section 8421(aX2) by striking the period and inserting 
in lieu thereof the following: ", except that an individual enti-
tled to an annuity under section 8414(a) for failure to be 
recertified as a senior executive shall be entitled to an annuity 
supplement without regard to such applicable minimum retire-
ment age". 
(cXD Section 305 of the Foreign Service Act of 1980 is amended by 
inserting at the end thereof the following new subsection: 
"(c) The Secretary shall by regulation establish a recertification 
process for members of the Senior Foreign Service that is equivalent 
to the recertification process for the Senior Executive Service under 
section 3393a of title 5, United States Ck)de.". 
(2) Section 12(aXl) of the National Security Agency Act of 
1959 is amended— 
(A) by striking "and" at the end of paragraph (F); 
(B) by inserting "and" after the semicolon at the end of 
paragraph (G); and 
(C) by inserting after paragraph (G) the following new 
paragraph: 
"(H) provide for the recertification of members of the 
Senior Cryptologic Executive Service consistent with the 
provisions of section 3393a of such title.". 
(3) Section 1601(a) of title 10, United States Code, is 
amended— 
(A) by striking "and" at the end of parsigraph (6); 
(B) by inserting "and" after the semicolon at the end of 
paragraph (7); and 
(C) by inserting after paragraph (7) the following new 
paragraph: 
"(8) provide for the recertification of members of the Defense 
Intelligence Senior Executive Service consistent with the provi-
sions of section 3393a of title 5.". 
(d) The amendments made by this section shall take effect on 
January 1,1991. 
SEC. 507. SUSPENSION OF EFFECT OF CERTAIN PROVISIONS OF LAW. 
The following provisions of law shall have no force or effect during 
the period beginning on the day after the date of enactment of this 
Act and ending one year after such day: 
(1) Section 27 of the Office of Federal Procurement Policy Act 
(41 U.S.C. 423). 
(2) Sections 2397a and 2397b of title 10, United States Code. 
22 u s e 3945. 
Regulations. 
50 u s e 402 note. 
Effective date. 
5 u s e 3151 note. 
41 u s e 423 note. 
10 u s e 2397a 
note, 2397b note. 
103 STAT. 1760 
PUBLIC LAW 101-194—NOV. 30, 1989 
18 use 281 note. 
(3) Section 281 of titie 18, United States Code. 
n^te ^ l l i f te 
^
^
^ Sections 603 through 606, subsections (a) and (b) of section 
7215 note, 7216 
^07, and subsections (a) and (c) of section 608 of the Department 
note, 7217 note, 
of Energy Organization Act. 
TITLE VI—LIMITATIONS ON OUTSIDE EM-
PLOYMENT 
AND 
ELIMINATION 
OF 
HONORARIA 
SEC 601. UMITATIONS ON OUTSIDE EARNED INCOME AND EMPLOY-
MENT. 
(a) LIMITATIONS.—^Title V of the Ethics in Government Act of 1978 
is amended to read as follows: 
"TITLE V—GOVERNMENT-WIDE LIMITATIONS ON OUTSIDE 
EARNED INCOME AND EMPLOYMENT 
5 use app. 501. 
-SEC 501. OUTSIDE EARNED INCOME LIMITATION. 
"(a) OUTSIDE EARNED INCOME LIMITATION.— 
. . 
"(1) Ebccept as provided by paragraph (2), a Member or an 
officer or employee who is not a career civil servant and whose 
rate of basic pay is equal to or greater than the annual rate of 
basic pay in effect for grade GS-16 of the Greneral Schedule 
under section 5332 of title 5, United States Code, may not in any 
calendar year have outside earned income attributable to such 
calendar year which exceeds 15 percent of the annual rate of 
basic pay for level 11 of the Executive Schedule under section 
5313 of title 5, United States Code, as of January 1 of such 
calendar year. 
"(2) In the case of any individual who becomes a Member or 
. an officer or employee who is not a career civil servant and 
whose rate of basic pay is equal to or greater than the annual 
rate of basic pay in effect for grade GS-16 of the General 
> 
^ 
Schedule during a calendar year, such individual may not have 
outside earned income attributable to the portion of that cal-
endar year which occurs after such individual becomes a 
Member, officer or employee which exceeds 15 percent of the 
annual rate of basic pay for level 11 of the Executive Schedule 
under section 5313 of title 5, United States Code, as of January 1 
of such calendar year multiplied by a fraction the numerator of 
which is the number of days such individual is a Member, 
officer or employee during such calendar year and the denomi-
nator of which is 365. 
"(b) HONORARIA PROHiBrnoN.—An individual may not receive any 
s 
honorarium while that individual is a Member, officer or employee. 
"(c) TREATMENT O
F CHARITABLE CONTRIBUTIONS.—Any honorarium 
\ 
which, except for subsection (b), might be paid to a Member, officer 
or employee, but which is paid instead on behalf of such Member, 
officer or employee to a charitable organization, shall be deemed not 
to be received by such Member, officer or employee. No such pay-
\: 
ment shall exceed $2,000 or be made to a charitable organization 
from which such individual or a parent, sibling, spouse, child, or 
dependent relative of such individual derives any financial benefit. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1761 
"SEC. 502. LIMITATIONS ON OUTSIDE EMPLOYMENT. 
5 USC app. 502. 
"A Member or an officer or employee who is not a career civil 
servant and whose rate of basic pay is equal to or greater than the 
annual rate of basic pay in effect for grade GS-16 of the General 
Schedule shall not— 
"(1) affiliate with or be employed by a firm, partnership, 
association, corporation, or other entity to provide professional 
services which involves a fiduciary relationship for compensa-
tion; 
"(2) permit that Member's, officer's, or employee's name to be 
used by any such firm, partnership, association, corporation, or 
other entity; 
"(3) practice a profession which involves a fiduciary relation-
ship for compensation; 
(4) serve for compensation as an officer or member of the 
board of any association, corporation, or other entity; or 
"(5) receive compensation for teaching, without the prior 
notification and approval of the appropriate entity referred to 
in section 503. 
"SEC. 503. ADMINISTRATION. 
5 USC app. 503. 
"This title shall be subject to the rules and regulations of— 
"(1) and administered by the committee of the House of 
Representatives assigned responsibility for administering the 
reporting requirements of title I with respect to Members, 
officers and employees of the House of Representatives; 
"(2) the Office of Government Ethics and administered by 
designated sigency ethics officials with respect to officers and 
employees of the executive branch; and 
' (3) and administered by the Judicial Conference of the 
United States (or such other agency as it may designate) with 
respect to officers and employees of the judicial branch. 
"SEC. 504. CIVIL PENALTIES. 
5 USC app. 504. 
"(a) CIVIL ACTION.—The Attorney General may bring a civil action 
in any appropriate United States district court against any individ-
ual who violates any provision of section 501 or 502. The court in 
which such action is brought may assess against such individual a 
civil penalty of not more than $10,000 or the amount of compensa-
tion, if any, which the individual received for the prohibited con-
duct, whichever is greater. 
"(Jb) ADVISORY OPINIONS.—Any entity described in section 503 may 
render advisory opinions interpreting this title, in writing, to 
individuals covered by this title. Any individual to whom such an 
advisory opinion is rendered and any other individual covered by 
this title who is involved in a fact situation which is indistinguish-
able in all material aspects, and who, after the issuance of such 
advisory opinion, acts in good faith in accordance with its provisions 
and findings shall not, as a result of such actions, be subject to any 
sanction under subsection (a). 
"SEC. 505. DEFINITIONS. 
5 USC app. 505. 
"For purposes of this title: 
' (1) The term 'Member' means a Representetive in, or a 
Delegate or Resident Commissioner to, the Congress. 
"(2) The term 'officer or employee' means any officer or 
employee of the Government except (A) any individual (other 
103 STAT. 1762 
PUBLIC LAW 101-194—NOV. 30, 1989 
than the Vice President) whose compensation is disbursed by 
the Secretary of the Senate or (B) any special Government 
employee (as defined in section 202 of title 18, United States 
Code). 
"(3) The term *honorarium* means a payment of money or any 
thing of value for an appearance, speech or article by a 
Member, officer or employee, excludii:^ any actual and nec-
essary travel expenses incurred by such individual (and one 
relative) to the extent that such expenses are paid or re-
imbursed by any other person, and the amount otherwise deter-
mined shall be reduced by the amount of any such expenses to 
the extent that such expenses are not paid or reimbursed. 
"(4) The term 'travel expenses' means, with respect to a 
Member, officer or employee, or a relative of any such individ-
ual, the cost of transportation, and the cost of lodging and meals 
while away from his or her residence or principal place of 
employment. 
(5) The term 'charitable organization' means an organization 
described in section 17(Kc) of the Internal Revenue (>>de of 
1986.". 
(b) CONFORMING AMENDMENTS.— 
(1) Section 323 of the Federal Election Campaign Act of 1971 
(2 U.S.C. 441i) is amended— 
(A) in subsection (a) by striking "No person while an 
elected or appointed officer or employee of the Federal 
Government and by inserting "No person while a Senator 
or officer or employee of the Senate", and by striking 
i: 
"accept" the first place it appears; and 
(B) in subsection (b) by striking "an elected or appointed 
officer or employee of any branch of the Federal Govern-
ment" and by inserting 'a Senator or any officer or em-
ployee of the Senate". 
(2) Section 908(aX3) of the Supplemental Appropriations Act, 
- 
1983 (2 U.S.C. 31-l(aX3)), is amended to read as follows: 
"(3) 'Member' means a Senator; and". 
SEC. 602. TAX TREATMENT OF AMOUNTS PAID TO CHARITY. 
26 use 7701. 
Section 7701 of the Internal Revenue Code of 1986 is amended by 
redesignating subsection (k) as subsection G) and by inserting after 
subsection (j) the following: 
"(k) TREATMENT OP CERTAIN AMOUNTS PAID TO CHARITY.—In the 
case of any payment which, except for section 501(b) of the Ethics in 
Grovemment Act of 1978, might be made to any officer or employee 
of the Federal Government but which is made instead on behalf of 
such officer or employee to an organization described in section 
170(c)-
State and local 
"(1) such payment shall not be treated as received by such 
governments. 
officer or employee for all purposes of this title and for all 
purposes of any tax law of a State or political subdivision 
thereof, and 
"(2) no deduction shall be allowed under any provision of this 
title (or of any tax law of a State or political subdivision thereof) 
to such officer or employee by reason of having such payment 
made to such organization. 
For purposes of this subsection, a Representative in, or a Delegate or 
Resident Commissioner to, the Congress shall be treated as an 
officer or employee of the Federal Government and a Senator or 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1763 
officer (except the Vice President) or employee of the Senate shall 
not be treated as an officer or employee of the Federal Govern-
ment.". 
SEC. 603. EFFECTIVE DATE. 
2 USC 31-1 note. 
The amendments made by this title shall take effect on January 1, 
1991. Such amendments shall cease to be effective if the provisions of 
section 703 are subsequently repealed, in which case the laws in 
effect before such amendments shall be deemed to be reenacted. 
TITLE VII—CITIZENS' COMMISSION ON 
PUBLIC SERVICE AND COMPENSATION 
SEC. 701. CITIZENS' COMMISSION ON PUBLIC SERVICE AND COMPENSA-
TION. 
(a) REDESIGNATION.— 
(1) IN GENERAL.—Section 225(a) of the Federal Salary Act of 
1967 (2 U.S.C. 351) is amended by striking "Commission on 
Executive, L^islative, and Judicial Salaries" and inserting 
"Citizens' Commission on PubUc Service and Compensation". 
(2) CONFORMING AMENDMENT.—The heading for section 225 of 
such Act (2 U.S.C. 351 and following) is amended to read as 
follows: 
"CITIZENS' COMMISSION ON PUBLIC SERVICE AND COMPENSATION". 
(b) MEMBERSHIP.—Section 225(b) of such Act (2 U.S.C. 352) is 
amended to read as follows: 
"(b) MEMBERSHIP.— 
"(1) The Commission shall be composed of 11 members, who 
shall be appointed from private life as follows: 
"(A) 2 appointed by the President of the United States; 
President of U.S. 
"(B) 1 appointed by the President pro tempore of the 
Senate, upon the recommendation of the majority and 
minority leaders of the Senate; 
"(C) 1 appointed by the Speaker of the House of Rep-
resentatives; 
"(D) 2 appointed by the Chief Justice of the United States; 
and 
"(E) 5 appointed by the Administrator of General Serv-
ices in accordance with paragraph (4). 
"(2) No person shall serve as a member of the (Dommission 
who is— 
"(A) an officer or employee of the Federal Government; 
"(B) registered (or requii^ to register) imder the Federal 
Regulation of Lobbying Act; or 
"(C) a parent, sibling, spouse, child, or dependent relative, 
of anyone under subparagraph (A) or (B). 
"(3) The persons appointed under subparagraphs (A) through 
(D) of paragraph (1) shall be selected without regard to political 
affihation, and should be selected from among persons who 
have experience or exi)ertise in such areas as government, 
personnel management, or public administration. 
103 STAT. 1764 
PUBLIC LAW 101-194—NOV. 30, 1989 
Regulations. 
"(4) The Administrator of General Services shall by regula-
tion establish procedures under which persons shall be selected 
for appointment under paragraph (IXE). Such procedures— 
*(A) shall be designed in such a way so as to provide for 
the maximum degree of geographic diversity practicable 
among members under paragraph (IXE); 
"(B) shall include provisions under which those members 
shall be chosen by lot from among names randomly selected 
' 
from voter registration lists; and 
"(C) shall otherwise comply with applicable provisions of 
this subsection. 
President of U.S. 
"(5) The chairperson shall be designated by the President. 
"(6) A vacancy in the membership of the Commission shall be 
filled in the manner in which the original appointment was 
made. 
*
^ 
"(7) Each member of the Commission shall be paid at the rate 
of $100 for each day such member is engaged upon the work of 
the Commission and shall be allowed travel expenses, including 
a per diem allowance, in accordance with section 5703 of title 5, 
United States Code, when engaged in the performance of serv-
ices for the (Dommission. 
"(8XA) The terms of ofRce of persons first appointed as mem-
/ 
bers of the dlommission shall be for the period of the 1993 fiscal 
, year of the Federal Government, and shall begin not later than 
' 
February 14,1993. 
"(B) After the close of the 1993 fiscal year of the Federal 
Government, persons shall be appointed as members of the 
Commission with respect to every fourth fiscal year following 
, J the 1993 fiscal year. The terms of office of persons so appointed 
shall be for the period of the fiscal year with respect to which 
the appointment is made, except that, if any appointment is 
,, made c^er the beginning and before the close of any such fiscal 
year, the term of office based on such appointment shall be for 
f . , 
the remainder of such fiscal year. 
"(CXi) Notwithstanding any provision of subparagraph (A) or 
(B), members of the (Dommission may continue to serve after the 
close of a fiscal year, if the date designated b^ the President 
under subsection (g) (relating to the date by which the Commis-
sion is to submit its report to the President) is subsequent to the 
close of such fiscal year, and only if or to the extent necessary to 
allow the O>mmission to submit such report. 
"(ii) Notwithstanding any provision of subsection (c), author-
ity under such subsection shall remain available, after the close 
of a fiscal year, so long as members of the (Dommission continue 
to serve.". 
(c) AMENDMENTS TO SECTION 225(C).—Section 225(c) of such Act 
(2 U.S.C. 353) is amended by striking "subsection (b) (2) and (3)" each 
place it appears and inserting "subparagraphs (A) and (B) of subsec-
tion (bX8)*'. 
(d) AMENDMENT TO SECTION 225(f).—Section 225(f) of such Act 
(2 U.S.C. 356) is amended by striking "subsection (b) (2) and (3)" and 
inserting "subparagraphs (A) and (B) of subsection (bX8)". 
(e) REPORT TO THE PRESIDENT.—Section 225(g) of such Act (2 U.S.C. 
357) is amended— 
^ 
(1) by amending the subsection heading to read as follows: 
"REPORT BY (DOMMISSION TO THE PRESIDENT WITH RESPECT TO 
PAY": 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1765 
(2) in the first sentence, by striking "Commission of" and 
inserting "Commission with respect to rates of pay for"; and 
(3) in the second sentence, by striking "December 15" and all 
that follows thereafter through the period and inserting 
"December 15 next following the close of the fiscal year in 
which the review is conducted by the Commission.". 
(f) RECX>MMENDATIONS OF THE PRESIDENT WITH RESPECT TO PAY.— 
Section 225Gi) of such Act (2 U.S.C. 358) is amended to read as 
follows: 
"(h) 
RECOMMENDATIONS OF THE PRESIDENT WITH RESPECT TO 
PAY.— 
"(1) After considering the report and recommendations of the 
Commission submitted under subsection (g), the President shall 
transmit to Congress his recommendations with respect to the 
exact rates of pay, for offices and positions within the purview 
of subparagraphs (A), (B), (C), and (D) of subsection (f), which the 
President considers to be fair and reasonable in light of the 
Commission's report and recommendations, the prevailing 
market value of the services rendered in the offices and posi-
tions involved, the overall economic condition of the country, 
and the fiscal condition of the Federal Government. 
"(2) The President shall transmit his recommendations under 
this subsection to Congress on the first Monday after January 3 
of the first calendar year beginning after the date on which the 
Commission submits its report and recommendations to the 
President under subsection (g).". 
(g) EFFECTIVE DATE OF RECOMMENDATIONS OF THE PRESIDENT.— 
Section 225(i) of such Act (2 U.S.C. 359) is amended to read as 
follows: 
"(i) EFFECTIVE DATE OF RECOMMENDATIONS OF THE PRESIDENT.— 
"(1) None of the President's recommendations under subsec-
tion (h) shall take effect unless approved under paragraph (2). 
"(2XA) The recommendations of the President under subsec-
tion (h) shall be considered approved under this paragraph if 
there is enacted into law a bill or joint resolution approving 
such recommendations in their entirety. This bill or joint reso-
lution shall be passed by recorded vote to reflect the vote of each 
Member of Congress thereon. 
"(BXi) The provisions of this subparagraph are enacted by the 
Congress— 
"(I) as an exercise of the rulemaking power of the Senate 
and the House of Representatives and as such shall be 
considered as part of the rules of each House, and shall 
supersede other rules only to the extent that they are 
inconsistent therewith; and 
"(n) with full recognition of the constitutional right of 
either House to change the rules (so far as they relate to the 
procedures of that House) at any time, in the same manner, 
and to the same extent as in the case of any other rule of 
that House. 
"(ii) During the 60-calendar-day period b^inning on the date 
that the President transmits his recommendations to the Con-
gress under subsection (h), it shall be in order as a matter of 
highest privilege in each House of Congress to consider a bill or 
joint resolution, if offered by the majority leader of such House 
(or a designee), approving such recommendations in their 
entirety. 
103 STAT. 1766 
PUBLIC LAW 101-194—NOV. 30, 1989 
"(3) Except as provided in par^raph (4), any recommended 
pay adjustment approved under paragraph (2) shall take effect 
as of the date proposed by the President under subsection (h) 
with respect to such adjustment. 
- 
"(4XA) Notwithstanding the approval of the President's pay 
recommendations in accordance with paragraph (2), none of 
those recommendations shall take effect unless, between the 
date on which the bill or resolution approving those rec-
ommendations is signed by the President (or otherwise becomes 
•
« 
law) and the earliest date as of which the President proposes 
(under subsection (h)) that any of those recommendations take 
effect, an election of Representatives shall have intervened. 
"(B) For purposes of this paragraph, the term 'election of 
Representatives' means an election held on the Tuesday follow-
ing the first Monday of November in any even-numbered cal-
endar year.". 
(h) AMENDMENT TO SECTION 225(j).—Section 225(jXA) of such Act 
(2 U.S.C. 360(A)) is amended by striking "(other than" and all that 
follows thereafter through ", and" and inserting "(other than any 
provision of law enacted with respect to such recommendations in 
the period beginning on the date the President transmits his rec-
ommendations to the (ingress under subsection (h) and ending on 
the date of their approval under subsection (iX2)), and". 
(i) REQUIREMENTS APPUCABLE TO RECOMMENDATIONS.—Section 225 
of such Act (2 U.S.C. 351 and following) is amended by adding at the 
end the following: 
2 use 362. 
"(1) REQUIREMENTS APPUCABLE TO RECOMMENDATIONS.—Notwith-
standing any other provision of this section, the recommendations 
submitted by the (Dommission to the President under subsection (g), 
and the recommendations transmitted by the President to the 
(Dongress under subsection (h), shall be in conformance with the 
following: 
"(1) Any recommended pay adjustment shall specify the date 
as of which it is proposed that such adjustment take effect. 
"(2) The proposed effective date of a pay adjustment may 
occur no earlier than January 1 of the second fiscal year, and no 
later than December 31 next following the close of the fifth 
fiscal year, beginning after the fiscal year in which the (Dommis-
ji 
sion conducts its review under subsection (f), 
"(3XAXi) The rates of pay recommended for the Speaker of the 
House of Representatives, the Vice President of the United 
States, and the Chief Justice of the United States, respectively, 
shall be equal. 
"(ii) The rates of pay recommended for the majority and 
minority leaders of the Senate and the House of Representa-
li> 
tives, the President pro tempore of the Senate, and each office 
or position under section 5312 of title 5, United States (Dode 
(relating to level I of the Executive Schedule), respectively, shall 
^ 
be equal. 
"(iii) The rates of pay recommended for a Senator, a Member 
of the House of Representatives, the Resident Commissioner 
from Puerto Rico, a Delegate to the House of Representatives, a 
judge of a district court of the United States, a judge of the 
United States Ckjurt of International Trade, and each office or 
position under section 5313 of title 5, United States CJode (relat-
ing to level II of the Executive Schedule), respectively, shall be 
equal. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1767 
Reports. 
2 use 364. 
' 
"(B) Nothing in this subsection shall be considered to require 
that the rate recommended for any office or position by the 
President under subsection (h) be the same as the rate rec-
ommended for such office or position by the Commission under 
subsection (g).". 
0) ADDmoNAL FUNCTION.—Section 225 of such Act (2 U.S.C. 351 
and following), as amended by subsection (i), is further amended by 
2 USC 363. 
adding at the end tiie following: 
"(m) ADDITIONAL FUNCTION.—^The Commission shall, whenever it 
conducts a review under subsection (f), also conduct a review under 
this subsection relating to any recruitment or retention problems, 
and any public policy issues involved in maintaining appropriate 
ethical standards, witii respect to any offices or positions within the 
Federal public service. Any findings or recommendations under this 
subsection shall be included by the Commission as part of its report 
to the President under subsection (g).". 
(k) PROVISION RELATING TO CERTAIN OTHER PAY ADJUSTMENT^.— 
Section 225 of such Act (2 U.S.C. 351 and following) is amended by 
adding after subsection (m) (as added by subsection 0')) the following: 
"(n) PROVISION RELATING TO CERTAIN OTHER PAY ADJUSTMENTS.— 
"(1) A provision of law increasing the rate of pay payable for 
an office or position within the purview of subparagraph (A), 
(B), (dO, or (D) of subsection (f) shall not take effect before the 
b^inning of the Congress following the Congress during which 
such provision is enacted. 
"(2) For purposes of this subsection, a provision of law enacted 
during the period b^inning on the Tuesday following the first 
Monday of November of an even-numbered year of any Con-
gress and ending at noon on the following January 3 shall be 
considered to have been enacted during the first session of the 
following Congress. 
"(3) Nothing in this subsection shall be considered to apply 
with respect to any pay increase— 
"(A) which takes effect under the preceding subsections of 
this section; 
"(B) which is based on a change in the Employment Ck>st 
Index (as determined under section 704(aXl) of the Ethics 
Reform Act of 1989) or which is in lieu of any pay adjust-
ment which might otherwise be made in a year based on a 
change in such index (as so determined); or 
"(C) which takes effect under section 702 or 703 of the 
Ethics Reform Act of 1989.". 
SEC 702. RESTORATION OF COMPARABILITY ADJUSTMENTS. 
(a) RESTORATION.— 
(1) IN GENERAL.—Effective for pay periods beginning on or 
after the date of enactment of this Act, the rate of basic pay for 
any office or position in the executive, l^islative, or judicial 
branch of the Government or in the government of the District 
of Columbia shall be determined as if the provisions of law cited 
in paragraph (2) had never been enacted. 
(2) (DiTATiONS.—The provisions of law referred to in para-
graph (1) are as follows: 
(A) Section 620(b) of the Treasury, Postal Service and 
General Government Appropriations Act, 1989 (2 U.S.C. 
5 USC 5305 note. 
5305 note). 
5 USC 5305 note. 
District of 
Columbia. 
103 STAT. 1768 
PUBLIC LAW 101-194—NOV. 30, 1989 
(B) Section 619(b) of the Treasury, Postal Service and 
General Government Appropriations Act, 1990 (Public Law 
5 u s e 5305 note. 
101-136). 
(b) ExcEPTiONS.^Notwithstanding any other provision of this sec-
tion, the rate of basic pay for a Senator, the President pro tempore 
of the Senate, and the majority leader and the minority leader of the 
Senate shall be determined as if subsection (a) had not been enacted. 
(c) SPECIFIC AUTHORITY.—For purposes of section 140 of Public 
^ 
Law 97-92 (28 U.S.C. 461 note), appropriate salary increases are 
hereby authorized for Federal judges £uid Justices of the Supreme 
Court pursuant to subsection (a). 
(d) SPECIAL RULE.—Notwithstanding any other provision of this 
section, no adjustment in any rate of pay shall become effective, as a 
result of the enactment of this section, before the first applicable 
pay period beginning on or after the date as of which the order 
issued by the President on October 16,1989, pursuant to section 252 
of the Balanced Budget and Emergency Deficit Control Act of 1985 
is rescinded. 
5 u s e 5318 note. 
SEC. 703. SALARY LEVELS OF SENIOR GOVERNMENT OFFICIALS. 
(a) SALARY LEVELS.— 
(1) EXECUTIVE POSITIONS.—Effective the first day of the first 
applicable pay period that begins on or after January 1, 1991, 
the rate of basic pay for positions in the Executive Schedule 
shall be increased in the amount of 25 percent of their respec-
tive rates (as last in effect before the increase), rounded to the 
nearest multiple of $100 (or, if midway between multiples of 
$100, to the next higher multiple of $100). 
(2) LEGISLATIVE POSITIONS; OFFICE OF THE VICE PRESIDENT.— 
(A) GENERALLY.—Effective the first day of the first ap-
plicable pay period that begins on or after January 1,1991, 
the rate of basic pay for the offices and positions under 
subparagraphs (A) and (B) of section 225(f) of the Federal 
Salary Act of 1967 (2 U.S.C. 356 (A) and (B)) shall be 
increased in the amount of 25 percent of their respective 
rates (as last in effect before the increase), rounded to the 
nearest multiple of $100 (or, if midway between multiples of 
$100, to the next higher multiple of $100), except as pro-
vided in subparagraph (B). 
(B) EXCEPTIONS.—Nothing in subparagraph (A) shall 
affect the rate of basic pay for a Senator, the President pro 
tempore of the Senate, or the majority leader or the minor-
ity leader of the Senate. 
(3) JUDICIAL POSITIONS.—Effective the first day of the first 
applicable pay period that begins on or after January 1, 1991, 
the rate of basic pay for the Chief Justice of the United States, 
an associate justice of the Supreme Court of the United States, a 
judge of a United States circuit court, a judge of a district court 
of the United States, and a judge of the United States Court of 
International Trade shall be increased in the amount of 25 
percent of their respective rates (as last in effect before the 
increeise), rounded to the nearest multiple of $100 (or, if midway 
between multiples of $100, to the next higher multiple of $100). 
(b) COORDINATION RULE.—If a pay adjustment under subsection (a) 
is to be made for an office or position as of the same date as any 
other pay adjustment affecting such office or position, the adjust-
ment under subsection (a) shall be made first. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1769 
SEC 704. REVISION IN METHOD BY WHICH ANNUAL PAY ADJUSTMENTS 
5 USC 5318 note. 
FOR CERTAIN EXECUTIVE, LEGISLATIVE, AND JUDICIAL POSL 
TIONS ARE TO BE MADE. 
(a) PERCENT CHANGE IN THE ElBfPLOYifENT CojST INDEX.— 
(1) METHOD FOR CX>MPUTING PERCENT CHANGE IN THE ECI.— 
(A) DEFINITIONS.—For purposes of this paragraph— 
(i) the term "Employment Cost Index" or "ECI" 
means the Employment Cost Index (wages and salaries, 
private industry workers) published quarterly by the 
Bureau of Labor Statistics; and 
(ii) the term "base quarter" means the 3-month 
period ending on December 31 of a year. 
(B) METHOD.—For purposes of the provisions of law 
amended by paragraph (2), the "most recent percentage 
change in the Ed", as of any date, shall be one-half of 1 
percent less than the percentage (rounded to the nearest 
one-tenth of 1 percent) derived by— 
(i) reducing— 
(I) the ECI for the last base quarter prior to that 
date, by 
(ID the ECI for the second to last base quarter 
prior to that date, 
(ii) dividing the difference under clause (i) by the ECI 
for the base quarter referred to in clause (i)(ID, and 
(iii) multipl3dng the quotient under clause (ii) by 100, 
except that no percentage change determined under this 
paragraph shall be— 
(D less than zero; or 
(ID greater than 5 percent. 
(2) PROVISIONS THROUGH WHICH NEW METHOD IS TO BE IMPLE-
MENTED.— 
(A) AMENDMENT TO TITLES 3, 5, AND 28 OF THE UNITED 
S
T
A
T
E
S CODE.—Sectiou 104 of title 3, United States (Dode, 
section 5318 of title 5, United States Code, and section 
461(a) of title 28, United States Code, are amended by 
striking "corresponds to" and all that follows thereafter 
through the period, and inserting the following: 
"corresponds to the most recent percentage change in the ECI 
(relative to the date described in the next sentence), as determined 
imder section 704(aXl) of the Ethics Reform Act of 1989. The appro-
priate date under this sentence is the first day of the fiscal year in 
which such adjustment in the rates of pay under the (general 
Schedule takes effect.". 
(B) AMENDMENT TO THE LEGISLATIVE REORGANIZATION ACT 
O
F 1946.—Section 601(aX2) of the Legislative Reorganization 
Act of 1946 (2 U.S.C. 31(2)) is amended by striking "cor-
responds to" and all that follows thereafter through the 
period and inserting the following: 
"corresponds to the most recent percentage change in the ECI 
(relative to the date described in the next sentence), as determined 
under section 704(aXl) of the Ethics Reform Act of 1989. The appro-
priate date imder this sentence is the first day of the fiscal year in 
which such adjustment in the rates of pay under the (general 
Schedule takes effect.". 
(b) EFFECTIVE DATE.—This section and the amendments made by 
this section shall take effect on January 1,1991. 
103 STAT. 1770 
PUBLIC LAW 101-194—NOV. 30, 1989 
SEC. 705. WORK PERFORMED BY SENIOR JUDGES IN ORDER TO RECEIVE 
CERTAIN SALARY INCREASES. 
(a) IN GENERAL.—Section 371 of title 28, United States Code, is 
amended— 
(1) in subsection (b)— 
(A) by inserting "(D" after "(b)"; 
(B) by inserting "or her" after "his"; and 
(C) by striking the period and inserting the following: "if 
he or she meets the requirements of subsection (f). 
"(2) In a case in which a justice or judge who retires under 
paragraph (1) does not meet the requirements of subsection (f), the 
justice or judge shall continue to receive the salary that he or she 
was receiving when he or she w£is last in active service or, if a 
certification under subsection (f) was made for such justice or judge, 
when such a certification was last in effect. The salary of such 
justice or judge shall be adjusted under section 461 of this title."; 
and 
(2) by adding at the end the following new subsection: 
"(fKD In order to continue receiving the salary of the office under 
subsection (b), a justice must be certified in each calendar year by 
the Chief Justice, and a judge must be certified by the chief judge of 
the circuit in which the judge sits, as having met the requirements 
set forth in at least one of the following subparagraphs: 
"(A) The justice or judge must have carried in the preceding 
calendar year a caseload involving courtroom participation 
which is equal to or greater than the amount of work involving 
courtroom participation which an average judge in active serv-
ice would perform in three months. In the instance of a justice 
or judge who has sat on both district courts and courts of 
appeals, the C£iseload of appellate work and trial work shall be 
determined separately and the results of those determinations 
added together for purposes of this paragraph. 
"(B) The justice or judge performed in the preceding calendar 
year substantial judicial duties not involving courtroom partici-
pation under subparagraph (A), including settlement efforts, 
motion decisions, writing opinions in cases that have not been 
orally argued, and administrative duties for the court to which 
the justice or judge is assigned. Any certification under this 
subparagraph shall include a statement describing in detail the 
nature and amount of work and certifying that the work done is 
equal to or greater than the work described in this subpara-
graph which an average judge in active service would perform 
in three months. 
"(C) The justice or judge h£is, in the preceding calendar year, 
performed work described in subparagraphs (A) and (B) in an 
amount which, when calculated in accordance with such sub-
paragraphs, in the aggregate equals at least 3 months work. 
"(D) The justice or judge has, in the preceding calendar year, 
performed substantial administrative duties directly related to 
the operation of the courts, or has performed substantial duties 
for a Federal or State governmental entity. A certification 
under this subparagraph shall specify that the work done is 
equal to the full-time work of an employee of the judicial 
branch. 
"(E) The justice or judge was unable in the preceding calendar 
year to perform judicial or administrative work to the extent 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1771 
required by any of subparagraphs (A) through (D) because of a 
temporary or permanent disability. A certification under this 
subparagraph shall be made to a justice who certifies in writing 
his or her disability to the Chief Justice, and to a judge who 
certifies in writing his or her disability to the chief judge of the 
circuit in which the judge sits. A justice or judge who is certified 
under this subparagraph as having a permanent disability shall 
be deemed to have met the requirements of this subsection for 
each calendar year thereafter. 
"(2) Determinations of work performed under subparagraphs (A), 
(B), (C), and (D) of paragraph (1) shall be made pursuant to rules 
promulgated by the Judicial Conference of the United States. In 
promulgating such criteria, the Judicial Conference shall take into 
account existing standards promulgated by the Conference for 
allocation of space and staff for senior judges. 
"(3) If in any year a justice or judge who retires under subsection 
(b) does not receive a certification under this subsection (except as 
provided in paragraph (IXE)), he or she is thereafter ineligible to 
receive such a certification. 
"(4) In the case of any justice or judge who retires under subsec-
tion (b) during a calendar year, there shall be included in the 
determination under this suli^ection of work performed during that 
calendar year all work performed by that justice or judge (as 
described in subparagraphs (A), (B), (C), and (D) of paragraph (1)) 
during that calendar year before such retirement.", 
(b) EFFECTIVE DATE.— 
28 USC 371 note. 
(1) IN GENERAL.—The amendments made by subsection (a) 
shall first apply with respect to work performed on or aft«r 
January 1, 1990, by a justice or ju<^e of the United States who 
has retired under section 371(b) of title 28, United States Oxie. 
(2) CALENDAR YEAR 1990.—In the case of certifications re-
quired by section 371(f) of title 28, United States (Uode, for 
calendar year 1990— 
(A) such certifications shall be based on the 10-month 
period beginning on January 1, 1990, and ending on 
October 31, 1990, and shall be completed not later than 
December 15,1990; 
(B) determinations of work performed under section 371(f) 
of title 28, United States Code, shall be made pro rata on 
the basis of such 10-month period; and 
(C) such certifications shall be deemed to be certifications 
made in calendar year 1991. 
TITLE VIII—AMENDMENTS TO THE RULES 
OF THE HOUSE OF REPRESENTATIVES 
SEC. 801. ACCEPTANCE OF GIFTS. 
(a) DOLLAR LIMITS.—Clause 4 of rule XLIII of the Rules of the 
House of Representatives is amended to read as follows: 
"4. A Member, officer or employee of the House of Representa-
tives shall not accept gifts (other than the personal hospitality of an 
individual or with a fair market value of $75 or less) in any calendar 
year aggregating more than the minimal value as established by 
paragraph (5) of section 7342 of title 5, United States Code, directly 
or indirectly from any person (other than from a relative), except to 
103 STAT. 1772 
PUBLIC LAW 101-194—NOV. 30, 1989 
the extent permitted by written waiver granted in exceptional 
circumstances by the Committee on Standards of Official Conduct 
pursuant to clause 4(eXlXE) of rule X.". 
(b) DEFINITIONS.—The last undesignated paragraph of rule XLIII 
of the Rules of the House of Representatives is amended— 
(1) by striking the dash after "Conduct" and by striking "(1) 
The" and by inserting ", the"; 
(2) by striking "the person reporting" and by inserting "such 
Member, officer, or employee, and shall be deemed to include 
the fiance or fiancee of the Member, officer, or employee"; and 
(3) by repealing subparagraph (2). 
(c) Rule XLIII of the Rules of the House of Representatives is 
amended by inserting after clause 11 the following: 
"12. (a) Except as provided by paragraph (b), any employee of the 
House of Representatives who is required to file a report pursuant to 
rule XLIV shall refrain from participating personally and substan-
tially as an employee of the House of Representatives in any contact 
with any agency of the executive or judicial branch of Government 
with respect to non-legislative matters affecting any non-govern-
mental person in which the employee has a significant financial 
interest. 
"(b) Paragraph (a) shall not apply if an employee first advises his 
employing authority of his signijficant financial interest and obtains 
^ 
from his employing authority a written waiver stating that the 
participation of the employee is necessary. A copy of each such 
•
f
c ; 
waiver shall be filed with the Committee on Standards of Official 
Conduct.". 
(d) ADDITIONAL DUTIES OF THE COMMITTEE ON STANDARDS OF OFFI-
CIAL CONDUCT.—Clause 4(eXl) of rule X of the Rules of the House of 
Representatives is amended by striking "and" before "(D)" and by 
inserting before the period the following: "; and (E) to give consider-
ation to the request of any Member, officer, or employee of the 
House for a written waiver in exceptional circumstances with re-
spect to clause 4 of rule XLIII". 
2 use 29d note. 
(e) ADVISORY OPINION AMENDMENTS.—The Committee on Stand-
ards of Official Conduct of the House of Representatives shall 
amend its advisory opinions relating to the acceptance of gifts (1) to 
prohibit lodging received as personal hospitality in excess of 30 days 
in any calendar year from any individual unless a written waiver is 
granted by the committee and (2) to exempt gifts of food and 
beverages consumed not in connection with gifts of lodging from 
coverage under clause 4 of rule XLIII of the Rules of the House of 
Representatives. 
(f) EFFECTIVE DATE.—The amendments made by this section shall 
take effect on January 1,1990. 
SEC. 802. USE OF OFFICIAL RESOURCES. 
• 
(a) QUALIFICATIONS OF OFFICERS AND EMPLOYEES.—Rule XLI of the 
Rules of the House of Representatives is amended to read as follows: 
"RULE XLI. 
"QUALIFICATIONS OF OFFICERS AND EMPLOYEES. 
Claims. 
"No person shall be an officer or employee of the House, or 
continue in its employment, who shall be an agent for the prosecu-
tion of any claim against the Government or be interested in such 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1773 
claim otherwise than as an original claimant or than in the proper 
discharge of official duties.". 
(b) RIGHTS AND DUTIES OF STAFF.—(1) Clause 8 of rule XLIII of the 
Rules of the House of Representatives is amended to read as follows: 
"8. A Member or officer of the House of Representatives shall 
retain no one under his payroll authority who does not perform 
official duties commensurate with the compensation received in the 
offices of the employing authority. In the case of committee employ-
ees who work under the direct supervision of a Member other than a 
chairman, the chairman may require that such Member affirm in 
writing that the employees have complied with the preceding sen-
tence (subject to clause 6 of rule XI) £is evidence of the chairman's 
compliance with this clause and with clause 6 of rule XL". 
(2) Clause 9 of rule XLIII of the Rules of the House of Representa-
tives is amended by inserting "(including marital or parental 
status), handicap" after "sex" and by inserting before the period the 
following: ", but may take into consideration the domicile or politi-
cal affiliation of such individual". 
(3) Clause 6 of rule XI of the Rules of the House of Representatives 
is amended— 
(A) in paragraph (aX3) by striking subdivision (A) and by 
redesignating subdivisions (B) and (C) as subdivisions (A) and 
(B), respectively; and 
(B) in paragraph (aX3XA) (as redesignated) by inserting 
"during congressional working hours" after "business"; and 
(C) in paragraph (bXD by striking ", without regard to race, 
creed, sex, or age '. 
(c) CLARIFICATION OF POUTICAL ACTIVITIES.—The second sentence 
of clause 6 of rule XLIII of the Rules of the House of Representatives 
is amended to read as follows: "A Member shall convert no cam-
paign funds to personal use in excess of reimbursement for legiti-
mate and verifiable campaign expenditures and shall expend no 
funds from his campaign account not attributable to bona fide 
campaign or political purposes.". 
(d) USE OF OFFICIAL VEHICLES.—The Committee on House 
31USC1344 
Administration of the House of Representatives shall take such 
note, 
action as may be necessary to carry out section 503 with respect to 
vehicles of the House of Representatives. 
(e) USE OF CAMPAIGN VEHICLES.—The Committee on Standards of 
2 USC 29d note. 
Official Conduct of the House of Representatives shall issue an 
advisory opinion to provide for appropriate conditions for the in-
cidental noncampaign use of vehicles owned or leased by a campaign 
committee of a Member of the House of Representatives. 
(f) CONFORMING AMENDMENT.—Clause 1 of rule XLIV of the Rules 
of the House of Representatives is amended by striking "July 1" and 
by inserting "August 1" and by striking "May 15" and by inserting 
"June 15". 
(g) EFFECTIVE DATE.—The amendments made by this section shall 
take effect on January 1,1990. 
SEC. 803. REFORMS RESPECTING THE COMMITTEE ON STANDARDS OF 
OFFICIAL CONDUCT. 
(a) MEMBERSHIP OF COMMITTEE ON STANDARDS OF OFFICIAL CON-
DUCT.—Clause (6XaX2) of rule X of the Rules of the House of 
Representatives is amended by inserting at the end the following: 
"No Member shall serve as a member of the Committee on Stand-
ards of Official Conduct during more than 3 Congresses in any 
103 STAT. 1774 
PUBLIC LAW 101-194—NOV. 30, 1989 
period of 5 successive Congresses (disr^arding for this purpose any 
service performed as a member of such committee for less than a 
full session in any Congress).". 
2 use 29d. 
(b) CoioaTTEE COMPOSITION.—^The respective party caucus or con-
ference of the House of Representatives shall each nominate to the 
House of Representatives at the beginning of each Congress 7 
members to serve on the Committee on Standards of Official 
Conduct. 
2 use 29d. 
(c) iNVEffnGATivE SUBCOMMITTEES.—^The Committee on Standards 
of Official Conduct shall adopt rules providing— 
(1) for the establishment of a 4 or 6-member investigative 
subcommittee (with equal representation from the majority and 
minority parties) whenever the committee votes to undertake 
any investigation; 
(2) that the senior majority and minority members on an 
investigative subcommittee shall serve as the chairman and 
ranking minority member of the subcommittee; and 
(3) that the chairman and ranking minority member of the 
m 
full committee may only serve as non-voting, ex officio members 
on an investigative subcommittee. 
Clause 5(d) of rule XI of the Rules of the House of Representatives 
shaU not apply to any investigative subcommittee. 
2 use 29d. 
(d) ADJUDICATORY SUBCOMMITTEES.—The (Ik)mmittee on Standards 
of Official Conduct shall adopt rules providing— 
Reports. 
(1) that upon the completion of an investigation, an investiga-
tive subcommittee shall report its findings and recommenda-
tions to the committee; 
(2) that, if an investigative subcommittee by majority vote of 
••• -i. its membership adopts a statement of allied violation, the 
remaining members of the committee shall comprise an adju-
dicatory subcommittee to hold a disciplinary hearing on tiie 
violation allied in the statement; 
(3) that any statement of alleged violation and any written 
response thereto shall be made public at the first meeting or 
* : i X 
• 
hearing on the matter which is open to the public after the 
respondent has been given full opportunity to respond to the 
statement in accordance with committee rules, but, if no public 
hearing or meeting is held on the matter, the statement of 
• .. fetl .;U 
allied violation and any written response thereto shall be 
included in the committee's final report to the Hoiise of Rep-
resentatives as required by clause 4(eXl)(B) of rule X of the 
Rules of the House of Representatives; 
(4) that a quorum for an adjudicatory subcommittee for the 
>
^ 
purpose of taking testimony and conducting any business shall 
^ 
consist of a majority of the membership of the subcommittee 
plus one; and 
Reports. 
(5) that an adjudicatory subcommittee shall determine, after 
'• 
receiving evidence, whether the counts in the statement have 
been proved and shall report its findings to the committee. 
Clause 5(d) of rule XI of the Rules of the House of Representatives 
shall not apply to any adjudicatory subcommittee. 
(e) ADMINISTRATIVE ACTIONS.—<)lause 4(eXlXA) of rule X of the 
Rules of the House of Representatives is amended by inserting after 
"House" the second time it appears the following: ", and any letter 
of reproval or other administrative action of the committee pursu-
ant to an investigation under subdivision (B) shall only be issued or 
implemented as a part of a report required by such subdivision". 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1775 
(f) REPORT TO THE HOUSE.—Clause 4(eXlXB) of rule X of the Rules 
of the House of Representatives is amended by striking ever3rthing 
after "hearing" through the semicolon and by inserting the follow-
ing: "(unless the right to a hearing is waived by the Member, officer, 
or employee), shall report to the House its findings of fact and 
recommendations, if any, upon the final disposition of any such 
investigation, and such action as the committee may deem appro-
priate in the circumstances;". 
(g) STATUTE OF LIMITATIONS.—Clause 4(eX2XC) of rule X of the 
Rules of the House of Representatives is amended by inserting 
before the period the following: "; nor shall any investigation be 
undertaken by the committee of any alleged violation which 
occurred before the third previous Congress unless the committee 
determines that the alleged violation is directly related to any 
alleged violation which occurred in a more recent Congress". 
(h) RIGHT TO COUNSEL.—Clause 1 of rule XXXII of the Rules of the 
House of Representatives is amended by inserting "and one attorney 
to accompany any Member who is the respondent in an investiga-
tion undertaken by the Committee on Standards of Official Conduct 
when the recommendation of such committee is under consider-
ation;" after the last semicolon. 
(i) ADVICE AND EDUCATION.— 
2 USC 29d. 
(1) The Committee on Standards of Official Conduct shall 
Establishment, 
establish within the committee an Office on Advice and Edu-
cation (hereinafter in this subsection referred to as the "Office") 
under the supervision of the chairman. 
(2) The Office shall be headed by a director who shall be 
appointed by the chairman, in consultation with the ranking 
minority member, and shall be comprised of such staff as the 
chairman determines is necessary to carry out the responsibil-
ities of the Office. 
(3) The primary responsibilities of the Office shall include: 
(A) Providing information and guidance to Members, offi-
cers and employees of the House regarding any laws, rules, 
regulations, and other standards of conduct applicable to 
such individuals in their official capacities, and any 
interpretations and advisory opinions of the committee. 
(B) Submitting to the chairman and ranking minority 
member of the committee any written request from any 
such Member, officer or employee for an interpretation of 
applicable laws, rules, regulations, or other standards of 
conduct, together with any recommendations thereon. 
(C) Recommending to the committee for its consideration 
formal advisory opinions of general applicability. 
(D) Developing and carrying out, subject to the approval 
of the chairman, periodic educational briefings for Mem-
bers, officers and employees of the House on those laws, 
^' 
rules, regulations, or other standards of conduct applicable 
to them. 
(4) No information provided to the Committee on Standards of 
Official Conduct by a Member, officer or employee of the House 
of Representatives when seeking advice regarding prospective 
conduct of such Member, officer or employee may be used as the 
basis for initiating an investigation under clause 4(e)(1)(B) of 
rule X of the Rules of the House of Representatives, if such 
Member, officer or employee acts in accordance with the writ-
ten advice of the committee. 
103 STAT. 1776 
PUBLIC LAW 101-194—NOV. 30, 1989 
2 use 29d. 
(j) EFFECTIVE DATE.^This section shall take effect immediately 
before noon January 3, 1991, except that subsections (g), (h), and (i) 
shsdl take effect on January 1,1990. 
SEC 804. ELIMINATION OF HONORARIA AND LIMITATIONS ON OUTSIDE 
EARNED INCOME AND EMPLOYMENT. 
(a) HoNORABiA AND OuTSiDE EARNED INCOME.—Clauses 1 and 2 of 
rule XLVn of the Rules of the House of Representatives are 
amended to read as follows: 
"1. (aXD Except as provided by subparagraph (2), in calendar year 
1991 or thereafter, a Member or an officer or employee of the House 
may not— 
"(A) have outside earned income attributable to such calendar 
year which exceeds 15 percent of the annual rate of basic pay 
for level 11 of the Ebcecutive Schedule under section 5313 of title 
5, United States Code, as of January 1 of such calendar year; or 
"(B) receive any honorarium. 
"(2) In the case of any individual who becomes a Member or an 
officer or employee of the House during calendar year 1991 or 
thereafter, such individual may not have outside earned income 
attributable to the portion of that calendar year which occurs after 
such individual becomes a Member, officer or employee which ex-
* 
ceeds 15 percent of the annual rate of basic pay for level 11 of the 
Executive Schedule under section 5313 of title 5, United States Code, 
as of January 1 of such calendar year multiplied by a fraction the 
niunerator of which is the number of days such individual is a 
Member, officer, or employee during such calendar year and the 
denominator of which is 365. 
"(3) In calendar year 1991 or thereafter, any payment in lieu of an 
honorarium which is made to a charitable organization on behalf of 
a Member, officer or employee of the House may not be received by 
such individual. No such payment shall exceed $2,000 or be made to 
a charitable organization from which such individual or a parent, 
sibling, spouse, child, or dependent relative of such individual de-
rives any financial benefit. 
"G)X1) Except as provided by subparagraph (2), in calendar year 
1990, a Member may not have outside earned income (including 
honoraria received in such calendar year) attributable to such cal-
endar year which exceeds 30 percent of the annual pay as a Member 
to which the Member was entitled in 1989. 
"(2) In the case of any individual who becomes a Member during 
calendar year 1990, such individual may not have outside earned 
income (including honoraria) attributable to the portion of that 
calendar year which occurs after such individual becomes a Member 
which exceeds 30 percent of $89,500 multiplied by a fraction the 
nimierator of which is the niunber of days such individual is a 
Member during such calendar year and the denominator of which is 
365.". 
(b) LIMITATIONS ON OUTSIDE EMPLOYMENT.—Rule XLVII of the 
Rules of the House of Representatives is amended by inserting after 
clause 1 the following new clause: 
"2. On or after January 1, 1991, a Member or an officer or 
employee of the House shall not— 
"(1) affiliate with or be employed by a firm, partnership, 
association, corporation, or other entity to provide professional 
services which involves a fiduciary relationship for compensa-
tion; 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1777 
"(2) permit that Member's, officer's, or employee's name to be 
used by any such firm, partnership, association, corporation, or 
other entity; 
"(3) practice a profession which involves a fiduciary relation-
ship for compensation; 
' (4) serve for compensation as an officer or member of the 
board of any association, corporation, or other entity; or 
"(5) receive compensation for teaching, without the prior 
notification and approval of the Committee on Standards of 
Official Conduct.". 
(c) DEFINITIONS.—Clause 3 of rule XLVn is amended— 
(1) by redesignating paragraphs (b) through (d) as paragraphs 
(c) through (e), respectively, and by inserting after psu-agraph (a) 
the following new paragraph: 
"(bXD Except as provided by paragraph (2), the term 'officer 
or employee of the House' means any individual (other than a 
Member) whose pay is disbursed by the Clerk and who is paid at 
a rate equal to or greater than the annual rate of basic pay in 
effect for grade GS-16 of the Greneral Schedule under section 
5332 of title 5, United States Code, and so employed for more 
than 90 days in a calendar year. 
"(2) When used with respect to honoraria, the term 'officer or 
employee of the House' means any individual (other than a 
Member) whose salary is disbursed by the Clerk."; 
(2) by striking paragraphs (c) and (d) (as redesignated) and by 
inserting the following: 
"(c) The term 'honorarium' means a pajonent of money or any 
thing of value for an appearance, speech or article by a Member 
or an officer or employee of the House, excluding any actual and 
necessary travel expenses incurred by such individual (and one 
relative) to the extent that such expenses are paid or re-
imbursed by any other person, and the amount otherwise deter-
mined shall be reduced by the amount of any such expenses to 
the extent that such expenses are not paid or reimbursed. 
"(d) The term 'travel expenses' means, with respect to a 
Member or an officer or employee of the House, or a relative of 
any such individual, the cost of transportation, and the cost of 
lodging and meals while away from his or her residence or 
principal place of employment. . 
(3) in paragraph (e) (as redesignated)— 
(A) by striking "professional fees, honorariums," and 
inserting "fees,"; 
(B) by striking "(other than copyright royalties)"; and 
(C) by striking "and" at the end of si:U>paragraph (3), by 
striking the period at the end of subpars^fraph (4) and 
inserting "; and", and by inserting after subparagraph (4) 
the following: 
"(5) cop3rright royalties received from established publish-
ers pursuant to usual and customary contractual terms."; 
and 
(4) by inserting at the end the following: 
"(f) The term charitable organization' means an organization 
described in section 170(c) of the Internal Revenue Code of 
1986.". 
(d) TFFLE CHANGE.—The title of rule XLVII of the Rules of the 
House of Repres^itatives is amended to read as follows: "UMPTA-
TIONS ON OUTSIDE EMPLOYMENT AND EARNED INCOME.". 
103 STAT. 1778 
PUBLIC LAW 101-194—NOV. 30, 1989 
Effective date. 
(e) CONFORMING AMENDMENT.—Effective January 1, 1991, clause 5 
of rule XLIII of the Rules of the House of Representatives is 
amended by striking everything after "activity" and inserting a 
period. 
(f) EFFECTIVE DATE.—Except as provided by subsection (e), the 
amendments made by this section shall take effect on January 1, 
1990. The amendments made by this section shall cease to be 
effective if the provisions of section 703 are subsequently repealed, 
in which case the rules in effect before the amendments made by 
this section shall be deemed to be readopted. 
SEC. 805. RESTRICTIONS ON REIMBURSABLE TRAVEL EXPENSES. 
(a) RESTRICTIONS.—The Committee on Standards of Official Con-
duct of the House of Representatives shall amend its advisory 
opinions relating to the acceptance of necessary travel expenses 
incurred on or after January 1, 1990, in connection with speaking 
engagements and similar events to— 
(1) prohibit the acceptance of such expenses for more than 4 
consecutive days in the case of domestic travel and 7 consecu-
tive days (excluding travel days) in the case of foreign travel; 
and 
(2) permit the acceptance of travel expenses for the spouse or 
other family member in connection with any substantial partici-
pation event or fact-finding activity. 
(b) EXEMPTION AUTHORITY.—The Committee on Standards of Offi-
cial Conduct of the House of Representatives is authorized to grant 
prior written exemptions from the limitations contained in subsec-
tion (a)(1) in exceptional circumstances. 
SEC. 806. EXERCISE OF RULEMAKING POWERS. 
The provisions of this title are enacted by the Congress as an 
exercise of the rulemaking power of the House of Representatives 
and as such they shall be considered as part of the rules of the 
House and shall supersede other rules only to the extent they are 
inconsistent therewith; and with full recognition of the constitu-
tional right of the House to change such rules (so far as relating to 
the House) at any time, in the same manner and to the same extent 
as in the case of any other rule of the House. 
TITLE IX—REGULATIONS RELATING TO 
THE SENATE 
2 use 31-2. 
SEC. 901. GIFTS AND TRAVEL. 
(a) GIFTS.—(1) No Member, officer, or employee of the Senate, or 
the spouse or dependent thereof, shall knowingly accept, directly or 
indirectly, any gift or gifts having an aggregate value exceeding 
$100 during a calendar year directly or indirectly from any person, 
organization, or corporation having a direct interest in legislation 
before the Congress or from any foreign national unless, in an 
unusual case, a waiver is granted by the Select Committee on 
Ethics. 
(2) No Member, officer, or employee of the Senate, or the spouse or 
dependent thereof, shall knowingly accept, directly or indirectly, 
any gift or gifts having an aggregate value exceeding $300 during a 
calendar year from any person, organization, or corporation unless. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1779 
in an unusual case, a waiver is granted by the Select Committee on 
Ethics. 
(3) In determining the aggregate value of any gift or gifts accepted 
by an individual during a calendar year from any person, organiza-
tion, or corporation, there may be deducted the aggregate value of 
gifts (other than gifts described in paragraph (5)) given by such 
individual to such person, organization, or corporation during that 
calendar year. 
(4) For purposes of this subsection, only the following shall be 
deemed to have a direct interest in legislation before the Congress: 
(A) a person, organization, or corporation registered under the 
Federal Regulation of Lobbjring Act of 1946, or any successor 
statute, a person who is an officer or director of such a reg-
istered lobbyist, or a person who has been employed or retained 
by such a registered lobbyist for the purpose of influencing 
legislation before the Congress; or 
(B) a corporation, labor organization, or other organization 
which maintains a separate segregated fund for political pur-
poses (within the meaning of section 321 of the Federal Election 
Campaign Act of 1971 (2 U.S.C. 441b)), a person who is an officer 
or director of such corporation, labor organization, or other 
organization, or a person who has been employed or retained by 
such corporation, labor organization, or other organization for 
the purpose of influencing legislation before the Congress. 
(5) The prohibitions of tlua subsection do not apply to gifts— 
(A) from relatives; 
(B) with a value of less than $75; 
(C) of personal hospitality of an individual; or 
(D) from an individual who is a foreign national if that 
individual is not acting; directly or indirectly, on behalf of a 
foreign corporation, partnership or business enterprise, a for-
eign trade, cultural, educational or other association, a foreign 
political party or a foreign government. 
(6) For purposes of this subsection— 
(A) the term "gift" means a payment, subscription, advance, 
forbearance, rendering, or deposit of money, services, or any-
thing of value, including food, lodging, transportation, or enter-
tainment, and reimbursement for other than necessaiy 
expenses, unless consideration of equal or greater value is 
received, but does not include (1) a political contribution otherwise 
reported as required by law, (2) a loan made in a commercially 
reasonable manner (including requirements that the loan be 
repaid and that a reasonable rate of interest be paid), (3) a 
bequest, inheritance, or other transfer at death, (4) a bona fide 
award presented in recognition of public service and available to 
the general public, (5) a reception at which the Member, officer, 
or employee is to be honored, provided such individual receives 
no other gifts that exceed the restrictions in this rule, other 
than a suitable memento, (6) meals or beverages consumed or 
enjoyed, provided the meals or beverages are not consumed or 
enjoyed in connection with a gift of overnight lodging, or (7) 
anything of value given to a spouse or dependent of a reporting 
individual by the employer of such spouse or dependent in 
recognition of the service provided by such spouse or dependent; 
and 
103 STAT. 1780 
PUBLIC LAW 101-194—NOV. 30, 1989 
(B) the term "relative" has the same meaning given to such 
term in section 107(2) of title I of the Ethics in Government Act 
of 1978 (Public Law 95-521). 
(7) If a Member, officer, or employee, after exercising reasonable 
diligence to obtain the information necessary to comply with this 
rule, unknowingly accepts a gift described in paragraph (1) such 
Member, officer, or employee shall, upon learning of the nature of 
the gift and its source, return the gift or, if it is not possible to 
return the gift, reimburse the donor for the value of the gift. 
(8XA) Notwithstanding the provisions of this subsection, a 
Member, officer, or employee of the Senate may participate in a 
program, the principal objective of which is educational, sponsored 
by a foreign government or a foreign educational or charitable 
organization involving travel to a foreign country paid for by that 
foreign government or organization if such participation is not in 
violation of any law and if the select Committee on Ethics has 
determined that participation in such program by Members, offi-
cers, or employees of the Senate is in the interests of the Senate and 
the United States. 
(B) Any Member who accepts an invitation to participate in any 
such program shall notify the Select Committee in writing of his 
acceptance. A Member shall also notify the Select Committee in 
writing whenever he has permitted any officer or employee whom 
he supervises to participate in any such program. The chairman of 
the Select Committee shall place in the Congressional Record a list 
of all individuals, participating, the supervisors of such individuals 
where applicable; and the nature and itinerary of such program. 
(C) No Member, officer, or employee may accept funds in connec-
tion with participation in a program permitted under subparagraph 
(A) if such funds are not used for necessary food, lodging, transpor-
tation, and related expenses of the Member, officer, or employee. 
(b) LIMITS ON DOMESTIC AND FOREIGN TRAVEL BY MEMBERS AND 
STAFF OF THE SENATE.—The term "necessary expenses", with re-
spect to limits on domestic and foreign travel by Members and staff 
of the Senate, means reasonable expenses for food, lodging, or 
transportation which are incurred by a Member, officer, or em-
ployee of the Senate in connection with services provided to (or 
participation in an event sponsored by) the organization which 
provides reimbursement for such expenses or which provides the 
food, lodging, or transportation directly. Necessary expenses do not 
include the provision of food, lodging, or transportation, or the 
payment for such expenses, for a continuous period in excess of 3 
days (and 2 nights) exclusive of travel time within the United States 
or 7 days (and 6 nights) exclusive of travel time outside of the United 
States unless such travel is approved by the Committee on Ethics as 
necessary for participation in a conference, seminar, meeting or 
similar matter. Necessary expenses do not include the provision of 
food, lodging, or transportation, or the payment for such expenses, 
for anyone accompanying a Member, officer, or employee of the 
Senate, other than the spouse of a Member, officer, or employee of 
the Senate or one Senate employee acting as an aide to a Member. 
5 use app. Ill 
SEC. 902. TRANSMITTAL OF FINANCIAL DISCLOSURE REPORTS. 
(a) The Select Committee on Ethics shall transmit a copy of each 
report filed with it under title I of the Ethics in Government Act of 
1978 (other than a report filed by a Member of Congress) to the head 
of the employing office of the individual filing the report. 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1781 
(b) For purposes of this section, the head of the emplojdng office 
shall be— 
(A) in the case of an employee of a Member, the Member by 
whom that person is employed; 
(B) in the case of an employee of a Committee, the chairman 
and ranking minority member of such Committee; 
(C) in the case of an employee on the leadership staff, the 
Member of the leadership on whose staff such person serves; 
and 
(D) in the case of any other employee of the legislative branch, 
the head of the office in which such individual serves. 
Sj:C. 903. AMENDMENT TO SENATE CONFLICT OF INTEREST RULE. 
2 USC 60-2. 
(a) Except as provided by subsection (b), any employee of the 
Senate who is required to file a report pursuant to Senate rules 
shall refrain 
from participating personally and substantially 
as an employee of the Senate in any contact with any agency of the 
executive or judicial branch of Government with respect to non-
legislative matters affecting any non-governmental person in which 
the employee has a significant financial interest. 
(b) Subsection (a) shall not apply if an employee first advises his 
supervisor of his significant financial interest and obtains from such 
supervisor a written waiver stating that the participation of the 
employee is necessary. A copy of each such waiver shall be filed with 
the Select Committee. 
TITLE X—RULEMAKING POWER OF THE 
CONGRESS 
SEC. 1001. RULEMAKING POWER OF THE CONGRESS. 
5 USC app. 101 
The provisions of this Act that are applicable to Members, officers, 
or employees of the legislative branch are enacted by the Congress— 
(1) as an exercise of the rulemaking power of the House of 
Representatives and the Senate, respectively, and as such they 
shall be considered as part of the rules of each House, respec-
tively, or of that House to which they specifically apply, and 
such rules shall supersede other rules only to the extent that 
they are inconsistent therewith; and 
(2) with full recognition of the constitutional right of either 
House to change such rules (so far as relating to such House) at 
any time, in the same manner, and to the same extent as in the 
case of any other rule of such House. 
TITLE XI—PAY AND HONORARIA 
ADJUSTMENTS 
SEC. 1101. ADJUSTMENTS IN RATES OF PAY AND REDUCTION IN HONO- 
5 USC 5305 note. 
RARIUM OF SENATORS. 
(aXD ADJUSTMENTS IN RATES OF PAY.—Notwithstanding any other 
provision of law (including any provision of this Act or amendment 
made by this Act), effective as provided in paragraph (2), the rate of 
pay of each office sind position of United States Senator, the Presi-
dent pro tempore of the Senate, and the majority and minority 
leaders of the Senate shall be increased by— 
103 STAT. 1782 
PUBLIC LAW 101-194—NOV. 30, 1989 
(A) the percentage increase that would have taken effect in 
fiscal year 1988 if the provisions of section 601(aX2) of the 
Legislative Reorganization Act of 1946 (2 U.S.C. 31(2)) were 
applied to the rate of pay of each such office and position in 
effect on January 1, 1988 without regard to section 108 of the 
resolution entitled "Joint resolution making further continuing 
. appropriations for the fiscal year 1988, and for other purposes , 
approved December 22, 1987 (101 Stat. 1329-434; 5 U.S.C. 5305 
note); 
(B) the percentage increase that would have taken effect in 
fiscal year 1989 if the provisions of section 601(aX2) of the 
Legislative Reorganization Act of 1946 (2 U.S.C. 31(2)) were 
applied to the rate of pay of each such oftice and position in 
effect on January 1,1989 (as adjusted under subparagraph (A) of 
this paragraph) without regard to subsection (b) of section 620 of 
the Treasury, Postal Service and General Government Appro-
priations Act, 1989 (Public Law 100-440; 102 Stat. 1756; 5 U.S.C. 
5305 note); and 
(C) the percentage increase that would take effect in fiscal 
year 1990 by the application of section 601(aX2) of the Legisla-
tive Reorganization Act of 1946 (2 U.S.C. 31(2)) (as adjusted 
under subparagraphs (A) and (B) of this paragraph) without 
regard to subsection (b) of section 619 of the Treasury, Postal 
Service and General Government Appropriations Act, 1990 
(Public Law 101-136). 
(2) The increase in the rates of pay for each office and position 
described under paragraph (1) shall be effective on the first day of 
the first pay period beginning on or after January 1,1990. 
(b) REDUCTION OP HONORARIUM.—Section 908(b) of the Supple-
mental Appropriations Act, 1983 (2 U.S.C. 31-1) is amended by 
adding at the end thereof the following new paragraph: 
"(4) Notwithstanding the provisions of this subsection— 
"(A) the percentage referred to under paragraphs (1) and 
(2) shall be 27 percent as such paragraphs apply to United 
States Senators in the calendar year beginning on Janu-
ary 1,1990; 
(BXi) beginning on and after January 1, 1991, if the 
aggregate salary of a United States Senator is increased 
pursuant to section 601(aX2) of the Legislative Reorganiza-
tion Act of 1946 (2 U.S.C. 31(2)), section 225 of the Federal 
Salary Act of 1967 (2 U.S.C. 351 et seq.), or any other 
provision of law, the percentage referred to under para-
graphs (1) and (2) (with respect to United States Senators) 
shall be reduced by a percentage resulting in a dollar 
amount decrease in the limit of honorarium for each dollar 
amount of increase of such aggregate salary; and 
"(ii) beginning on January 1 of the calendar year in 
which the adjustments under clause (i) of this subparagraph 
result in a limitation of accepting honoraria less than or 
equal to 1 percent of the aggregate salary paid to United 
States Senators for service as Senators in such calendar 
year, the acceptance of honoraria shall be prohibited, and 
thereafter no Senator shall accept honoraria.". 
2 use 31-1 note. 
(c) SPECIAL RuLE.—Notwithstanding any other provision of this 
section, no adjustment in any rate of pay and section y08(bX4XA) of the 
Supplemented Appropriations Act, 1983, as added by subsection (b) of 
this section, shall become effective, as a result of the enactment of 
PUBLIC LAW 101-194—NOV. 30, 1989 
103 STAT. 1783 
this section, before the first applicable pay period b^innine on or 
after the date as of which the order issued by the President on 
October 16,1989, pursuant to section 252 of the Balanced Budget and 
Emergency Deficit Control Act of 1985 is rescinded. 
Approved November 30, 1989. 
LEGISLATIVE fflSTORY—H.R. 3660: 
CONGRESSIONAL RECORD, Vol. 135 (1989): 
Nov. 16, considered and passed House. 
Nov. 17, considered and passed Senate, amended. House concurred in Senate 
amendments. 
WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 25 (1989): 
Nov. 30, Presidential statement.