US Codex
U.S.C.
Notes

§13101. Definitions — Inbound Citations

5 U.S.C. § 13101

Cited by 185 provisions in release 119-102.

Citations to 5 U.S.C. § 13101 as a whole

Citations to §13101(1)

Citations to §13101(2)

  • 5 U.S.C. § 13104(e)
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    (1) Except as provided in the last sentence of this paragraph, each report required by section 13103 of this title 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 (a)(1)(B) with respect to income derived by a spouse or dependent child from any asset held by the spouse or dependent child and reported pursuant to subsection (a)(3).
    (C) In the case of any gifts received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of gifts of transportation, lodging, food, or entertainment and a brief description and the value of other gifts.
    (D) In the case of any reimbursements received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of each such reimbursement.
    (E) In the case of items described in paragraphs (3) through (5) of subsection (a), all information required to be reported under these paragraphs other than items (i) which the reporting individual certifies represent the spouse’s or dependent child’s sole financial interest or responsibility and which the reporting individual has no knowledge of, (ii) which are not in any way, past or present, derived from the income, assets, or activities of the reporting individual, and (iii) from which the reporting individual neither derives, nor expects to derive, any financial or economic benefit.
    (F) For purposes of this section, categories with amounts or values greater than $1,000,000 set forth in subsection (a)(1)(B) and subsection (d)(1) shall apply to the income, assets, or liabilities of spouses and dependent children only if the income, assets, or liabilities are held jointly with the reporting individual. All other income, assets, or liabilities of the spouse or dependent children required to be reported under this section in an amount or value greater than $1,000,000 shall be categorized only as an amount or value greater than $1,000,000.
    Reports required by subsections (a), (b), and (c) of section 13103 of this title shall, with respect to the spouse and dependent child of the reporting individual, contain only information listed in paragraphs (1), (3), and (4) of subsection (a), as specified in this paragraph.
    (2) No report shall be required with respect to a spouse living separate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation; or with respect to any income or obligations of an individual arising from the dissolution of the individual’s marriage or the permanent separation from the individual’s spouse.
  • 5 U.S.C. § 13104(e)(1)
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    (1) Except as provided in the last sentence of this paragraph, each report required by section 13103 of this title 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 (a)(1)(B) with respect to income derived by a spouse or dependent child from any asset held by the spouse or dependent child and reported pursuant to subsection (a)(3).
    (C) In the case of any gifts received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of gifts of transportation, lodging, food, or entertainment and a brief description and the value of other gifts.
    (D) In the case of any reimbursements received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of each such reimbursement.
    (E) In the case of items described in paragraphs (3) through (5) of subsection (a), all information required to be reported under these paragraphs other than items (i) which the reporting individual certifies represent the spouse’s or dependent child’s sole financial interest or responsibility and which the reporting individual has no knowledge of, (ii) which are not in any way, past or present, derived from the income, assets, or activities of the reporting individual, and (iii) from which the reporting individual neither derives, nor expects to derive, any financial or economic benefit.
    (F) For purposes of this section, categories with amounts or values greater than $1,000,000 set forth in subsection (a)(1)(B) and subsection (d)(1) shall apply to the income, assets, or liabilities of spouses and dependent children only if the income, assets, or liabilities are held jointly with the reporting individual. All other income, assets, or liabilities of the spouse or dependent children required to be reported under this section in an amount or value greater than $1,000,000 shall be categorized only as an amount or value greater than $1,000,000.
  • 5 U.S.C. § 13104(e)(1)(B)
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    (B) All information required to be reported in subsection (a)(1)(B) with respect to income derived by a spouse or dependent child from any asset held by the spouse or dependent child and reported pursuant to subsection (a)(3).
  • 5 U.S.C. § 13104(e)(1)(C)
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    (C) In the case of any gifts received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of gifts of transportation, lodging, food, or entertainment and a brief description and the value of other gifts.
  • 5 U.S.C. § 13104(e)(1)(D)
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    (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.
  • 5 U.S.C. § 13104(e)(1)(E)
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    (E) In the case of items described in paragraphs (3) through (5) of subsection (a), all information required to be reported under these paragraphs other than items (i) which the reporting individual certifies represent the spouse’s or dependent child’s sole financial interest or responsibility and which the reporting individual has no knowledge of, (ii) which are not in any way, past or present, derived from the income, assets, or activities of the reporting individual, and (iii) from which the reporting individual neither derives, nor expects to derive, any financial or economic benefit.
  • 5 U.S.C. § 13104(f)
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    (1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, the individual’s spouse, or any dependent child.
    (2) A reporting individual need not report the holdings of or the source of income from any of the holdings of—
    (A) any qualified blind trust (as defined in paragraph (3));
    (B) a trust—
    (i) which was not created directly by such individual, the individual’s spouse, or any dependent child; and
    (ii) the holdings or sources of income of which such individual, the individual’s spouse, and any dependent child have no knowledge; or
    (C) an entity described under the provisions of paragraph (8),
    but such individual shall report the category of the amount of income received by the individual, the individual’s spouse, or any dependent child from the trust or other entity under subsection (a)(1)(B).
    (3) For purposes of this subsection, the term “qualified blind trust” includes any trust in which a reporting individual, the individual’s spouse, or any minor or dependent child has a beneficial interest in the principal or income, and which meets the following requirements:
    (i) The trustee of the trust and any other entity designated in the trust instrument to perform fiduciary duties is a financial institution, an attorney, a certified public accountant, a broker, or an investment advisor who—
    (I) is independent of and not associated with any interested party so that the trustee or other person cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not and has not been an employee of or affiliated with any interested party and is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (ii) Any officer or employee of a trustee or other entity who is involved in the management or control of the trust—
    (I) is independent of and not associated with any interested party so that such officer or employee cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (B) Any asset transferred to the trust by an interested party is free of any restriction with respect to its transfer or sale unless such restriction is expressly approved by the supervising ethics office of the reporting individual.
    (C) The trust instrument which establishes the trust provides that—
    (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of the trustee’s 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 the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
    (iv) the trust tax return shall be prepared by the trustee or the trustee’s designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party’s tax return) shall not be disclosed to any interested party;
    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
    (vi) except for communications which solely consist of requests for distributions of cash or other unspecified assets of the trust, there shall be no direct or indirect communication between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial interest and needs of the interested party (including, but not limited to, an interest in maximizing income or long-term capital gain), (II) to the notification of the trustee of a law or regulation subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
    (vii) the interested parties shall make no effort to obtain information with respect to the holdings of the trust, including obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection.
    (D) The proposed trust instrument and the proposed trustee are approved by the reporting individual’s supervising ethics office.
    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
    (F) Any trust qualified by a supervising ethics office before the effective date of title II of the Ethics Reform Act of 1989 shall continue to be governed by the law and regulations in effect immediately before such effective date.
    (A) An asset placed in a trust by an interested party shall be considered a financial interest of the reporting individual, for the purposes of any applicable conflict of interest statutes, regulations, or rules of the Federal Government (including section 208 of title 18), 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.
    (i) The provisions of subparagraph (A) shall not apply with respect to a trust created for the benefit of a reporting individual, or the spouse, dependent child, or minor child of such a person, if the supervising ethics office for such reporting individual finds that—
    (I) the assets placed in the trust consist of a well-diversified portfolio of readily marketable securities;
    (II) none of the assets consist of securities of entities having substantial activities in the area of the reporting individual’s primary area of responsibility;
    (III) the trust instrument prohibits the trustee, notwithstanding the provisions of paragraphs1 (3)(C)(iii) and (iv) of this subsection, from making public or informing any interested party of the sale of any securities;
    (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and
    (V) except as otherwise provided in this paragraph, the trust instrument provides (or in the case of a trust established prior to the effective date of this Act which by its terms does not permit amendment, the trustee, the reporting individual, and any other interested party agree in writing) that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A).
    (ii) In any instance covered by this subparagraph in which the reporting individual is an individual whose nomination is being considered by a congressional committee, the reporting individual shall inform the congressional committee considering the individual’s nomination before or during the period of such individual’s confirmation hearing of the individual’s intention to comply with this paragraph.
    (A) The reporting individual shall, within 30 days after a qualified blind trust is approved by the individual’s supervising ethics office, file with such office a copy of—
    (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary 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 30 days of transferring an asset (other than cash) to a previously established qualified blind trust, notify the individual’s supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d) of this section.
    (C) Within 30 days of the dissolution of a qualified blind trust, a reporting individual shall—
    (i) notify the individual’s supervising ethics office of such dissolution; and
    (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (d) of this section of each such asset.
    (D) Documents 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 13107 of this title, and the provisions of that section shall apply with respect to such documents and lists.
    (E) A copy of each written communication with respect to the trust under paragraph (3)(C)(vi) shall be filed by the person initiating the communication with the reporting individual’s supervising ethics office within 5 days of the date of the communication.
    (A) A trustee of a qualified blind trust shall not knowingly and willfully, or negligently—
    (i) disclose any information to an interested party with respect to such trust that may not be disclosed under paragraph (3) of this subsection;
    (ii) acquire any holding the ownership of which is prohibited by the trust instrument;
    (iii) solicit advice from any interested party with respect to such trust, which solicitation is prohibited by paragraph (3) of this subsection or the trust agreement; or
    (iv) fail to file any document required by this subsection.
    (B) A reporting individual shall not knowingly and willfully, or negligently—
    (i) solicit or receive any information with respect to a qualified blind trust of which the reporting individual is an interested party that may not be disclosed under paragraph (3)(C) of this subsection; or
    (ii) fail to file any document required by this subsection.
    (i) The Attorney General may bring a civil action in any appropriate United States district court against any individual who knowingly and willfully violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $10,000.
    (ii) The Attorney General may bring a civil action in any appropriate United States district court against any individual who negligently violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000.
    (7) Any trust may be considered to be a qualified blind trust if—
    (A) the trust instrument is amended to comply with the requirements of paragraph (3) or, in the case of a trust instrument which does not by its terms permit amendment, the trustee, the reporting individual, and any other interested party agree in writing that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A); except that in the case of any interested party who is a dependent child, a parent or guardian of such child may execute the agreement referred to in this subparagraph;
    (B) a copy of the trust instrument (except testamentary provisions) and a copy of the agreement referred to in subparagraph (A), and a list of the assets held by the trust at the time of approval by the supervising ethics office, including the category of value of each asset as determined under subsection (d) of this section, are filed with such office and made available to the public as provided under paragraph (5)(D) of this subsection; and
    (C) the supervising ethics office determines that approval of the trust arrangement as a qualified blind trust is in the particular case appropriate to assure compliance with applicable laws and regulations.
    (8) A reporting individual shall not be required to report the financial 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)—
    (A) if—
    (i) the fund is publicly traded; or
    (ii) the assets of the fund are widely diversified; and
    (B) if the reporting individual neither exercises control over nor has the ability to exercise control over the financial interests held by the fund.
  • 5 U.S.C. § 13104(f)(1)
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    (1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, the individual’s spouse, or any dependent child.
  • 5 U.S.C. § 13104(f)(2)(B)(i)
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    (i) which was not created directly by such individual, the individual’s spouse, or any dependent child; and
  • 5 U.S.C. § 13104(f)(2)(B)(ii)
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    (ii) the holdings or sources of income of which such individual, the individual’s spouse, and any dependent child have no knowledge; or
  • 5 U.S.C. § 13104(f)(3)
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    (3) For purposes of this subsection, the term “qualified blind trust” includes any trust in which a reporting individual, the individual’s spouse, or any minor or dependent child has a beneficial interest in the principal or income, and which meets the following requirements:
    (i) The trustee of the trust and any other entity designated in the trust instrument to perform fiduciary duties is a financial institution, an attorney, a certified public accountant, a broker, or an investment advisor who—
    (I) is independent of and not associated with any interested party so that the trustee or other person cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not and has not been an employee of or affiliated with any interested party and is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (ii) Any officer or employee of a trustee or other entity who is involved in the management or control of the trust—
    (I) is independent of and not associated with any interested party so that such officer or employee cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (B) Any asset transferred to the trust by an interested party is free of any restriction with respect to its transfer or sale unless such restriction is expressly approved by the supervising ethics office of the reporting individual.
    (C) The trust instrument which establishes the trust provides that—
    (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of the trustee’s 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 the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
    (iv) the trust tax return shall be prepared by the trustee or the trustee’s designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party’s tax return) shall not be disclosed to any interested party;
    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
    (vi) except for communications which solely consist of requests for distributions of cash or other unspecified assets of the trust, there shall be no direct or indirect communication between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial interest and needs of the interested party (including, but not limited to, an interest in maximizing income or long-term capital gain), (II) to the notification of the trustee of a law or regulation subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
    (vii) the interested parties shall make no effort to obtain information with respect to the holdings of the trust, including obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection.
    (D) The proposed trust instrument and the proposed trustee are approved by the reporting individual’s supervising ethics office.
    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
    (F) Any trust qualified by a supervising ethics office before the effective date of title II of the Ethics Reform Act of 1989 shall continue to be governed by the law and regulations in effect immediately before such effective date.
  • 5 U.S.C. § 13104(f)(3)(E)
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    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
  • 5 U.S.C. § 13104(f)(4)(B)(i)
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    (i) The provisions of subparagraph (A) shall not apply with respect to a trust created for the benefit of a reporting individual, or the spouse, dependent child, or minor child of such a person, if the supervising ethics office for such reporting individual finds that—
    (I) the assets placed in the trust consist of a well-diversified portfolio of readily marketable securities;
    (II) none of the assets consist of securities of entities having substantial activities in the area of the reporting individual’s primary area of responsibility;
    (III) the trust instrument prohibits the trustee, notwithstanding the provisions of paragraphs1 (3)(C)(iii) and (iv) of this subsection, from making public or informing any interested party of the sale of any securities;
    (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and
    (V) except as otherwise provided in this paragraph, the trust instrument provides (or in the case of a trust established prior to the effective date of this Act which by its terms does not permit amendment, the trustee, the reporting individual, and any other interested party agree in writing) that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A).
  • 5 U.S.C. § 13104(f)(7)(A)
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    (A) the trust instrument is amended to comply with the requirements of paragraph (3) or, in the case of a trust instrument which does not by its terms permit amendment, the trustee, the reporting individual, and any other interested party agree in writing that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A); except that in the case of any interested party who is a dependent child, a parent or guardian of such child may execute the agreement referred to in this subparagraph;

Citations to §13101(3)

Citations to §13101(4)

  • 5 U.S.C. § 13103(f)(3)
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    (3) each officer or employee in the executive branch, including a special Government employee, as defined in section 202 of title 18, who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule; each member of a uniformed service whose pay grade is at or in excess of O–7 under section 201 of title 37; and each officer or employee in any other position determined by the Director of the Office of Government Ethics to be of equal classification;
  • 5 U.S.C. § 13103(f)(5)
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    (5) any employee not described in paragraph (3) who is in a position in the executive branch which is excepted from the competitive service by reason of being of a confidential or policymaking character, except that the Director of the Office of Government Ethics may, by regulation, exclude from the application of this paragraph any individual, or group of individuals, who are in such positions, but only in cases in which the Director determines such exclusion would not affect adversely the integrity of the Government or the public’s confidence in the integrity of the Government;
  • 5 U.S.C. § 13104(a)(4)(A)(ii)
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    (ii) described in section 13103(b) of this title who has been nominated for appointment as an officer or employee in the executive branch described in subsection (f) of that section, other than—
    (I) an individual appointed to a position—
    (aa) as a Foreign Service Officer below the rank of ambassador; or
    (bb) in the uniformed services for which the pay grade prescribed by section 201 of title 37 is O–6 or below; or
    (II) a special Government employee, as defined under section 202 of title 18; or
  • 5 U.S.C. § 13104(a)(4)(A)(iii)
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    (iii) described in section 13103(f) of this title who is in a position in the executive branch the appointment to which is made by the President and requires advice and consent of the Senate, other than—
    (I) an individual appointed to a position—
    (aa) as a Foreign Service Officer below the rank of ambassador; or
    (bb) in the uniformed services for which the pay grade prescribed by section 201 of title 37 is O–6 or below; or
    (II) a special Government employee, as defined under section 202 of title 18; and
  • 5 U.S.C. § 13105(l)(3)
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    (3) Each officer or employee in the executive branch, including a special Government employee as defined in section 202 of title 18, who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule; each member of a uniformed service whose pay grade is at or in excess of O–7 under section 201 of title 37; and each officer or employee in any other position determined by the Director of the Office of Government Ethics to be of equal classification.
  • 5 U.S.C. § 13105(l)(5)
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    (5) Any employee not described in paragraph (3) who is in a position in the executive branch which is excepted from the competitive service by reason of being of a confidential or policymaking character, except that the Director of the Office of Government Ethics may, by regulation, exclude from the application of this paragraph any individual, or group of individuals, who are in such positions, but only in cases in which the Director determines such exclusion would not affect adversely the integrity of the Government or the public’s confidence in the integrity of the Government.
  • 5 U.S.C. § 13106(d)
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    (1) Any individual who files a report required to be filed under this subchapter more than 30 days after the later of—
    (A) the date such report is required to be filed pursuant to the provisions of this subchapter and the rules and regulations promulgated under this subchapter; or
    (B) if a filing extension is granted to such individual under section 13103(g) of this title, the last day of the filing extension period,
    shall, at the direction of and pursuant to regulations issued by the supervising ethics office, pay a filing fee of $200. All such fees shall be deposited in the miscellaneous receipts of the Treasury. The authority under this paragraph to direct the payment of a filing fee may be delegated by the supervising ethics office in the executive branch to other agencies in the executive branch.
    (2) The supervising ethics office may waive the filing fee under this subsection in extraordinary circumstances.
  • 5 U.S.C. § 13108(b)(4)
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    (4) If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by an individual in a position in the executive branch (other than in the Foreign Service or the uniformed services), appointment to which requires the advice and consent of the Senate, the matter shall be referred to the President for appropriate action.
  • 5 U.S.C. § 13122(a)
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    (a) The Director shall provide, in consultation with the Office of Personnel Management, overall direction of executive branch policies related to preventing conflicts of interest on the part of officers and employees of any executive agency, as defined in section 105 of this title.
  • 5 U.S.C. § 13122(b)(1)
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    (1) developing, in consultation with the Attorney General and the Office of Personnel Management, rules and regulations to be promulgated by the President or the Director pertaining to conflicts of interest and ethics in the executive branch, including rules and regulations establishing procedures for the filing, review, and public availability of financial statements filed by officers and employees in the executive branch as required by subchapter I;
  • 5 U.S.C. § 13122(b)(3)
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    (3) monitoring and investigating compliance with the public financial disclosure requirements of subchapter I by officers and employees of the executive branch and executive agency officials responsible for receiving, reviewing, and making available financial statements filed pursuant to subchapter I;
  • 5 U.S.C. § 13122(b)(5)
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    (5) monitoring and investigating individual and agency compliance with any additional financial reporting and internal review requirements established by law for the executive branch;
  • 5 U.S.C. § 13122(f)(2)(B)(i)
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    (i) In order to carry out the Director’s duties and responsibilities under subparagraph (A)(iii) or (iv) with respect to individual officers and employees, the Director may conduct investigations and make findings concerning possible violations of any rule, regulation, or Executive order relating to conflicts of interest or standards of conduct applicable to officers and employees of the executive branch.
  • 5 U.S.C. § 13124
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    In promulgating rules and regulations pertaining to financial disclosure, conflict of interest, and ethics in the executive branch, the Director shall issue rules and regulations in accordance with chapter 5 of this title. Any person may seek judicial review of any such rule or regulation.
  • 5 U.S.C. § 13142(2)
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    (2) the Office of Government Ethics and administered by designated agency ethics officials with respect to officers and employees of the executive branch; and

Citations to §13101(5)

Citations to §13101(6)

  • 5 U.S.C. § 13103(b)(1)
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    (1) Within 5 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 is O–6 or below) to a position, appointment to which requires the advice and consent of the Senate, such individual shall file a report containing the information described in section 13104(b) of this title. Such individual shall, not later than the date of the first hearing to consider the nomination of such individual, make current the report filed pursuant to this paragraph by filing the information required by section 13104(a)(1)(A) of this title with respect to income and honoraria received as of the date which occurs 5 days before the date of such hearing. Nothing in this chapter shall prevent any congressional committee from requesting, as a condition of confirmation, any additional financial information from any Presidential nominee whose nomination has been referred to that committee.
  • 5 U.S.C. § 13104(a)(1)(A)
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    (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregating $200 or more in value and, effective January 1, 1991, the source, date, and amount of payments made to charitable organizations in lieu of honoraria, and the reporting individual shall simultaneously file with the applicable supervising ethics office, on a confidential basis, a corresponding list of recipients of all such payments, together with the dates and amounts of such payments.
  • 5 U.S.C. § 13104(e)(1)(A)
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    (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.

Citations to §13101(7)

  • 5 U.S.C. § 13103(b)(1)
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    (1) Within 5 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 is O–6 or below) to a position, appointment to which requires the advice and consent of the Senate, such individual shall file a report containing the information described in section 13104(b) of this title. Such individual shall, not later than the date of the first hearing to consider the nomination of such individual, make current the report filed pursuant to this paragraph by filing the information required by section 13104(a)(1)(A) of this title with respect to income and honoraria received as of the date which occurs 5 days before the date of such hearing. Nothing in this chapter shall prevent any congressional committee from requesting, as a condition of confirmation, any additional financial information from any Presidential nominee whose nomination has been referred to that committee.
  • 5 U.S.C. § 13104(a)(1)(A)
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    (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregating $200 or more in value and, effective January 1, 1991, the source, date, and amount of payments made to charitable organizations in lieu of honoraria, and the reporting individual shall simultaneously file with the applicable supervising ethics office, on a confidential basis, a corresponding list of recipients of all such payments, together with the dates and amounts of such payments.
  • 5 U.S.C. § 13104(a)(1)(B)
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    (B) The source and type of income which consists of dividends, rents, interest, and capital gains, received during the preceding calendar year which exceeds $200 in amount or value, and an indication of which of the following categories the amount or value of such item of income is within—
    (i) not more than $1,000;
    (ii) greater than $1,000 but not more than $2,500;
    (iii) greater than $2,500 but not more than $5,000;
    (iv) greater than $5,000 but not more than $15,000;
    (v) greater than $15,000 but not more than $50,000;
    (vi) greater than $50,000 but not more than $100,000;
    (vii) greater than $100,000 but not more than $1,000,000;
    (viii) greater than $1,000,000 but not more than $5,000,000; or
    (ix) greater than $5,000,000.
  • 5 U.S.C. § 13104(a)(3)
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    (3) The identity and category of value of any interest in property held during the preceding calendar year in a trade or business, or for investment or the production of income, which has a fair market value which exceeds $1,000 as of the close of the preceding calendar year, excluding any personal liability owed to the reporting individual by a spouse or by a parent, brother, sister, or child of the reporting individual or of the reporting individual’s spouse, or any deposits aggregating $5,000 or less in a personal savings account. For purposes of this paragraph, a personal savings account shall include any certificate of deposit or any other form of deposit in a bank, savings and loan association, credit union, or similar financial institution.
  • 5 U.S.C. § 13104(e)(1)(A)
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    (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.
  • 5 U.S.C. § 13104(e)(1)(B)
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    (B) All information required to be reported in subsection (a)(1)(B) with respect to income derived by a spouse or dependent child from any asset held by the spouse or dependent child and reported pursuant to subsection (a)(3).
  • 5 U.S.C. § 13104(e)(1)(E)
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    (E) In the case of items described in paragraphs (3) through (5) of subsection (a), all information required to be reported under these paragraphs other than items (i) which the reporting individual certifies represent the spouse’s or dependent child’s sole financial interest or responsibility and which the reporting individual has no knowledge of, (ii) which are not in any way, past or present, derived from the income, assets, or activities of the reporting individual, and (iii) from which the reporting individual neither derives, nor expects to derive, any financial or economic benefit.
  • 5 U.S.C. § 13104(e)(1)(F)
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    (F) For purposes of this section, categories with amounts or values greater than $1,000,000 set forth in subsection (a)(1)(B) and subsection (d)(1) shall apply to the income, assets, or liabilities of spouses and dependent children only if the income, assets, or liabilities are held jointly with the reporting individual. All other income, assets, or liabilities of the spouse or dependent children required to be reported under this section in an amount or value greater than $1,000,000 shall be categorized only as an amount or value greater than $1,000,000.
  • 5 U.S.C. § 13104(e)(2)
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    (2) No report shall be required with respect to a spouse living separate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation; or with respect to any income or obligations of an individual arising from the dissolution of the individual’s marriage or the permanent separation from the individual’s spouse.
  • 5 U.S.C. § 13104(f)
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    (1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, the individual’s spouse, or any dependent child.
    (2) A reporting individual need not report the holdings of or the source of income from any of the holdings of—
    (A) any qualified blind trust (as defined in paragraph (3));
    (B) a trust—
    (i) which was not created directly by such individual, the individual’s spouse, or any dependent child; and
    (ii) the holdings or sources of income of which such individual, the individual’s spouse, and any dependent child have no knowledge; or
    (C) an entity described under the provisions of paragraph (8),
    but such individual shall report the category of the amount of income received by the individual, the individual’s spouse, or any dependent child from the trust or other entity under subsection (a)(1)(B).
    (3) For purposes of this subsection, the term “qualified blind trust” includes any trust in which a reporting individual, the individual’s spouse, or any minor or dependent child has a beneficial interest in the principal or income, and which meets the following requirements:
    (i) The trustee of the trust and any other entity designated in the trust instrument to perform fiduciary duties is a financial institution, an attorney, a certified public accountant, a broker, or an investment advisor who—
    (I) is independent of and not associated with any interested party so that the trustee or other person cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not and has not been an employee of or affiliated with any interested party and is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (ii) Any officer or employee of a trustee or other entity who is involved in the management or control of the trust—
    (I) is independent of and not associated with any interested party so that such officer or employee cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (B) Any asset transferred to the trust by an interested party is free of any restriction with respect to its transfer or sale unless such restriction is expressly approved by the supervising ethics office of the reporting individual.
    (C) The trust instrument which establishes the trust provides that—
    (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of the trustee’s 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 the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
    (iv) the trust tax return shall be prepared by the trustee or the trustee’s designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party’s tax return) shall not be disclosed to any interested party;
    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
    (vi) except for communications which solely consist of requests for distributions of cash or other unspecified assets of the trust, there shall be no direct or indirect communication between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial interest and needs of the interested party (including, but not limited to, an interest in maximizing income or long-term capital gain), (II) to the notification of the trustee of a law or regulation subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
    (vii) the interested parties shall make no effort to obtain information with respect to the holdings of the trust, including obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection.
    (D) The proposed trust instrument and the proposed trustee are approved by the reporting individual’s supervising ethics office.
    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
    (F) Any trust qualified by a supervising ethics office before the effective date of title II of the Ethics Reform Act of 1989 shall continue to be governed by the law and regulations in effect immediately before such effective date.
    (A) An asset placed in a trust by an interested party shall be considered a financial interest of the reporting individual, for the purposes of any applicable conflict of interest statutes, regulations, or rules of the Federal Government (including section 208 of title 18), 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.
    (i) The provisions of subparagraph (A) shall not apply with respect to a trust created for the benefit of a reporting individual, or the spouse, dependent child, or minor child of such a person, if the supervising ethics office for such reporting individual finds that—
    (I) the assets placed in the trust consist of a well-diversified portfolio of readily marketable securities;
    (II) none of the assets consist of securities of entities having substantial activities in the area of the reporting individual’s primary area of responsibility;
    (III) the trust instrument prohibits the trustee, notwithstanding the provisions of paragraphs1 (3)(C)(iii) and (iv) of this subsection, from making public or informing any interested party of the sale of any securities;
    (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and
    (V) except as otherwise provided in this paragraph, the trust instrument provides (or in the case of a trust established prior to the effective date of this Act which by its terms does not permit amendment, the trustee, the reporting individual, and any other interested party agree in writing) that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A).
    (ii) In any instance covered by this subparagraph in which the reporting individual is an individual whose nomination is being considered by a congressional committee, the reporting individual shall inform the congressional committee considering the individual’s nomination before or during the period of such individual’s confirmation hearing of the individual’s intention to comply with this paragraph.
    (A) The reporting individual shall, within 30 days after a qualified blind trust is approved by the individual’s supervising ethics office, file with such office a copy of—
    (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary 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 30 days of transferring an asset (other than cash) to a previously established qualified blind trust, notify the individual’s supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d) of this section.
    (C) Within 30 days of the dissolution of a qualified blind trust, a reporting individual shall—
    (i) notify the individual’s supervising ethics office of such dissolution; and
    (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (d) of this section of each such asset.
    (D) Documents 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 13107 of this title, and the provisions of that section shall apply with respect to such documents and lists.
    (E) A copy of each written communication with respect to the trust under paragraph (3)(C)(vi) shall be filed by the person initiating the communication with the reporting individual’s supervising ethics office within 5 days of the date of the communication.
    (A) A trustee of a qualified blind trust shall not knowingly and willfully, or negligently—
    (i) disclose any information to an interested party with respect to such trust that may not be disclosed under paragraph (3) of this subsection;
    (ii) acquire any holding the ownership of which is prohibited by the trust instrument;
    (iii) solicit advice from any interested party with respect to such trust, which solicitation is prohibited by paragraph (3) of this subsection or the trust agreement; or
    (iv) fail to file any document required by this subsection.
    (B) A reporting individual shall not knowingly and willfully, or negligently—
    (i) solicit or receive any information with respect to a qualified blind trust of which the reporting individual is an interested party that may not be disclosed under paragraph (3)(C) of this subsection; or
    (ii) fail to file any document required by this subsection.
    (i) The Attorney General may bring a civil action in any appropriate United States district court against any individual who knowingly and willfully violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $10,000.
    (ii) The Attorney General may bring a civil action in any appropriate United States district court against any individual who negligently violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000.
    (7) Any trust may be considered to be a qualified blind trust if—
    (A) the trust instrument is amended to comply with the requirements of paragraph (3) or, in the case of a trust instrument which does not by its terms permit amendment, the trustee, the reporting individual, and any other interested party agree in writing that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A); except that in the case of any interested party who is a dependent child, a parent or guardian of such child may execute the agreement referred to in this subparagraph;
    (B) a copy of the trust instrument (except testamentary provisions) and a copy of the agreement referred to in subparagraph (A), and a list of the assets held by the trust at the time of approval by the supervising ethics office, including the category of value of each asset as determined under subsection (d) of this section, are filed with such office and made available to the public as provided under paragraph (5)(D) of this subsection; and
    (C) the supervising ethics office determines that approval of the trust arrangement as a qualified blind trust is in the particular case appropriate to assure compliance with applicable laws and regulations.
    (8) A reporting individual shall not be required to report the financial 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)—
    (A) if—
    (i) the fund is publicly traded; or
    (ii) the assets of the fund are widely diversified; and
    (B) if the reporting individual neither exercises control over nor has the ability to exercise control over the financial interests held by the fund.
  • 5 U.S.C. § 13104(f)(1)
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    (1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, the individual’s spouse, or any dependent child.
  • 5 U.S.C. § 13104(f)(2)
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    (2) A reporting individual need not report the holdings of or the source of income from any of the holdings of—
    (A) any qualified blind trust (as defined in paragraph (3));
    (B) a trust—
    (i) which was not created directly by such individual, the individual’s spouse, or any dependent child; and
    (ii) the holdings or sources of income of which such individual, the individual’s spouse, and any dependent child have no knowledge; or
    (C) an entity described under the provisions of paragraph (8),
  • 5 U.S.C. § 13104(f)(2)(B)(ii)
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    (ii) the holdings or sources of income of which such individual, the individual’s spouse, and any dependent child have no knowledge; or
  • 5 U.S.C. § 13104(f)(3)
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    (3) For purposes of this subsection, the term “qualified blind trust” includes any trust in which a reporting individual, the individual’s spouse, or any minor or dependent child has a beneficial interest in the principal or income, and which meets the following requirements:
    (i) The trustee of the trust and any other entity designated in the trust instrument to perform fiduciary duties is a financial institution, an attorney, a certified public accountant, a broker, or an investment advisor who—
    (I) is independent of and not associated with any interested party so that the trustee or other person cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not and has not been an employee of or affiliated with any interested party and is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (ii) Any officer or employee of a trustee or other entity who is involved in the management or control of the trust—
    (I) is independent of and not associated with any interested party so that such officer or employee cannot be controlled or influenced in the administration of the trust by any interested party;
    (II) is not a partner of, or involved in any joint venture or other investment with, any interested party; and
    (III) is not a relative of any interested party.
    (B) Any asset transferred to the trust by an interested party is free of any restriction with respect to its transfer or sale unless such restriction is expressly approved by the supervising ethics office of the reporting individual.
    (C) The trust instrument which establishes the trust provides that—
    (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of the trustee’s 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 the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
    (iv) the trust tax return shall be prepared by the trustee or the trustee’s designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party’s tax return) shall not be disclosed to any interested party;
    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
    (vi) except for communications which solely consist of requests for distributions of cash or other unspecified assets of the trust, there shall be no direct or indirect communication between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial interest and needs of the interested party (including, but not limited to, an interest in maximizing income or long-term capital gain), (II) to the notification of the trustee of a law or regulation subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
    (vii) the interested parties shall make no effort to obtain information with respect to the holdings of the trust, including obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection.
    (D) The proposed trust instrument and the proposed trustee are approved by the reporting individual’s supervising ethics office.
    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
    (F) Any trust qualified by a supervising ethics office before the effective date of title II of the Ethics Reform Act of 1989 shall continue to be governed by the law and regulations in effect immediately before such effective date.
  • 5 U.S.C. § 13104(f)(3)(C)(iv)
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    (iv) the trust tax return shall be prepared by the trustee or the trustee’s designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party’s tax return) shall not be disclosed to any interested party;
  • 5 U.S.C. § 13104(f)(3)(C)(v)
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    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
  • 5 U.S.C. § 13104(f)(3)(C)(vi)
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    (vi) except for communications which solely consist of requests for distributions of cash or other unspecified assets of the trust, there shall be no direct or indirect communication between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial interest and needs of the interested party (including, but not limited to, an interest in maximizing income or long-term capital gain), (II) to the notification of the trustee of a law or regulation subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
  • 5 U.S.C. § 13104(f)(4)(B)(i)(IV)
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    (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and
  • 5 U.S.C. § 13104(i)(1)
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    (1) financial interests in or income derived from—
    (A) any retirement system under this title (including the Thrift Savings Plan under subchapter III of chapter 84 of this title); or
    (B) any other retirement system maintained by the United States for officers or employees of the United States, including the President, or for members of the uniformed services; or
  • 5 U.S.C. § 13109(c)
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    (c) Nothing in this chapter requiring reporting of information shall be deemed to authorize the receipt of income, gifts, or reimbursements; the holding of assets, liabilities, or positions; or the participation in transactions that are prohibited by law, Executive order, rule, or regulation.
  • 5 U.S.C. § 13143(a)(1)
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    (1) Except as provided by paragraph (2), a Member or an officer or employee who is a noncareer officer or employee and who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule, may not in any calendar year have outside earned income attributable to such calendar year which exceeds 15 percent of the annual rate of basic pay for level II of the Executive Schedule under section 5313 of this title, as of January 1 of such calendar year.
  • 5 U.S.C. § 13143(a)(2)
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    (2) In the case of any individual who during a calendar year becomes a Member or an officer or employee who is a noncareer officer or employee and who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule, such individual may not have outside earned income attributable to the portion of that calendar year which occurs after such individual becomes a Member or such an officer or employee which exceeds 15 percent of the annual rate of basic pay for level II of the Executive Schedule under section 5313 of this title, as of January 1 of such calendar year multiplied by a fraction the numerator of which is the number of days such individual is a Member or such officer or employee during such calendar year and the denominator of which is 365.
  • 5 U.S.C. § 13144(b)
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    (b) For purposes of the limitation under section 13143(a) of this title, any compensation for teaching approved under subsection (a)(5) of this section shall not be treated as outside earned income—
    (1) when received by a justice of the United States retired from regular active service under section 371(b) of title 28;
    (2) when received by a judge of the United States retired from regular active service under section 371(b) of title 28, for teaching performed during any calendar year for which such judge has met the requirements of subsection (e) of section 371 of title 28, as certified in accordance with such subsection; or
    (3) when received by a justice or judge of the United States retired from regular active service under section 372(a) of title 28.

Citations to §13101(8)

  • 5 U.S.C. § 13102(a)(3)
    Go to provision →
    (3) the Judicial Conference in the case of an officer or employee described in paragraphs (11) and (12) of section 13103(f) of this title.
  • 5 U.S.C. § 13102(b)
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    (b) The Judicial Conference may delegate any authority it has under this subchapter to an ethics committee established by the Judicial Conference.
  • 5 U.S.C. § 13103(h)
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    (h) The provisions of subsections (a), (b), and (e) shall not apply to an individual who, as determined by the designated agency ethics official or Secretary concerned (or in the case of a Presidential appointee under subsection (b), the Director of the Office of Government Ethics), the congressional ethics committees, or the Judicial Conference, is not reasonably expected to perform the duties of the individual’s office or position for more than 60 days in a calendar year, except that if such individual performs the duties of the office or position for more than 60 days in a calendar year—
    (1) the report required by subsections (a) and (b) shall be filed within 15 days of the 60th day; and
    (2) the report required by subsection (e) shall be filed as provided in that subsection.
    (i) 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 the individual’s office or position less than 130 days in a calendar year, but only if the supervising ethics office determines that—
  • 5 U.S.C. § 13105(h)(1)(B)
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    (B) The reports required under this subchapter shall be filed by a reporting individual with the Judicial Conference with regard to a judicial officer or employee described under paragraphs (11) and (12) of section 13103(f) of this title (including individuals terminating service in such office or position under section 13103(e) of this title or immediately preceding service in such office or position).
  • 5 U.S.C. § 13106(b)
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    (b) The head of each agency, each Secretary concerned, the Director of the Office of Government Ethics, each congressional ethics committee, or the Judicial Conference, as the case may be, shall refer to the Attorney General the name of any individual which such official or committee has reasonable cause to believe has willfully failed to file a report or has willfully falsified or willfully failed to file information required to be reported. Whenever the Judicial Conference refers a name to the Attorney General under this subsection, the Judicial Conference also shall notify the judicial council of the circuit in which the named individual serves of the referral.
  • 5 U.S.C. § 13106(c)
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    (c) The President, the Vice President, the Secretary concerned, the head of each agency, the Office of Personnel Management, a congressional ethics committee, and the Judicial Conference, may take any appropriate personnel or other action in accordance with applicable law or regulation against any individual failing to file a report or falsifying or failing to report information required to be reported.
  • 5 U.S.C. § 13107(b)(3)(A)
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    (A) This section does not require the immediate and unconditional availability of reports filed by an individual described in paragraph (9) or (10) of section 13101 of this title if a finding is made by the Judicial Conference, in consultation with the United States Marshals Service, that revealing personal and sensitive information could endanger that individual or a family member of that individual.
  • 5 U.S.C. § 13107(b)(3)(D)
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    (D) The Judicial Conference, in consultation with the Department of Justice, shall issue regulations setting forth the circumstances under which redaction is appropriate under this paragraph and the procedures for redaction.
  • 5 U.S.C. § 13108(a)(2)
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    (2) Each congressional ethics committee and the Judicial Conference shall make provisions to ensure that each report filed under this subchapter is reviewed within 60 days after the date of such filing.
  • 5 U.S.C. § 13108(b)(1)
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    (1) If after reviewing any report under subsection (a), the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics official, a person designated by the congressional ethics committee, or a person designated by the Judicial Conference, as the case may be, is of the opinion that on the basis of information contained in such report the individual submitting such report is in compliance with applicable laws and regulations, he or she shall state such opinion on the report, and shall sign such report.
  • 5 U.S.C. § 13108(b)(2)
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    (2) If the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics official, a person designated by the congressional ethics committee, or a person designated by the Judicial Conference, after reviewing any report under subsection (a)—
    (A) believes additional information is required to be submitted, he or she 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 or she shall notify the individual, afford a reasonable opportunity for a written or oral response, and after consideration of such response, reach an opinion as to whether or not, on the basis of information submitted, the individual is in compliance with such laws and regulations.
  • 5 U.S.C. § 13108(b)(3)
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    (3) If the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics official, a person designated by a congressional ethics committee, or a person designated by the Judicial Conference, reaches an opinion under paragraph (2)(B) that an individual is not in compliance with applicable laws and regulations, the official or committee shall notify the individual of that opinion and, after an opportunity for personal consultation (if practicable), determine and notify the individual of which steps, if any, would in the opinion of such official or committee be appropriate for assuring compliance with such laws and regulations and the date by which such steps should be taken. Such steps may include, as appropriate—
    (A) divestiture;
    (B) restitution;
    (C) the establishment of a blind trust;
    (D) request for an exemption under section 208(b) of title 18; 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.
  • 5 U.S.C. § 13108(b)(6)
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    (6) If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by any other officer or employee, the matter shall be referred to the head of the appropriate agency, the congressional ethics committee, or the Judicial Conference, for appropriate action, except that in the case of the Postmaster General or Deputy Postmaster General, the Director of the Office of Government Ethics shall recommend to the Governors of the Board of Governors of the United States Postal Service the action to be taken.
  • 5 U.S.C. § 13111(a)
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    (a) In any case in which an individual agrees with that individual’s designated agency ethics official, the Office of Government Ethics, a Senate confirmation committee, a congressional ethics committee, or the Judicial Conference, to take any action to comply with this chapter or any other law or regulation governing conflicts of interest of, or establishing standards of conduct applicable with respect to, officers or employees of the Government, that individual shall notify in writing the designated agency ethics official, the Office of Government Ethics, the appropriate committee of the Senate, the congressional ethics committee, or the Judicial Conference, as the case may be, of any action taken by the individual pursuant to that agreement. Such notification shall be made not later than the date specified in the agreement by which action by the individual must be taken, or not later than 3 months after the date of the agreement, if no date for action is so specified.
  • 5 U.S.C. § 13142(3)
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    (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.

Citations to §13101(9)

Citations to §13101(10)

Citations to §13101(11)

  • 5 U.S.C. § 13105(h)(1)(A)(ii)
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    (ii) In the case of an officer or employee of the Congress as described under section 13103(f)(10) of this title who is employed by an agency or commission established in the legislative branch after November 30, 1989, the reports required under this subchapter shall be filed by a reporting individual with—
    (I) the Secretary of the Senate or the Clerk of the House of Representatives, as the case may be, as designated in the statute establishing such agency or commission; or
    (II) if such statute does not designate such committee, the Secretary of the Senate for agencies and commissions established in even numbered calendar years, and the Clerk of the House of Representatives for agencies and commissions established in odd numbered calendar years.
  • 5 U.S.C. § 13142(1)(B)
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    (B) in the case of Senators and legislative branch officers and employees other than those officers and employees specified in subparagraph (A), the committee to which reports filed by such officers and employees under subchapter I are transmitted under that subchapter, except that the authority of this section may be delegated by such committee with respect to such officers and employees;
  • 15 U.S.C. § 78u–1(g)(2)(B)(ii)
    Go to provision →
    (ii) any other officer or employee of the legislative branch (as defined in section 13101(11) of title 5).

Citations to §13101(12)

Citations to §13101(13)

Citations to §13101(15)

  • 5 U.S.C. § 13104(a)(2)(B)
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    (B) The identity of the source and a brief description (including a travel itinerary, dates, and nature of expenses provided) of reimbursements received from any source aggregating more than the minimal value as established by section 7342(a)(5) of this title, or $250, whichever is greater, and received during the preceding calendar year.
  • 5 U.S.C. § 13104(e)(1)(D)
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    (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.
  • 5 U.S.C. § 13104(h)
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    (h) A report filed pursuant to subsection (a), (d), or (e) of section 13103 of this title need not contain the information described in subparagraphs (A), (B), and (C) of subsection (a)(2) with respect to gifts and reimbursements received in a period when the reporting individual was not an officer or employee of the Federal Government.
  • 5 U.S.C. § 13109(c)
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    (c) Nothing in this chapter requiring reporting of information shall be deemed to authorize the receipt of income, gifts, or reimbursements; the holding of assets, liabilities, or positions; or the participation in transactions that are prohibited by law, Executive order, rule, or regulation.
  • 5 U.S.C. § 13121(c)(2)
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    (2) contract for financial and administrative services (including those related to budget and accounting, financial reporting, personnel, and procurement) with the General Services Administration, or such other Federal agency as the Director determines appropriate, for which payment shall be made in advance, or by reimbursement, from funds of the Office of Government Ethics in such amounts as may be agreed upon by the Director and the head of the agency providing such services.
    Contract authority under paragraph (2) shall be effective for any fiscal year only to the extent that appropriations are available for that purpose.
  • 5 U.S.C. § 13123(a)
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    (a) Upon the request of the Director, each executive agency is directed to—
    (1) make its services, personnel, and facilities available to the Director to the greatest practicable extent for the performance of functions under this chapter; and
    (2) except when prohibited by law, furnish to the Director all information and records in its possession which the Director may determine to be necessary for the performance of the Director’s duties.
    The authority of the Director under this section includes the authority to request assistance from the inspector general of an agency in conducting investigations pursuant to the Office of Government Ethics responsibilities under this chapter. The head of any agency may detail such personnel and furnish such services, with or without reimbursement, as the Director may request to carry out the provisions of this chapter.

Citations to §13101(16)

Citations to §13101(17)

Citations to §13101(18)

  • 5 U.S.C. § 13103(g)(1)
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    (1) Reasonable extensions of time for filing any report may be granted under procedures prescribed by the supervising ethics office for each branch, but the total of such extensions shall not exceed 90 days.
  • 5 U.S.C. § 13103(h)(2)(i)
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    (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 the individual’s office or position less than 130 days in a calendar year, but only if the supervising ethics office determines that—
  • 5 U.S.C. § 13104(a)(1)(A)
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    (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregating $200 or more in value and, effective January 1, 1991, the source, date, and amount of payments made to charitable organizations in lieu of honoraria, and the reporting individual shall simultaneously file with the applicable supervising ethics office, on a confidential basis, a corresponding list of recipients of all such payments, together with the dates and amounts of such payments.
  • 5 U.S.C. § 13104(b)(2)(A)
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    (A) In lieu of filling out one or more schedules of a financial disclosure form, an individual may supply the required information in an alternative format, pursuant to either rules adopted by the supervising ethics office for the branch in which such individual serves or pursuant to a specific written determination by such office for a reporting individual.
  • 5 U.S.C. § 13104(f)(3)(B)
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    (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.
  • 5 U.S.C. § 13104(f)(3)(C)(iii)
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    (iii) the trustee shall promptly notify the reporting individual and the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
  • 5 U.S.C. § 13104(f)(3)(D)
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    (D) The proposed trust instrument and the proposed trustee are approved by the reporting individual’s supervising ethics office.
  • 5 U.S.C. § 13104(f)(3)(E)
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    (E) For purposes of this subsection, “interested party” means a reporting individual, the individual’s spouse, and any minor or dependent child; “broker” has the meaning set forth in section 3(a)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and “investment adviser” includes any investment adviser who, as determined under regulations prescribed by the supervising ethics office, is generally involved in the role as such an adviser in the management or control of trusts.
  • 5 U.S.C. § 13104(f)(3)(F)
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    (F) Any trust qualified by a supervising ethics office before the effective date of title II of the Ethics Reform Act of 1989 shall continue to be governed by the law and regulations in effect immediately before such effective date.
  • 5 U.S.C. § 13104(f)(4)(B)(i)
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    (i) The provisions of subparagraph (A) shall not apply with respect to a trust created for the benefit of a reporting individual, or the spouse, dependent child, or minor child of such a person, if the supervising ethics office for such reporting individual finds that—
    (I) the assets placed in the trust consist of a well-diversified portfolio of readily marketable securities;
    (II) none of the assets consist of securities of entities having substantial activities in the area of the reporting individual’s primary area of responsibility;
    (III) the trust instrument prohibits the trustee, notwithstanding the provisions of paragraphs1 (3)(C)(iii) and (iv) of this subsection, from making public or informing any interested party of the sale of any securities;
    (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and
    (V) except as otherwise provided in this paragraph, the trust instrument provides (or in the case of a trust established prior to the effective date of this Act which by its terms does not permit amendment, the trustee, the reporting individual, and any other interested party agree in writing) that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A).
  • 5 U.S.C. § 13104(f)(5)(A)
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    (A) The reporting individual shall, within 30 days after a qualified blind trust is approved by the individual’s supervising ethics office, file with such office a copy of—
    (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary 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.
  • 5 U.S.C. § 13104(f)(5)(B)
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    (B) The reporting individual shall, within 30 days of transferring an asset (other than cash) to a previously established qualified blind trust, notify the individual’s supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d) of this section.
  • 5 U.S.C. § 13104(f)(5)(C)(i)
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    (i) notify the individual’s supervising ethics office of such dissolution; and
  • 5 U.S.C. § 13104(f)(5)(E)
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    (E) A copy of each written communication with respect to the trust under paragraph (3)(C)(vi) shall be filed by the person initiating the communication with the reporting individual’s supervising ethics office within 5 days of the date of the communication.
  • 5 U.S.C. § 13104(f)(7)(B)
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    (B) a copy of the trust instrument (except testamentary provisions) and a copy of the agreement referred to in subparagraph (A), and a list of the assets held by the trust at the time of approval by the supervising ethics office, including the category of value of each asset as determined under subsection (d) of this section, are filed with such office and made available to the public as provided under paragraph (5)(D) of this subsection; and
  • 5 U.S.C. § 13104(f)(7)(C)
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    (C) the supervising ethics office determines that approval of the trust arrangement as a qualified blind trust is in the particular case appropriate to assure compliance with applicable laws and regulations.
  • 5 U.S.C. § 13105(g)
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    (g) Each supervising ethics office shall develop and make available forms for reporting the information required by this subchapter.
  • 5 U.S.C. § 13106(d)
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    (1) Any individual who files a report required to be filed under this subchapter more than 30 days after the later of—
    (A) the date such report is required to be filed pursuant to the provisions of this subchapter and the rules and regulations promulgated under this subchapter; or
    (B) if a filing extension is granted to such individual under section 13103(g) of this title, the last day of the filing extension period,
    shall, at the direction of and pursuant to regulations issued by the supervising ethics office, pay a filing fee of $200. All such fees shall be deposited in the miscellaneous receipts of the Treasury. The authority under this paragraph to direct the payment of a filing fee may be delegated by the supervising ethics office in the executive branch to other agencies in the executive branch.
    (2) The supervising ethics office may waive the filing fee under this subsection in extraordinary circumstances.
  • 5 U.S.C. § 13106(d)(2)
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    (2) The supervising ethics office may waive the filing fee under this subsection in extraordinary circumstances.
  • 5 U.S.C. § 13107(a)
    Go to provision →
    (a) Each agency, each supervising ethics office in the executive or judicial branch, the Clerk of the House of Representatives, and the Secretary of the Senate shall make available to the public, in accordance with subsection (b), each report filed under this subchapter with such agency or office or with the Clerk or the Secretary of the Senate, except that—
    (1) this section does not require public availability of a report filed by any individual in the Office of the Director of National Intelligence, the Central Intelligence Agency, the Defense Intelligence Agency, the National Geospatial-Intelligence Agency, or the National Security Agency, or any individual engaged in intelligence activities in any agency of the United States, if the President finds or has found that, due to the nature of the office or 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; and such individuals may be authorized, notwithstanding section 13106(a) of this title, to file such additional reports as are necessary to protect their identity from public disclosure if the President first finds or has found that such filing is necessary in the national interest; and
    (2) any report filed by an independent counsel whose identity has not been disclosed by the division of the court under chapter 40 of title 28, and any report filed by any person appointed by that independent counsel under such chapter, shall not be made available to the public under this subchapter.
  • 5 U.S.C. § 13107(b)(1)
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    (1) Except as provided in the second sentence of this subsection, each agency, each supervising ethics office in the executive or judicial branch, the Clerk of the House of Representatives, and the Secretary of the Senate shall, within 30 days after any report is received under this subchapter by such agency or office or by the Clerk or the Secretary of the Senate, as the case may be, permit inspection of such report by or furnish a copy of such report to any person requesting such inspection or copy. With respect to any report required to be filed by May 15 of any year, such report shall be made available for public inspection within 30 calendar days after May 15 of such year or within 30 days of the date of filing of such a report for which an extension is granted pursuant to section 13103(g) of this title. The agency, office, Clerk, or Secretary of the Senate, as the case may be, may require a reasonable fee to be paid in any amount which is found necessary to recover the cost of reproduction or mailing of such report excluding any salary of any employee involved in such reproduction or mailing. A copy of such report may be furnished without charge or at a reduced charge if it is determined that waiver or reduction of the fee is in the public interest.
  • 5 U.S.C. § 13107(d)(1)
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    (1) Any report filed with or transmitted to an agency or supervising ethics office or to the Clerk of the House of Representatives or the Secretary of the Senate pursuant to this subchapter shall be retained by such agency or office or by the Clerk of the House of Representatives or the Secretary of the Senate, as the case may be.
  • 5 U.S.C. § 13108(b)(3)
    Go to provision →
    (3) If the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics official, a person designated by a congressional ethics committee, or a person designated by the Judicial Conference, reaches an opinion under paragraph (2)(B) that an individual is not in compliance with applicable laws and regulations, the official or committee shall notify the individual of that opinion and, after an opportunity for personal consultation (if practicable), determine and notify the individual of which steps, if any, would in the opinion of such official or committee be appropriate for assuring compliance with such laws and regulations and the date by which such steps should be taken. Such steps may include, as appropriate—
    (A) divestiture;
    (B) restitution;
    (C) the establishment of a blind trust;
    (D) request for an exemption under section 208(b) of title 18; 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.
  • 5 U.S.C. § 13108(b)(7)
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    (7) Each supervising ethics office may render advisory opinions interpreting this subchapter within its respective jurisdiction. Notwithstanding any other provision of law, the individual to whom a public advisory opinion is rendered in accordance with this paragraph, and any other individual covered by this subchapter who is involved in a fact situation which is indistinguishable in all material aspects, and who acts in good faith in accordance with the provisions and findings of such advisory opinion shall not, as a result of such act, be subject to any penalty or sanction provided by this subchapter.
  • 5 U.S.C. § 13109(a)(1)
    Go to provision →
    (1) Each supervising ethics office may require officers and employees under its jurisdiction (including special Government employees as defined in section 202 of title 18) 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 subchapter, or more extensive when determined by the supervising ethics office to be necessary and appropriate in light of sections 202 through 209 of title 18, regulations promulgated under those sections, or the authorized activities of such officers or employees. Any individual required to file a report pursuant to section 13103 of this title shall not be required to file a confidential report pursuant to this subsection, except with respect to information which is more extensive than information otherwise required by this subchapter. Subsections (a), (b), and (d) of section 13107 of this title shall not apply with respect to any such report.
  • 5 U.S.C. § 13111(b)
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    (b) If an agreement described in subsection (a) requires that the individual recuse himself or herself from particular categories of agency or other official action, the individual shall reduce to writing those subjects regarding which the recusal agreement will apply and the process by which it will be determined whether the individual must recuse himself or herself in a specific instance. An individual shall be considered to have complied with the requirements of subsection (a) with respect to such recusal agreement if such individual files a copy of the document setting forth the information described in the preceding sentence with such individual’s designated agency ethics official or the appropriate supervising ethics office within the time prescribed in the last sentence of subsection (a).

Citations to §13101(19)

  • 5 U.S.C. § 13104(a)(1)(A)
    Go to provision →
    (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregating $200 or more in value and, effective January 1, 1991, the source, date, and amount of payments made to charitable organizations in lieu of honoraria, and the reporting individual shall simultaneously file with the applicable supervising ethics office, on a confidential basis, a corresponding list of recipients of all such payments, together with the dates and amounts of such payments.
  • 5 U.S.C. § 13104(a)(1)(B)
    Go to provision →
    (B) The source and type of income which consists of dividends, rents, interest, and capital gains, received during the preceding calendar year which exceeds $200 in amount or value, and an indication of which of the following categories the amount or value of such item of income is within—
    (i) not more than $1,000;
    (ii) greater than $1,000 but not more than $2,500;
    (iii) greater than $2,500 but not more than $5,000;
    (iv) greater than $5,000 but not more than $15,000;
    (v) greater than $15,000 but not more than $50,000;
    (vi) greater than $50,000 but not more than $100,000;
    (vii) greater than $100,000 but not more than $1,000,000;
    (viii) greater than $1,000,000 but not more than $5,000,000; or
    (ix) greater than $5,000,000.
  • 5 U.S.C. § 13104(a)(2)(A)
    Go to provision →
    (A) The identity of the source, a brief description, and the value of all gifts aggregating more than the minimal value as established by section 7342(a)(5) of this title, or $250, whichever is greater, received from any source other than a relative of the reporting individual during the preceding calendar year, except that any food, lodging, or entertainment received as personal hospitality of an individual need not be reported, and any gift with a fair market value of $100 or less, as adjusted at the same time and by the same percentage as the minimal value is adjusted, need not be aggregated for purposes of this subparagraph.
  • 5 U.S.C. § 13104(a)(2)(B)
    Go to provision →
    (B) The identity of the source and a brief description (including a travel itinerary, dates, and nature of expenses provided) of reimbursements received from any source aggregating more than the minimal value as established by section 7342(a)(5) of this title, or $250, whichever is greater, and received during the preceding calendar year.
  • 5 U.S.C. § 13104(a)(3)
    Go to provision →
    (3) The identity and category of value of any interest in property held during the preceding calendar year in a trade or business, or for investment or the production of income, which has a fair market value which exceeds $1,000 as of the close of the preceding calendar year, excluding any personal liability owed to the reporting individual by a spouse or by a parent, brother, sister, or child of the reporting individual or of the reporting individual’s spouse, or any deposits aggregating $5,000 or less in a personal savings account. For purposes of this paragraph, a personal savings account shall include any certificate of deposit or any other form of deposit in a bank, savings and loan association, credit union, or similar financial institution.
  • 5 U.S.C. § 13104(a)(4)
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    (4) The identity and category of value of the total liabilities owed to any creditor other than a spouse, or a parent, brother, sister, or child of the reporting individual or of the reporting individual’s spouse which exceed $10,000 at any time during the preceding calendar year, excluding—
    (A) any mortgage secured by real property which is a personal residence of the reporting individual or the individual’s spouse, except that this exception shall not apply to a reporting individual—
    (i) described in paragraph (1), (2), or (9) of 13103(f) of this title;
    (ii) described in section 13103(b) of this title who has been nominated for appointment as an officer or employee in the executive branch described in subsection (f) of that section, other than—
    (I) an individual appointed to a position—
    (aa) as a Foreign Service Officer below the rank of ambassador; or
    (bb) in the uniformed services for which the pay grade prescribed by section 201 of title 37 is O–6 or below; or
    (II) a special Government employee, as defined under section 202 of title 18; or
    (iii) described in section 13103(f) of this title who is in a position in the executive branch the appointment to which is made by the President and requires advice and consent of the Senate, other than—
    (I) an individual appointed to a position—
    (aa) as a Foreign Service Officer below the rank of ambassador; or
    (bb) in the uniformed services for which the pay grade prescribed by section 201 of title 37 is O–6 or below; or
    (II) a special Government employee, as defined under section 202 of title 18; and
    (B) any loan secured by a personal motor vehicle, household furniture, or appliances, which loan does not exceed the purchase price of the item which secures it.
  • 5 U.S.C. § 13104(a)(5)
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    (5) Except as provided in this paragraph, a brief description, the date, and category of value of any purchase, sale or exchange during the preceding calendar year which exceeds $1,000—
    (A) in real property, other than property used solely as a personal residence of the reporting individual or the individual’s spouse; or
    (B) in stocks, bonds, commodities futures, and other forms of securities.
  • 5 U.S.C. § 13104(a)(8)
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    (8) The category of the total cash value of any interest of the reporting individual in a qualified blind trust, unless the trust instrument was executed prior to July 24, 1995, and precludes the beneficiary from receiving information on the total cash value of any interest in the qualified blind trust.
  • 5 U.S.C. § 13104(b)(2)(B)
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    (B) In lieu of indicating the category of amount or value of any item contained in any report filed under this subchapter, a reporting individual may indicate the exact dollar amount of such item.
  • 5 U.S.C. § 13104(d)(1)
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    (1) The categories for reporting the amount or value of the items covered in paragraphs (3), (4), (5), and (8) of subsection (a) are—
    (A) not more than $15,000;
    (B) greater than $15,000 but not more than $50,000;
    (C) greater than $50,000 but not more than $100,000;
    (D) greater than $100,000 but not more than $250,000;
    (E) greater than $250,000 but not more than $500,000;
    (F) greater than $500,000 but not more than $1,000,000;
    (G) greater than $1,000,000 but not more than $5,000,000;
    (H) greater than $5,000,000 but not more than $25,000,000;
    (I) greater than $25,000,000 but not more than $50,000,000; and
    (J) greater than $50,000,000.
  • 5 U.S.C. § 13104(d)(2)
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    (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 or her report a full and complete description of the method used to determine such assessed value, instead of specifying a category of value pursuant to paragraph (1) of this subsection. If the current value of any other item required to be reported under paragraph (3) of subsection (a) is not ascertainable without an appraisal, such individual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partnership, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individual shall include in his or her report a full and complete description of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of the item used for the assessment if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report.
  • 5 U.S.C. § 13104(e)(1)(C)
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    (C) In the case of any gifts received by a spouse or dependent child which are not received totally independent of the relationship of the spouse or dependent child to the reporting individual, the identity of the source and a brief description of gifts of transportation, lodging, food, or entertainment and a brief description and the value of other gifts.
  • 5 U.S.C. § 13104(e)(1)(F)
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    (F) For purposes of this section, categories with amounts or values greater than $1,000,000 set forth in subsection (a)(1)(B) and subsection (d)(1) shall apply to the income, assets, or liabilities of spouses and dependent children only if the income, assets, or liabilities are held jointly with the reporting individual. All other income, assets, or liabilities of the spouse or dependent children required to be reported under this section in an amount or value greater than $1,000,000 shall be categorized only as an amount or value greater than $1,000,000.
  • 5 U.S.C. § 13104(f)(3)(C)(iii)
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    (iii) the trustee shall promptly notify the reporting individual and the reporting individual’s supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000;
  • 5 U.S.C. § 13104(f)(3)(C)(v)
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    (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1) of this section, but such report shall not identify any asset or holding;
  • 5 U.S.C. § 13104(f)(4)(A)
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    (A) An asset placed in a trust by an interested party shall be considered a financial interest of the reporting individual, for the purposes of any applicable conflict of interest statutes, regulations, or rules of the Federal Government (including section 208 of title 18), 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.
  • 5 U.S.C. § 13104(f)(5)(A)(ii)
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    (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.
  • 5 U.S.C. § 13104(f)(5)(B)
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    (B) The reporting individual shall, within 30 days of transferring an asset (other than cash) to a previously established qualified blind trust, notify the individual’s supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d) of this section.
  • 5 U.S.C. § 13104(f)(5)(C)(ii)
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    (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.
  • 5 U.S.C. § 13104(f)(7)(B)
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    (B) a copy of the trust instrument (except testamentary provisions) and a copy of the agreement referred to in subparagraph (A), and a list of the assets held by the trust at the time of approval by the supervising ethics office, including the category of value of each asset as determined under subsection (d) of this section, are filed with such office and made available to the public as provided under paragraph (5)(D) of this subsection; and
  • 5 U.S.C. § 13141(2)
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    (2) The term “honorarium” means a payment of money or any thing of value for an appearance, speech or article (including a series of appearances, speeches, or articles if the subject matter is directly related to the individual’s official duties or the payment is made because of the individual’s status with the Government) by a Member, officer or employee, excluding any actual and necessary travel expenses incurred by such individual (and one relative) to the extent that such expenses are paid or reimbursed by any other person, and the amount otherwise determined shall be reduced by the amount of any such expenses to the extent that such expenses are not paid or reimbursed.