< Back to S. 555 (95th Congress, 1977–1978)

Text of the Ethics in Government Act

This bill was enacted after being signed by the President on October 26, 1978. The text of the bill below is as of Oct 26, 1978 (Passed Congress/Enrolled Bill).

92 STAT. 1824                        PUBLIC LAW 95-521—OCT. 26, 1978

                     Public Law 95-521
                     95th Congress
                                                         An Act
 Oct. 26, 1978       To establish certain Federal agencies, effect certain reorganizations of the
   [S. 555]            Federal Government, to implement certain reforms in the operation of the
                       Federal Government and to preserve and promote the integrity of public officials
                       and institutions, and for other purposes.

                       Be it enacted hy the Senate and House of Representatives of the
Ethics in            United States of America in Congress assembled^ That this Act may
Government Act       be cited as the "Ethics in Government Act of 1978".
of 1978.
2 u s e 701 note.
                         TITLJE I—LEGISLATIVE PERSONNEL FINANCIAL
                                  DISCLOSURE REQUIREMENTS
                                                        COVERAGE

Reports, filing.         SEC. 101. (a) E a c h Member in office on May 15 of a calendar year
2 use 701.           shall file on or before May 15 of t h a t calendar year a report containing
                     the information as described in section 102(a).
                         (b) A n y individual who is an officer or employee of the legislative
                     branch designated in subsection (e) d u r i n g any calendar year and per-
                     forms the duties of his position or office for a period in excess of sixty
                     days in t h a t calendar year shall file on or before May 15 of the suc-
                     ceeding year a report containing the information as described in
                     section 102(a).
                         (c) W i t h i n t h i r t y days of assuming the position of an officer or
                     employee designated in subsection ( e ) , an individual other than an
                     individual employed in the legislative branch upon assuming such
                     position shall file a report containing the information as described in
                     section 102(b) unless the individual has left another position desig-
                     nated in subsection (e) within t h i r t y days p r i o r to assuming his new
Effective date.      position. This subsection shall take effect on J a n u a r y 1, 1979.
                          (d) W i t h i n t h i r t y days of becoming a candidate in a calendar year
                     for any election for the office of Member, or on or before May 15 of
                     t h a t calendar year, which ever is later, but in no event later than seven
                     days prior to the election, and on or before May 15 of each successive
                     year the individual continues to be a candidate, an individual shall
                     file a report containing the information as described in section 102(b).
                          (e) T h e officers and employees referred to in subsections (b) and
                      (c) are—
                                 (1) each officer or employee of the legislative branch who is
                             compensated at a rate equal to or in excess of the annual rate of
5 u s e 5332 note.           basic pay in effect for grade GS-16 of the General Schedule; and
                                (2) at least one principal assistant designated for purposes of
                             this section by each Member who does not have an employee com-
                             pensated at a rate equal to or in excess of t h e annual rate of basic
                             pay in effect for g r a d e G S - 1 6 of the General Schedule.
Legislative          F o r the purposes of this title, the lesfislative branch includes the Archi-
branch.              tect of t h e Capitol, the Botanic Gardens, t h e Congressional Budget
                     Office, the Cost Accounting S t a n d a r d s Board, t h e General Accounting
                     Office, the Government P r i n t i n g Office, the L i b r a r y of Congress, the
                     Office of the A t t e n d i n g Physician, and the Office of Technology
                     Assessment.

PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1825 (f) Reasonable extensions of time for filing any report may be Time extension, granted by the designated committee of the Senate with respect to those filing with the Secretary and by the designated committee of the House of Representatives with respect to those filing with the Clerk but in no event may the extension granted to a Member or candidate result in a required report being filed later than seven days prior to an elec- tion involving the Member or candidate. If the day on which a report is required to be filed falls on a weekend or holiday, the report may be filed on the next business day. (g) Notwithstanding the dates specified in subsection (d) of this section, an individual who is a candidate in calendar year 1978 shall file the report required by such subsection not later than November 1, 1978, except that a candidate for the Senate who has filed a report as of such date pursuant to the Rules of the Senate need not file the report required by subsection (d) of this section. CONTENTS o r REPORTS SEC. 102. (a) Each report filed pursuant to subsections (a) and (b) 2 USC 702. of section 101 shall include a full and complete statement with respect to the following: (1)(A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregating $100 or more in value. (B) The source and type of income which consists of divi- dends, interest, rent, and capital gains, received during the pre- ceding calendar year which exceeds $100 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, fiii) 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, or (vii) greater than $100,000. (2) (A) The identity of the source and a brief description of any gifts of trans^jortation, lodging, food, or entertainment aggregating $250 or more in value received from any source other than a relative of the reporting individual during the preceding calendar year, except that any food, lodging, or entertainment received as personal hospitality of any individual need not be reported, and any gift with a fair market value of $35 or less need not be aggregated for pitrposes of this subparagraph. (B) The identity of the source, a brief description, and the value of all gifts other than transportation, lodging, food, or entertain- ment aggregating $100 or more in value received from any source other than a relative of the reporting individual during the pre- ceding calendar year, except that any gift with a fair market value of $35 or less need not be aggregated for purposes of this subparagraph. A gift need not be so aggregated if in an unusual case, a publicly available request for a waiver is granted. 39-194 O—80—pt. 2 35 : QL3
92 STAT. 1826 PUBLIC LAW 95-521—OCT. 26, 1978 (C) The identity of the source and a brief description of reim- bursements received from any source aggregating $250 or more in value and received during the preceding calendar year. (3) The identity and category of value of any interest in prop- erty held during the preceding calendar year in a trade or busi- ness, or for investment or the production of income, which has a fair market value which exceeds $1,000 as of the close of the pre- ceding calendar year, excluding any personal liability owed to the reporting individual by a relative or any deposits aggregating Personal savings $5,000 or less in a personal savings account. For purposes of this account. paragraph, a personal savings account shall include any certificate of deposit or any other form of deposit in a bank, savings and loan association, credit union, or similar financial institution. (4) The identity and category of value of the total liabilities owed to any creditor other than a relative which exceed $10,000 at any time during the preceding calendar year, excluding— (A) any mortgage secured by real property which is a personal residence of the reporting individual or his spouse; (B) any loan secured by a personal motor vehicle, house- hold furniture, or appliances, which loan does not exceed the purchase price of the item which secures it. With respect to revolving charge accounts, only those with an outstanding liability which exceeds $10,000 as of the close of the preceding calendar year need be reported under this paragraph. (5) Except as provided in this paragraph, a brief description, the date, and category of value of any purchase, sale, or exchange during the preceding calendar year which exceeds $1,000— (A) in real property, other than property used solely as a personal residence of the reporting individual or his spouse; or (B) in stocks, bonds, commodities futures, and other forms of securities. Reporting is not required under this paragraph of any transaction solely by and between the reporting individual, his spouse, or dependent children. (6) The identity of all positions on or before the date of filing during the current calendar year as an officer, director, trustee, partner, proprietor, representative, employee, or consultant of any corporation, company, firm, partnership, or other business enterprise, any nonprofit organization, any labor organization, or any educational or other institution other than the "United States. This paragraph shall not require the reporting of positions held in any religious, social, fraternal, or political entity and positions solely of an honorary nature. (7) A description of the date, parties to, and terms of any agree- ment or arrangement with respect t o : (A) future employment; (B) a leave of absence during the period of the reporting indi- vidual's Government service; (C) continuation of payments by a former employer other than the United States Government; and (D) continuing participation in an employee welfare or benefit plan maintained by a former employer, (b) Each report filed pursuant to subsections (c) and (d) of sec- tion 101 shall include a full and complete statement with respect to the information required by paragraphs (3), (4), (6), and (in the case of reports filed pursuant to subsection (c) of section 101) (7) of sub-
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1827 section (a), as of a date, specified in such report, which shall be not more than thirty-one days prior to the date of filing, and the informa- tion required by paragraph (1) of subsection (a) for the year of filing and the preceding calendar year. (c) (1) The categories for reporting the amount or value of the Items covered in paragraphs (3), (4) and (5) of subsection (a) are as follows: '' • (A) not more than $5,000; (B) greater than $5,000 but not more than $15,000; (C) greater than $15,000 but not more than $50,000; (D) greater than $50,000 but not more than $100,000; (E) greater than $100,000 but not more than $250,000; and (F) greater than $250,000. (2) For the purposes of paragraph (3) of subsection (a) if the current value of an interest in real property (or an interest in a real estate partnership) is not ascertainable without an appraisal, an indi- vidual may list (A) the date of purchase and the purchase price of the interest in the real property, or (B) the assessed value of the real property for tax purposes, adjusted to reflect the market value of the property used for the assessment if the assessed value is computed at less than 100 percent of such market value, but such individual shall include in his 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 indi- vidual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partnership, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individual shall include in *his report a full and complete description of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of the item used for the assessment if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report. (d) (1) Except as provided in the last sentence of this paragraph, each report shall also contain information listed in paragraphs (1) through (5) of subsection (a) 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, with respect to a . spouse or dependent child, all information required to be reported in subsection (a) (1) (B) with respect to income derived from any asset held by the spouse or dependent child and reported pur- suant to paragraph (3). With respect to earned income, if the spouse is self-employed in business or a profession, only the • nature of such business or profession need be reported. (B) In the case of any gift which is not received totally inde« pendent of the spouse's relationship to the reporting individual, the identity of the source and a brief description of gifts of trans- portation, lodging, food, or entertainment or a brief description and the value of other gifts.
92 STAT. 1828 PUBLIC LAW 95-521—OCT. 26, 1978 (C) In the case of any reimbursement which is not received totally independent of the spouse's relationship to the reporting individual, the identity of the source and a brief description of the reimbursement. (D) In the case of items described in paragraphs (3) through (5), all information required to be reported under these para- Certification. graphs other than items (i) which the reporting individual cer- tifies represent the spouse 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. Each report referred to in subsection (b) of this section shall, with respect to the spouse and dependent child of the reporting individual, only contain information listed in paragraphs (1), (3), and (4) of subsection (a), as specified in this paragraph. (2) No report shall be required with respect to a spouse living separate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation; or with respect to any income or obligations of an individual arising from the dissolution of his marriage or the permanent separation from his spouse. (e)(1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pur- suant to subsections (a) and (b) of this section with respect to the holdings of and the income from a trust or other financial arrange- ment from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, his spouse, or any dependent child. (2) A reporting individual need not report the holdings of or the source of income from any of the holdings of— (A) any qualified blind trust (as defined in paragraph (3)) ; ! or (B) a trust— (i) which was not created directly by such individual, his spouse, or any dependent child, and (ii) the holdings or sources of income of which such indi- vidual, his spouse, and any dependent child have no knowl- edge of, but such individual shall report the category of the amount of income received by him, his spouse, or any dependent child from the trust under subsection ( a ) ( 1 ) ( B ) of this section. "Qualified blind (3) For purposes of this subsection, the term "qualified blind trust" trust." includes any trust in which a reporting individual, his spouse, or any dependent child has a beneficial interest in the principal or income, and which meets the following requirements: (A) The trustee of the trust is a financial institution, an attorney, a certified public accountant, or a broker, who (in the case of a financial institution or investment company, any officer or employee involved in the management or control of the trust who)— (i) is independent of and unassociated with any interested party so that the trustee cannot be controlled or influenced in the administration of the trust by any interested party,
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1829 (ii) is or lias not been an employee of any interested party, or any organization 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. (B) Any asset transferred to the trust by an interested party is free of any restriction with respect to its transfer or sale unless such restriction is expressly approved by the supervising ethics office of the reporting individual. (C) The trust instrument which establishes the trust provides that— (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of his authority and discretion to manage and control the assets of the trust shall not consult or notify any interested party; (ii) the trust shall not contain any asset the holding of which by an interested party is prohibited by any law or regulation; (iii) the trustee shall promptly notify the reporting indi- vidual and his supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000; (iv) the trust tax return shall be prepared by the trustee or his designee, and sucli return and any information relating thereto (other than the trust income summarized in appro- priate 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) (B) 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 communica- tion between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial 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 sub- sequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and
92 STAT. 1830 PUBLIC LAW 95-521—OCT. 26, 1978 (vii) the interested parties shall make no effort to obtain information with respect to the holdings of the trust, including obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection. (D) The proposed trust instrument and the proposed trustee is approved by the reporting individual's supervising ethics office. Definitions. For purposes of this subsection "interested party" means a reporting individual, his spouse, and any dependent child if the reporting indi- vidual, his spouse, or dependent child has a beneficial interest in the principal or income of a qualified blind trust; "broker" has the mean- ing set forth in section 78 of title 15, United States Code; and "super- vising ethics office" means the designated committee of the House of Representatives for those who file their reports required by this title with the Clerk and the designated committee of the Senate for those who file the reports required by this title with the Secretary. (4) An asset placed in a trust by an interested party shall be con- sidered a financial interest of the reporting individual, for the pur- poses of section 208 of title 18, United States Code, and any other conflict of interest statutes or regulations of the Federal Govern- ment, 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. Copy, filing with (5) (A) The reporting individual shall, within thirty days after ethics office. a qualified blind trust is approved by his supervising ethics office, file with such office a copy of— (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary disposition of the trust assets), and (ii) a list of the assets which were transferred to such trust, including the category of value of each asset as determined under subsection (c)(1) of this section. Notification. (B) The reporting individual shall, within thirty days of trans- ferring an asset (other than cash) to a previously established qualified blind trust, notify his supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (c) (1) of this section. Dissolution, (C) Within thirty days of the dissojution of a qualified blind trust, notification and a reporting individual shall— filing. (i) notify his supervising ethics office of such dissolution, and (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (c) of this subsection of each such asset. Public (D) Documents filed under subparagraphs (A), (B), and (C) of availability. 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 104, and the provisions of that section shall apply. Copy, filing. (E) A copy of each written communication with respect to the trust under paragraph (3)(C)(vi) shall be filed by the person initiat- ing the communication with the reporting individual's supervising ethics office within five days of the date of the communication. (6) (A) A trustee of a qualified blind trust shall not knowingly or negligently (i) disclose any information to an interested party with respect to such trust that may not be disclosed under paragraph
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1831 (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 pro- hibited 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 or negligently (i) solicit or receive any information with respect to a qualified blind trust of which he is an interested party that may not be disclosed under paragraph (3) (C) of this subsection, or (ii) fail to file any document required by this subsection. (C) (i) The Attorney General may bring a civil action in any appro- Civil action, priate United States District Court against any individual who know- penalty. ingly 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 $5,000. (ii) The Attorney General may bring a civil action in any appro- priate United States District Court against any individual who negli- gently 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 $1,000. (7) Any trust which is in existence prior to the date of the enact- Qualified blind ment of this Act shall be considered a qualified blind trust if— trust, (A) the supervising ethics office determines that the trust was considerations. a good faith effort to establish a blind trust; (B) the previous trust instrument is amended or, if such trust instrument does not by its terms permit amendment, all parties to the trust instrument, including the reporting individual and the trustee, agree in writing that the trust shall be administered in accordance with the requirements of paragraph (3) (C) and a trustee is (or has been) appointed who meets the requirements of paragraph ( 3 ) ; and (C) a copy of the trust instrument (except testamentary provi- sions) , a list of the assets previously transferred to the trust by an interested party and the category of value of each such asset at the time it was placed in the trust, and a list of assets previously placed in the trust by an interested party which have been sold are filed and made available to the public as provided under para- graph (5) of this subsection. (f) Political campaign funds, including campaign receipts and expenditures, need not be included in any report filed pursuant to this title. FILING o r REPORTS; DUTIES OF CLERK AND SECRETARY SEC. 103. (a) The reports required by section 101 of Kepresentatives, 2 USC 703. Delegates to Congress, the Kesident Commissioner from Puerto Rico, officers and employees of the House, candidates seeking election to the House, and officers and employees of the Architect of the Capitol, the Botanic Gardens, the Congressional Budget Office, the Government Printing Office, and the Library of Congress shall be filed with the Clerk. (b) The reports required by section 101 of Senators, officers and employees of the Senate, candidates seeking election to the Senate, and
92 STAT. 1832 PUBLIC LAW 95-521—OCT. 26, 1978 officers and employees of the General Accounting Office, the Cost Accounting Standards Board, the Office of Technology Assessment, and the Office of the Attending Physician shall be filed with the Secretary. Copies. (c) A copy of each report filed by a Member or an individual who is a candidate for the office of Member shall be sent by the Clerk or Secretary, as the case may be, to the appropriate State officer as desig- nated in accordance with section 316(a) of the Federal Election Campaign Act of 1971 (2 U.S.C. 439(a) of the State represented by the Member or in which the individual is a candidate, as the case may be, within the seven-day period beginning the day that the report is filed with the Clerk or Secretary. (d) (1) A copy of each report filed under this title with the Clerk shall be sent by the Clerk to the designated committee of the House of Representatives within the seven-day period beginning the day that the report is filed. (2) A copy of each report filed with the Secretary shall be sent by the Secretary to the designated committee of the Senate. FEC assistance. (e) In carrying out their responsibilities under this title, the Clerk and the Secretary shall avail themselves of the assistance of the Fed- eral Election Commission. The Commission shall make available to the Clerk and the Secretary on a regular basis a complete list of names and addresses of all candidates registered with the Commission, and shall cooperate and coordinate its candidate information and notifica- tion program with the Clerk and the Secretary to the greatest extent possible. Reporting forms (f) In order to carry out responsibilities under this title— and rules and (1) the Clerk shall, after consultation with the designated com- regulations, mittee of the House of Representatives, and consultation. (2) the designated committee of the Senate shall develop reporting forms and may promulgate rules and regulations. ACCESSIBILITY OF REPORTS Public inspection. SEC. 104. (a) Except as provided in the second sentence of this 2 use 704. subsection, within fifteen calendar days after a report is filed with the Clerk under this title, the Clerk shall make such report available for public inspection at reasonable hours. With respect to reports required to be filed by May 15 of any year, such reports shall be made available for public inspection within fifteen calendar days after May 15 of such year. A copy of any such report shall be provided by the Clerk to any person upon request. (b) Except as provided in the second sentence of this subsection, within fifteen days after a report is filed with the Secretary under this title, the Secretary shall make such report available for public inspec- tion at reasonable hours. With respect to reports required to be filed by May 15 of any year, such reports shall be made available for public inspection within fifteen calendar days after May 15 of such year. A copy of any such report shall be provided by the Secretary to any person upon request. Copy, fee. (c) Any person requesting a copy of a report may be required to pay a reasonable fee to cover 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 by the Clerk
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1833 or Secretary that waiver or reduction of the fee is in the public inter- est because furnishing the information may be considered as primarily benefiting the public. (d) Any report filed under this title with the Clerk or Secretary shall be available to the public for a period of six years after receipt of the report. After such six-year period the report shall be destroyed unless needed in an ongoing investigation, except that in the case of an individual who filed the report pursuant to section 101(d) and was not subsequently elected, such reports shall be destroyed one year after the individual is no longer a candidate for election to the office of Member unless needed in an ongoing investigation. (e)(1) I t shall be unlawful for any person to obtain or use a Unlawful actions, report— (A) for any unlawful purpose; (B) for any commercial purpose other than by news and com- munications media for dissemination to the general public ; (C) for determining or establishing the credit rating of any individual; or (D) for use, directly or indirectly, in the solicitation of money for any political, charitable, or other purpose. (2) The Attorney General may bring a civil action against any Civil action, person who obtains or uses a report for any purpose prohibited in penalty, paragraph (1). The court in which such action is brought may assess against such person a penalty in any aniount not to exceed $5,000. Such remedy shall be in addition to any other remedy available under statutory or common law. REVIEW AND COMPLIANCE PROCEDURES SEC. 105. (a) The designated committee of the House of Repre- 2 USC 705. sentatives and the designated committee of the Senate shall establish procedures for the review of reports sent to them under section 103 (d) (1) and section 103(d) (2) to determine whether the reports are filed in a timely manner, are complete, and are in proper form. In the event a determination is made that a report is not so filed, the appro- priate committee shall so inform the reporting individual and direct him to take all necessary corrective action. (b) In order to carry out their responsibilities under this title the Congressional designated committee of the House of Representatives and the desig- committee nated committee of the Senate, have power, within their respective advisory jurisdictions, to render any advisory opinion interpreting this title, in opinions. writing, to persons covered by this title. Notwithstanding any other provisions of law, the individual to whom a public advisory opinion is rendered in accordance with this subsection, and any other indi- vidual covered by this title who is involved in a fact situation which is indistinguishable in all material aspects, and who, after the issuance of the advisory opinion, acts in good faith in accordance with the pro- visions and findings of such advisory opinion shall not, as a result of such act, be subject to any sanction provided in this title. FAILURE TO FILE OR FALSIFYING REPORTS SEC. 106. The Attorney General may bring a civil action in any Civil action. appropriate United States district court against any individual who 2 USC 706. knowingly and willfully falsifies or who knowingly and willfully fails
92 STAT. 1834 PUBLIC LAW 95-521—OCT. 26, 1978 to file or report any information that such individual is required to Penalty. report pursuant to section 102. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000. No action may be brought under this section against any individual with respect to a report filed by such individual in calendar year 1978 pursuant to section 101(d). DEFINITIONS 2 use 707. SEC. 107. For the purposes of this title, the term— (1) "income" means all income from whatever source derived, including but not limited to the following items: compensation for services, including fees, commissions, and similar items; net and gross income derived from business; gains derived from dealings in property; interest; rents; royalties; dividends; annu- ities; income from life insurance and endowment contracts; pensions; income from discharge of indebtedness; distributive share of partnership income; and income from an interest in an estate or trust; (2) "relative" means an individual who is related to the report- ing individual, as father, mother, son, daughter, brother, sister, uncle, aunt, great aunt, great uncle, first cousin, nephew, niece, husband, wife, grandfather, grandmother, grandson, grand- daughter, father-in-law, mother-in-law, son-in-law daughter-in- law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister, or who is the grandfather or grandmother of the spouse of the reporting individual, and shall be deemed to include the fiance or fiancee of the reporting individual; (3) "gift" means a payment, advance, forbearance, rendering, or deposit of money, or any thing of value, unless consideration of equal or greater value is received by the donor, but does not include— (A) bequest and other forms of inheritance; (B) suitable mementos of a function honoring the report- ing individual; (C) food, lodging, transportation, and entertainment pro- vided by State and local governments, or political subdivi- sions thereof, by a foreign government within a foreign country, or by the United States Government. (D) food and beverages consumed at banquets, receptions, or similar events; (E) consumable products provided by home-State busi- nesses to a Member's office for distribution; or (F) communications to the offices of a reporting individual including subscriptions to newspapers and periodicals; (4) "honoraria" has the meaning given such term in the Federal 2 use 431 note. Election Campaign Act of 1971; (5) "value" means a good faith estimate of the dollar value if the exact value is neither known nor easily obtainable by the reporting individual; (6) "personal hospitality of any individual" means hospitality extended for a nonbusiness purpose by an individual, not a corporation or organization, at the personal residence of that
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1835 individual or his family or on property or facilities owned by that individual or his family; (7) "dependent child" means, when used with respect to any reporting individual, any individual who is a son, daughter, stepson, or stepdaughter and who— (A) is unmarried and under age 21 and is living in the household of such reporting individual; or (B) is a dependent of such reporting individual within the meaning of section 152 of the Internal Kevenue Code of 1954; 26 use 152. (8) "reimbursement" means any payment or other thing of value received by the reporting individual, other than gifts, to cover travel-related expenses of such individual other than those which are— (A) provided by the United States Government, the Dis- trict of Columbia, or any State or political subdivision thereof; (B) required to be reported by the reporting individual under section 7342 of title 5, United States Code; or (C) required to be reported under section 304 of the Fed- eral Election Campaign Act of 1971 (2 U.S.C. 434); (9) "candidate" means an individual, other than a Member, who seeks nomination for election, or election, to the Congress whether or not such individual is elected, and for purposes of this paragraph, an individual shall be deemed to seek nomina- tion tor election, or election, (A) if he has taken the action neces- sary under the law of a State to qualify himself for nomination for election, or election, or (B) ii he or his principal campaign committee has taken action to register or file campaign reports required by section 304(a) of the Federal Election Campaign Act of 1971 (2 U.S.C. 434(a)); (10) "Clerk" means the Clerk of the House of Eepresentatives; (11) "Secretary" means the Secretary of the Senate; (12) "Member" means a United States Senator, a Representa- tive in Congress, a Delegate to Congress, or the Resident Commis- sioner from Puerto Rico; (13) "election" means (A) a general, special, primary, or run- off election, or (B) a convention or caucus of a political party which has authority to nominate a candidate; (14) "officer or employee of the House" means any individual, other than a Member, whose compensation is disbursed by the Clerk; (15) "officer or employee of the Senate" means an individual, other than a Senator or the Vice President, whose compensation is disbursed by the Secretary; and (16) "designated committee of the House of Representatives and designated committee of the Senate" means the committee of the House or Senate, as the case may be, assigned responsibility for administering the reporting requirements of this title. OTHER LAWS SEC. 108. The provisions added by this title, and the regulations 2 USC 708. issued thereunder, shall supersede and preempt any State or local law with respect to financial disclosure by reason of candidacy for Federal office or employment by the United States Government.
92 STAT. 1836 PUBLIC LAW 95-521—OCT. 26, 1978 GENERAL ACCOUNTING OFFICE STUDY 2 use 709. SEC. 109. (a) Before November 30, 1980, and regularly thereafter, the Comptroller General of the United States shall conduct a study to determine whether this title is being carried out effectively and whether timely and accurate reports are being filed by individuals subject to this title. Report and (b) Within thirty days after completion of the study, the Comp- legislative troller General shall transmit a report to each House of Congress recommendations containing a detailed statement of his findings and conclusions, to House and together with his recommendations for such legislative and adminis- Senate. trative actions as he deems appropriate. The first such study shall include the Comptroller General's findings and recommendations on the feasibility and potential need for a requirement that systematic random audits be conducted of financial disclosure reports filed under this title, including a thorough discussion of the type and nature of audits that might be conducted; the personnel and other costs of audits; the value of an audit to Members, the appropriate House and Senate committees, and the public; and, if conducted, whether a gov- ernmental or nongovernmental unit should perfonn the audits, and under whose supervision. T I T L E I I — E X E C U T I V E PERSONNEL FINANCIAL DIS- - CLOSURE REQUIREMENTS PERSONS REQUIRED TO F I L E Reports. SEC. 201. (a) Within thirty days of assuming the position of an offi- 5 use app. cer or employee designated in subsection (f), an individual shall file a report containing the information described in section 202(b) unless the individual has left another position designated in subsection (f) within thirty days prior to assuming such new position or has already filed a report under this title with respect to nomination for the new position or as a candidate for the position. (b) Within five days of the transmittal by the President to the Senate of the nomination of an individual (other than an individual covered by section 301 (b) or an individual nominated for appointment to a grade or rank in the uniformed services for which the pay grade prescribed by section 201 of title 37, United States Code, is 0-6 or below) to a position, appointment to which requires the advice and consent of the Senate, such individual shall file a report containing the information described in section 202(b). Nothing in this Act shall prevent any Congressional committee from requesting, as a condition of confirmation, any additional financial information from any Presi- dential nominee whose nomination has been referred to that committee. (c) Within thirty days of becoming a candidate in a calendar year for nomination or election to the office of President or Vice President, as determined by the Federal Election Commission, or on or before May 15 of that calendar year, whichever is later, and on or before May 15 of each successive year an individual continues to be a candi- date, an individual other than an incumbent President or Vice Presi- dent shall file a report containing the information described in section 202(b). (d) Any individual who is an officer or employee designated in sub- section (f) during any calendar year and performs the duties of his position or office for a period in excess of sixty days in that calendar
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1837 year shall file on or before May 15 of the succeeding year a report con- taining the information described in section 202(a). (e) Any individual who occupies a position designated in subsection (f) shall, on or before the thirtieth day after termination of employ- ment in such position, file a report containing the information des- cribed in section 202(a) covering the preceding calendar year if the re- port required by subsection (d) has not been filed and covering the portion of that calendar year up to the date the individual left such of- fice or position, unless such individual has accepted employment in another position designated in subsection (f). (f) The officers and employees referred to in subsections (a), (d), and (e) are—• (1) the President; (2) the Vice President; (3) each officer or employee in the executive branch, including a special Government employee as defined in section 202 of title 18, United States Code, whose position is classified at GS-16 or above of the General Schedule prescribed by section 5332 of title 5, United States Code, or the rate of basic pay for which is fixed (other than under the General Schedule) at a rate equal to or greater than the minimum rate of basic pay fixed for GS-16; each 5 USC 5332 note, member of a uniformed service whose pay grade is at or in excess of 0 - 7 under section 201 of title 37, United States Code; and each officer or employee in any other position determined by the Direc- tor of the Office of Government Ethics to be of equal classification; (4) each employee appointed pursuant to section 3105 of title 5, United States Code; (5) any employee not described in paragraph (3) who is in a position in the executive branch which is excepted from the com- petitive service by reason of being of a confidential or policymak- ing 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 Gov- ernment or the public's confidence in the integrity of the Government; (6) the Postmaster General, the Deputy Postmaster General, each Governor of the Board of Governors of the United States Postal Service and each officer or employee of the United States Postal Service whose basic rate of pay is equal to or greater than the minimum rate of basic pay fixed for GS-16; and (7) the Director of the Office of Government Ethics and each designated agency official. (g) Reasonable extensions of time for filing any report may be Time extensions, granted under procedures prescribed by the Director of the Office of Government Ethics established by title IV of this Act, but the total Post, p. 1862. of such extensions shall not exceed ninety days. CONTENTS o r REPORTS SEC. 202. (a) Each report filed pursuant to section 201(d) shall 5 USC app. include a full and complete statement with respect to the following: (1) (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source
92 STAT. 1838 PUBLIC LAW 95-521—OCT. 26, 1978 (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 $100 or more in value. (B) The source and type of income which consists of dividends, rents, interest, and capital gains, received during the preceding calendar year which exceeds $100 in amount or value, and an indi- cation 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, or (vii) greater than $100,000. (2) (A) The identity of the source and a brief description of any gifts of transportation, lodging, food, or entertainment aggre- gating $250 or more in value received from any source other than a relative of the reporting individual during the preceding cal- endar year, except that any food, lodging, or entertainment received as personal hospitality of any individual need not be reported, and any gift with a fair market value of $35 or less need not be aggregated for purposes of this subparagraph. (B) The identity of the source, a brief description, and the value of all gifts other than transportation, lodging, food, or entertain- ment aggregating $100 or more in value received from any source other than a relative of the reporting individual during the preceding calendar year, except that any gift with a fair market value of $35 or less need not be aggregated for purposes of this subparagraph. A gift need not be so aggregated if, in an unusual case, a publicly available request for a waiver is granted. (C) The identity of the source and a brief description of reimbursements received from any source aggregating $250 or more in value and received during the preceding calendar year. (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 oAved to the reporting individual by a relative or any deposits aggregat- ing $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, sav- ings and loan association, credit union, or similar financial institution. (4) The identity and category of value of the total liabilities owed to any creditor other than a relative which exceed $10,000 at any time during the preceding calendar year, excluding— (A) any mortgage secured by real property which is a personal residence of the reporting individual or his spouse; and (B) any loan secured by a personal motor vehicle, house- hold furniture, or appliances, which loan does not exceed the purchase price of the item which secures it.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1839 With respect to revolving charge accounts, only those with an outstanding liability which exceeds $10,000 as of the close of the preceding calendar year need be reported under this paragraph. (5) Except as provided in this paragraph, a brief description, the date, and category of value of any purchase, sale, or exchange during the preceding calendar year which exceeds $1,000— (A) in real property, other than property used solely as a personal residence of the reporting individual or his spouse; or (B) in stocks, bonds, commodities futures, and other forms of securities. Reporting is not required under this paragraph of any transaction solely by and between the reporting individual, his spouse, or dependent children. (6) (A) The identity of all positions held on or before the date of filing during the current calendar year (and, for the first report filed by an individual, during the two-year period preceding such calendar year) as an officer, director, trustee, partner, proprietor, representative, employee, or consultant of any corporation, com- pany, firm, partnership, or other business enterprise, any nonprofit organization, any labor organization, or any educational or other institution other than the United States. This subparagraph shall not require the reporting of positions held in any religious, social, fraternal, or political entity and positions solely of an honorary nature. (B) If any person, other than the United States Government, paid a nonelected reporting individual compensation in excess of $5,000 in any of the two calendar years prior to the calendar year during which the individual files his first report under this title, the individual shall include in the report— (i) the identity of each source of such compensation; and (ii) a brief description of the nature of the duties per- formed or services rendered by the reporting individual for each such source. The preceding sentence shall not require any individual to include in such report any information which is considered confidential as a result of a privileged relationship, established by law, between such individual and any person nor shall it require an individual to report any information with respect to any person for whom services were provided by any firm or association of which such individual was a member, partner, or employee unless such indi- vidual was directly involved in the provision of such services. (7) A description of the date, parties to, and terms of any agree- ment or arrangement with respect to: (A) future employment; (B) a leave of absence during the period of the reporting indi- vidual's Government service; (C) continuation of payments by a former employer other than the United States Government; and (D) continuing participation in an employee welfare or benefit plan maintained by a former employer. (b) Each report filed pursuant to subsections (a), (b), and (c) of section 201 shall include a full and complete statement with respect to the information required by paragraphs (3), (4), (6), and (7) of subsection (a), as of a date, specified in such report, which shall be not more than thirty-one days prior to the date of filing, and the informa-
92 STAT. 1840 PUBLIC LAW 95-521—OCT. 26, 1978 tion required by paragraph (1) of subsection (a) for the year of filing and the preceding calendar year. (c) In the case of any individual described in section 201(e), any reference to the preceding calendar year shall be considered also to include that part of the calendar year of filing up to the date of the termination of employment. (d) (1) The categories for reporting the amount or value of the items covered in paragraphs (3), (4), and (5) of subsection (a) are as follows: (A) not more than $5,000; (B) greater than $5,000 but not more than $15,000; (C) greater than $15,000 but not more than $50,000; (D) greater than $50,000 but not more than $100,000; (E) greater than $100,000 but not more than $250,000; and (F) greater than $250,000. (2) For the purposes of paragraph (3) of subsection (a) if the current value of an interest in real property (or an interest in a real estate partnership) is not ascertainable without an appraisal, an individual may list (A) the date of purchase and the purchase price of the interest in the real property, or (B) the assessed value of the real property for tax purposes, adjusted to reflect the market value of the property used for the assessment if the assessed value is com- puted at less than 100 percent of such market value, but such indi- vidual shall include in his report a full and complete description of the method used to determine such assessed value, instead of specifying a category of value pursuant to paragraph (1) of this subsection. If the current value of any other item required to be reported under paragraph (3) of subsection (a) is not ascertainable without an appraisal, such individual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partner- ship, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individua,! shall include in his report a full and complete descrip- tion of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of the item used for the assessment if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report. (e) (1) Except as provided in the last sentence of this paragraph, each report required by subsection (a), (b), or (c) shall also contain information listed in paragraphs (1) through (5) of subsection (a) 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, with respect to a spouse or dependent child, all information required to be reported in subsection ( a ) ( 1 ) ( B ) with respect to income derived from any asset held by the spouse or dependent child and reported pursuant to paragraph (3). With respect to earned income, if the spouse is self-employed in business or a profession, only the nature of such business or profession need be reported. (B) In the case of any gift which is not received totally inde- pendent of the spouse's relationship to the reporting individual,
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1841 the identity of the source and a brief description of gifts of trans- portation, lodging, food, or entertainment or a brief description and the value of other gifts. (C) In the case of any reimbursement which is not received totally independent of the spouse's relationship to the reporting individual, the identity of the source and a brief description of the reimbursement. (D) In the case of items described in paragraphs (3) through (5), all information required to be reported under these para- graphs other than items (i) which the reporting individual cer- tifies represent the spouse 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. Each report referred to in subsection (b) of this section shall, with respect to the spouse and dependent child of the reporting individual, only contain information listed in paragraphs (1), (3), and (4) of subsection (a), as specified in this paragraph, (2) No report shall be required with respect to a spouse living sepa- rate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation; or with respect to any income or obligations of an individual arising from the dissolution of his marriage or the permanent separation from his spouse. (f) (1) Except as provided in paragraph (2), each reporting indi- vidual 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 arrange- ment from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, his spouse, or any dependent child. (2) A reporting individual need not report the holdings of or the source of income from any of the holdings of— (A) any qualified blind trust (as defined in paragraph ( 3 ) ) ; or (B) a trust— (i) which was not created directly by such individual, his spouse, or any dependent child, and (ii) the holdings or sources of income of which such indi- vidual, his spouse, and any dependent child have no knowl- edge of, but such individual shall report the category of the amount of income received by him, his spouse, or any dependent child from the trust under subsection ( a ) ( 1 ) ( B ) of this subsection. (3) For purposes of this subsection, the term "qualified blind trust" "Qualified blind includes any trust in which a reporting individual, his spouse, or any trust," dependent child has a beneficial interest in the principal or income, and which meets the following requirements: (A) The trustee of the trust is a financial institution, an attor- ney, a certified public accountant, or a broker, who (in the case of a financial institution or investment company, any officer or employee involved in the management or control ot the trust who)— 39-194 O—80—pt. 2 36 : QL3
92 STAT. 1842 PUBLIC LAW 95-521—OCT. 26, 1978 (i) is independent of and unassociated with any interested party so that the trustee cannot be controlled or influenced in the administration of the trust by any interested party, (ii) is or has not been an employee of any interested party, or any organization affiliated with any interested party and is not a partner of, or involved in any joint venture or other investment with, any interested party, aUvL (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 tnist provides that— (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of his authority and discretion to manage and control the assets of the trust shall not consult or notify any interested party; (ii) the trust shall not contain any asset the holding of which by an interested party is prohibited by any law or regulation; (iii) the trustee shall promptly notify the reporting indi- vidual and his supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000; (iv) the trust tax return shall be prepared by the trustee or his designee, and such return and any information relating thereto (other than the trust income summarized in appro- priate 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 ) ( B ) 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 subse- quently applicable to the reporting individual which prohibits the interested party from holding an asset, which notifica- tion 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
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1843 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, includ- ing obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection. (D) The proposed trust instrument and the proposed trustee is approved by the reporting individual's supervising ethics office. For purposes of this subsection, "interested party" means a reporting Definitions, individual, his spouse, and any dependent child if the reporting indi- vidual, his spouse, or dependent child has a beneficial interest in the : .• principal or income of a qualified blind trust; "broker" has the mean- ing set forth in section 78 of title 15, United States Code; and "super- vising ethics office" means the Office of Government Ethics. (4) (A) An asset placed in a trust by an interested party shall be considered a financial interest of the reporting individual, for the purposes of section 208 of title 18, United States Code, and any other conflict of interest statutes or regulations of the Federal Government, until such time as the reporting individual is notified by the trustee that such asset has been disposed of, or has a value of less than $1,000. (B) The provisions of subparagraph (A) shall not apply with respect to a trust created for the oenefit of a reporting individual appointed to office by the President, by and with the consent of the Senate, or the spouse, dependent child, or minor child of such a person, if— (i) the Director of the Office of Government Ethics, in concur- rence with the Attorney General, finds that— (I) the assets placed in the trust consist of a well-diversi- fied portfolio of readily marketable securities; (II) none of the assets consist of securities of entities hav- ing substantial activities in the area of the reporting indi- vidual's primary area of responsibility; ( I I I ) the trust instrument prohibits the trustee, notwith- standing the provisions of paragraphs (3) (C) (iii) and (iv) of this subsection, from making public or informing any inter- ested party of the sale of any securities; (IV) the trustee is given power of attorney, notwithstand- ing the provisions of paragraph (3)(C)(v) of this subsec- tion, 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 require- ments of this subsection and the trustee of such trust meets the requirements of paragraph (3) ( A ) ; and (ii) the reporting individual (other than an individual who is in such an office at the time of enactment of this Act and has an existing trust which is a good faith attempt to create a blind trust)
92 STAT. 1844 PUBLIC LAW 95-521—OCT. 26, 1978 has informed the Congressional committee considering his nomi- nation at the time his financial disclosure statement is filed with the Committee of his intention to comply with this paragraph. Copy, niing with (5) (A) The reporting individual shall, within thirty days after a ethics office. qualified blind trust is approved by his supervising ethics office, file with such office a copy of— (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary disposition of the trust assets), and (ii) a list of the assets which were transferred to such trust, including the category of value of each asset as determined under subsection (d). Notification. (B) The reporting individual shall, within thirty days of trans- ferring an asset (other than cash) to a previously established qualified blind trust, notify his supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d). Dissolution, (C) Within thirty days of the dissolution of a qualified blind trust, notification and a reporting individual shall— filing. (i) notify his supervising ethics office of such dissolution, and (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (d) of this section of each such asset. Public (D) Documents filed under subparagraphs (A), (B), and (C) of availability. this paragraph and the lists provided by the trustee of assets placed in the trust by an interested party which have been sold shall be made available to the public in the same manner as a report is made avail- able under section 205 and the provisions of that section shall apply. Copy, filing. (E) A copy of each written communication with respect to the trust under paragraph (3) (C) (vi) shall be filed by the person initiating the communication with the reporting individual's supervising ethics office within five days of the date of the communication. (6) (A) A trustee of a qualified blind trust shall not knowingly 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 inter- ested party with respect to such trust, w^hich 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 or negligently (i) solicit or receive any information with respect to a qualified blind trust of which he is an interested party that may not be disclosed under paragraph (3) (C) of this subsection or (ii) fail to file any document required by this subsection. Civil action, (C) (i) The Attorney General may bring a civil action in any appro- penalty. priate 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 $5,000. (ii) The Attorney General may bring a civil action in any appro- priate 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
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1845 against such individual a civil penalty in any amount not to exceed $1,000. (7) Any trust which is in existence prior to the date of the enact- ment of this Act shall be considered a qualified blind trust if— (A) the supervising ethics office determines that the trust was a good faith effort to establish a blind trust; (B) the previous trust instrument is amended or, if such trust instrument does not by its terms permit amendment, all parties to the trust instrument, including the reporting individual and the trustee, agree in writing that the trust shall be administered in accordance with the requirements of paragraph (3) (C) and a trustee is (or has been) appointed who meets the requirements of paragraph ( 3 ) ; and (C) a copy of the trust instrument (except testamentary pro- visions) , a list of the assets previously transferred to the trust by an interested party and the category of value of each such asset at the time it was placed in the trust, and a list of assets previously placed in the trust by an interested party which have been sold is filed and made available to the public as provided under para- graph (5) of this subsection. (g) Political campaign funds, including campaign receipts and expenditures, need not be included in any report filed pursuant to this title. FILING o r REPORTS SEC. 203. (a) Except as otherwise provided in this subsection, the 5 USC app. reports required under this title shall be filed by the reporting individual with the designated agency official at the agency by which he is employed or in which he will serve. The date any report is received (and the date of receipt of any supplemental report) shall be noted on such report by such official. (b) The President and the Vice President shall file reports required under this title with the Director of the Office of Government Ethics. (c) Copies of the reports required to be filed under this title by the Postmaster General, the Deputy Postmaster General, the Gover- nors of the Board of Governors of the United States Postal Service, designated agency officials, candidates for the office of President or Vice President and officers and employees in (and nominees to) offices or positions which require confirmation by the Senate or by both Houses of Congress other than those referred to in subsection (f) shall be transmitted to the Director of the Office of Government Ethics. The Director shall forward a copy of the report of each nominee to the congressional committee considering the nomination. (d) Reports required to be filed under this title by the Director shall be filed in the Office of Government Ethics and, immediately after being filed, shall be made available to the public in accordance with this title. (e) Each individual identified in section 201 (c) shall file the reports required by this title with the Federal Elections Commission. (f) Reports required of members of the uniformed services shall be filed with the Secretary concerned. (g) The Office of Government Ethics shall develop and make avail- able forms for reporting the information required by this title.
92 STAT. 1846 PUBLIC LAW 95-521—OCT. 26, 1978 FAILURE TO FILE OR FALSIFYING REPORTS Civil actions and SEC. 204. (a) The Attorney General may bring a civil action in any penalties. appropriate United States District Court against any individual who 5 use app. Imowingly and willfully falsifies or who knowingly or willfully fails to file or report any,information that such individual is required to report pursuant to section 202. The court in which such action is brought may assess against such individual a civil penalty in any amount, not to exceed $5,000. (b) The head of each agency, each Secretary concerned, or the Direc- tor of the Office of Government Ethics, as the case may be, shall refer to the Attorney General the name of any individual he 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. (c) The President, the Vice President, the Secretary concerned, the head of each agency, and the Civil Service Commission, 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 requir^ to be reported. CUSTODY OF AND PUBLIC ACCESS TO REPORTS 5 use app. SEC. 205. (a) Each agency shall make each report filed with it under this title available to the public in accordance with the provisions of subsection (b) of this section, together with a copy of the official position description of the Government office or position held by the reporting individual involved (if available) which shall be added to such report by such individual's designated agency official or by the Secretary concerned, except that this section does not require public availability of the report filed by any individual in the Central Intelli- gence Agency, the Defense Intelligence Agency, or the National Secu- rity Agency, or any individual engaged in intelligence activities in any agency of the United States, if the President finds that, due to the nature of the office or position occupied by such individual, public disclosure of such report would, by revealing the identity of the indi- vidual or other sensitive information, compromise the national interest of the United States. In addition, such individuals may be authorized, notwithstanding section 204(a), to file such additional reports as are necessary to protect their identity from public disclosure if the Presi- dent first finds that such filing is necessary in the national interest. (b) Each agency shall, within fifteen days after any report is received by the agency under this title, permit inspection of such report by or furnish a copy of such report to any person requesting such inspection or copy. The agency may require a reasonable fee to be paid in any amount which is found necessary to recover the cost of repro- duction 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. Unlawful use of (c) (1) I t shall be unlawful for any person to obtain, or use a reports. report— (A) for any unlawful purpose; (B) for any commercial purpose, other than by news and com- munications media for dissemination to the general public;
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1847 (C) for determining or establishing the credit rating of any individual; or (D) for use, directly or indirectly, in the solicitation of money for any political, charitable, or other purpose. (2) The Attorney General may bring a civil action against any Civil action, person who obtains or uses a report for any purpose prohibited in paragraph (1) of this subsection. The court in which such action is brought may assess against such person a penalty in any amount not to exceed $5,000. Such remedy shall be in addition to any other remedy available under statutory or common law. (d) Any report filed with an agency, or transmitted to the Director of the Office of Government Ethics, pursiiant to this title shall be retained by such agency or the Office of Government Ethics, or both, as the case may be. Such report shall be made available to the public for a period of six years after receipt of the report. After such six-year period the report shall be destroyed unless needed in an ongoing investigation, except that in the case of an individual who filed the report pursuant to section 201 (b) and was not subsequently confirmed by the Senate, or who filed the report pursuant to section 201(c) and was not subsequently elected, such reports shall be destroyed one year after the individual either is no longer under consideration by the Senate or is no longer a candidate for nomination or election to the Office of President or Vice President unless needed in an ongoing investigation. REVIEW o r REPORTS SEC. 206. (a) Each designated agency official or Secretary concerned 5 USC app. shall make provisions to ensure that each report filed with him under this title shall be reviewed within sixty days after the date of such filing, except that the Director of the Office of Government Ethics shall review only those reports transmitted to him under this title within sixty days after the date of transmittal. (b)(1) if after reviewing any report under subsection (a), the Director of the Office of Government Ethics, Secretary concerned, or designated agency official, as the case may be, is of the opinion that on the basis of information contained in such report the individual sub- mitting such report is in compliance with applicable laws and regula- tions, he shall state such opinion on the report, and shall sign such report. (2) If the Director of the Office of Government Ethics, Secretary concerned, or designated agency official, after reviewing any report under subsection (a) — (A) believes additional information is required to be submitted, he shall notify the individual submitting such report what addi- tional information is required and the time by which it must be submitted, or (B) is of the opinion, on the basis of information submitted, that the individual is not in compliance with applicable laws and regulations, he shall notify the individual, afford him a reason- able opportunity for a written or oral response, and after consid- eration of such response, reach an opinion as to whether or not, on the basis of information submitted, the individual is in com- pliance with such laws and regulations. (3) If the Director of the Office of Government Ethics, Secretary concerned, or designated agency official reaches an opinion under para-
92 STAT. 1848 PUBLIC LAW 95-521—OCT. 26, 1978 graph (2) (B) that an individual is not in compliance with applicable laws and regulations, he 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 his opinion be appropriate for assuring compliance with such laws and regulations and the date by which such steps should be taken. Such steps may include, as appropriate— (A) divestiture, (B) restitution, (C) the establishment of a blind trust, (D) request for an exemption under section 208 (b) of title 18, United States Code, or (E) voluntary request for transfer, reassignment, limitation of duties, or resignation. The use of any such steps shall be in accordance with such regulations as the Director of the Office of Government Ethics or a Secretary concerned, as the case may be, may prescribe. (4) If steps for assuring compliance with applicable laws and reg- ulations are not taken by the date set under paragraph (3) by an individual in a position (other than in the uniformed services), appointment to which requires the advice and consent of the Senate, the matter shall be referred to the President for appropriate action. (5) If steps for assuring compliance with applicable laws and reg- ulations are not taken by the date set under paragraph (3) by a member of the uniformed services, the Secretary concerned shall take appropriate action. (6) If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by any other officer or employee the matter shall be referred to the head of the appropriate agency for appropriate action; except that in the case of the Postmaster General or Deputy Postmaster General, the Director of the Office of Government Ethics shall recommend to the Governors of the Board of Governors of the United States Postal Service the action to be taken. (7) For purposes of assisting employees in avoiding situations in which they would not be in compliance with applicable laws and regulations, each Secretary concerned and designated agency official (including the President m the case of the individuals employed in the Executive Office of the President) shall maintain a list of those circumstances or situations which have resulted or may result in non- compliance with such laws or regulations. Such list shall be periodi- cally published, and shall be furnished to those individuals employed within the agency who are required to file reports under this title. The absence of any situation or circumstance from such a list shall not be construed as an indication that an individual in such circumstance or situation would be in compliance with such laws or regulations. (8) The preceding provisions of this subsection shall not apply in the case of the President or Vice President, or a candidate or nominee for such office. ADDITIONAL REQUIREMENTS Confidential SEC. 207. (a) The President may require officers and employees in reports. the executive branch (including the United States Postal Service and 5 use app. members of the uniformed services) not covered by this title to submit confidential reports in such form as is required by this title. Subsections
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1849 (a), (b), and (d) of section 205 shall not apply with respect to any such report. (b) The Director of the Office of Government Ethics may by rule require disclosure in the reports filed pursuant to subsections (a) and (c) of section 202, of gifts received by a dependent child of a reporting individual if the information required to be disclosed does not exceed that which must be reported by a spouse of a reporting individual under this title. (c) The provisions of this title requiring the reporting of informa- tion shall supersede any general requirement under any other provi- sion of law or regulation with respect to the reporting of information required for purposes of preventing conflicts of interest or apparent conflicts of interest. Such provisions of this title shall not supersede the requirements of section 7342 of title 5, United States Code. (d) Nothing in this Act requiring reporting of information shall be deemed to authorize the receipt of income, gifts, or reimbursements; the holding of assets, liabilities, or positions; or the participation in transactions that are prohibited by law, Executive order, or regulation. AUTHORITY OP COMPTROLLER GENERAL SEC. 208. The Comptroller General shall have access to financial 5 USC app. disclosure reports filed under this title for the purposes of carrying out his statutory responsibilities. DEFINITIONS SEC. 209. For the purposes of this title, the term— 5 USC app. (1) "income" means all income from whatever source derived, including but not limited to the following items: compensation for services, including fees, commissions, and similar items; net and gross income derived from business; gains derived from deal- ings m property; interest; rents; royalties; dividends; annuities; income from life insurance and endowment contracts; pensions; income from discharge of indebtedness; distributive share of part- nership income; and income from an interest in an estate or trust; (2) "relative" means an individual who is related to the report- ing individual, as father, mother, son, daughter, brother, sister, uncle, aunt, great aunt, great uncle, first cousin, nephew, niece, husband, wife, grandfather, grandmother, grandson granddaugh- ter, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, step- daughter, stepbrother, stepsister, half brother, half sister, or who is the grandfather or grandmother of the spouse of the reporting individualj and shall be deemed to include the fiance or fiancee of the reporting individual; (3) "gift" means a payment, advance, forbearance, rendering, or deposit of money, or any thing of value, unless consideration of equal or greater value is received by the donor, but does not include— (A) bequest and other forms of inheritance; (B) suitable mementos of a function honoring the report- ing individual; (C) food, lod^ng, transportation, and entertainment pro- vided by a foreign government within a foreign country or by the United States Government;
92 STAT. 1850 PUBLIC LAW 95-521—OCT. 26, 1978 ( P ) food and beverages consumed at banquets, receptions, or similar events; or (E) communications to the offices of a reporting individ- ual including subscriptions to newspapers and periodicals: (4) "honoraria^' has the meaning given such term in the Federal 2 use 431 note. Election Campaign Act of 1971. (5) "value" means a good faith estimate of the dollar value if the exact value is neimer known nor easily obtainable by the reporting individual; (6) "personal hospitality of any individual" means hospitality extended for a nonbusiness purpose by an individual, not a corpo- ration or organization, at the personal residence of that individual or his family or on property or facilities owned by that individual or his family; (7) "dependent child" means, when used with respect to any reporting individual, any individual who is a son, daughter, step- son, or stepdaughter and who— (A) is unmarried and under age 21 and is living in the household of such reporting individual; or (B) is a dependent of such reporting individual within the 26 use 152. meaning of section 152 of the Internal Revenue Code of 1954; (8) "reimbursement" means any payment or other thing of value received by the reporting individual, other than gifts, to cover travel-related expenses of such individual other than those which are— (A) provided by the United States Government; (B) required to be reported by the reporting individual under section 7342 of title 5, United States Code; or (C) required to be reported under section 304 of the Fed- eral Election Campaign Act of 1971 (2 U.S.C. 434) ; (9) "Secretary concerned" has the meaning set forth in section 101(8) of title 10, United States Code, and, in addition, means— (A) the Secretary of Commerce, with respect to matters concerning the National Oceanic and Atmospheric Adminis- tration ; and (B) the Secretary of Health, Education, and Welfare, with respect to matters concerning the Public Health Service; and (10) ''designated agency official" means an officer or employee who is designated to administer the provisions of this title within an agency. OUTSIDE EARNED INCOME 5 use app. SEC. 210. Except where the employee's agency or department shall have more restrictive limitations on outside earned income, all employees covered by this title who are compensated at a pay grade 5 use 5332 note, in the General Schedule of grade 16 or above and who occupy non- judicial full-time positions appointment to which is required to be made by the President, by and with the advice and consent of the Senate, may not have in any calendar year outside earned income attributable to such calendar year which is in excess of 15 percent of their salary. EFFECTIVE DATE 5 use app. SEC. 211. The provisions made by this title shall take effect on January 1,1979, and the reports filed under section 201(d) on May 15, 1979, shall include information for calendar year 1978.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1851 T I T L E I I I — J U D I C I A L PEKSONNEL FINANCIAL DISCLOSUEE REQUIREMENTS PERSONS REQUIRED TO F I L E SEC. 301. (a) Within thirty days of assuming the position of a 28 USC app. judicial employee, an individual shall file a report containing the information described in section 302 (b). (b) Within five days of the transmittal by the President to the Senate of the nomination of an individual to be a judicial officer, such individual shall file a report containing the information described in section 302(b). Nothing in this Act shall prevent any Congressional committee from requestmg, as a condition of confirmation, any additional financial information from any Presidential nominee whose nomination has been referred to that committee. (c) Any individual who is a judicial officer or employee during any calendar year and performs the duties of his position or office for a period in excess of sixty days in that calendar year shall file on or before May 15 of the succeeding year a report containing the information described in section 302(a). (d) Any individual who occupies a position as a judicial officer or employee shall on or before the thirtieth day after termination of employment in such position, file a report containing the information described in section 302(a) covering the preceding calendar year if the report required by subsection (c) of this subsection has not been filed and covering the portion of that calendar year up to the date the individual left such office or position, unless such individual has accepted employment in another position as a judicial officer or employee. (e) Reasonable extensions of time for filing any report may be granted under procedures prescribed by the Judicial Ethics Committee established pursuant to section 303(a) of this title (hereinafter in this title referred to as the "Committee"), but the total of such extensions shall not exceed ninety days. CONTENTS o r REPORTS SEC. 302. (a) Each report filed pursuant to section 301(c) shall 28 USC app. include a full and complete statement with respect to the following: (1) (A) The source, type, and amount or value of income (other than income referred to in subparagraph (B)) from any source (other than from current employment by the United States Government), and the source, date, and amount of honoraria from any source, received during the preceding calendar year, aggregat- ing $100 or more in value. (B) The source and type of income which consists of dividends, rent, interest, and capital gains received during the preceding calendar year which exceeds $100 in amount or value, and an indi- cation 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 $16,000, (v) greater than $15,000 but not more than $50,000,
92 STAT. 1852 PUBLIC LAW 95-521—OCT. 26, 1978 (vi) greater than $50,000 but not more than $100,000, or (vii) greater than $100,000. (2) (A) The identity of the source and a brief description of any gifts of transportation, lodging, food, or entertainment aggregating $250 or more in value received from any source other -', than a relative of the reporting individual during the preceding calendar year, except that any food, lodging, or entertainment received as personal hospitality of any individual need not be reported, and any gift with a fair market value of $o5 or less need not be aggregated for purposes of this subparagraph. (B) The identity of the source, a brief description, and the value of all gifts other than transportation, lodging, food, or entertainment aggregating $100 or more in value received from any source other than a relative of the reporting individual during the preceding calendar year, except that any gift with a fair market value of $35 or less need not be aggregated for purposes of this subparagraph. A gift need not be so aggregated if, in an unusual case, a publicly available request for a waiver is granted. (C) The identity of the source and a brief description of reimbursements received from any source aggregating $250 or more in value and received during the preceding calendar year. (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 relative or any deposits • aggregating $5,000 or less in a personal savings account. For purposes of this paragraph, a personal savings account shall include any certificate of deposit or any other form of deposit in a bank, savings and loan association, credit union, or similar financial institution. (4) The identity and category of value of the total liabilities owed to any creditor other than a relative which exceed $10,000 at any time during the preceding calendar year, excluding— (A) any mortgage secured by real property which is a personal ,, J A residence of the reporting individual or his spouse; and (B) any loan secured by a personal motor vehicle, household furniture, or appliances, which loan does not exceed the purchase price of the item which secures it. With respect to revolving charge accounts, only those with an out- standing liability which exceeds $10,000 as of the close of the preced- ing calendar year need be reported under this paragraph. (5) Except as provided in this paragraph, a brief description, the date, and category of value of any purchase, sale, or exchange during the preceding calendar year which exce''ds $1,000— (A) in real property, other than property used solely as a personal residence of the reporting individual or his spouse; or (B) in stocks, bonds, commodities futures, and other forms of securities. Reporting is not required under this paragraph of any transactions solely by and between the reporting individual, his spouse, or depend- ent children. (6) The identity of all positions held on or before the date of filing during the current calendar year as an officer, director, trustee, part-
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1853 ner, proprietor, representative, employee, or consultant of any cor- poration, company, firm, partnership, or other business enterprise, any nonprofit organization, any labor organization, or any educa- tional or other institution other than the United States. This para- graph shall not require the reporting of positions held in any religious, social, fraternal, or political entity and positions solely of an honorary nature. (7) A description of the date, parties to, and terms of any agreement or arrangement with respect to: (A) future employment; (B) a leave of absence during the period of the reporting individual's Government service; (C) continuation of payments by a former employer other than the United States Government; and (D) continuing participa- tion in an employee welfare or benefit plan maintained by a former employer. (b) Each report filed pursuant to subsections (a) and (b) of section 301 shall include a full and complete statement with respect to the information required by paragraphs (3), (4), (6), and (7) of sub- section (a), as of a date, specified in such report, which shall be not more than thirty-one days prior to the date of filing, and the informa- tion required by paragraph (1) of subsection (a) for the year of filing and the preceding calendar year. (c) In the case of any individual described in section 301(d) of this title, any reference to the preceding calendar year shall be considered also to include that part of the calendar year of filing up to the date of the termination of employment. (d)(1) The categories for reporting the amount or value of the items covered in paragraphs (3), (4), and (5) of subsection (a) are as follows: (A) not more than $5,000; (B) greater than $5,000 but not more than $15,000; (C) greater than $15,000 but not more than $50,000; (D) greater than $50,000 but not more than $100,000; (E) greater than $100,000 but not more than $250,000; and ' (F) greater than $250,000. (2) For the purposes of paragraph (3) of subsection (a) if the current value of an interest in real property (or an interest in a real estate partnership) is not ascertainable without an appraisal, an indi- vidual may list (A) the date of purchase and the purchase price of the interest in the real property, or (B) the assessed value of the real property for tax purposes, adjusted to reflect the market value of the property used for the assessment if the assessed value is computed at less than 100 percent of such market value, but such individual shall include in his 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 cur- rent value of any other item required to be reported under para- graph (3) of subsection (a) is not ascertainable without an appraisal, such individual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partnership, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individual shall include in his report a full and complete description of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of
92 STAT. 1854 PUBLIC LAW 95-521—OCT. 26, 1978 tho item used for the assessnieiit if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report. (e) (1) Except as provided in the last sentence of this paragraph, each report required by subsection (a), (b), or (c) shall also contain information listed in paragraphs (1) through (5) of subsection (a) respecting the spouse or dependent child of tlie reporting individual as follows: (A) The source of items of earned income earned by a spouse from any person which exceed $1,000 and, with respect to his spouse or dependent child, all information required to be reported in subsection ( a ) ( 1 ) ( B ) with respect to income derived from any asset held by the spouse or dependent child and reported pursuant to paragraph (3). With respect to earned income, if the spouse is self-employed in business or a profession, only the nature of such business or profession need be reported. .. (B) In the case of any gift which is not received totally inde- pendent of the spouse's relationship to the reporting individual, the identity of the source and a brief description of gifts of trans- portation, lodging, food, or entertainment or the value of other • gifts. (C) In the case of any reimbursement which is not received totally independent of the spouse's relationshij) to the reporting individual, the identity of the source and a brief description of the reimbursement. (D) In the case of items described in paragraphs (3) through (5), all information required to be reported under these para- graphs other than items (i) which the reporting individual certi- fies represent the spouse or dependent child's sole financial interest or responsibility and which the reporting individual has no knowl- edge 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. Each report referred to in subsection (b) of this section shall, with respect to the spouse and dependent child of the reporting individual, only contain information listed in paragraphs (1), (3), and (4) of subsection (a), as specified in this paragraph. (2) No report shall be required with respect to a spouse living sepa- rate and apart from the reporting individual with the intention of terminating the marriage or providing for permanent separation; or with respect to any income or obligations of an individual arising from the dissolution of his marriage or the permanent separation from his spouse. (f) (1) Except as provided in paragraph (2), each reporting individ- ual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this subsection with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, his spouse, or any dependent child. (2) A reporting individual other than a judicial officer of the United States need not report the holdings of or the source of income from any of the holdings of—
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1855 (A) any qualified blind trust (as defined in paragraph ( 3 ) ) ; or (B) a trust— (i) which was not created directly by such individual, his spouse, or any dependent child, and (ii) the holding or sources of income of which such indi- vidual, his spouse, and any dependent child have no knowl- edge of, but such individual shall report the category of the amount of income received by him, his spouse, or any dependent child from the trust under subsection ( a ) ( 1 ) ( B ) of this section. (3) For purposes of this subsection, the term "qualified blind trust" "Qualified blind includes any trust in which a reporting individual, his spouse, or any trust." dependent child has a beneficial interest in the principal or income, and which meets the following requirements: (A) The trustee of the trust is a financial institution, an attor- ney, a certified public accountant, or a broker, who (in the case of a financial institution or investment company, any officer or em- ployee involved in the management or control of the trust who) — (i) is independent of and unassociated with any interested party so that the trustee cannot be controlled or influenced in the administration of the trust by any interested party, (ii) is or has not been an employee of any interested party, or any organization 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. (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 Trust instrument that— (i) except to the extent provided in subparagraph (B) of this paragraph, the trustee in the exercise of his authority and discretion to manage and control the assets of the trust shall not consult or notify any interested party; (ii) the trust shall not contain any asset the holding of which by an interested party is prohibited by any law or regulation; (iii) the trustee shall promptly notify the reporting indi- Notification, vidual and his supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000; (iv) the trust tax return shall be prepared by the trustee or his designee, and such return and any information relating thereto (other than the trust income summarized in appro- priate categories necessary to complete an interested party's tax return), shall not be disclosed to any interested party; (v) an interested part^ 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
92 STAT. 1856 PUBLIC LAW 95-521—OCT. 26, 1978 return required by law or to provide the information required by subsection (a) (1) (B) 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 communica- tion between the trustee and an interested party with respect to the trust unless such communication is in writing and unless it relates only (I) to the general financial 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 ( I I I ) 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, includ- ing obtaining a copy of any trust tax return filed or any information relating thereto except as otherwise provided in this subsection. (D) The proposed trust instrument and the proposed trustee is approved by the reporting individual's supervising ethics office. "Interested For purposes of this subsection "interested party" means a reporting party." individual, his spouse, and any dependent child if the reporting indi- vidual, his spouse, or dependent child has a beneficial interest in the principal or income of a qualified blind trust; "broker" has the mean- ing set forth in section 78 of title 15, United States Code; and "super- vising ethics office" means the Judicial Ethics Committee. (4) An asset placed in a trust by an interested party shall be con- sidered a financial interest of the reporting individual, for the purpose of section 208 of title 28, United States Code, and any other conflict of interest statutes or regulations of the Federal Government, 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) (A) The reporting individual shall, within thirty days after a qualified blind trust is approved by his supervising ethics office, file with such office a copy of— (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary disposition of the trust assets), and (ii) a list of the assets which were transferred to such trust, including the category of vahie of each asset as determined under subsection (d). Notification. (B) The reporting individual shall, within thirty da^s of trans- ferring an asset (other than cash) to a previously established quali- fied blind trust, notify his supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (d). (C) Within thirty days of the dissolution of a qualified blind trust, a reporting individual shall—
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1857 (i) notify his supervising ethics office of such dissolution, and (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (d) of this section of each such asset. (D) Documents filed under subparagraphs (A), (B), and (C) of this paragraph and the lists provided by the trustee of assets placed in the trust by an interested party which have been sold shall be made available to the public in the same manner as a report is made available :• under section 305 and the provisions of that section shall apply. (E) A copy of each written communication with respect to the trust under paragraph (3) (C) (vi) shall be filed by the person ini- tiating the communication with the reporting individual's supervising ethics office within five days of the date of the communication. (6) (A) A trustee of a qualified blind trust shall not knowingly 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 inter- ested party with respect to such trust, which solicitation is prohibited by paragraph (3) of this subsection or the trust agreement; or (vi) fail to file any document required by this subsection. (B) A reporting individual shall not knowingly or negligently (i) solicit or receive any information with respect to a qualified blind trust of which he is an interested party that may not be disclosed under paragraph (3)(C), of this subsection or (ii) fail to file any document required by this subsection. (C) (i) The Attorney General may bring a civil action in any Civil action, 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 Penalty, brought may assess against such individual a civil penalty in any amount not to exceed $5,000. (ii) The Attorney General may bring a civil action in any appro- priate 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 $1,000. (7) Any trust which is in existence prior to the date of the enact- ment of this Act shall be considered a qualified blind trust if— ] (A) the supervising ethics office determines that the trust was a good faith effort to establish a blind trust; (B) the previous trust instrument is amended or, if such trust '". \ .; instrument does not by its terms permit amendment, all parties to the trust instrument, including the reporting individual and the trustee, agree in writing that the trust shall be administered in accordance with the requirements of paragraph (3) (C) and a trustee is (or has been) appointed who meets the requirements of paragraph (3); and (C) a copy of the trust instrument (except testamentary provisions), a list of the assets previously transferred to the trust by an interested party and the category of value of each such asset at the time it was placed in the trust, and a list of assets previously placed in the trust by an interested party which 39-194 O—80—pt. 2 37 : QL3
92 STAT. 1858 PUBLIC LAW 95-521—OCT. 26, 1978 have been sold is filed and made available to the public as pro- vided under paragraph (5) of this subsection, (g) Political campaign funds, including campaign receipts and expenditures, need not be included in any report filed pursuant to this title. F I L I N G OF REPORTS Judicial Ethics SEC. 303. (a) The Judicial Conference of the United States shall Committee. establish a Judicial Ethics Committee which shall be responsible for 28 u s e app. developing the forms for reporting the information required by this title and for receiving and making available, in accordance with the provisions of this title, the reports described in section 301. (b) Each judicial officer and judicial employee shall file the report required by this title with the Committee and shall file a copy of such report as a public document with the clerk of the court on which he sits or serves. (c) In the performance of its functions under this title, the Com- mittee, with the approval of the Judicial Conference of the United States, shall— (1) develop the necessary forms and promulgate such rules and regulations as may be necessary; (2) monitor and investigate compliance with the requirements of this title; (3) provide for the availability of reports as required by section 305; (4) conduct, or cause to be conducted, the reviews required by section 306 ; (5) cooperate with the Attorney General in enforcing the requirements of this title; Legislative (6) submit to the Congress and the President recommendations recommendations for legislative revision of this title; to G)ngress and (7) perform such other functions as may be assigned by the the President. Judicial Conference of the United States. Regulation. (d) The Committee shall, within one hundred and twenty days after the date of enactment of this Act, develop and, with the approval of the Judicial Conference of the United States, promulgate a regulation establishing a method or methods for readily determining, without the necessity for expert appraisal, the fair market value of assets required to be disclosed by this title. . ^ FAILURE TO FILE OR FALSIFYING REPORTS Gvil action. SEC. 304. (a) The Attorney General may bring a civil action in any 28 use app. appropriate United States District Court against any individual who knowingly and willfully falsifies or who knowingly or willfully fails to file or report any information that such individual is required to report pursuant to section 302. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000. (b) The Committee shall refer to the Attorney General the name of any individual the Committee has reasonable cause to believe has willfully failed to file a report or has willfully falsified or failed to file information required to be reported.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1859 CUSTODY OF AND PUBLIC ACCESS TO REPORTS SEC. 305. (a) The Committee shall make each report filed with it 28 USC app. under this title available to the public in accordance with subsection (b) of this section. (b) The Committee shall, within fifteen days after any report is Inspection or received by the Committee under this title, permit inspection by or copies of reportji. furnish a copy of such report to any person requesting such inspection or copy. The Committee may require the requesting person to pay a Fees, reasonable fee 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. (c) (1) It shall be unlawful for any person to obtain or use a report— Unlawful uses of (A) for any unlawful purpose; reports. (B) for any commercial purpose other than by news and com- munications media for dissemination to the general public; (C) for determining or establishing the credit rating of any individual; or (D) for use, directly or indirectly, in the solicitation of money , for any political, charitable, or other purpose. (2) The Attorney General may bring a civil action against any Gvil action, person who obtains or uses a report for any purpose prohibited in paragraph (1). The court in which such action is brought may assess Penalty, against such person a penalty in any amount not to exceed $5,000. Such remedy shall be in addition to any other remedy available under statutory or common law. (d) Any report received by the Committee shall be held in its custody and be made available to the public for a period of six years after receipt of the report. After such six-year period the report shall be destroyed unless needed in an ongoing investigation, except that in the case of an individual who filed the report pursuant to section 301 (b) and was not subsequently confirmed by the Senate, such reports shall be destroyed one year after the individual is no longer under consideration by the Senate unless needed in an ongoing investigation. COMPLIANCE PROCEDURES S E C 306. (a) The Committee shall establish procedures for the Reviews, review of reports filed with it under this title to determine whether the 28 USC app. reports are filed in a timely manner, are complete, and are in proper form. In the event a determination is made that a report is not so filed, the Committee shall so inform the reporting individual and direct him to take all necessary corrective action. (b) Such procedures shall include provisions for conducting a review each year of financial statements filed in that year by judicial officers and employees to determine whether such statements reveal possible violations of applicable conflict of interest laws or regulations and recommending appropriate action to correct any conflict of inter- est or ethical problems revealed by such review.
92 STAT. 1860 PUBLIC LAW 95-521—OCT. 26, 1978 ADDITIONAL REQUIREMENTS 28 use app. SEC. 307. (a) Nothing in this title shall be construed to prevent the Committee, with the approval of the Judicial Conference of the United States, from requiring officers or employees of the judicial branch not covered by this title to submit confidential fuiancial .s« statements. (b) The Committee, with the approval of the Judicial Conference, may require disclosure, in the reports filed pursuant to subsections (a) and (c) of section 302, of gifts received by a dependent child of a reporting individual if the information required to be disclosed does not exceed that which must be reported by a spouse of a reporting individual under this title. (c) Nothing in this Act requiring reporting of information shall be deemed to authorize the receipt of income, gifts, or reimbursements: is r^i-jt the holding of assets, liabilities, or positions; or the participation in .:i:; transactions that are prohibited by law or regulation. (d) The provisions of this title requiring the reporting of informa- tion shall not supersede the requirements of section 7342 of title 5, United States Code. DEFINITIONS r ; ; 28 use app. SEC. 308. For the purposes of this title, the term— (1) "income" means all income from whatever source derived, including but not limited to the following items: compensation . y|?,,j,/T for services, including fees, commissions, and similar items; net and gross income ^ r i v e d from business; gains derived from dealings in property; interest; rents; royalties; dividends; annuities; income from life insurance and endowment contracts; pensions; income from discharge of indebtedness; distributive share of partnership income; and income from an interest in an estate or trust; (2) "relative" means an individual who is related to the reporting individual, as father, mother, son, daughter, brother, sister, uncle, aunt, great aunt, great uncle, first cousin, nephew, niece, husband, wife, grandfather, grandmother, grandson, granddaughter, father-in-law, mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law, stepfather, step- mother, stepson, stepdaughter, stepbrother, stepsister, half brother, half sister, or who is the grandfather or grandmother of ,^,-h the spouse of the reporting individual, and shall be deemed to in- i, . < elude the fiance or fiancee of the reporting individual; (3) "gift" means a payment, advance, forebearance, render- ing, or deposit of money, or any thing of value, unless considera- tion of equal or greater value is received by the donor, but does not include— (A) bequest and other forms of inheritance; 1 (B) suitable mementos of a function honoring the report- j ing individual; (C) food, lodging, transportation, and entertainment 1-* iu j provided by a foreign government within a foreign coun- try or by the United States Government; (D) food and beverages consumed at banquets, recep- tions, or similar events; or
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1861 (E) communications to the offices of a reporting individ- ual including subscriptions to newspapers and periodicals; (4) "honoraria" has the meaning given such term in the Federal Election Campaign Act of 1971. 2 USC 431. (5) "value" means a good faith estimate of the dollar value ,^„^^ ,,, g if the exact value is neither known nor easily obtainable by the reporting individual; (6) "personal hospitality of any individual" means hospitality extended for a nonbusiness purpose by an individual, not a corporation or organization, at the personal residence of that individual or his family or on property or facilities owned by that individual or his family; (7) "dependent child" means, when used with respect to any reporting individual, any individual who is a son, daughter, step- son, or stepdaughter and who— (A) is unmarried and under age 21 and is living in the household of such reporting individual; or (B) is a dependent of such reporting individual within ,. .. .j« the meaning of section 152 of the Internal Revenue Code of 1954; (8) "reimbursement" means any payment or other thing of value received by the reporting individual, other than gifts, to ' cover travel-related expenses of such individual other than those which are— (A) provided by the United States Government; .l/-; (B) required to be reported by the reporting individual . " under section 7342 of title 5; United States Code; or ^-j-. (C) required to be reported under section 304 of the Federal Election Campaign Act of 1971 (2 U.S.C. 434); (9) "judicial officer" means the Chief Justice of the United States, the Associate Justices of the Supreme Court, and the judges of the United States courts of appeals; United States dis- trict courts, including the district courts in the Canal Zone, Guam, and the Virgin Islands; Court of Claims; Court of Customs and Patent Appeals; Customs Court; courts of the District of Colum- bia and any court created by Act of Congress, the judges of which are entitled to hold office during good behavior; and (10) "judicial employee" means any employee of the judicial branch of the Government who is not a judicial officer and who is authorized to perform adjudicatory functions with respect to proceedings in the judicial branch, or who receives compen- sation at a rate at or in excess of the minimum rate prescribed for grade 16 of the General Schedule under section 5332 of title 5, United States Code. EFFECTIVE DATE ' SEC. 309. This title shall take effect on January 1, 1979, and the 28 USC app. reports filed under section 301(c) on May 15,1979, shall include infor- mation for calendar year 1978. i^
92 STAT. 1862 PUBLIC LAW 95-521—OCT. 26, 1978 T I T L E IV—OFFICE OF GOVEKNMENT E T H I C S OFFICE OF GOVERNMENT ETHICS Establishment. SEC. 401. (a) There is established in the Office of Personnel Man- 5 u s e app. agement an office to be known as the Office of Government Ethics. (b) There shall be at the head of the Office of Government Ethics a Director (hereinafter referred to as the "Director"), who shall be appointed by the President, by and with the advice and consent of the Senate. AUTHORITY AND FUNCTIONS 5 u s e app. SEC. 402. (a) The Director shall provide, under the general super- vision of 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 title 5, United States Code. (b) The responsibilities of the Director shall include— Rules and (1) developing and recommending to the Office of Personnel regulations. Management, in consulation with the Attorney General, rules and regulations, to be promulgated by the President, or the Office of Personnel Management pertaining to conflicts of interest and ethics in the executive branch, including rules and regulations establishing procedures for the filing, review, and public avail- ability of financial statements filed by officers and employees in Ante, p. 1836. the executive branch as required by title I I of this Act; Rules and (2) developing and recommending to the Office of Personnel regulations. Management, in consultation with the Attorney General, rules and regulations to be promulgated by the President or the Office of Personnel Management pertaining to the identification and resolution of conflicts of interest; (3) monitoring and investigating compliance with the public financial disclosure requirements of title I I of this Act by officers and employees of the executive branch and executive agency offi- cials responsible for receiving, reviewing, and making available financial statements filed pursuant to such title; (4) conducting a review of financial statements to determine whether such statements reveal possible violations of applicable conflict of interest laws or regulations and recommending appro- priate action to correct any conflict of interest or ethical problems revealed by such review j (5) monitoring and investigating individual and agency com- pliance with any additional financial reporting and internal review requirements established by law for the executive branch; Rules and (6) interpreting rules and regulations issued by the President regulations, or the Office of Personnel Management governing conflict of inter- interpretation. est and ethical problems and tne filing of financial statements; (7) consulting, when requested, with agency ethics counselors and other responsible officials regarding the resolution of conflict of interest problems in individual cases; Advisory opinion (8) establishing a formal advisory opinion service whereby service. advisory opinions are rendered on matters of general applicability or on important matters of first impression after, to the extent practicable, providing interested parties with an opportunity to transmit written comments with respect to the request for such advisory opinion, and whereby such advisory opinions are com-
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1863 piled, published, and made available to agency ethics counselors and the public; (9) ordering corrective action on the part of agencies and employees which the Director deems necessary; (10) requiring such reports from executive agencies as the Director deems necessary; (11) assisting the Attorney General in evaluating the effec- tiveness of the conflict of interest laws and in recommending appropriate amendments; (12) evaluating, with the assistance of the Attorney General, the need for changes in rules and regulations issued by the Office of Personnel Management and the agencies regarding conflict of interest and ethical problems, with a view toward making such rules and regulations consistent with and an effective supplement to the conflict of interest laws; (13) cooperating with the Attorney General in developing an effective system for reporting allegations of violations of the conflict of interest laws to the Attorney General, as required by section 535 of title 28, United States Code; and (14) providing information on and promoting understanding of ethical standards in executive agencies. (c) In the development of policies, rules, regulations, procedures, and forms to be recommended, authorized, or prescribed by him, the Director shall consult when appropriate with the executive agencies affected and with the Attorney General. (d) Pursuant to the Director's responsibilities under subsection Regulation, (b) (1), the Director shall, within one hundred and twenty days after the date of enactment of this Act, develop and recommend to the Office of Personnel Management, and the Office of Personnel Management shall promulgate a regulation establishing a method for readily deter- mining, without the necessity for expert appraisal, the fair market value of assets required to be disclosed by this title. ADMINISTRATIVE PROVISIONS ^ SEC. 403. Upon the request of the Director, each executive agency 5 USC app. 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 Act; 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 his duties. SEC. 404. In promulgating rules and regulations pertaining to finan- Rules and cial disclosure, conflict of interest, and ethics in the executive branch, regulations, the Office of Personnel Management shall issue rules and regulations ^ ^^^ *PP- in accordance with chapter 5 of title 5, United States Code. Any per- 5 USC 500 et seq. son may seek judicial review of any such rule or regulation. AUTHORIZATION OF APPROPRIATIONS SEC. 405. There are authorized to be appropriated to carry out the 5 USC app. provisions of this title, and for no other purpose— (1) not to exceed $2,000,000 for the fiscal year ending Septem- ber 30,1979; and
92 STAT. 1864 PUBLIC LAW 95-521—OCT. 26, 1978 (2) not to exceed $2,000,000 for each of the four fiscal years thereafter. A N N U A L PAY SEC. 406. Section 5316 of title 5, United States Code, is amended by adding at the end the following new paragraph: "(146) Director of the Office of Government Ethics.". T I T L E V—POST EMPLOYMENT CONFLICT OF I N T E R E S T SEC. 501. (a) Section 207 of title 18, United States Code, is amended to read as follows: "§207. Disqualification of former officers and employees; dis- qualification of partners of current officers and employees "(a) Whoever, having been an officer or employee of the executive branch of the United States Government, of any mdependent agency of the United States, or of the District of Columbia, including a spe- cial Government employee, after his employment has ceased, know- ingly acts as agent or attorney for, or otherwise represents, any other person (except the United States), in any formal or informal appear- ance before, or, with the intent to influence, makes any oral or written communication on behalf of any other person (except the United States) to— "(1) any department, agency, court, court-martial, or any civil, p.ti « a military, or naval commission of the United States or the Dis- trict of Columbia, or any officer or employee thereof, and " (2) in connection with any judicial or other proceeding, appli- cation, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States or the District of Columbia is a party or has a direct and substantial interest, and "(3) in which he participated personally and substantially as ,. - an officer or employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or other- wise, while so employed; or "(b) Whoever, (i) having been so employed, within two years after his employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, any other person (except the United States), in any formal or informal appearance before, or, with the intent to influence, makes any oral or written communication on behalf of any other person (except the United States) to, or (ii) having been so ''' employed and as specified in subsection (d) of this section, within two years after his employment has ceased, knowingly represents or aids, counsels, advises, consults, or assists in representing any other person ' ' '" (except the United States) concerning any formal or informal appear- ance before— "(1) any department, agency, court, court-martial, or any civil, military or naval commission of the United States or the District ris :8'J Z H ®^ Columbia, or any officer or employee thereof, and ' " (2) in connection with any judicial or other proceeding, appli- cation, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties in
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1865 which the United States or the District of Columbia is a party or has a direct and substantial interest, and "(3) which was actually pending under his official responsi- bility as an officer or employee within a period of one year prior to the termination of such responsibility, or in which he partici- pated personally and substantially as an officer or employee; or "(c) Whoever, other than a special Government employee who serves Penalty, for less than sixty days in a given calendar year, having been so employed as specified in subsection (d) of this section, within one year after such employment has ceased, knowingly acts as agent or attorney for, or otherwise represents, anyone other than the United States in any formal or informal appearance before, or, with the intent to influ- ence, makes any oral or written communication on behalf of anyone other than the United States, to— "(1) the department or agency in which he served as an officer or employee, or any officer or employee thereof, and "(2) in connection with any judicial, rulemaking, or other proceeding, application, request for a ruling or other determina- tion, contract, claim, controversy, investigation, charge, accusa- tion, arrest, or other particular matter, and "(3) which is pending before such department or agency or in "^ • which such department or agency has a direct and substantial interest—• shall be fined not more than $10,000 or imprisoned for not more than two years, or both. "(d) Subsection (c) of this section shall apply to a person employed— " (1) at a rate of pay specified in or fixed according to subchap- ter I I of chapter 53 of title 5, United States Code, or a comparable 5 USC 5301. or greater rate of pay under other authority; " (2) in a position for which the basic rat© of pay is equal to or greater than the basic rate of pay for GS-17 of the General Sched- ule prescribed by section 5332 of title 5, United States Code, and who has significant decision-making or supervisory responsibility, as designated by the Director of the Office of Government Ethics, in consultation with the head of the department or agency concerned; "(3) on active duty as a commissioned officer of a uniformed service assigned to a pay grade of 0 - 7 or above as described in section 201 of title 37, United States Code; or "(4) in a position designated by the Director of the Office of Government Ethics. Within twelve months from the date of enactment of this subsection, the Director of the Office of Govern- ment Ethics shall designate positions, which are not included under paragraph (2) of this subsection and which involve signifi- cant decision-making authority, or other duties which are substan- tially similar to those exercised by persons covered by paragraph (2) of this subsection. On an annual basis, the Director shall re- view the positions designated pursuant to this paragraph, making additions and deletions as are necessary to satisfy the purposes of subsection (c). Departments and agencies shall cooperate to the Departments and fullest extent with the Director of the Office of Government Ethics agencies, in exercising his responsibilities under this paragraph. cooperation. "(e) For the purposes of subsection (c), whenever the Director of Rule, the Office of Government Ethics determines that a separate statutoiy
92 STAT. 1866 PUBLIC LAW 95-521—OCT. 26, 1978 agency or bureau within a department or agency exercises functions which are distinct and separate from the remaining functions of the department or agency, the Director shall by rule designate such agency or bureau as a separate department or agency; except that such des- ignation shall not apply to former heads of designated bureaus or agencies, or former officers and employees of the department or agency whose official responsibilities included supervision of said agency or bureau. Consultation. "(f) The prohibitions of subsections (a), (b), and (c) shall not Publication in apply with respect to the making of communications solely for the pur- Federal Register, p^g^ ^^ furnishing scientific or technological information under proce- dures acceptable to the department or agency concerned, or if the head of the department or agency concerned with the particular matter, in consultation with the Director of the Office of Government Ethics, makes a certification, published in the Federal Register^ that the for- mer officer or employee has outstanding qualifications m a scientific, technological, or other technical discipline, and is acting with respect to a particular matter which requires such qualifications, and that the national interest would be served by the participation of the former officer or employee. Penalty. "(g) Whoever, being a partner of an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, acts as agent or attorney for anyone other than the United States before any department, agency, court, court-martial, or any civil, military, or naval commission of the United States or the District of Columbia, or any officer or employee thereof, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, contro- versy, investigation, charge, accusation, arrest, or other particular matter in which the United States or the District of Columbia is a party or has a direct and substantial interest and in which such officer or employee or special Government employee participates or has participated personally and substantially as an officer or employee through decision, approval, disapproval, recommendation, the render- ing of advice, investigation, or otherwise, or which is the subject of his official responsibility, shall be fined not more than $5,000, or imprisoned for not more than one year, or both. "(h) Nothing in this section shall prevent a former officer or employee from giving testimony under oath, or from making state- ments required to be made under penalty of perjury. "(i) The prohibition contained in subsection (c) shall not apply to appearances or communications by a former officer or employee concerning matters of a personal and individual nature, such as per- sonal income taxes or pension benefits; nor shall the prohibition of that subsection prevent a former officer or employee from making or provid- ing a statement, which is based on the former officer's or employee's own special knowledge in the paiticular area that is the subject of the statement, provided that no compensation is thereby received, other than that regularly provided for by law or regulation for witnesses. Notice, hearing "(j) If the head of the department or agency in which the former opportunity. officer or employee served finds, after notice and opportunity for a hearing, that such former officer or employee violated subsection (a), (b), or (c) of this section, such department or agency head may pro- hibit that person from making, on behalf of any other person (except
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1867 the United States), any informal or formal appearance before, or, with the intent to influence, any oral or written communication to, such department or agency on a pending matter of business for a period not to exceed five years, or may take other appropriate disciplinary action. Such disciplinary action shall be subject to review in an appropriate United States district court. No later than six months after the effec- Departments and tive date of this Act, departments and agencies shall, in consultation agencies, with the Director of the Office of Government Ethics, establish proce- consultation. dures to carry out this subsection.". (b) The item relating to section 207 in the table or sections at the beginning of chapter 11 of title 18, United States Code, is amended 18 use 201. to read as follows: "207. Disqualification of former ofl9eers and employees; disqualification of partners of current officers and employees.". APPLICABILITY SEC. 502. The amendments made by section 501 shall not apply to 18 USC 207 note, those individuals who left Government sei-vice prior to the effective date of such amendments or, in the case of individuals who occupied positions designated pursuant to section 207(d) of title 18, United States Code, prior to the effective date of such designation; except that any such individual who returns to Government service on or after the effective date of such amendments or designation shall be thereafter covered by such amendments or designation. EFFECTIVE DATE SEC. 503. The amendments made by section 501 shall become effective 18 USC 207 note, on July 1, 1979. T I T L E VI—AMENDMENTS TO T I T L E 28, UNITED STATES CODE SPECIAL PROSECUTOR SEC. 601. (a) Title 28 of the United States Code is amended by inserting immediately after chapter 37 the following new chapter: 28 USC 581. "Chapter 39.—SPECIAL PROSECUTOR "Sec. "591. Applicability of provisions of this chapter. "592. Application for appointment of a special prosecutor. "593. Duties of the division of the court. "594. Authority and duties of a special prosecutor. "595. Reporting and congressional oversight. "596. Removal of a special prosecutor; termination of office. ' "597. Relationship with Department of Justice. "598. Termination of effect of chapter. **§ 591. Applicability of provisions of this chapter 28 USC 591. "(a) The Attorney General shall conduct an investigation pursuant Investigation, to the provisions of this chapter whenever the Attorney General receives specific information that any of the persons described in sub- section (b) of this section has committed a violation of any Federal criminal law other than a violation constituting a petty offense.
92 STAT. 1868 PUBLIC LAW 95-521—OCT. 26, 1978 "(b) The persons referred to in subsection (a) of this section are— "(1) the President and Vice President; I) any individual "(21 ----- - serving - -in a position listed in section 5312 of title 5; "(3) any individual working in the Executive Office of the President and compensated at a rate not less than the annual rate of basic pay provided for level IV of the Executive Schedule under section 5315 of title 5; "(4) any individual working in the Department of Justice and compensated at a rate not less than the annual rate of basic pay provided for level I I I of the Executive Schedule under section 5314 of title 5, any Assistant Attorney General, the Director of Central Intelligence, the Deputy Director of Central Intelligence, and the Commissioner of Internal Revenue; " (5) any individual who held any office or position described in any of paragraphs (1) through (4) of this subsection during the incumbency of the President or during the period the last pre- .sJoK V01» OrfU K> ceding President held office, if such preceding President was of the same political party as the incumbent President; and "(6) any officer of the principal national campaign committee seeking the election or reelection of the President. 28 use 592. "§ 592. Application for appointment of a special prosecutor Preliminary "(a) The Attorney General, upon receiving specific information investigation. that any of the persons described in section 591(b) of this title has engaged in conduct described in section 591(a) of this title, shall conduct, for a period not to exceed ninety days, such preliminary investigation of the matter as the Attorney General deems appropriate. Notification. "(b) (1) If the Attorney General, upon completion of the prelim- inaiT investigation, finds that the matter is so unsubstantiated that no further investigation or prosecution is warranted, the Attorney General shall so notify the division of the court specified in section 593(a) of this title, and the division of the court shall have no power to appoint a special prosecutor. "(2) Such notification shall be by memorandum containing a sum- mary of the information received and a summary of the results of any preliminary investigation. J He "(3) Such memorandum shall not be revealed to any individual outside the division of the court or the Department of Justice without leave of the division of the court. "(c) (1) If the Attorney General, upon completion of the prelim- inary investigation, finds that the matter warrants further investiga- tion or prosecution, or if ninety days elapse from the receipt of the information without a determination by the Attorney General that the matter is so unsubstantiated as not to warrant further investigation or prosecution, then the Attorney General shall apply to the division of the court for the appointment of a special prosecutor. "(2)If— " (A) after the filing of a memorandum under subsection (b) of this section, the Attorney General receives additional specific information about the matter to which such memorandum related, and " ( B ) the Attorney General determines, after such additional investigation as the Attorney General deems appropriate, that such information warrants further investigation or prosecution, then the Attorney General shall, not later than ninety days after
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1869 receiving such additional information, apply to the division of the court for the appointment of a special prosecutor. "(d) (1) Any application under this chapter shall contain sufficient information to assist the division of the court to select a special prose- cutor and to define that special prosecutor's prosecutorial jurisdiction. "(2) No application or any other documents, materials, or memoran- dums supplied to the division of the court under this chapter shall be revealed to any individual outside the division of the court or the Department of Justice without leave of the division of the court. "(e) The Attorney General may ask a special prosecutor to accept referral of a matter that relates to a matter within that special prose- cutor's prosecutorial jurisdiction. "(f) The Attorney General's determination under subsection (c) of this section to apply to the division of the court for the appointment of a special prosecutor shall not be reviewable in any court. "§ 593. Duties of the division of the court 28 use 593. "(a) The division of the court to which this chapter refers is the division established under seel ion 49 of this title. "(b) Upon receipt of an application under section 592(c) of this Appointment, title, the division of the court shall appoint an appropriate special prosecutor and shall define that special prosecutor's prosecutorial jurisdiction, A special prosecu or's identity and prosecutorial jurisdic- tion shall be made public upon request of the Attorney General or upon a determination of the division of the court that disclosure of the identity and prosecutorial jurisdiction of such special prosecutor would be in the best interests of justice. In any event the identity and prosecutorial jurisdiction of such prosecutor shall be made public when any indictment is returned or any criminal information is filed. "(c) The division of the court, upon request of the Attorney Gen- eral which may be incorporated in an application under this chapter, may expand the prosecutorial jurisdiction of an existing special prose- cutor, and such expansion may be in lieu of the appointment of an additional special prosecutor. "(d) The division of the court may not appoint as a special prose- cutor any person who holds or recently held any office of profit or ' ' trust under the United States. "(e) If a vacancy in office arises by reason of the resignation or Vacancy, death of a special prosecutor, the division of the court may appoint a special prosecutor to complete the work of the special prosecutor whose resignation or death caused the vacancy. If a vacancy in office arises by reason of the removal of a special prosecutor, the division of the court may appoint an acting special prosecutor to serve until any judicial review of such removal is completed. Upon the completion of ' such judicial review, the division of the court shall take appropriate action. "§ 594. Authority and duties of a special prosecutor 28 USC 594. " (a) Notwithstanding any other provision of law, a special prosecu- tor appointed under this chapter shall have, with respect to all matters in such special prosecutor's prosecutorial jurisdiction established under this chapter, full power and independent authority to exercise all investigative and prosecutorial functions and powers of the Depart- ment of Justice, the Attorney General, and any other officer or employee of the Department of Justice, except that the Attorney General shall exercise direction or control as to those matters that
92 STAT. 1870 PUBLIC LAW 95-521—OCT. 26, 1978 specifically require the Attorney General's personal action under sec- tion 2516 of title 18. Such investigative and prosecutorial functions and powers shall include— "(1) conducting proceedings before grand juries and other investigations; "(2) participating in court proceedings and engaging in any litigation, including civil and criminal matters, that such special prosecutor deems necessary; " (3) appealing any decision of a court in any case or proceeding in which such special prosecutor participates in an official capacity; "(4) reviewing all documentary evidence available from any source; "(5) determining whether to contest the assertion of any testimonial privilege; "(6) receiving appropriate national security clearances and, if necessary, contesting in court (including, where appropriate, participating in in camera proceedings) any claim of privilege or attempt to withhold evidence on grounds of national security: "(7) making applications to any Federal court for a grant of immunity to any witness, consistent with applicable statutory requirements, or for warrants, subpenas, or other court orders, and, for purposes of sections 6003, 6004, and 6005 of title 18, exercising the authority vested in a United States attorney or the Attorney General; "(8) inspecting, obtaining, or using the original or a copy of any tax return, m accordance with the applicable statutes and regulations, and, for purposes of section 6103 of the Internal Revenue Code of 1954, and the regulations issued thereunder, exer- cising the powers vested in a United States attorney or the Attor- ney General; and "(9) initiating and conducting prosecutions in any court of competent jurisdiction, framing and signing indictments, filing informations, and handling all aspects of any case in the name of the United States. Compensation. "(b) A special prosecutor appointed under this chapter shall receive compensation at a per diem rate equal to the annual rate of basic pay for level IV of the Executive Schedule under section 5315 of title 5. Employees, "(c) For the purposes of carrying out the duties of the office of appointment. special prosecutor, a special prosecutor shall have power to appoint, fix the compensation, and assign the duties, of such employees as such special prosecutor deems necessary (including investigators, attorneys, and part-time consultants). The positions of all such employees are Compensation. exempted from the competitive service. No such employee mav be compensated at a rate exceeding the maximum rate provided for GS-18 of the General Schedule under section 5382 of title 5. Assistance. "(d) A special prosecutor may request assistance from the Depart- ment of Justice, and the Department of Justice shall provide that assistance, which may include access to any records, files, or other materials relevant to matters within such special prosecutor's prose- cutorial jurisdiction, and the use of the resources and personnel necessary to perform such special prosecutor's duties. "(e) A special prosecutor may ask the Attorney General or the division of the court to refer matters related to the special prosecutor^s prosecutorial jurisdiction. A special prosecutor may accept referral
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1871 of a matter by the Attorney General, if the matter relates to a matter within such special prosecutor's prosecutorial jurisdiction as estab- lished by the division of the court. If such a referral is accepted, the Notification, special prosecutor shall notify the division of the court. "(f) A special prosecutor shall, to the extent that such special prosecutor deems appropriate, comply with the written policies of the Department of Justice respecting enforcement of the criminal laws. "§ 595. Reporting and congressional oversight 28 USC 595. "(a) A special prosecutor appointed under this chapter may make public from time to time, and shall send to the Congress statements or reports on the activities of such special prosecutor. These state- ments and reports shall contain such information as such special prose- cutor deems appropriate. "(b) (1) In addition to any reports made under subsection (a) of this section, and before the termination of a special prosecutor's office under section 596(b) of this title, such special prosecutor shall submit to the division of the court a report under this subsection. "(2) A report under this subsection shall set forth fully and com- Report contents, pletely a description of the work of the special prosecutor, including the disposition of all cases brought, and the reasons for not prosecuting any matter within the prosecutorial jurisdiction of such special prose- cutor which was not prosecuted. "(3) The division of the court may release to the Congress, the public, or to any appropriate person, such portions of a report made under this subsection as the division deems appropriate. The division of the court shall make such orders as are appropriate to protect the rights of any individual named in such report and to prevent undue interference with any pending prosecution. The division of the court may make any portion of a report under this section available to any individual named in such report for the purposes of receiving within a time limit set by the division of the court any comments or factual information that such individual may submit. Such comments and ? factual information, in whole or in part, may in the discretion of such division be included as an appendix to such report. "(c) A special prosecutor shall advise the House of Representatives of any substantial and credible information which such special prose- cutor receives that may constitute grounds for an impeachment. Nothing in this chapter or section 49 of this title shall prevent the Congress or either House thereof from obtaining information in the course of an impeachment proceeding. "(d) The appropriate committees of the Congress shall have over- Oversight sight jurisdiction with respect to the official conduct of any special jurisdiction, prosecutor appointed under this chapter, and such special prosecutor shall have the duty to cooperate with the exercise of such oversight jurisdiction. "(e) A majority of majority party members or a majority of all non- majority party members of the Committee on the Judiciary of either House of the Congress may request in writing that the Attorney Gen- eral apply for the appointment of a special prosecutor. Not later than Written thirty days after the receipt of such a request, or not later than fifteen notification, days after the completion of a preliminary investigation of the matter with respect to which the request is made, whichever is later, the Attor- ney General shall provide written notification of any action the Attor- ney General has taken in response to such request and, if no application
92 STAT. 1872 PUBLIC LAW 95-521—OCT. 26, 1978 has been made to the division of the court, why such application was not made. Such written notification shall be provided to the committee • ih: on which the persons making the request serve, and shall not be revealed to any third party, except that the committee may, either on its own initiative or upon the request of the Attorney General, make public such portion or portions of such notification as will not in the committee's judgment prejudice the rights of any individual. 28 use 596. "§596. Removal of a special prosecutor; termination of office " "(a) (1) A special prosecutor appointed under this chapter may be removed from office, other than by impeachment and conviction, only by the personal action of the Attorney General and only for extraor- dinary impropriety, physical disability, mental incapacity, or any other condition that substantially impairs the performance of such special prosecutor's duties. Report, submittal "(2) If a special prosecutor is removed from office, the Attorney to congressional General shall promptly submit to the division of the court and the committees. Committees on the Judiciary of the Senate and the House of Represent- atives a report specifying the facts found and the ultimate grounds for such removal. The committees shall make available to the public such report, except that each committee may, if necessary to protect the rights of any individual named in the report or to prevent undue interference with any pending prosecution, delete or postpone pub- lishing any or all of the report. The division of the court may release any or all of such report in the same manner as a report released under section 595(b) (3) of this title and under the same limitations as apply to the release of a report under that section. Judicial review. "(3) A special prosecutor so removed may obtain judicial review of the removal in a civil action commenced before the division of the court and, if such removal was based on error of law or fact, may obtain reinstatement or other appropriate relief. The division of the court shall cause such an action to be in every way expedited. Notification. "(b)(1) An office of special prosecutor shall terminate when (A) the special prosecutor notifies the Attorney General that the investigation of all matters within the prosecutorial jurisdiction of such special prosecutor or accepted by such special prosecutor under section 594 (e) of this title, and any resulting prosecutions, have been completed or so substantially completed that it would be appropriate for the Department of Justice to complete such investigations and prosecu- tions and (B) the special prosecutor files a report in full compliance with section 595 (b) of this title. ..\, ^ "(2) The division of the court, either on its own motion or upon . . ; suggestion of the Attorney General, may terminate an office of special prosecutor at any time, on the ground that the investigation of all matters within the prosecutorial jurisdiction of the special prose- cutor or accepted by such special prosecutor under section 594(e) of this title, and any resulting prosecutions, have been completed or so substantially completed that it would be appropriate for the Depart- ment of Justice to complete such investigations and prosecutions. At the time of termination, the special prosecutor shall file the report required by section 595 (b) of this title. 28 use 597. «§ 597. Relationship with Department of Justice "(a) Whenever a matter is in the prosecutorial jurisdiction of a special prosecutor or has been accepted by a special prosecutor under section 594(e) of this title, the Department of Justice, the Attorney
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1873 General, and all other officers and employees of the Department of Justice shall suspend all investigations and proceedings regarding such matter, except to the extent required by section 594(d) of this title, and except insofar as such special prosecutor agrees in writing that such investigation or proceedmgs may be continued by the Department of Justice. "(b) Nothing in this chapter shall prevent the Attorney General or the Solicitor General from making a presentation as amicus curiae to any court as to issues of law raised by any case or proceeding in which a special prosecutor participates in an official capacity or any appeal of such a case or proceeding. "§598. Termination of effect of chapter 28 use 598. "This chapter shall cease to have effect five years after the date of the enactment of this chapter, except that this chapter shall continue in effect with respect to then pending matters before a special prosecutor that in the judgment of such special prosecutor require such continua- tion until that special prosecutor determines such matters have been completed.". (b) Tlie tables of chapters for title 28 of the United States Code and for part I I of such title 28 are each amended by inserting immedi- ately after the item relating to chapter 37 the following new item: "39. Special prosecutor.". (c) There are authorized to be appropriated for each fiscal year such Appropriation sums as may be necessary, to be held by the Department of Justice as a authorization. contingent fund for the use of any special prosecutors appointed under 28 u s e 591 note. chapter 39 (relating to special prosecutor) of title 28 of the United States Code in the carrying out of functions under such chapter. ASSIGNMENT OF JUDGES TO OrVTSION TO APPOINT SPECIAL PROSECUTORS SEC. 602. (a) Chapter 3 of title 28 of the United States Code is amended by adding at the end the following: **§ 49. Assignment of judges to division to appoint special pros- 28 use 49. ecutors " (a) Beginning with the two-year period commencing on the date of the enactment of this section, three judges or justices shall be assigned for each successive two-year period to a division of the United States Court of Appeals for the District of Columbia to be the division of the court for the purpose of appointing special prosecutors. "(b) Except as provided under subsection (f) of this section, assign- ment to such division of the court shall not he a bar to other judicial assignments during the term of such division. " (c) In assigning judges or justices to sit on such division of the Priority, court, priority shall be given to senior circuit judges and retired justices. "(d) The Chief Justice of the United States shall designate and assign three circuit court judges or justices, one of whom shall be a judge of the United States Court of Appeals for the District of Columbia, to such division of the court. Not more than one judge or justice or senior or retired judge or justice may be named to such division from a particular court. "(e) Any vacancy in such division of the court shall be filled only Vacancy. for the remainder of the two-year period in which such vacancy 39-194 O—80—pt. 2 38 : QL3
92 STAT. 1874 PUBLIC LAW 95-521—OCT. 26, 1978 occurs and in the same manner as initial assignments to such division were made. "(f) Except as otherwise provided in chapter 39 of this title, no member of such division of the court who participated in a function conferred on the division under chapter 39 of this title involving a special prosecutor shall be eligible to participate in any judicial pro- ceeding concerning a matter which involves such special prosecutor while such special prosecutor is serving in that office or which involves the exercise of such special prosecutor's official duties, regardless of whether such special prosecutor is still serving in that office.". (b) The table of sections for chapter 3 of title 28 of the United States ,,,, , . Code is amended by adding at the end the following item: "49. Assignment of judges to division to appoint special prosecutors.". -i DISQUALIFICATION OF OFFICERS AND EMPLOYEES OF T H E DEPARTMENT OF J U S T I C E AND A N N U A L REPORT OF ATTORNEY GENERAL SEC. 603. (a) Chapter 31 of title 28 of the United States Code is amended by adding at the end the following: 28 use 528. **§ 528. Disqualification of officers and employees of the Depart- ment of Justice Rules and "The Attorney General shall promulgate rules and regulations which regulations. require the disqualification of any officer or employee of the Depart- ment of Justice, including a United States attorney or a member of such attorney's staff, from participation in a particular investigation or prosecution if such participation may result in a personal, finan- cial, or political conflict of interest, or the appearance thereof. Such rules and regulations may provide that a willful violation of any provision thereof shall result in removal from office. 28 use 529. "§ 529. Annual report of Attorney General Report to "Beginning on June 1, 1979, and at the beginning of each regular eongress. session of Congress thereafter, the Attorney General shall report to Congress on the activities and operations of the Public Integrity Section or any other unit of the Department of Justice designated to supervise the investigation and prosecution of— "(1) any violation of Federal criminal law by any individual who holds or who at the time of such violation held a position, whether or not elective, as a Federal Government officer, employee, or special employee, if such violation relates directly or indirectly to such individual's Federal Government position, employment, or compensation; "(2) any violation of any Federal criminal law relating to _, ,, lobbying, conflict of interest, campaigns, and election to public office committed by any person, except insofar as such violation relates to a matter involving discrimination or intimidation on grounds of race, color, religion, or national origin; "(3) any violation of Federal criminal law by any individual who holds or who at the time of such violation held a position, whether or not elective, as a State or local government officer or employee, if such violation relates directly or indirectly to such individual's State or local government position, employment, or , , .J compensation; and "(4) such other matters as the Attorney General may deem appropriate.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1875 Such report shall include the number, type, and disposition of all investigations and prosecutions supervised by such Section or such unit, except that such report shall not disclose information which would interfere with any pending investigation or prosecution or which would improperly infringe upon the privacy rights of any individuals.". (b) The table of sections for chapter 31 of title 28 of the United States Code is amended by adding at the end of the following: "528. Disqualification of oflScers and employees of the Department of Justice. "529. Annual report of Attorney General.". EFFECTIVE DATE SEC. 604. Except as provided in this section, the amendments made 28 u s e 591 note. by this title shall take effect on the date of the enactment of this Act. The provisions of chapter 39 of title 28 of the United States Code, as added by section 601 of this Act, shall not apply to specific informa- tion received by the Attorney General pursuant to section 591 of such title 28, if the Attorney General determines that— (1) such specific information is directly related to a prosecu- tion pending at the time such specific information is received by the Attorney General; (2) such specific information is related to a matter which has been presented to a grand jury and is received by the Attorney General within one hundred and eighty days of the date of the enactment of this Act; or (3) such specific information is related to an investigation that is pending at the time such specific information is received by the Attorney General, and such specific information is received by the Attorney General within ninety days of the date of the enactment of this Act. T I T L E VII—SENATE LEGAL COUNSEL ESTABLISHMENT OF OFFICE OF SENATE LEGAL COUNSEL SEC. 701. (a) (1) There is established, as an office of the Senate, the 2 USC 288. Office of Senate Legal Counsel (hereinafter referred to as the "Office"), which shall be headed by a Senate Legal Counsel^ (hereinafter referred to as the "Counsel"); and there shall he a Deputy Senate Legal Coun- sel (hereinafter referred to as the "Deputy Couhsel") who shall per- form such duties as may be assigned to him by the Counsel and who, during any absence, disability, or vacancy in the position of the Counsel, shall serve as Acting Senate Legal (Jounsel. (2) The Counsel and the Deputy Counsel each shall be appointed Counsel and by the President pro tempore of the Senate from among recommenda- Deputy Counsell, tions submitted by the majority and minority leaders of the Senate, appointment. Any appointment made under this paragraph shall be made without regard to political affiliation and solely on the basis of fitness to per- form the duties of the position. Any person appointed as Counsel or Deputy Counsel shall be learned in the law, a member of the bar of a State or the District of Columbia, and shall not engage in any other business, vocation, or employment during the term of such appointment. (3) (A) Any appointment made under paragraph (2) shall become Appointment, effective upon approval by resolution of the Senate. The Counsel Senate approval.
92 STAT. 1876 PUBLIC LAW 95-521—OCT. 26, 1978 and the Deputy Counsel shall each be appointed for a term of service ; which shall expire at the end of the Congress following the Congress '^ during which the Counsel or Deputy Counsel, respectively, is appointed except that the Senate may, by resolution, remove either the Counsel or the Deputy Counsel prior to the termination of any term Reappointment. of service. The Counsel and the Deputy Counsel may be reappointed at the termination of any term of service. (B) The first Counsel and the first Deputy Counsel shall be appointed, approved, and begin service within ninety days after the effective date of this title, and thereafter the Counsel and Deputy Counsel shall be appointed, approved, and begin service within thirty days after the beginning of the session of the Congress immediately ^. ^ . following the termination of a Counsel's or Deputy Counsel's term of service or within sixty days after a vacancy occurs in either position. Compensation. (4) The Counsel shall receive compensation at a rate equal to the annual rate of basic pay for level III of the Executive Schedule under section 5314 of title 5 of the United States Code. The Deputy Counsel shall receive compensation at a rate equal to the annual rate of basic pay for level IV of the Executive Schedule under section 5315 of title 5 of the United States Code. Assistant Senate (b) (1) The Counsel shall select and fix the compensation of such Legal Counsels, Assistant Senate Legal Counsels (hereinafter referred to as "Assist- compensation. ant Counsels") and of such other personnel, within the limits of avail- able funds, as may be necessary to carry out the provisions of this title and may prescribe the duties and responsibilities of such person- nel. The compensation fixed for each Assistant Counsel shall not be in excess of a rate equal to the annual rate of basic pay for level V of the Executive Schedule under section 5316 of title 5 of the United States Code. Any selection made under this paragraph shall be made without regard to political affiliation and solely on the basis of fitness to per- form the duties of the position. Any individual selected as an Assist- ant Counsel shall be learned in the law, a member of the bar of a State or the District of Columbia, and shall not engage in any other business, Removal. vocation, or employment during his term of service. The Counsel may remove any individual appointed under this paragraph. (2) For purposes of pay (other than the rate of pay of the Counsel .sm and Deputy Counsel) and employment benefits, right, and privileges, all personnel of the Office shall be treated as employees of the Senate. (c) In carrying out the functions of the Office, the Counsel may procure the temporary (not to exceed one year) or intermittent serv- ices of individual consultants (including outside counsel), or orga- nizations thereof, in the same manner and under the same conditions as a standing committee of the Senate may procure such services under section 202(i) of the Legislative Reorganization Act of 1946 (2 U.S.C.Y2a(i)). (d) The Counsel may establish such policies and procedures as may be necessary to carry out the provisions of this title. (e) The counsel may delegate authority for the performance of any fimction imposed by this title except any function imposed upon the Counsel under section 706 (b) of this title. Attorney-client (f) The Counsel and other employees of the Office shall niaintain relationship. the attorney-client relationship with respect to all communications between them and any Member, officer, or employee of the Senate.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1877 ACCOUNTABILITY OF OFFICE SEC. 702. (a) The Office shall be directly accountable to the Joint 2 use 288a. Leadership Group in the performance of the duties of the Office. (b) For purposes of this title, the Joint Leadership Group shall Membership, consist of the following Members: (1) The President pro tempore (or if he so designates, the Deputy President pro tempore) of the Senate. (2^ The majority and minority leaders of the Senate. (3) The Chairman and ranking minority Member of the Com- mittee on the Judiciary of the Senate. (4) The Chairman and ranking minority Member of the com- mittee of the Senate which has jurisdiction over the contingent fund of the Senate. (c) The Joint Leadership Group shall be assisted in the perform- ance of its duties by the Secretary of the Senate. REQUIREMENTS TOR AUTHORIZING REPRESENTATION ACTIYITT SEC. 703. (a) The Counsel shall defend the Senate or a committee, 2 USC 288b. subcommittee, Member, officer, or employee of the Senate under section 704 only when directed to do so by two-thirds of the Members of the Joint Leadership Group or by the adoption of a resolution by the Senate. (b) The Counsel shall bring a civil action to enforce a subpena of Civil action, the Senate or a committee or subcommittee of the Senate under section 705 only when directed to do so by the adoption of a resolution by the Senate. (c) The Counsel shall intervene or appear as amicus curiae under section 706 only when directed to do so by a resolution adopted by the Senate when such intervention or appearance is to be made in the name of the Senate or in the name of an officer, committee, subcommittee, or chairman of a committee or subcommittee of the Senate. (d) The Counsel shall serve as the duly authorized representative in obtaining an order granting immunity under section 707 of— (1) the Senate when directed to do so by an affirmative vote of a majority of the Members present of the Senate; or (2) a committee or subcommittee of the Senate when directed to do so by an affirmative vote of two-thirds of the members of the full committee. (e) The Office shall make no recommendation with respect to the consideration of a resolution under this section. DEFENDING T H E SENATE, A COMMITTEE, SUBCOMMITTEE, MEMBER, OFFICER, OR EMPLOYEE OF T H E SENATE SEC. 704. (a) Except as otherwise provided in subsection (b), when 2 USC 288c. directed to do so pursuant to section 703 (a), the Counsel shall— (1) defend the Senate, a committee, subcommittee. Member, officer, or employee of the Senate in any civil action pending in any 1 court of the United States or of a State or political subdivision f. thereof, in which the Senate, such committee, subcommittee, Member, officer, or employee is made a party defendant and in which there is placed in issue the validity of any proceeding of, i or action, including issuance of any subpena or order, taken by
92 STAT. 1878 PUBLIC LAW 95-521—OCT. 26, 1978 the Senate, or such committee, subcommittee, Member, officer, or ^ ' •;• .. --'.l . employee in its or his official or representative capacity; or (2) defend the Senate or a committee, subcommittee, Member, ;, 's.-^-i -!,.¥ officer, or employee of the Senate in any proceeding with respect to any subpena or order directed to the Senate or such committee, subcommittee. Member, officer, or employee in its or his official or representative capacity, (b) Kepresentation of a Member, officer, or employee under subsec- tion (a) shall be undertaken by the Counsel only upon the consent of such Member, officer, or employee. I N S T I T U T I N G A CIVIL ACTION TO ENFORCE A SUBPENA 2 use 288d. SEC. 705. (a) When directed to do so pursuant to section 703(b), the Counsel shall bring a civil action under any statute conferring juris- diction on any court of the United States (including section 1364 of title 28 of the United States Code, as added by subsection (f) (1) of this section), to enforce, to secure a declaratory judgment concerning dClfe , , the validity of, or to prevent a threatened failure or refusal to comply with, any subpena or order issued by the Senate or a committee or a subcommittee of the Senate authorized to issue a subpena or order. (b) Any directive to the Counsel to bring a civil action pursuant to subsection (a) of this section in the name of a committee or subcommit- n »]-<a ; tee of the Senate shall, for such committee or subcommittee, constitute authorization to bring such action within the meaning of any statute conferring jurisdiction on any court of the United States. (c) It shall not be in order in the Senate to consider a resolution to direct the Counsel to bring a civil action pursuant to subsection (a) in the name of a committee or subcommittee unless— (1) such resolution is reported by a majority of the members voting, a majority being present, of such committee or committee of which such subcommittee is a subcommittee, and (2) the report filed by such committee or committee of which such subcommittee is a subcommittee contains a statement of— ,^ J,., ,^„ (A^ the procedure followed in issuing such subpena; (B) the extent to which the party subpenaed has complied with such subpena; (C) any objections or privileges raised by the subpenaed party; and .3 -JI (D) the comparative effectiveness of bringing a civil action under this section, certification of a criminal action for con- tempt of Congress, and initiating a contempt proceeding before the Senate. (d) The provisions of subsection (c) are enacted— (1) as an exercise of the rulemaking power of the Senate, and, fir ' )' i; as such, they shall be considered as part of the rules of the Senate, and such rules shall supersede any other rule of the Senate only to the extent that rule is inconsistent therewith; and (2) with full recognition of the constitutional right of the Senate to change such rules (so far as relating to the procedure in the Senate) at any time, in the same manner, and to the same extent as in the case of any other rule of the Senate. (e) A report filed pursuant to subsection (c) (2) shall not be receiv- able in any court of law to the extent such report is in compliance with such subsection.
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1879 (f) (1) Chapter 35 of title 28 of the United States Code is amended by adding at the end thereof the following new section: "§ 1364. Senate actions 28 USC 1364. " (a) The United States District Court for the District of Columbia Jurisdiction, shall have original jurisdiction, without regard to the amount in controversy, over any civil action brought by the Senate or any authorized committee or subcommittee of the Senate to enforce, to secure a declaratory judgment concerning the validity of, or to prevent a threatened refusal or failure to comply with, any subpena or order issued by the Senate or committee or subcommittee of the Senate to any entity acting or purporting to act under color or authority of State law or to any natural person to secure the production of docu- ments or other materials of any kind or the answering of any depo- sition or interrogatory or to secure testimony or any combination thereof. This section shall not apply to an action to enforce, to secure a declaratory judgment concerning the validity of, or to prevent a threatened refusal to comply with, any subpena or order issued to an officer or employee of the Federal Government acting within his official capacity. "(b) Upon application by the Senate or any authorized committee Application, or subcommittee of the Senate, the district court shall issue an order to an entity or person refusing, or failing to comply with, or threatening to refuse or not to comply with, a subpena or order of the Senate or committee or subcommittee of the Senate requiring such entity or per- son to comply forthwith. Any refusal or failure to obey a lawful order of the district court issued pursuant to this section may be held by such court to be a contempt thereof. A contempt proceeding shall be com- menced by an order to show cause before the court why the entity or person refusing or failing to obey the court order should not be held in contempt of court. Such contempt proceeding shall be tried by the court and shall be summary in manner. The purpose of sanctions imposed as a result of such contempt proceeding shall be to compel obedience to the order of the court. Process in any such action or contempt proceeding may be served in any judicial district wherein the entity or party refus- ing, or failing to comply, or threatening to refuse or not to com- ply, resides, transacts business, or may be found, and subpenas for witnesses who are required to attend such proceeding may run into any other district. Nothing in this section shall confer upon such court jurisdiction to affect by injunction or otherwise the issuance or effect of any subpena or order of the Senate or any committee or subcommittee of the Senate or to review, modify, suspend, terminate, or set aside any such subpena or order. An action, contempt proceeding, or sanc- tion brought or imposed pursuant to this section shall not abate upon adjournment sine die by the Senate at the end of a Congress if the Senate or the committee or subcommittee of the Senate which issued the subpena or order certifies to the court that it maintains its interest in securing the documents, answers, or testimony during such adjournment. "(c) In any civil action or contempt proceeding brought pursuant to this section, the court shall assign the action or proceeding for hearing at the earliest practicable date and cause the action or proceed- ing in every way to be expedited. Any appeal or petition for review from any order or judgment in such action or proceeding shall be expedited in the same manner.
92 STAT. 1880 PUBLIC LAW 95-521—OCT. 26, 1978 "(d) The Senate or anjr committee or subcommittee of the Senate commencing and prosecuting a civil action or contempt proceeding under this section majr be represented in such action by such attorneys as the Senate may designate. " (e) A civil action commenced or prosecuted under this section, may not be authorized pursuant to the Standing Order of the Senate 'authorizing suits by Senate Committees' (S. Jour. 572, May 28,1928). 'Committee." " (f) For the purposes of this section the term 'committee' includes standing, select, or special committees of the Senate established by law or resolution.". (2) The table of sections of such chapter 85 is amended by adding at the end thereof the following new item : "1364. Senate actions." 2 u s e 288d. (g) Nothing in this section shall limit the discretion of— (1) the President pro tempore of the Senate in certifying to the United States Attorney for the District of Columbia any matter pursuant to section 104 of the Revised Statutes (2 U.S.C. 194); or (2) the Senate to hold any individual or entity in contempt of the Senate. INTERVENTIOISr OR APPEARANCE 2 u s e 288e. SEC. 706. (a) When directed to do so pursuant to section 703(c), the Counsel shall intervene or appear as amicus curiae in the name of the Senate, or in the name of an officer, committee, subcommittee, or chair- man of a committee or subcommittee of the Senate in any legal action or proceeding pending in any court of the United States or of a State or political subdivision thereof in which the powers and responsibilities of Congress under the Constitution of the United States are placed in issue. The Counsel shall be authorized to intervene only if standing to intervene exists under section 2 of article I I I of the Constitution of u s e prec. title 1. the United States. Notification. (b) The Counsel shall notify the Joint Leadership Group of any legal action or proceeding in which the Counsel is of the opinion that intervention or appearance as amicus curiae under subsection (a) is in the interest of the Senate. Such notification shall contain a description of the legal action or proceeding together with the reasons that the Counsel is of the opinion that intervention or appearance as amicus Publication in curiae is in the interest of the Senate. The Joint leadership Group Congressional shall cause said notification to be published in the Congressional Record. Record for the Senate. (c) The Counsel shall limit any intervention or appearance as ami- cus curiae in an action or proceeding to issues relating to the powers and responsibilities of Congress. IMMUNITY PROCEEDINGS 2 use 288f. SEC. 707. When directed to do so pursuant to section 703(d), the Counsel shall serve as the duly authorized representative of the Senate or a committee or subcommittee of the Senate in requesting a United States district court to issue an order granting immunity pursuant to section 201(a) of the Organized Crime Control Act of 1970 (18 U.S.C. 6005). ADVISORY AND OTHER FUNCTIONS 2 use 288g. SEC. 708. (a) The Counsel shall advise, consult, and cooperate with— (1) the United States Attorney for the District of Columbia
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1881 with respect to any criminal proceeding for contempt of Congress certified by the President pro tempore of the Senate pursuant to section 104 of the Revised Statutes (2 U.S.C. 194); (2) the committee of the Senate with the responsibility to iden- tify any court proceeding or action which is of vital interest to the Senate; (3) the Comptroller General, the General Accounting Office, the Office of Legislative Counsel of the Senate, and the Congres- sional Research Service, except that none of the responsibilities and authority assigned by this title to the Counsel shall be con- strued to affect or infringe upon any functions, powei-s, or duties of the aforementioned; (4) any Member, officer, or employee of the Senate not repre- sented under section 704 with regard to obtaining private legal counsel for such Member, officer, or employee; (5) the President pro tempore of the Senate, the Secretary of ; Senate, the Sergeant-at-Arms of the Senate, and the Parliamen- tarian of the Senate, regarding any subpena, order, or request for withdrawal of papers presented to the Senate which raises a ques- tion of the privileges of the Senate; and (6) any committee or subcommittee of the Senate in promulgat- ing and revising their rules and procedures for the use of congres- sional investigative powers and with respect to questions which may arise in the course of any investigation. (b) The Counsel shall compile and maintain legal research files of Legal research materials from court proceedings which have involved Congress, a files, compilation House of Congress, an office or agency of Congress, or any committee, and maintenance. subcommittee, Member, officer, or employee of Congress. Public court papers and other research memoranda which do not contain informa- tion of a confidential or privileged nature shall be made available to the public consistent with any applicable procedures set forth in such rules of the Senate as may apply and the interests of the Senate. (c) The Counsel shall perform such other duties consistent with the purposes and limitations of this title as the Senate may direct. DEFENSE OF CERTAIN CONSTITUTIONAIi POWERS SEC. 709. In performing any function under this title, the Counsel 2 USC 288h. shall defend vigorously when placed in issue— (1) the constitutional privilege from arrest or from being ques- tioned in any other place for any speech or debate under section 6 of article I of the Constitution of the United States; ' (2) the constitutional power of the Senate to be judge of the elections, returns, and qualifications of its own Members and to punish or expel a Member under section 5 of article I of the Con- stitution of the United States; (3) the constitutional power of the Senate to except from pub- lication such parts of its journal as in its judgment may require ; secrecy; < (4) the constitutional power of the Senate to determine the rules of its proceedings; ) (5) the constitutional power of Congress to make all laws as shall be necessary and proper for carrying into execution the con- stitutional powers of Congress and all other powers vested by the I Constitution in the Government of the United States, or in any i department or office thereof;
92 STAT. 1882 PUBLIC LAW 95-521—OCT. 26, 1978 (6) all other constitutional powers and responsibilities of the Senate or of Congress; and (7) the constitutionality of Acts and joint resolutions of the Congress. CONFLICT OR INCONSISTENCY Notification. SEC. 710. (a) In the carrying out of the provisions of this title, the 2 use 288i. Counsel shall notify the Joint Leadership Group, and any party rep- resented or person affected, of the existence and nature of any conflict or inconsistency between the representation of such party or person and the carrying out of any other provision of this title or compliance with professional standards and responsibilities. (b) Upon receipt of such notification, the members of the Joint Leadership Group shall recommend the action to be taken to avoid or resolve the conflict or inconsistency. If such recommendation is made by a two-thirds vote, the Counsel shall take such steps as may be neces- Publication in sary to resolve the conflict or inconsistency as recommended. If not, the Congressional members of the Joint Leadership Group shall cause the notification of Record. conflict or inconsistency and recommendation with respect to resolu- tion thereof to be published in the Congressional Record of the Senate. If the Senate does not direct the Counsel within fifteen days from the date of publication in the Record to resolve the conflict in another manner, the Counsel shall take such action as may be necessary to resolve the conflict or inconsistency as recommended. Any instruction or determination made pursuant to this subsection shall not be review- able in any court of law. (c) For purposes of the computation of the fifteen day period in subsection (b) — (1) continuity of session is broken only by an adjournment of , > Congress sine die; and (2) the days on which the Senate is not in session because of an adjournment of more than three days to a date certain are excluded. Reimbursement. (d) The Senate may by resolution authorize the reimbursement of any Member, officer, or employee of the Senate who is not represented by the Counsel for fees and costs, including attorneys' fees, reasonably incurred in obtaining representation. Such reimbursement shall be from funds appropriated to the contingent fund of the Senate. PROCEDURE FOR CONSIDERATION OF RESOLUTIONS TO DIRECT T H E COUNSEL 2 use 288j. SEC. 711. (a) (1) A resolution introduced pursuant to section 703 shall not be referred to a committee, except as otherwise required under section 705(c). Upon introduction, or upon being reported if required under section 705(c), whichever is later, it shan at any time thereafter be in order (even though a previous motion to the same effect has been disagreed to) to move to proceed to the consideration of such resolution. A motion to proceed to the consideration of a resolution shall be highly privileged and not debatable. An amendment to such motion shall not be in order, and it shall not be in order to move to reconsider the vote by which such motion is agreed to. (2) With respect to a resolution pursuant to section 703(a), the following rules apply: (A) If the motion to proceed to the consideration of the resolu- tion is agreed to, debate thereon shall be limited to not more than ten hours, which shall be divided equally between, and
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1883 controlled by, those favoring and those opposing the resolution. A motion further to limit debate shall not be debatable. No amendment to the resolution shall be in order. No motion to recommit the resolution shall be in order, and it shall not be in order to reconsider the vote by which the resolution is agreed to. (B) Motions to postpone, made with respect to the considera- tion of the resolution, and motions to proceed to the consideration of other business, shall be decided without debate. (C) All appeals from the decisions of the Chair relating to the application of the rules of the Senate to the procedure relat- ing to the resolution shall be decided without debate. (b) For purposes of this title, other than section 703, the term "Committee.' "committee" includes standing, select, and special committees of the Senate established by law or resolution. (c) The provisions of this section are enacted— (1) as an exercise of the rulemaking power of the Senate, and, as such, they shall be considered as part of the rules of the Senate, and such rules shall supersede any other rule of the Senate only to the extent that rule is inconsistent therewith; and (2) with full recognition of the constitutional right of the Senate to change such rules at any time, in the same manner, and to the same extent as in the case of any other rule of the Senate. ATTORNEY GENERAL RELIEVED OF RESPONSIBILITY SEC. 712. (a) Upon receipt of written notice that the Counsel has 2 USC 288k. undertaken, pursuant to section 704(a) of this title, to perform any representational service with respect to any designated party in any action or proceeding pending or to be instituted, the Attorney General shall— (1) be relieved of any responsibility with respect to such rep- resentational service; (2) have no authority to perform such service in such action or proceeding except at the request or with the approval of the Senate; and (3) transfer all materials relevant to the representation authorized under section 704(a) to the Counsel, except that nothing in this subsection shall limit any right of the Attorney General under existing law to intervene or appear as amicus curiae in such action or proceeding. (b) The Attorney General shall notify the Counsel with respect Notification, to any proceeding in which the United States is a party of any deter- mination by the Attorney General or Solicitor General not to appeal any court decision affecting the constitutionality of an Act or joint resolution of Congress within such time as will enable the Senate to direct the Counsel to intervene as a party in such proceeding pursuant to section 706. PROCEDURAL PROVISIONS SEC. 713. (a) Permission to intervene as a party or to appear as 2 USC 288/. amicus curiae under section 706 of this title shall be of right and may be denied by a court only upon an express finding that such inter- vention or appearance is untimely and would significantly delay the pending action or that standing to intervene has not been established
92 STAT. 1884 PUBLIC LAW 95-521—OCT. 26, 1978 under section 2 of article I I I of the Constitution of the United States. (b) The Counsel, the Deputy Counsel, or any designated Assistant Counsel or counsel specially retained by the Office shall be entitled, for the purpose of performing his functions under this title, to enter an appearance in any proceeding before any court of the United States or of a State or political subdivision thereof without compliance with any requirement for admission to practice before such court, except that the authorization conferred by this subsection shall not apply with respect to the admission of any such person to practice before the United States Supreme Court. (c) Nothing in this title shall be construed to confer standing on ' '^ any party seeking to bring, or jurisdiction on any court with respect to, any civil or criminal action against Congress, either House of Congress, a Member of Congress, a committee or subcommittee of a House of Congress, any office or agency of Congress, or any officer or employee of a House of Congress or any office or agency of Congress. . TECHNICAL AND CONFORMING AMENDMENTS SEC. 714. (a) Section 3210 of title 39 of the United States Code, is amended— (1) by striking out "and the Legislative Counsels of the House of Representatives and the Senate" in subsection (b) (1) and inserting in lieu thereof "the Legislative Counsels of the House of Representatives and the Senate, and the Senate Legal Counsel"; (2) by striking out "or the Legislative Counsel of the House of Representatives or the Senate" in subsection (b) (2) and inserting in lieu thereof "the Legislative Counsel of the House of Repre- sentatives or the Senate, or the Senate Legal Counsel". (b) Section 3216 ( a ) ( 1 ) ( A ) of such title is amended by striking out "and the Legislative Counsels of the House of Representatives and the Senate" and inserting in lieu thereof "the Legislative Counsels of the House of Representatives and the Senate, and the Senate Legal Counsel". (c) Section 3219 of such title is amended by striking out "or the Legislative Counsel of the House of Representatives or the Senate" and inserting in lieu thereof "the Legislative Counsel of the House of Representatives or the Senate, or the Senate Legal Counsel". 2 use 118a. (d) Section 8 of the Act entitled "An Act making appropriations for sundry civil expenses of the Government for the fiscal year ending June thirtieth, eighteen hundred and seventy-six, and for other pur- poses," approved March 3, 1875 (2 U.S.C. 118), shall not apply to officers of the Senate. SEPARABILITY 2 use 288 note. SEC. 715. If any part of this title or any amendment made by this title, is held invalid, the remainder of the title and any amendment made by this title shall not be affected thereby. If any provision of any ; « part of this title or of any amendment made by this title, or the applica- tion thereof to any person or circumstance is held invalid, the provi- sions of other parts and of any amendment made by this title and their application to other persons or circumstances shall not be affected thereby. , . , . , , . .
PUBLIC LAW 95-521—OCT. 26, 1978 92 STAT. 1885 CONTINGENT FUND SEC. 716. The expenses of the Office shall be paid from the contingent 2 USC 288in. fund of the Senate in accordance with the paragraph under the head- ing "UNDEE LEGISLATIVE", relating to the contingent fund of the Senate, of the Act of October 1, 1888 (28 Stat. 546; 2 U.S.C. 68), and upon vouchers approved by the Counsel. EFFECTIVE DATE SEC. 717. This title shall take effect on January 3,1979. 2 USC 288 note. Approved October 26, 1978. , LEGISLATIVE HISTORY: HOUSE REPORTS: No. 95-800 accompanying H.R. 1 (Coram, on the Judiciary) and No. 95-1756 (Comm. of Conference). SENATE REPORTS: No. 95-170 (Comm, on Governmental Affairs) and No. 95-273 (Comm. on the Judiciary). CONGRESSIONAL RECORD: Vol. 123 (1977): June 27, considered and passed Senate. Vol. 124 (1978): Sept. 20, 27, H.R. 1 considered and passed House; proceedings vacated and S. 555, amended, passed in lieu. Oct. 7, Senate agreed to conference report. Oct. 12, House agreed to conference report. ! WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS: Vol. 14, No. 43 (1978): Oct. 26, Presidential statement.