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Page:United States Statutes at Large Volume 92 Part 2.djvu/539

 PUBLIC LAW 95-519—OCT. 25, 1978

92 STAT. 1819

Public Law 95-519 95th Congress An Act To clarify the status of certain legislative and judicial oflScers under the provisions of title 5, United States Code, relating to annual and sick leave, and for other purposes.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That section 6301(2) of title 5, United States Code, is amended— (1) by striking out "or" at the end of clause (xi); (2) by striking out the period at the end of clause (xii) and inserting "; or" in lieu thereof; and " (3) by adding at the end thereof the following new clause: "(xiii) an officer in the legislative or judicial branch who is appointed by the President.". SEC. 2. Sections 5551(b), 6302(e), and 6306(b) of title 5, United States Code, are each amended by striking out "section 6301(2)(x) (xii)" each place it appears and inserting "section 6301(2)(x)-(xiii)" in lieu thereof. SEC. 3. Section 8339(m) of title 5, United States Code, is amended by adding at the end thereof the following new sentence: "For the purpose of this subsection, in the case of any such employee who is excepted from subchapter I of chapter 63 of this title under section 6301(2)(x)-(xiii) of this title, the days of unused sick leave to his credit include any unused sick leave standing to his credit when he was excepted from such subchapter.". SEC. 4. (a) The amendments made by the first section and section 2 of this Act shall take eifect beginning on the first day of the first applicable pay period beginning on or after the date of the enactment of this Act. (b) The amendment made by section 3 of this Act shall apply only with respect to employees who retire or die on or after the date of the enactment of this Act. Approved October 25, 1978.

LEGISLATIVE HISTORY: HOUSE REPORT No. 95-1496 (Comm. on Post Office and Civil Service). SENATE REPORT No. 95-403 (Comm. on Governmental Affairs). CONGRESSIONAL RECORD: Vol. 123 (1977): Sept. 9, considered and passed Senate. Vol. 124 (1978): Sept. 18, considered and passed House, amended. Oct. 10, Senate concurred in House amendments.

Oct. 25, 1978 [S. 1626]

Federal employees. Certain legislative and judicial officers, leave status.

Retirement, annuity computation. 5 USC 6301 et seq.

Effective date. 5 USC 5551 note.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/540

 92 STAT. 1820

PUBLIC LAW 95-520—OCT. 26, 1978

Public Law 95-520 95th Congress An Act Oct. 26, 1978 [H.R. 5029]

Veterans' Administration Programs Extension Act of 1978. 38 USC 101 note.

38 USC 632.

38 USC 4118 note.

To amend title 38, United States Code, to extend certain expiring programs of the Veterans' Administration, to extend and improve the program of veterans readjustment appointments in the Federal Government, and for other purposes.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That this Act may be cited as the "Veterans' Administration Programs Extension Act of 1978". SEC. 2. Section 230(b) of title 38, United States Code, relating to the Veterans' Administration office in the Republic of the Philippines, is amended by striking out "June 30, 1978" and inserting m lieu thereof "September 30, 1981". SEC. 3. (a) Section 624(c) of title 38, United States Code, relating to the veterans medical center in the Republic of the Philippines^ is amended by striking out "Veterans Memorial Hospital" and inserting in lieu thereof "Veterans Memorial Medical Center". (b) Section 632 of such title is amended—• (1) by striking out "Veterans Memorial Hospital" each place it appears in such section and inserting in lieu thereof in each such place "Veterans Memorial Medical Center"; (2) in the matter in subsection (a) preceding clause (1) — (A) by striking out "a contract" and inserting in lieu thereof "contracts"; and (B) by striking out "June 30, 1978" and inserting in lieu thereof "September 30, 1981"; (3) by striking out "July 1, 1978" in subsection (b) and inserting in lieu thereof "October 1, 1981"; and (4) by striking out "during the five years beginning July 1, 1973, and ending June 30, 1978—" in subsection (d) and inserting in lieu thereof "occurring during the period beginning July 1, 1973, and ending September 30, 1981—". SEC. 4. Section 6(a)(2) of the Veterans' Administration Physician and Dentist Pay Comparability Act of 1975 (Public Law 94-123; 89 Stat. 669), relating to the expiration of authority to enter into special pay agreements, is amended by striking out "September 30, 1978" and inserting in lieu thereof "September 30, 1981". SEC. 5. Section 601(4)(C) of title 38, United States Code, relating to contract-care medical facilities, is amended by striking out "(v) hospital care" and all that follows through "December 31, 1978" and inserting in lieu thereof "(v) hospital care, or medical services that will obviate the need for hospital admission, for veterans in a State not contiguous to the forty-eight contiguous States, except that the annually determined hospital patient load and incidence of the provision of medical services to veterans hospitalized or treated at the expense of the Veterans' Administration in Government and private facilities in each such noncontiguous State shall be consistent with the patient load or incidence of the provision of medical services for veterans hospitalized or treated by the Veterans' Administration within the forty-eight contiguous States, but the authority of the Administrator under this subclause (except with respect to Alaska and Hawaii) shall

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Page:United States Statutes at Large Volume 92 Part 2.djvu/541

 PUBLIC LAW 95-520—OCT. 26, 1978

92 STAT. 1821

expire on December 31, 1981, and until such date the Administrator may, if necessary to prevent hardship, waive the applicability to the Commonwealth of Puerto Eico and to the Virgin Islands of the restrictions in this subclause with respect to hospital patient loads and incidence of provision of medical services". SEC. 6. (a) Section 2012(b) of title 38, United States Code, relating to veterans' employment emphasis under Federal contracts, is amended by inserting after "veterans" a comma and "or if any veteran who is entitled to disability compensation under the laws administered by the Veterans' Administration believes that any such contractor has discriminated against such veteran because such veteran is a handicapped individual within the meaning of section 7(6) of the Eehabilitation Act of 1973 (29 U.S.C. 706(6))". (b)(1) Subsection (b) of section 2014 of such title, relating to vet- 38 USC 2014 erans readjustment appointments within the Federal Government, is amended to read as follows: "(b)(1) To further the policy stated in subsection (a) of this sec- Vietnam tion, veterans of the Vietnam era shall be eligible, in accordance with veterans. regulations which the Civil Service Commission shall prescribe, for veterans readjustment appointments, and for subsequent career-conditional appointments, under the terms and conditions specified in Execu5 USC 3302 note. tive Order Numbered 11521 (March 26, 1970), except that— "(A) such an appointment may be made up to and including the level GS-7 or its equivalent; "(B) a veteran of the Vietnam era shall be eligible for such an appointment without any time limitation with respect to eligibility for such an appointment; and "(C) a veteran of the Vietnam era who is entitled to disability compensation under the laws administered by the Veterans' Administration or whose discharge or release from active duty was for a disability incurred or aggravated in line of duty shall be eligible for such an appointment without regard to the number of years of education completed by such veteran. "(2) In this subsection, the term 'veteran of the Vietnam era' has the "Veteran of the Vietnam era." meaning given such term in section 2011(2)(A) of this title. "(3) No veterans readjustment appointment may be made under 38 USC 2011. authority of this subsection after September 30, 1981.^'. (2) Subsection (d) of such section is amended (A) by striking out Report. "thereof" in the second sentence and inserting in lieu thereof "of this section", and (B) by adding at the end of such subsection the following new sentence: "Each report under the preceding sentence shall include in the specification of the use and extent of appointments made under subsection (b) of this section the following information (shown for all veterans and separately for veterans described in subsection (b)(1)(C) of this section and other veterans): "(1) The number of appointments made under such subsection since_ the last such report and the grade levels in which such appointments were made. " (2) The number of individuals receiving appointments under such subsection whose appointments were converted to career conditional appointments, or whose employment under such an appointment has terminated, since the last such report, together with a complete listing of categories of causes of appointment terminations and the number of such individuals whose employment has terminated falling into each such category.

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Page:The Folk-Lore Journal Volume 4 1886.djvu/269

Rh Opening lines of a Tinker's song in D'Urfey's Pills to Purge Melancholy (1719), quoted, with the air, in Chappell's National English Airs, No. 166. No. 167 is another Tinker's song, "There was a Jovial Tinker," from the same source. The notes on these songs are interesting: see also that on the Carman's Whistle, No. 231.

I have two Shropshire songs with the refrains—

and

These may be called the ploughman's refrains, but the words have nothing to do with agriculture.

A Shropshire Hunting Song (a doggerel account of a run, 1790-1800) has the refrain—

This had degenerated into a nursery rhyme as early as 1825-1830, at Bury, in Lancashire.

Tee=a cow-tie.

Cush-cow (pronounced cuosh (glossic), the uo like oo in wood) means a hornless cow in some parts of North Shropshire. In the Swaledale dialect, cush is a call-word to cows. In Icelandic, kussa is a cow; kus, a call-word to cows.—See, Shropshire Word-Book, p. 110, s. v. Cush-cow.

"They have a custom in Cheshire, which I well remember witnessing in the parish of Northen, when I was a little boy. A Mrs. Evans,


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Page:United States Statutes at Large Volume 92 Part 2.djvu/542

 92 STAT. 1822

38 USC 2014.

Appropriation authorization.

38 USC 5071.

38 USC 5071, 5091, 5096.

Report to Congress and President. 38 USC 601 note.

Report.

PUBLIC LAW 95-520—OCT. 26, 1978 "(3) The number of such terminations since the last such report that were initiated by the department, agency, or instrumentality involved and the number of such terminations since the last such report that were initiated by the individual involved. "(4) A description of the education and training programs in which individuals appointed under such subsection are participating at the time of such report.-'. (3) Subsection (f) of such section is amended by inserting "subsection (a) of" after "as used in". SEC. 7. Section 5082 of title 38, United States Code, relating to authorizations of appropriations, is amended by adding at the end thereof the following new subsection: "(c) There is authorized to be appropriated for fiscal year 1979 to carry out the programs authorized tmder this chapter such sums as may be necessary (1) to make to institutions with which the Administrator has entered into agreements under subchapter I of this chapter supplemental grants for which the Administrator had, before May 1, 1978, approved applications from such institutions, and (2) to meet fully the commitments made by the Administrator before May 1, 1978, for grants and applications approved under authority of this subchapter and subchapters III and IV of this chapter, except that no funds appropriated under this subsection may be used for grants and applications approved under this subchapter and such subchapters III and IV until the full amounts for which applications had been so approved have been obligated under such subchapter I.". SEC. 8. (a) Not later than February 1, 1980, the Administrator of Veterans' Affairs shall submit a report to the Congress and to the President on the furnishing by the Veterans' Administration of hospital care and medical services in the Commonwealth of Puerto Rico and in the Virgin Islands. The Administrator shall inchide in such report— (1) a comprehensive assessment of the health-care needs of veterans in the Commonwealth of Puerto Rico and in the Virgin Islands; (2) a detailed report on the hospital care and medical services furnished or to be furnished to such veterans during fiscal years 1975 through 1981, with information in such report shown with respect to the number of veterans treated or to be treated, the facilities at which such care and services are furnished or to be furnished, and the extent to which such care and services are furnished or are to be furnished for the treatment of veterans for service-connected disabilities of any degree and of veterans with service-connected disabilities rated at 50 per centum or more; and (3) recommendations as to how the health-care needs of such veterans can best be addressed within the existing authority of the Administrator of Veterans' Affairs and what additional authority, if any, is necessary and desirable to meet such needs. (b) In making recommendations under subsection (a)(3), the Administrator shall take into consideration—• (1) the state of the economy in the Commonwealth of Puerto Rico and in the Virgin Islands; (2) alternative sources of health-care services that would be available to veterans in the Commonwealth of Puerto Rico and in the Virgin Islands if the health-care services furnished by the Veterans' Administration for non-service-connected disabilities were substantially reduced;

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Page:United States Statutes at Large Volume 92 Part 2.djvu/543

 PUBLIC LAW 95-520—OCT. 26, 1978

92 STAT. 1823

(3) the desirability of equitable distribution of Veterans' Administration health-care resources; and (4) the higher priority established by law for the care and treatment of service-connected disabilities. SEC. 9. There is authorized to be appropriated for fiscal year 1979 Appropriation, the sum of $5,000,000 to enable the Administrator of Veterans' Affairs authorization, to implement the Veterans' and Survivors' Pension Improvement Act of 1978. Amounts appropriated pursuant to the preceding sentence shall remain available during the one-year period beginning on the date of the enactment of such Act and may be used to carry out a program of public information and advertising designed to advise fully all persons who may be affected by the provisions of such Act of the provisions of such Act, including the manner in which such Act may affect them and any rights they may have under such Act. Approved October 26, 1978.

LEGISLATIVE HISTORY: HOUSE REPORT No. 95-111 (Comm. on Veterans' Affairs). SENATE REPORT No. 95-825 (Comm. on Veterans' Affairs). CONGRESSIONAL RECORD: VoL 123 (1977): Apr. 4, considered and passed House. Vol. 124 (1978): May 26, considered and passed Senate, amended. Oct. 13, House concurred in Senate amendments with amendments. Oct. 15, Senate concurred in House amendments.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/544

 92 STAT. 1824

PUBLIC LAW 95-521—OCT. 26, 1978

Public Law 95-521 95th Congress An Act Oct. 26, 1978 [S. 555]

Ethics in Government Act of 1978. 2 USC 701 note.

To establish certain Federal agencies, effect certain reorganizations of the 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 by the Senate and House of Representatives of the United States of America in Congress assembled, That this Act may be cited as the "Ethics in Government Act of 1978". TITLE I—LEGISLATIVE PERSONNEL FINANCIAL DISCLOSURE REQUIREMENTS COVERAGE

Reports, filing.

2 USC 701.

Effective date.

5 USC 5332 note.

Legislative branch.

SEC. 101. (a) E a c h Member in office on May 15 of a calendar year shall file on or before May 15 of that calendar year a report containing the information as described in section 102(a). (b) Any individual who is an officer or employee of the legislative branch designated in subsection (e) 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 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 designated in subsection (e) within t h i r t y days p r i o r to assuming his new position. This subsection shall take effect on January 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 that 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) The 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 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 compensated at a rate equal to or in excess of the annual rate of basic pay in effect for g r a d e G S - 1 6 of the General Schedule. For the purposes of this title, the legislative branch includes the Architect of the Capitol, the Botanic Gardens, the Congressional Budget Office, the Cost Accounting Standard s Board, the 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.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/545

 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 election 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 dividends, interest, rent, and capital gains, received during the preceding 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 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.

39-194 O—80—pt. 2

35: QL3

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Page:United States Statutes at Large Volume 92 Part 2.djvu/546

 92 STAT. 1826

Personal savings account.

PUBLIC LAW 95-521—OCT. 26, 1978 (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 residence of the reporting individual or his spouse; (B) any loan secured by a personal motor vehicle, household furniture, or appliances, which loan does not exceed the purchase price of the item which secures it. With respect to revolving charge accounts, only those with an outstanding liability which exceeds $10,000 as of the close of the preceding calendar year need be reported under this paragraph. (5) Except as provided in this paragraph, a brief description, the date, and category of value of any purchase, sale, or exchange during the preceding calendar year which exceeds $1,000— (A) in real property, other than property used solely as a personal residence of the reporting individual or his spouse; or (B) in stocks, bonds, commodities futures, and other forms of securities. 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 agreement or arrangement with respect to: (A) future employment; (B) a leave of absence during the period of the reporting individual's Government service; (C) continuation of payments by a former employer other than the United States Government; and (D) continuing participation in an employee welfare or benefit plan maintained by a former employer, (b) Each report filed pursuant to subsections (c) and (d) of section 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-

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Page:United States Statutes at Large Volume 92 Part 2.djvu/547

 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 information 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 individual may list (A) the date of purchase and the purchase price of the interest in the real property, or (B) the assessed value of the real property for tax purposes, adjusted to reflect the market value of the property used for the assessment if the assessed value is computed at less than 100 percent of such market value, but such individual shall include in his report a full and complete description of the method used to determine such assessed value, instead of specifying a category of value pursuant to paragraph (1) of this subsection. If the current value of any other item required to be reported under paragraph (3) of subsection (a) is not ascertainable without an appraisal, such individual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partnership, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individual shall include in *his report a full and complete description of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of the item used for the assessment if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report. (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 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 transportation, lodging, food, or entertainment or a brief description and the value of other gifts.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/548

 92 STAT. 1828

Certification.

"Qualified blind trust."

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 paragraphs other than items (i) which the reporting individual certifies 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 pursuant to subsections (a) and (b) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial interest in principal or income is held by, such individual, his spouse, or any dependent child. (2) A reporting individual need not report the holdings of or the source of income from any of the holdings 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 individual, his spouse, and any dependent child have no knowledge 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" 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,

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Page:United States Statutes at Large Volume 92 Part 2.djvu/549

 PUBLIC LAW 95-521—OCT. 26, 1978 (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 individual and his supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000; (iv) the trust tax return shall be prepared by the trustee or his designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party's tax return), shall not be disclosed to any interested party; . (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1)(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 subsequently applicable to the reporting individual which prohibits the interested party from holding an asset, which notification directs that the asset not be held by the trust, or (III) to directions to the trustee to sell all of an asset initially placed in the trust by an interested party which in the determination of the reporting individual creates a conflict of interest or the appearance thereof due to the subsequent assumption of duties by the reporting individual (but nothing herein shall require any such direction); and

92 STAT. 1829

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Page:United States Statutes at Large Volume 92 Part 2.djvu/550

 92 STAT. 1830

Definitions.

Copy, filing with ethics office.

Notification.

Dissolution, notification and filing.

Public availability.

Copy, filing.

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. For purposes of this subsection "interested party" means a reporting individual, his spouse, and any dependent child if the reporting individual, his spouse, or dependent child has a beneficial interest in the principal or income of a qualified blind trust; "broker" has the meaning set forth in section 78 of title 15, United States Code; and "supervising 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 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. (5)(A) The reporting individual shall, within thirty days after a qualified blind trust is approved by his supervising ethics office, file with such office a copy of— (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary disposition of the trust assets), and (ii) a list of the assets which were transferred to such trust, including the category of value of each asset as determined under subsection (c)(1) of this section. (B) The reporting individual shall, within thirty days of transferring an asset (other than cash) to a previously established qualified blind trust, notify his supervising ethics office of the identity of each such asset and the category of value of each asset as determined under subsection (c)(1) of this section. (C) Within thirty days of the dissojution of a qualified blind trust, a reporting individual shall— (i) notify his supervising ethics office of such dissolution, and (ii) file with such office a copy of a list of the assets of the trust at the time of such dissolution and the category of value under subsection (c) of this subsection 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 104, 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 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

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(3) of this subsection; (ii) acquire any holding the ownership of which is prohibited by the trust instrument; (iii) solicit advice from any interested party with respect to such trust, which solicitation is prohibited by paragraph (3) of this subsection or the trust agreement; or (iv) fail to file any document required by this subsection. (B) A reporting individual shall not knowingly or negligently (i) solicit or receive any information with respect to a qualified blind trust of which he is an interested party that may not be disclosed under paragraph (3)(C) of this subsection, or (ii) fail to file any document required by this subsection. (C)(i) The Attorney General may bring a civil action in any appropriate United States District Court against any individual who knowingly and willfully violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000. (ii) The Attorney General may bring a civil action in any appropriate United States District Court against any individual who negligently violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $1,000. (7) Any trust which is in existence prior to the date of the enactment 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 have been sold are filed and made available to the public as provided under paragraph (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

Civil action, penalty.

Qualified blind trust, considerations.

SECRETARY

SEC. 103. (a) The reports required by section 101 of Representatives, 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

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 92 STAT. 1832

Copies.

FEC assistance.

Reporting forms and rules and regulations, consultation.

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. (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 designated 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. (e) In carrying out their responsibilities under this title, the Clerk and the Secretary shall avail themselves of the assistance of the Federal Election Commission. The Commission shall make available to the Clerk and the Secretary on a regular basis a complete list of names and addresses of all candidates registered with the Commission, and shall cooperate and coordinate its candidate information and notification program with the Clerk and the Secretary to the greatest extent possible. (f) In order to carry out responsibilities under this title— (1) the Clerk shall, after consultation with the designated committee of the House of Representatives, and (2) the designated committee of the Senate shall develop reporting forms and may promulgate rules and regulations. ACCESSIBILITY OF REPORTS

Public inspection.

2 USC 704.

Copy, fee.

SEC. 104. (a) Except as provided in the second sentence of this 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 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 Secretary to any person upon request. (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

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92 STAT. 1833

or Secretary that waiver or reduction of the fee is in the public interest 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 communications media for dissemination to the general public; (C) for determining or establishing the credit rating of any individual; or (D) for use, directly or indirectly, in the solicitation of money for any political, charitable, or other purpose. (2) The Attorney General may bring a civil action against any 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 appropriate 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 individual covered by this title who is involved in a fact situation which is indistinguishable in all material aspects, and who, after the issuance of the advisory opinion, acts in good faith in accordance with the provisions and findings of such advisory opinion shall not, as a result of such act, be subject to any sanction provided in this title. FAILURE TO FILE OR FALSIFYING REPORTS

SEC. 106. The Attorney General may bring a civil action in any appropriate United States district court against any individual who knowingly and willfully falsifies or who knowingly and willfully fails

Civil action. 2 USC 706.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/554

 92 STAT. 1834 Penalty.

PUBLIC LAW 95-521—OCT. 26, 1978 to file or report any information that such individual is required to report pursuant to section 102. The court in which such action is brought may assess 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 USC 707.

2 USC 431 note.

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; 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-inlaw, 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 reporting individual; (C) food, lodging, transportation, and entertainment provided by State and local governments, or political subdivisions 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 businesses 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 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

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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 Revenue Code of 1954; 26 USC 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 District 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 Federal 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 nomination tor election, or election, (A) if he has taken the action necessary 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 Representatives; (11) "Secretary" means the Secretary of the Senate; (12) "Member" means a United States Senator, a Representative in Congress, a Delegate to Congress, or the Resident Commissioner from Puerto Rico; (13) "election" means (A) a general, special, primary, or runoff 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.

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 92 STAT. 1836

PUBLIC LAW 95-521—OCT. 26, 1978 GENERAL ACCOUNTING OFFICE STUDY

2 USC 709.

Report and legislative recommendations to House and Senate.

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. (b) Within thirty days after completion of the study, the Comptroller General shall transmit a report to each House of Congress containing a detailed statement of his findings and conclusions, together with his recommendations for such legislative and administrative 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 governmental or nongovernmental unit should perfonn the audits, and under whose supervision. TITLE II — EXECUTIVE PERSONNEL FINANCIAL CLOSURE REQUIREMENTS

DIS-

PERSONS REQUIRED TO F I L E

Reports. 5 USC app.

SEC. 201. (a) Within thirty days of assuming the position of an officer 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 Presidential 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 candidate, an individual other than an incumbent President or Vice President shall file a report containing the information described in section 202(b). (d) Any individual who is an officer or employee designated in subsection (f) during any calendar year and performs the duties of his position or office for a period in excess of sixty days in that calendar

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year shall file on or before May 15 of the succeeding year a report containing 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 employment in such position, file a report containing the information described in section 202(a) covering the preceding calendar year if the report required by subsection (d) 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 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 Director of the Office of Government Ethics to be of equal classification; (4) each employee appointed pursuant to section 3105 of title 5, United States Code; (5) any employee not described in paragraph (3) who is in a position in the executive branch which is excepted from the competitive service by reason of being of a confidential or policymaking character, except that the Director of the Office of Government Ethics may, by regulation, exclude from the application of this paragraph any individual, or group of individuals, who are in such positions, but only in cases in which the Director determines such exclusion would not affect adversely the integrity of the Government or the public's confidence in the integrity of the Government; (6) the Postmaster General, the Deputy Postmaster General, each Governor of the Board of Governors of the United States Postal Service and each officer or employee of the United States Postal Service 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

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 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 indication of which of the following categories the amount or value of such item of income is within: (i) not more than $1,000, (ii) greater than $1,000 but not more than $2,500, (iii) greater than $2,500 but not more than $5,000, (iv) greater than $5,000 but not more than $15,000, (v) greater than $15,000 but not more than $50,000, (vi) greater than $50,000 but not more than $100,000, 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 $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 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 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.

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 PUBLIC LAW 95-521—OCT. 26, 1978 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, company, firm, partnership, or other business enterprise, any nonprofit organization, any labor organization, or any educational or other institution other than the United States. This subparagraph shall not require the reporting of positions held in any religious, social, fraternal, or political entity and positions solely of an honorary nature. (B) If any person, other than the United States Government, paid a nonelected reporting individual compensation in excess of $5,000 in any of the two calendar years prior to the calendar year during which the individual files his first report under this title, the individual shall include in the report— (i) the identity of each source of such compensation; and (ii) a brief description of the nature of the duties performed or services rendered by the reporting individual for each such source. The preceding sentence shall not require any individual to include in such report any information which is considered confidential as a result of a privileged relationship, established by law, between such individual and any person nor shall it require an individual to report any information with respect to any person for whom services were provided by any firm or association of which such individual was a member, partner, or employee unless such individual was directly involved in the provision of such services. (7) A description of the date, parties to, and terms of any agreement or arrangement with respect to: (A) future employment; (B) a leave of absence during the period of the reporting individual's Government service; (C) continuation of payments by a former employer other than the United States Government; and (D) continuing participation in an employee welfare or benefit plan maintained by a former employer. (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. 1839

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 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 computed at less than 100 percent of such market value, but such individual shall include in his report a full and complete description of the method used to determine such assessed value, instead of specifying a category of value pursuant to paragraph (1) of this subsection. If the current value of any other item required to be reported under paragraph (3) of subsection (a) is not ascertainable without an appraisal, such individual may list the book value of a corporation whose stock is not publicly traded, the net worth of a business partnership, the equity value of an individually owned business, or with respect to other holdings, any recognized indication of value, but such individua,! shall include in his report a full and complete description of the method used in determining such value. In lieu of any value referred to in the preceding sentence, an individual may list the assessed value of the item for tax purposes, adjusted to reflect the market value of the item used for the assessment if the assessed value is computed at less than 100 percent of such market value, but a full and complete description of the method used in determining such assessed value shall be included in the report. (e)(1) Except as provided in the last sentence of this paragraph, each report required by 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 independent of the spouse's relationship to the reporting individual,

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 PUBLIC LAW 95-521—OCT. 26, 1978

92 STAT. 1841

the identity of the source and a brief description of gifts of transportation, 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 paragraphs other than items (i) which the reporting individual certifies 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. (f)(1) Except as provided in paragraph (2), each reporting individual shall report the information required to be reported pursuant to subsections (a), (b), and (c) of this section with respect to the holdings of and the income from a trust or other financial arrangement from which income is received by, or with respect to which a beneficial 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 individual, his spouse, and any dependent child have no knowledge 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 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 ot the trust who)—

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Page:United States Statutes at Large Volume 92 Part 2.djvu/562

 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 individual and his supervising ethics office when the holdings of any particular asset transferred to the trust by any interested party are disposed of or when the value of such holding is less than $1,000; (iv) the trust tax return shall be prepared by the trustee or his designee, and such return and any information relating thereto (other than the trust income summarized in appropriate categories necessary to complete an interested party's tax return), shall not be disclosed to any interested party; (v) an interested party shall not receive any report on the holdings and sources of income of the trust, except a report .. at the end of each calendar quarter with respect to the total cash value of the interest of the interested party in the trust or the net income or loss of the trust or any reports necessary to enable the interested party to complete an individual tax return required by law or to provide the information required by subsection (a)(1)(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 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

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Page:United States Statutes at Large Volume 92 Part 2.djvu/563

 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, 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. For purposes of this subsection, "interested party" means a reporting Definitions, individual, his spouse, and any dependent child if the reporting individual, his spouse, or dependent child has a beneficial interest in the

principal or income of a qualified blind trust; "broker" has the meaning set forth in section 78 of title 15, United States Code; and "supervising 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 concurrence with the Attorney General, finds that— (I) the assets placed in the trust consist of a well-diversified portfolio of readily marketable securities; (II) none of the assets consist of securities of entities having substantial activities in the area of the reporting individual's primary area of responsibility; ( III) the trust instrument prohibits the trustee, notwithstanding the provisions of paragraphs (3)(C) (iii) and (iv) of this subsection, from making public or informing any interested party of the sale of any securities; (IV) the trustee is given power of attorney, notwithstanding the provisions of paragraph (3)(C)(v) of this subsection, to prepare on behalf of any interested party the personal income tax returns and similar returns which may contain information relating to the trust; and (V) except as otherwise provided in this paragraph, the trust instrument provides (or in the case of a trust established prior to the effective date of this Act which by its terms does not permit amendment, the trustee, the reporting individual, and any other interested party agree in writing) that the trust shall be administered in accordance with the requirements of this subsection and the trustee of such trust meets the requirements of paragraph (3)(A); 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)

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Page:United States Statutes at Large Volume 92 Part 2.djvu/564

 92 STAT. 1844

Copy, niing with ethics office.

Notification.

Dissolution, notification and filing.

Public availability.

Copy, filing.

Civil action, penalty.

PUBLIC LAW 95-521—OCT. 26, 1978 has informed the Congressional committee considering his nomination at the time his financial disclosure statement is filed with the Committee of his intention to comply with this paragraph. (5)(A) The reporting individual shall, within thirty days after a qualified blind trust is approved by his supervising ethics office, file with such office a copy of— (i) the executed trust instrument of such trust (other than those provisions which relate to the testamentary disposition of the trust assets), and (ii) a list of the assets which were transferred to such trust, including the category of value of each asset as determined under subsection (d). (B) The reporting individual shall, within thirty days of transferring an asset (other than cash) to a previously established qualified blind trust, notify his supervising ethics office of the identity of each such 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— (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 205 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 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 interested party with respect to such trust, which solicitation is prohibited by paragraph (3) of this subsection or the trust agreement; or (iv) fail to file any document required by this subsection. (B) A reporting individual shall not knowingly or negligently (i) solicit or receive any information with respect to a qualified blind trust of which he is an interested party that may not be disclosed under paragraph (3)(C) of this subsection or (ii) fail to file any document required by this subsection. (C)(i) The Attorney General may bring a civil action in any appropriate United States District Court against any individual who knowingly and willfully violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess against such individual a civil penalty in any amount not to exceed $5,000. (ii) The Attorney General may bring a civil action in any appropriate United States District Court against any individual who negligently violates the provisions of subparagraph (A) or (B) of this paragraph. The court in which such action is brought may assess

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Page:United States Statutes at Large Volume 92 Part 2.djvu/565

 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 enactment 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 have been sold is filed and made available to the public as provided 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. 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 Governors 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 available forms for reporting the information required by this title.

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Page:United States Statutes at Large Volume 92 Part 2.djvu/566

 92 STAT. 1846

PUBLIC LAW 95-521—OCT. 26, 1978 FAILURE TO FILE OR FALSIFYING REPORTS

Civil actions and penalties. 5 USC app.

SEC. 204. (a) The Attorney General may bring a civil action in any appropriate United States District Court against any individual who 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 Director 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 USC app.

Unlawful use of reports.

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 Intelligence Agency, the Defense Intelligence Agency, or the National Security Agency, or any individual engaged in intelligence activities in any agency of the United States, if the President finds that, due to the nature of the office or position occupied by such individual, public disclosure of such report would, by revealing the identity of the individual or other sensitive information, compromise the national interest of the United States. In addition, such 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 President 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 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) I t shall be unlawful for any person to obtain, or use a report— (A) for any unlawful purpose; (B) for any commercial purpose, other than by news and communications media for dissemination to the general public;

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Page:United States Statutes at Large Volume 92 Part 2.djvu/567

 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, pursuant 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 submitting such report is in compliance with applicable laws and regulations, he shall state such opinion on the report, and shall sign such report. (2) If the Director of the Office of Government Ethics, Secretary concerned, 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 additional information is required and the time by which it must be submitted, or (B) is of the opinion, on the basis of information submitted, that the individual is not in compliance with applicable laws and regulations, he shall notify the individual, afford him a reasonable opportunity for a written or oral response, and after consideration of such response, reach an opinion as to whether or not, on the basis of information submitted, the individual is in compliance with such laws and regulations. (3) If the Director of the Office of Government Ethics, Secretary concerned, or designated agency official reaches an opinion under para-

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Page:United States Statutes at Large Volume 92 Part 2.djvu/568

 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 regulations 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 regulations 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 noncompliance with such laws or regulations. Such list shall be periodically 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 reports. 5 USC app.

SEC. 207. (a) The President may require officers and employees in the executive branch (including the United States Postal Service and members of the uniformed services) not covered by this title to submit confidential reports in such form as is required by this title. Subsections

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