5a U.S. Code Rule - Filing of reports

(a) Except as otherwise provided in this section, the reports required under this title shall be filed by the reporting individual with the designated agency ethics official at the agency by which he is employed (or in the case of an individual described in section 101 (e), was employed) or in which he will serve. The date any report is received (and the date of receipt of any supplemental report) shall be noted on such report by such official.
(b) The President, the Vice President, and independent counsel and persons appointed by independent counsel under chapter 40 of title 28, United States Code, shall file reports required under this title with the Director of the Office of Government Ethics.
(c) 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 ethics officials, employees described in section 105 (a)(2)(A) or (B), 106 (a)(1)(A) or (B), or 107 (a)(1)(A) or (b)(1)(A)(i), of title 3, United States Code, candidates for the office of President or Vice President and officers and employees in (and nominees to) offices or positions which require confirmation by the Senate or by both Houses of Congress other than individuals nominated to be judicial officers and those referred to in subsection (f) shall be transmitted to the Director of the Office of 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 of the Office of Government Ethics shall be filed in the Office of Government Ethics and, immediately after being filed, shall be made available to the public in accordance with this title.
(e) Each individual identified in section 101 (c) who is a candidate for nomination or election to the Office of President or Vice President shall file the reports required by this title with the Federal Election Commission.
(f) Reports required of members of the uniformed services shall be filed with the Secretary concerned.
(g) Each supervising ethics office shall develop and make available forms for reporting the information required by this title.
(h)
(1) The reports required under this title shall be filed by a reporting individual with—
(A)
(i)
(I) the Clerk of the House of Representatives, in the case of a Representative in Congress, a Delegate to Congress, the Resident Commissioner from Puerto Rico, an officer or employee of the Congress whose compensation is disbursed by the Chief Administrative Officer of the House of Representatives, an officer or employee of the Architect of the Capitol, United States Capitol Police, the United States Botanic Garden, the Congressional Budget Office, the Government Publishing Office, the Library of Congress, or the Copyright Royalty Tribunal (including any individual terminating service, under section 101 (e), in any office or position referred to in this subclause), or an individual described in section 101 (c) who is a candidate for nomination or election as a Representative in Congress, a Delegate to Congress, or the Resident Commissioner from Puerto Rico; and
(II) the Secretary of the Senate, in the case of a Senator, an officer or employee of the Congress whose compensation is disbursed by the Secretary of the Senate, an officer or employee of the Government Accountability Office, the Office of Technology Assessment, or the Office of the Attending Physician (including any individual terminating service, under section 101 (e), in any office or position referred to in this subclause), or an individual described in section 101 (c) who is a candidate for nomination or election as a Senator; and
(ii) in the case of an officer or employee of the Congress as described under section 101 (f)(10) who is employed by an agency or commission established in the legislative branch after the date of the enactment of the Ethics Reform Act of 1989—
(I) the Secretary of the Senate or the Clerk of the House of Representatives, as the case may be, as designated in the statute establishing such agency or commission; or
(II) if such statute does not designate such committee, the Secretary of the Senate for agencies and commissions established in even numbered calendar years, and the Clerk of the House of Representatives for agencies and commissions established in odd numbered calendar years; and
(B) the Judicial Conference with regard to a judicial officer or employee described under paragraphs (11) and (12) of section 101 (f) (including individuals terminating service in such office or position under section 101 (e) or immediately preceding service in such office or position).
(2) The date any report is received (and the date of receipt of any supplemental report) shall be noted on such report by such committee.
(i)
(1) A copy of each report filed under this title by a Member or an individual who is a candidate for the office of Member shall be sent by the Clerk of the House of Representatives or Secretary of the Senate, as the case may be, to the appropriate State officer designated under section 316(a)  [1] of the Federal Election Campaign Act of 1971 of the State represented by the Member or in which the individual is a candidate, as the case may be, within the 30-day period beginning on the day the report is filed with the Clerk or Secretary.
(2) The requirements of paragraph (1) do not apply to any report filed under this title which is filed electronically and for which there is online public access, in accordance with the systems developed by the Secretary and Sergeant at Arms of the Senate and the Clerk of the House of Representatives under section 8(b) of the Stop Trading on Congressional Knowledge Act of 2012.
(j)
(1) A copy of each report filed under this title with the Clerk of the House of Representatives shall be sent by the Clerk to the Committee on Standards of Official Conduct of the House of Representatives within the 7-day period beginning on the day the report is filed.
(2) A copy of each report filed under this title with the Secretary of the Senate shall be sent by the Secretary to the Select Committee on Ethics of the Senate within the 7-day period beginning on the day the report is filed.
(k) In carrying out their responsibilities under this title with respect to candidates for office, the Clerk of the House of Representatives and the Secretary of the Senate shall avail themselves of the assistance of the 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.
(l) Not later than 30 days after receiving notification of any transaction required to be reported under section 102 (a)(5)(B), but in no case later than 45 days after such transaction, the following persons, if required to file a report under any subsection of section 101, subject to any waivers and exclusions, shall file a report of the transaction:
(1) The President.
(2) The Vice President.
(3) Each officer or employee in the executive branch, including a special Government employee as defined in section 202 of title 18, United States Code, who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule; each member of a uniformed service whose pay grade is at or in excess of O–7 under section 201 of title 37, 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 or Postal Regulatory Commission who occupies a position for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule.
(7) The Director of the Office of Government Ethics and each designated agency ethics official.
(8) Any civilian employee not described in paragraph (3), employed in the Executive Office of the President (other than a special government employee) who holds a commission of appointment from the President.
(9) A Member of Congress, as defined under section 109 (12).
(10) An officer or employee of the Congress, as defined under section 109 (13).


[1]  See References in Text note below.

Source

(Pub. L. 95–521, title I, § 103,Oct. 26, 1978, 92 Stat. 1831; Pub. L. 96–19, §§ 4(b)(2), 9 (a),June 13, 1979, 93 Stat. 40, 42; Pub. L. 101–194, title II, § 202,Nov. 30, 1989, 103 Stat. 1736; Pub. L. 101–280, § 3(1), (4),May 4, 1990, 104 Stat. 152, 153; Pub. L. 102–90, title III, § 313(1),Aug. 14, 1991, 105 Stat. 469; Pub. L. 104–186, title II, § 216(1),Aug. 20, 1996, 110 Stat. 1747; Pub. L. 108–271, § 8(b),July 7, 2004, 118 Stat. 814; Pub. L. 109–55, title I, § 1003(a),Aug. 2, 2005, 119 Stat. 572; Pub. L. 112–105, §§ 6(a), 19(a),Apr. 4, 2012, 126 Stat. 293, 304; Pub. L. 113–235, div. H, title I, § 1301(b),Dec. 16, 2014, 128 Stat. 2537.)
References in Text

The date of the enactment of the Ethics Reform Act of 1989, referred to in subsec. (h)(1)(A)(ii), is the date of enactment of Pub. L. 101–194, which was approved Nov. 30, 1989.
Section 316(a) of the Federal Election Campaign Act of 1971, referred to in subsec. (i)(1), was probably intended to be a reference to section 312(a) of the Federal Election Campaign Act of 1971, Pub. L. 92–225, which is classified to section 30113(a) of Title 52, Voting and Elections, and which directs the chief executive officer of each State to designate a State officer to receive reports and statements filed by persons under the Federal Election Campaign Act of 1971.
Section 8(b) of the Stop Trading on Congressional Knowledge Act of 2012, referred to in subsec. (i)(2), is section 8(b) ofPub. L. 112–105, which is set out as a note under section 105 of this Appendix.
The General Schedule, referred to in subsec. (l)(3), (6), is set out under section 5332 of this title.
Codification

Section was formerly classified to section 703 of Title 2, The Congress.
Amendments

2012—Subsec. (i). Pub. L. 112–105, § 19(a), designated existing provisions as par. (1) and added par. (2).
Subsec. (l). Pub. L. 112–105, § 6(a), added subsec. (l).
2005—Subsec. (h)(1)(A)(i)(I). Pub. L. 109–55inserted “United States Capitol Police,” after “Architect of the Capitol,”.
2004—Subsec. (h)(1)(A)(i)(II). Pub. L. 108–271substituted “Government Accountability Office” for “General Accounting Office”.
1996—Subsec. (h)(1)(A)(i)(I). Pub. L. 104–186substituted “by the Chief Administrative Officer” for “by the Clerk”.
1991—Subsec. (i). Pub. L. 102–90substituted “30-day” for “7-day”.
1990—Subsec. (c). Pub. L. 101–280, § 3(4)(A), inserted “individuals nominated to be judicial officers and” after “Houses of Congress other than”.
Subsec. (d). Pub. L. 101–280, § 3(4)(B), inserted “of the Office of Government Ethics” after “Director”.
Subsec. (e). Pub. L. 101–280, § 3(4)(C), inserted “who is a candidate for nomination or election to the Office of President or Vice President” after “section 101 (c)” and substituted “Election” for “Elections”.
Subsec. (g). Pub. L. 101–280, § 3(4)(D), substituted “Each supervising ethics office” for “The Office of Government Ethics”.
Subsec. (h)(1)(A)(i). Pub. L. 101–280, § 3(4)(E), amended cl. (i) generally. Prior to amendment, cl. (i) read as follows: “the appropriate congressional ethics committee with regard to a Member of Congress, officer or employee of the Congress described under paragraphs (9) and (10) of section 101 (f) (including individuals terminating service in such office or position under section 101 (e) or immediately preceding service in such office or position); and”.
Subsec. (h)(1)(A)(ii)(I). Pub. L. 101–280, § 3(4)(F)(i), substituted “Secretary of the Senate or the Clerk of the House of Representatives, as the case may be, as” for “congressional ethics committee”.
Subsec. (h)(1)(A)(ii)(II). Pub. L. 101–280, § 3(4)(F)(ii), substituted “Secretary of the Senate” for “Senate Select Committee on Ethics” and “Clerk” for “Committee on Standards of Official Conduct”.
Subsec. (h)(1)(B). Pub. L. 101–280, § 3(1), struck out “of the United States” after “Judicial Conference”.
Subsecs. (i) to (k). Pub. L. 101–280, § 3(4)(G), added subsecs. (i) to (k).
1989—Pub. L. 101–194amended section generally, substituting subsecs. (a) to (h) for former subsecs. (a) to (f) which related, respectively, to persons filing with the clerk, persons filing with the Secretary, State copies, Committee copies, Federal Election Commission assistance, and reporting forms, rules and regulations.
1979—Subsec. (b). Pub. L. 96–19, § 4(b)(2), inserted reference to the National Commission on Air Quality.
Subsec. (f). Pub. L. 96–19, § 9(a), substituted “the designated committee of the House of Representatives” for “the Clerk shall, after consultation with the designated committee of the House of Representatives”.
Change of Name

“Government Publishing Office” substituted for “Government Printing Office” in subsec. (h)(1)(A)(i)(I) on authority of section 1301(b) ofPub. L. 113–235, set out as a note preceding section 301 of Title 44, Public Printing and Documents.
Committee on Standards of Official Conduct of House of Representatives changed to Committee on Ethics of House of Representatives by House Resolution No. 5, One Hundred Twelfth Congress, Jan. 5, 2011.
Effective Date of 2012 Amendment

Pub. L. 112–105, § 6(b),Apr. 4, 2012, 126 Stat. 294, provided that: “The amendment made by subsection (a) [amending this section] shall apply to transactions occurring on or after the date that is 90 days after the date of enactment of this Act [Apr. 4, 2012].”
Effective Date of 2005 Amendment

Pub. L. 109–55, title I, § 1003(b),Aug. 2, 2005, 119 Stat. 572, provided that: “The amendment made by subsection (a) [amending this section] shall apply with respect to reports filed under the Ethics in Government Act of 1978 [Pub. L. 95–521] for calendar year 2005 and each succeeding calendar year.”
Effective Date of 1989 Amendment

Amendment by Pub. L. 101–194effective Jan. 1, 1991, see section 204 ofPub. L. 101–194, set out as a note under section 101 of this Appendix.
Implementation of PTR Requirements Under STOCK Act

Pub. L. 112–173, § 2,Aug. 16, 2012, 126 Stat. 1310, as amended by Pub. L. 112–178, § 3(a),Sept. 28, 2012, 126 Stat. 1409, provided that: “Effective January 1, 2013, for purposes of implementing subsection (l) ofsection 103 of the Ethics in Government Act of 1978 [5 App. U.S.C. 103 (l)] (as added by section 6 of the STOCK Act, Public Law 112–105), section 102(e) of such Act (5 App. U.S.C. 102 (e)) shall apply as if the report under such subsection (l) were a report under section 101 of such Act (5 App. U.S.C. 101) but only with respect to the transaction information required under such subsection (l).”
[Pub. L. 112–178, § 3(b),Sept. 28, 2012, 126 Stat. 1409, provided that:
[“(1) Effective date.—The amendments made by subsection (a) [amending section 2 ofPub. L. 112–173, set out above] shall take effect on January 1, 2013.
[“(2) Rule of construction.—Before January 1, 2013, the amendments made by subsection (a) shall not affect the applicability of section 2 of the Act entitled ‘An Act to prevent harm to the national security or endangering the military officers and civilian employees to whom internet publication of certain information applies, and for other purposes’, approved August 16, 2012 [Pub. L. 112–173] (5 App. U.S.C. 103 note), as in effect on the day before the effective date under paragraph (1).”]
[Pub. L. 112–178, § 3(c),Sept. 28, 2012, 126 Stat. 1410, provided that: “Nothing in the amendments made by subsection (a) [amending section 2 ofPub. L. 112–173, set out above] shall be construed as affecting any requirement with respect to the House of Representatives or the executive branch in effect before January 1, 2013, with respect to the inclusion of transaction information for a report under section 103(l) of the Ethics in Government Act of 1978 (5 App. U.S.C. 103 (l)).”]
[Pub. L. 112–178, § 3(d),Sept. 28, 2012, 126 Stat. 1410, provided that: “Nothing in this section [enacting and amending provisions set out as notes above] or the amendments made [by] this section shall be construed as affecting the requirement that took effect with respect to the Senate on July 3, 2012, which mandates the inclusion of transaction information for spouses and dependent children for a report under section 103(l) of the Ethics in Government Act of 1978 (5 App. U.S.C. 103 (l)).”]
Transaction Reporting Requirements

Pub. L. 112–105, § 14,Apr. 4, 2012, 126 Stat. 300, provided that: “The transaction reporting requirements established by section 103(l) of the Ethics in Government Act of 1978 [5 App. U.S.C. 103 (l)], as added by section 6 of this Act, shall not be construed to apply to a widely held investment fund (whether such fund is a mutual fund, regulated investment company, pension or deferred compensation plan, or other investment fund), if—
“(1)(A) the fund is publicly traded; or
“(B) the assets of the fund are widely diversified; and
“(2) the reporting individual neither exercises control over nor has the ability to exercise control over the financial interests held by the fund.”

 

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