House Report 117-193 — To Make Revisions in Title 5, United States Code (November 30, 2021)
Summary
House Report 117–193, dated November 30, 2021, is the report of the Committee on the Judiciary on H.R. 5961, a bill to make revisions in title 5, United States Code, as necessary to keep the title current, and to make technical amendments to improve the United States Code. The purpose and summary section states that the bill would move three major laws currently located in an appendix to title 5 into the title itself. The committee ordered the bill favorably reported without an amendment, by a voice vote, on November 17, 2021, and did not hold any hearings related to the bill. The section-by-section analysis prepared by the Office of the Law Revision Counsel includes source tables for the Federal Advisory Committee Act and the Inspector General Act of 1978.
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“House Report 117-193 — To Make Revisions in Title 5, United States Code (November 30, 2021).”
Original at www.govinfo.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/crpt-crpt-117hrpt193-crpt-117hrpt193/
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117TH CONGRESS REPORT
" HOUSE OF REPRESENTATIVES !
1st Session 117–193
TO MAKE REVISIONS IN TITLE 5, UNITED STATES CODE, AS NECESSARY
TO KEEP THE TITLE CURRENT, AND TO MAKE TECHNICAL AMEND-
MENTS TO IMPROVE THE UNITED STATES CODE
NOVEMBER 30, 2021.—Referred to the House Calendar and ordered to be printed
Mr. NADLER, from the Committee on the Judiciary,
submitted the following
R E P O R T
[To accompany H.R. 5961]
The Committee on the Judiciary, to whom was referred the bill
(H.R. 5961) to make revisions in title 5, United States Code, as
necessary to keep the title current, and to make technical amend-
ments to improve the United States Code.
CONTENTS
Page
Purpose and Summary ............................................................................................ 1
Background and Need for the Legislation ............................................................. 1
Hearings ................................................................................................................... 3
Committee Consideration ........................................................................................ 3
Committee Votes ...................................................................................................... 3
Committee Oversight Findings ............................................................................... 3
Committee Estimate of Budgetary Effects ............................................................ 3
New Budget Authority and Congressional Budget Office Cost Estimate ........... 3
Duplication of Federal Programs ............................................................................ 4
Performance Goals and Objectives ......................................................................... 4
Advisory on Earmarks ............................................................................................. 4
Section-by-Section Analysis .................................................................................... 4
Changes in Existing Law Made by the Bill, as Reported ..................................... 31
Purpose and Summary
H.R. 5961 would revise title 5, United States Code, to move three
major laws currently located in an appendix to title 5 into the title
itself, and make other necessary technical corrections to references
in other titles of the Code.
Background and Need for the Legislation
The House has assigned to the Judiciary Committee responsi-
bility for the ‘‘Revision and codification of the Statutes of the
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29–006
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United States.’’ 1 In modern practice, this responsibility entails pe-
riodically updating the United States Code (‘‘the Code’’). Currently
organized in 54 titles based on subject matter, the Code contains
all of the general and permanent laws of the United States. Con-
gress created the Code in 1926 to compile federal laws into a sen-
sible, up-to-date collection that would spare people the labor of
searching for laws in the chronologically-organized volumes of the
Statutes at Large.2 To date, 27 of these 54 titles have been enacted
into ‘‘positive law,’’ which means the text of these titles is itself the
law,3 while the remaining titles are ‘‘non-positive,’’ meaning that
they organize federal statutes for users’ convenience, but do not
themselves have the force of law.4
The entity responsible for updating the Code as Congress passes
new laws or amends existing ones is the Office of the Law Revision
Counsel (OLRC).5 Established within the House of Representatives,
OLRC’s purpose is ‘‘to develop and keep current an official and
positive codification of the laws of the United States,’’ while main-
taining strict impartiality as to issues of legislative policy.6 The Ju-
diciary Committee plays an essential role in two of OLRC’s impor-
tant functions. OLRC is required:
(1) To prepare, and submit to the Committee on the Judici-
ary one title at a time, a complete compilation, restatement,
and revision of the general and permanent laws of the United
States which conforms to the understood policy, intent, and
purpose of the Congress in the original enactments, with such
amendments and corrections as will remove ambiguities, con-
tradictions, and other imperfections both of substance and of
form, separately stated, with a view to the enactment of each
title as positive law.
The Judiciary Committee therefore plays a key role in maintain-
ing the accuracy of the U.S. Code. OLRC regularly submits to the
Committee proposed legislation that carries out its mission to keep
the Code current and correct. The Judiciary Committee then con-
siders and reports this legislation to the House. If the legislation
passes into law, OLRC implements the changes in the Code.
1 Clause 1(l)(17) of House Rule X.
2 The Statutes at Large is the collection of laws passed in a particular session of Congress,
arranged in sequence by public law number, https://www.archives.gov/federal-register/publica-
tions/statutes.html. The content of the Statutes at Large is considered ‘‘legal evidence of laws,
concurrent resolutions, treaties, international agreements other than treaties, proclamations by
the President, and proposed or ratified amendments to the Constitution of the United States
therein contained, in all the courts of the United States, the several States, and the Territories
and insular possessions of the United States.’’ 1 U.S.C. § 112.
3 For example, H.R. 2694 (117th Congress) proposes amending Title 18 (‘‘Crimes and Criminal
Procedure’’), which is a positive title of the U.S. Code, so it is drafted to directly amend a provi-
sion of that title (‘‘Section 4285 of title 18, United States Code, is amended in the first sentence.
. . .’’). The content of positive-law Code titles is considered ‘‘legal evidence of the laws therein
contained, in all the courts of the United States, the several States, and the Territories and in-
sular possessions of the United States.’’ 1 U.S.C. § 204.
4 For example, H.R. 2922 (117th Congress) proposes amending section 101(b) of the Elder
Abuse Prevention and Prosecution Act, which is compiled in Title 34 (‘‘Crime Control and Law
Enforcement’’), a non-positive title of the Code. In this situation, the bill amends the underlying
law and includes a parenthetical citation to its location in Title 34 as a convenience (‘‘Section
101(b) of the Elder Abuse Prevention and Prosecution Act (34 U.S.C. 21711(b)) is amended to
read. . .’’). The contents of non-positive titles ‘‘establish prima facie the laws of the United
States, general and permanent in their nature, in force on the day preceding the commencement
of the session following the last session the legislation of which is included.’’ 1 U.S.C. § 204.
5 Office of the Law Revision Counsel (hereinafter OLRC), U.S. Code, home page, https://
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uscode.house.gov/.
6 H. Res. 988 (93d Congress), § 205(c), as enacted into law by Pub. L. 93–554 (2 U.S.C. § 285a).
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H.R. 5961, which amends title 5 of the Code (Government Orga-
nization and Employees), represents one of OLRC’s recent efforts
to keep positive-laws titles in the Code up to date. Three important
government accountability laws adopted in the 1970s—the Federal
Advisory Committee Act, the Inspector General Act (IG Act), and
the Ethics in Government Act—were adopted after title 5 became
positive law. OLRC therefore placed the three laws in an appendix
to title 5, and they have been cited somewhat confusingly since
that time as ‘‘5 U.S.C. App.’’ Section 3 of H.R. 5961 eliminates this
appendix by creating three new chapters for these three laws with-
in the body of title 5 itself.7 For example, section 2 of the IG Act,
which is currently cited as ‘‘5 U.S.C. App. (IGA § 2),’’ will be cited
as ‘‘5 U.S.C. 402’’ when the bill is adopted. Section 4 of the bill cor-
rects cross references to the three laws that occur in other titles of
the Code.
Hearings
The Committee did not hold any hearings related to H.R. 5961.
Committee Consideration
On November 17, 2021, the Committee met in open session and
ordered the bill, H.R. 5961, favorably reported without an amend-
ment, by a voice vote, a quorum being present.
Committee Votes
No roll call votes occurred during the Committee’s consideration
of H.R. 5961.
Committee Oversight Findings
In compliance with clause 3(c)(1) of House Rule XIII, the Com-
mittee advises that the findings and recommendations of the Com-
mittee, based on oversight activities under clause 2(b)(1) of House
Rule X, are incorporated in the descriptive portions of this report.
Committee Estimate of Budgetary Effects
Pursuant to clause 3(d)(1) of House Rule XIII, the Committee
adopts as its own the cost estimate prepared by the Director of the
Congressional Budget Office pursuant to section 402 of the Con-
gressional Budget Act of 1974.
New Budget Authority and Congressional Budget Office
Cost Estimate
Pursuant to clause 3(c)(2) of House Rule XIII and section 308(a)
of the Congressional Budget Act of 1974, and pursuant to clause
(3)(c)(3) of House Rule XIII and section 402 of the Congressional
Budget Act of 1974, the Committee has requested but not received
from the Director of Congressional Budget Office (CBO) a budg-
etary analysis and a cost estimate of this bill. Based on CBO’s
analysis of a similar bill (H.R. 3239) transmitted to the Committee
7 OLRC web site, Positive Law Codification, Title 5, United States Code, https://
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uscode.house.gov/codification/t5/index.html. The three new chapters are 10 (FACA), 4 (the IG
Act), and 131 (the EGA).
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on June 14, 2021, the Committee estimates that H.R. 5961 would
have no effect on the federal budget.
Duplication of Federal Programs
Pursuant to clause 3(c)(5) of House Rule XIII, no provision of
H.R. 5961 establishes or reauthorizes a program of the federal gov-
ernment known to be duplicative of another federal program.
Performance Goals and Objectives
The Committee states that pursuant to clause 3(c)(4) of House
Rule XIII, H.R. 5961 would help implement an editorial reclassi-
fication to portions of the United States Code, with the goal of im-
proving and modernizing the overall organization of the Code.
Advisory on Earmarks
In accordance with clause 9 of House Rule XXI, H.R. 5961 does
not contain any congressional earmarks, limited tax benefits, or
limited tariff benefits as defined in clause 9(d), 9(e), or 9(f) of
House Rule XXI.
Section-by-Section Analysis
The section-by-section analysis prepared by the OLRC is as fol-
lows:
Section-by-Section Explanation
Section 1—Table of Contents
Section 1 of the bill provides a table of contents for the Act.
Section 2—Purposes; Restatement Does Not Change Meaning or Ef-
fect of Existing Law
Section 2(a)
Section 2(a) of the bill provides that the purposes are to make
revisions in title 5, United States Code, as necessary to keep the
title current, and to make technical amendments to improve the
United States Code.
Section 2(b)(1)
Section 2(b)(1) of the bill provides that the restatement of exist-
ing law does not change the meaning or effect of the existing law
(see the explanation above, under the heading ‘‘Restatement Does
Not Change Meaning or Effect of Existing Law’’).
Section 2(b)(2)
Section 2(b)(2) of the bill creates a rule of construction to provide
that, notwithstanding the plain meaning rule or other rules of stat-
utory construction, a change in wording made in the restatement
of existing law serves to clarify the existing law, but not to change
the meaning or effect of the existing law. This rule of construction
applies whether or not a change in wording is explained by a revi-
sion note appearing in a congressional report accompanying the
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bill. The bill provides that if such a revision note does appear, a
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court is required to consider the revision note in interpreting the
change.
Section 3—Revision of Title 5, United States Code
Section 3(a) of the bill amends title 5, United States Code, by in-
serting chapter 10, which is a restatement of the Federal Advisory
Committee Act (Public Law 92–463).
Section 3(b) of the bill amends title 5, United States Code, by in-
serting chapter 4, which is a restatement of the Inspector General
Act of 1978 (Public Law 95–452).
Section 3(c) of the bill amends title 5, United States Code, by in-
serting Part IV—Ethics Requirements, in which is inserted chapter
131, which is a restatement of titles I, IV, and V of the Ethics in
Government Act of 1978 (Public Law 95–521). Title I of the Ethics
in Government Act of 1978 is restated as subchapter I of chapter
131 of title 5, United States Code. Title IV of the Ethics in Govern-
ment Act of 1978 is restated as subchapter II of chapter 131 of title
5, United States Code. Title V of the Ethics in Government Act of
1978 is restated as subchapter III of chapter 131 of title 5, United
States Code. (Titles II and III of the Ethics in Government Act of
1978 were previously repealed.)
For each new section of title 5, United States Code, that is en-
acted by section 3 of the bill, a 3-column source table is set out
below (along with any applicable revision notes) to indicate the spe-
cific source law being restated in each new section of title 5, United
States Code.
In the 3-column source tables (and revision notes) set out below,
sections 1001 through 1014 are related to chapter 10 of title 5,
United States Code, sections 401 through 424 are related to chap-
ter 4 of title 5, United States Code, and sections 13101 through
13146 are related to chapter 131 of title 5, United States Code.
SECTION 1001
Revised Section Source (U.S. Code) Source (Pub. L.)
1001 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 3, Oct. 6, 1972, 86 Stat. 770;
§ 3) Pub. L. 105–153, § 2(a), Dec. 17, 1997, 111
Stat. 2689.
SECTION 1002
Revised Section Source (U.S. Code) Source (Pub. L.)
1002 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 2, Oct. 6, 1972, 86 Stat. 770.
§ 2)
SECTION 1003
Revised Section Source (U.S. Code) Source (Pub. L.)
1003 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 4, Oct. 6, 1972, 86 Stat. 771;
§ 4) Pub. L. 111–259, title IV, § 410(a), Oct. 7,
2010, 124 Stat. 2724.
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SECTION 1004
Revised Section Source (U.S. Code) Source (Pub. L.)
1004 ................. 5 U.S.C. App. (FACA Pub. L. 92–463, § 5, Oct. 6, 1972, 86 Stat. 771.
§ 5)
SECTION 1005
Revised Section Source (U.S. Code) Source (Pub. L.)
1005 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 6(a), (b), Oct. 6, 1972, 86 Stat.
§ 6(a), (b)) 772.
SECTION 1006
Revised Section Source (U.S. Code) Source (Pub. L.)
1006 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 7, Oct. 6, 1972, 86 Stat. 772;
§ 7) Pub. L. 96–523, § 2, Dec. 12, 1980, 94 Stat.
3040.
In this section, the words ‘‘Administrator’’ and ‘‘General Services
Administration’’ are substituted for ‘‘Director’’ and ‘‘Office of Man-
agement and Budget’’, respectively, because of section 5F of Reor-
ganization Plan No. 1 of 1977 (5 U.S.C. App.).
In subsection (b)(1), the words ‘‘Each year, the Administrator
shall conduct a comprehensive review’’ are substituted for ‘‘The Ad-
ministrator shall, immediately after the enactment of this Act [Oc-
tober 6, 1972], institute a comprehensive review’’ and ‘‘Thereafter,
the Administrator shall carry out a similar review annually’’ to
eliminate obsolete language.
In subsection (d)(1) (matter before subparagraph (A)), the words
‘‘Director of the Office of Personnel Management’’ are substituted
for ‘‘Civil Service Commission’’ because of section 102 of Reorga-
nization Plan No. 2 of 1978 (5 U.S.C. App.).
In subsection (d)(1) (matter before subparagraph (A)), the words
‘‘The guidelines shall provide’’ are substituted for ‘‘The regulations
shall provide’’ for consistency with the 1st sentence of subsection
(d)(1), which provides that the Administrator shall establish
‘‘guidelines’’, not regulations.
In subsection (d)(1)(A), the words ‘‘maximum rate payable under
section 5376 of this title’’ are substituted for ‘‘rate specified for GS–
18 of the General Schedule under section 5332 of title 5, United
States Code’’ for clarity and because of section 101(c) of the Federal
Employees Pay Comparability Act of 1990 (enacted by section 529
of Public Law 101–509 (5 U.S.C. 5376 note)).
In subsection (d)(1)(C)(i), the words ‘‘individuals with disabilities’’
are substituted for ‘‘handicapped individuals’’ for consistency with
section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791).
In subsection (d)(1)(C)(i), the citation to ‘‘(29 U.S.C. 791)’’ is sub-
stituted for ‘‘(29 U.S.C. 794)’’ to correct an error in the law.
SECTION 1007
Revised Section Source (U.S. Code) Source (Pub. L.)
1007 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 8, Oct. 6, 1972, 86 Stat. 773.
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§ 8)
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In subsection (a), the word ‘‘Administrator’’ is substituted for ‘‘Di-
rector’’ (meaning the Director of the Office of Management and
Budget) because of section 5F of Reorganization Plan No. 1 of 1977
(5 U.S.C. App.).
SECTION 1008
Revised Section Source (U.S. Code) Source (Pub. L.)
1008 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 9, Oct. 6, 1972, 86 Stat. 773.
§ 9)
In subsection (a)(2) and subsection (c)(1)(A), the word ‘‘Adminis-
trator’’ is substituted for ‘‘Director’’ (meaning the Director of the
Office of Management and Budget) because of section 5F of Reorga-
nization Plan No. 1 of 1977 (5 U.S.C. App.).
SECTION 1009
Revised Section Source (U.S. Code) Source (Pub. L.)
1009 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 10, Oct. 6, 1972, 86 Stat. 774;
§ 10) Pub. L. 94–409, § 5(c), Sept. 13, 1976, 90 Stat.
1247.
In subsection (a), in paragraphs (2) and (3), the word ‘‘Adminis-
trator’’ is substituted for ‘‘Director’’ (meaning the Director of the
Office of Management and Budget) because of section 5F of Reorga-
nization Plan No. 1 of 1977 (5 U.S.C. App.).
SECTION 1010
Revised Section Source (U.S. Code) Source (Pub. L.)
1010 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 11, Oct. 6, 1972, 86 Stat. 775.
§ 11)
In subsection (b), the words ‘‘Except where prohibited by contrac-
tual agreements entered into prior to the effective date of this Act
[i.e., 90 days after October 6, 1972]’’ are omitted as obsolete.
SECTION 1011
Revised Section Source (U.S. Code) Source (Pub. L.)
1011 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 12, Oct. 6, 1972, 86 Stat. 775.
§ 12)
SECTION 1012
Revised Section Source (U.S. Code) Source (Pub. L.)
1012 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 13, Oct. 6, 1972, 86 Stat. 775.
§ 13)
In this section, the word ‘‘Administrator’’ is substituted for ‘‘Di-
rector’’ (meaning the Director of the Office of Management and
Budget) because of section 5F of Reorganization Plan No. 1 of 1977
(5 U.S.C. App.).
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SECTION 1013
Revised Section Source (U.S. Code) Source (Pub. L.)
1013 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 14, Oct. 6, 1972, 86 Stat. 776.
§ 14)
In subsection (a)(1) (matter before subparagraph (A)), the date
‘‘January 5, 1973’’ is substituted for ‘‘the effective date of this Act’’,
and in subsection (a)(2) (matter before subparagraph (A)), the date
‘‘January 5, 1973’’ is substituted for ‘‘such effective date’’, for clar-
ity. In accordance with section 16 (formerly section 15) of the Fed-
eral Advisory Committee Act (Public Law 92–463, 86 Stat. 776),
which provides ‘‘this Act shall become effective upon the expiration
of ninety days following the date of enactment’’, the effective date
of the Act is January 5, 1973.
SECTION 1014
Revised Section Source (U.S. Code) Source (Pub. L.)
1014 .................... 5 U.S.C. App. (FACA Pub. L. 92–463, § 15, as added Pub. L. 105–153,
§ 15) § 2(b), Dec. 17, 1997, 111 Stat. 2689.
In subsection (a)(2), the date ‘‘December 17, 1997’’ is substituted
for ‘‘the date of the enactment of the Federal Advisory Committee
Act Amendments of 1997’’ for clarity.
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SECTION 401
Revised Section Source (U.S. Code) Source (Pub. L.)
401 ...................... 5 U.S.C. App. (IGA § 12) Pub. L. 95–452, § 12, formerly § 11, Oct. 12, 1978,
92 Stat. 1109; Pub. L. 96–88, title V,
§ 508(n)(3), (4), Oct. 17, 1979, 93 Stat. 695;
Pub. L. 97–113, title VII, § 705(a)(2), Dec. 29,
1981, 95 Stat. 1544; Pub. L. 97–252, title XI,
§ 1117(a)(4), (5), Sept. 8, 1982, 96 Stat. 751;
Pub. L. 99–93, title I, § 150(a)(2), Aug. 16,
1985, 99 Stat. 427; Pub. L. 99–399, title IV,
§ 412(a)(2), Aug. 27, 1986, 100 Stat. 867; Pub.
L. 100–504, title I, § 102(c), Oct. 18, 1988, 102
Stat. 2515; Pub. L. 100–527, § 13(h)(2), (3),
Oct. 5, 1988, 102 Stat. 2643; Pub. L. 101–73,
title V, § 501(b)(1), Aug. 9, 1989, 103 Stat. 393;
Pub. L. 102–233, title III, § 315(a), Dec. 12,
1991, 105 Stat. 1772; Pub. L. 103–82, title II,
§ 202(g)(4), Sept. 21, 1993, 107 Stat. 890; Pub.
L. 103–204, § 23(a)(1), Dec. 17, 1993, 107 Stat.
2407; Pub. L. 103–296, title I, § 108(l)(2), Aug.
15, 1994, 108 Stat. 1489; Pub. L. 103–325, title
I, § 118(a), Sept. 23, 1994, 108 Stat. 2188; Pub.
L. 104–106, div. D, title XLIII, § 4322(b)(1), (3),
Feb. 10, 1996, 110 Stat. 677; Pub. L. 105–277,
div. G, subdiv. A, title XIII, § 1314(b), Oct. 21,
1998, 112 Stat. 2681–776; Pub. L. 106–422,
§ 1(b)(2), Nov. 1, 2000, 114 Stat. 1872; Pub. L.
107–189, § 22(a), (d), June 14, 2002, 116 Stat.
707, 708; Pub. L. 107–296, title XVII, § 1701,
Nov. 25, 2002, 116 Stat. 2313; Pub. L. 108–
271, § 8(b), July 7, 2004, 118 Stat. 814; Pub. L.
109–295, title VI, § 612(c), Oct. 4, 2006, 120
Stat. 1410; Pub. L. 110–234, title XIV,
§ 14217(c), May 22, 2008, 122 Stat. 1482; Pub.
L. 110–246, § 4(a), title XIV, § 14217(c), June
18, 2008, 122 Stat. 1664, 2244; Pub. L. 110–
289, div. A, title I, § 1105(c), July 30, 2008, 122
Stat. 2668; renumbered § 12, Pub. L. 110–409,
§ 7(a), Oct. 14, 2008, 122 Stat. 4305; Pub. L.
113–126, title IV, §§ 402(2), 412(2), July 7,
2014, 128 Stat. 1408, 1409; Pub. L. 115–141,
div. P, title V, § 501(a)(2), Mar. 23, 2018, 132
Stat. 1090.
In paragraph (1), the words ‘‘Veterans Affairs’’ are inserted in
the list of Departments, and the words ‘‘Veterans’’ Administration’’
are deleted from the list of Administrations, to update obsolete ref-
erences in the law.
In paragraph (1), the words ‘‘the Resolution Trust Corporation’’
have been omitted as obsolete because section 21A(m)(1) of the
Federal Home Loan Bank Act (12 U.S.C. 1441a(m)(1)) provided for
termination of the Resolution Trust Corporation not later than De-
cember 31, 1995, and the authority and responsibilities of the Reso-
lution Trust Corporation were transferred to the Federal Deposit
Insurance Corporation under section 40(n)(4) of the Federal De-
posit Insurance Act (12 U.S.C. 1831q(n)(4)).
In paragraphs (1) and (3), the words ‘‘of the United States’’ are
inserted after ‘‘Export-Import Bank’’ to correct errors in the law.
In paragraph (3), the words ‘‘Veterans Affairs’’ are inserted in
the list of Secretaries, and the words ‘‘Veterans’’ Affairs’’ are de-
leted from the list of Administrators, to update obsolete references
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in the law.
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In paragraph (3), the words ‘‘the Director of’’ are inserted before
‘‘the Office of Personnel Management’’ to correct an error in the
law. The Office of Personnel Management is headed by a director
(rather than an administrator) as provided in section 1102(a) of
title 5, United States Code.
In paragraph (3), the words ‘‘the Chairperson of the Thrift De-
positor Protection Oversight Board’’ are omitted because the Thrift
Depositor Protection Oversight Board was abolished by section
14(a) through (d) of the Homeowners Protection Act of 1998 (Public
Law 105–216, 112 Stat. 908).
In paragraph (3), the words ‘‘the chief executive officer of the
Resolution Trust Corporation’’ are omitted because section
21A(m)(1) of the Federal Home Loan Bank Act (12 U.S.C.
1441a(m)(1)) provided for termination of the Resolution Trust Cor-
poration not later than December 31, 1995, and the authority and
responsibilities of the Resolution Trust Corporation were trans-
ferred to the Federal Deposit Insurance Corporation under section
40(n)(4) of the Federal Deposit Insurance Act (12 U.S.C.
1831q(n)(4)).
SECTION 402
Revised Section Source (U.S. Code) Source (Pub. L.)
402 ...................... 5 U.S.C. App. (IGA § 2) Pub. L. 95–452, § 2, Oct. 12, 1978, 92 Stat. 1101;
Pub. L. 96–88, title V, § 508(n)(1), Oct. 17,
1979, 93 Stat. 694; Pub. L. 97–113, title VII,
§ 705(a)(1), Dec. 29, 1981, 95 Stat. 1544; Pub.
L. 97–252, title XI, § 1117(a)(1), Sept. 8, 1982,
96 Stat. 750; Pub. L. 99–93, title I, § 150(a)(1),
Aug. 16, 1985, 99 Stat. 427; Pub. L. 99–399,
title IV, § 412(a)(1), Aug. 27, 1986, 100 Stat.
867; Pub. L. 100–504, title I, § 102(a), (b), Oct.
18, 1988, 102 Stat. 2515; Pub. L. 100–527,
§ 13(h)(1), Oct. 25, 1988, 102 Stat. 2643; Pub.
L. 105–206, title I, § 1103(a), July 22, 1998,
112 Stat. 705; Pub. L. 110–409, § 7(d)(1)(A),
Oct. 14, 2008, 122 Stat. 4313.
SECTION 403
Revised Section Source (U.S. Code) Source (Pub. L.)
403 ...................... 5 U.S.C. App. (IGA § 3) Pub. L. 95–452, § 3, Oct. 12, 1978, 92 Stat. 1101;
Pub. L. 110–409, §§ 3(a), 4(a)(1), 5, 6(a), Oct.
14, 2008, 122 Stat. 4302, 4305; Pub. L. 112–
199, title I, § 117(a), Nov. 27, 2012, 126 Stat.
1474; Pub. L. 114–317, § 7(d)(3)(A), Dec. 16,
2016, 130 Stat. 1606; Pub. L. 115–192, § 2(a),
June 25, 2018, 132 Stat. 1502.
In subsection (d)(4) (ma tter before subparagraph (A)), the words
‘‘Whistleblower Protection Coordinator’’ are substituted for ‘‘Whis-
tleblower Protection Ombudsman’’ to correct an error in the law.
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SECTION 404
Revised Section Source (U.S. Code) Source (Pub. L.)
404 ...................... 5 U.S.C. App. (IGA § 4) Pub. L. 95–452, § 4, Oct. 12, 1978, 92 Stat. 1102;
Pub. L. 100–504, title I, § 109, Oct. 18, 1988,
102 Stat. 2529; Pub. L. 103–82, title II,
§ 202(g)(5)(A), Sept. 21, 1993, 107 Stat. 890;
Pub. L. 108–271, § 8(b), July 7, 2004, 118 Stat.
814; Pub. L. 110–409, § 7(d)(1)(A), Oct. 14,
2008, 122 Stat. 4313; Pub. L. 114–317, §§ 4(d),
7(d)(2)(A), Dec. 16, 2016, 130 Stat. 1602, 1606.
In subsection (a)(4) (matter before subparagraph (A)), the words
‘‘the establishment’’ are inserted after ‘‘to recommend policies for’’
and a comma is inserted after ‘‘and nongovernmental entities’’ for
clarity.
In subsection (b)(1)(C), the word ‘‘ensure’’ is substituted for ‘‘as-
sure’’ for clarity.
In subsection (c), the word ‘‘ensuring’’ is substituted for ‘‘insur-
ing’’ for clarity.
SECTION 405
Revised Section Source (U.S. Code) Source (Pub. L.)
405 ...................... 5 U.S.C. App. (IGA § 5) Pub. L. 95–452, § 5, Oct. 12, 1978, 92 Stat. 1103;
Pub. L. 97–252, title XI, § 1117(c), Sept. 8,
1982, 96 Stat. 752; Pub. L. 100–504, title I,
§§ 102(g), 106, Oct. 18, 1988, 102 Stat. 2521,
2525; Pub. L. 104–208, div. A, title I, § 101(f)
[title VIII, § 805(c)], Sept. 30, 1996, 110 Stat.
3009–314, 3009–393; Pub. L. 110–409, § 12,
Oct. 14, 2008, 122 Stat. 4315; Pub. L. 111–203,
title IX, § 989C, July 21, 2010, 124 Stat. 1945;
Pub. L. 114–317, §§ 4(c), 7(d)(2)(B), (C), Dec.
16, 2016, 130 Stat. 1600, 1606; Pub. L. 115–
192, § 2(c), June 25, 2018, 132 Stat. 1503; Pub.
L. 116–92, div. A, title XVII, § 1710, Dec. 20,
2019, 133 Stat. 1801.
In subsection (b)(6), the words ‘‘inspection report, and evaluation
report’’ are substituted for ‘‘inspection reports, and evaluation re-
ports’’ to correct typographical errors in the law.
In subsection (b)(10) (matter before subparagraph (A)), the words
‘‘inspection report, and evaluation report’’ are substituted for ‘‘in-
spection reports, and evaluation reports’’ to correct typographical
errors in the law.
In subsection (b)(10), at the end of subparagraph (C), a semicolon
is substituted for the period to correct a typographical error in the
law.
In subsection (b)(13), the parenthetical ‘‘(Public Law 104–208,
§ 101(f) [title VIII], 31 U.S.C. 3512 note)’’ is inserted after ‘‘section
804(b) of the Federal Financial Management Improvement Act of
1996’’ for clarity.
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SECTION 406
Revised Section Source (U.S. Code) Source (Pub. L.)
406 ...................... 5 U.S.C. App. (IGA § 6) Pub. L. 95–452, § 6, Oct. 12, 1978, 92 Stat. 1104;
Pub. L. 100–504, title I, §§ 107, 110(a), Oct. 18,
1988, 102 Stat. 2528, 2529; Pub. L. 107–296,
title VIII, § 812(a), Nov. 25, 2002, 116 Stat.
2222; Pub. L. 110–409, §§ 8, 9, 11, 14(a), Oct.
14, 2008, 122 Stat. 4313–4316; Pub. L. 114–
317, §§ 2, 5, 7(d)(2)(D), (3)(B), Dec. 16, 2016,
130 Stat. 1595, 1603, 1606.
In subsection (a)(8), the words ‘‘maximum rate payable under
section 5376 of this title’’ are substituted for ‘‘equivalent rate pre-
scribed for grade GS–18 of the General Schedule by section 5332
of title 5, United States Code’’ for clarity and because of section
101(c) of the Federal Employees Pay Comparability Act of 1990 (en-
acted by section 529 of Public Law 101–509 (5 U.S.C. 5376 note)).
In subsection (f)(7), the date ‘‘November 25, 2002’’ is substituted
for ‘‘the date of enactment of this subsection’’ for clarity. Subsection
(f) (formerly subsection (e)) of section 6 of the Inspector General
Act of 1978 was enacted on November 25, 2002, by section 812(a)
of the Homeland Security Act of 2002 (Public Law 107–296, 116
Stat. 2222).
In subsection (h)(4)(B), the words ‘‘Committee on Oversight and
Reform’’ are substituted for ‘‘Committee on Oversight and Govern-
ment Reform’’ on authority of rule X(1)(n) of the Rules of the House
of Representatives, adopted by House Resolution No. 6 (116th Con-
gress, January 9, 2019).
SECTION 407
Revised Section Source (U.S. Code) Source (Pub. L.)
407 ...................... 5 U.S.C. App. (IGA § 7) Pub. L. 95–452, § 7, Oct. 12, 1978, 92 Stat. 1105.
SECTION 408
Revised Section Source (U.S. Code) Source (Pub. L.)
408 ...................... 5 U.S.C. App. (IGA § 8) Pub. L. 95–452, § 8, Oct. 12, 1978, 92 Stat. 1105;
Pub. L. 97–252, title XI, § 1117(b), Sept. 8,
1982, 96 Stat. 751; Pub. L. 100–504, title I,
§ 110(b), Oct. 18, 1988, 102 Stat. 2529; Pub. L.
104–106, div. A, title XV, § 1502(f)(6), Feb. 10,
1996, 110 Stat. 510; Pub. L. 106–65, div. A,
title X, § 1067(17), Oct. 5, 1999, 113 Stat. 775;
Pub. L. 110–417, [div. A], title IX, § 907, Oct.
14, 2008, 122 Stat. 4569; Pub. L. 111–84, div.
A, title X, § 1042, Oct. 28, 2009, 123 Stat.
2455; Pub. L. 112–239, div. A, title XVI,
§ 1614, Jan. 2, 2013, 126 Stat. 2066; Pub. L.
114–317, § 6(1), Dec. 16, 2016, 130 Stat. 1604.
In subsection (b)(3), the words ‘‘Committee on Homeland Security
and Governmental Affairs of the Senate’’ are substituted for ‘‘[Com-
mittee on] Governmental Affairs of the Senate’’ on authority of
Senate Resolution No. 445, 108th Congress, October 9, 2004 (effec-
tive January 4, 2005).
In subsection (b)(3), the words ‘‘Committee on Oversight and Re-
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form’’ are substituted for ‘‘Committee on Government Reform and
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13
Oversight’’ on authority of House Resolution No. 5 (106th Congress,
January 6, 1999), House Resolution No. 6 (110th Congress, Janu-
ary 5, 2007), and rule X(1)(n) of the Rules of the House of Rep-
resentatives, adopted by House Resolution No. 6 (116th Congress,
January 9, 2019).
In subsection (c)(9), the word ‘‘ensuring’’ is substituted for ‘‘insur-
ing’’ for clarity.
In subsection (f)(1) (matter before subparagraph (A)), the words
‘‘[Committee on] Oversight and Reform’’ are substituted for ‘‘[Com-
mittee on] Oversight and Government Reform’’ on authority of rule
X(1)(n) of the Rules of the House of Representatives, adopted by
House Resolution No. 6 (116th Congress, January 9, 2019).
SECTION 409
Revised Section Source (U.S. Code) Source (Pub. L.)
409(a) .................. 5 U.S.C. App. (IGA Pub. L. 95–452, § 8A(f), formerly (h), as added
§ 8A(f)) Pub. L. 97–113, title VII, § 705(a)(3), Dec. 29,
1981, 95 Stat. 1545; redesignated (f), Pub. L.
105–277, div. G, subdiv. A, title XIV,
§ 1422(b)(2)(C), Oct. 21, 1998, 112 Stat. 2681–
792.
409(b) .................. 5 U.S.C. App. (IGA Pub. L. 95–452, § 8A(c), formerly (d), as added
§ 8A(c)) Pub. L. 97–113, title VII, § 705(a)(3), Dec. 29,
1981, 95 Stat. 1545; redesignated (c), Pub. L.
105–277, div. G, subdiv. A, title XIV,
§ 1422(b)(2)(C), Oct. 21, 1998, 112 Stat. 2681–
792.
409(c) .................. 5 U.S.C. App. (IGA Pub. L. 95–452, § 8A(d), formerly (e), as added
§ 8A(d)) Pub. L. 97–113, title VII, § 705(a)(3), Dec. 29,
1981, 95 Stat. 1545; redesignated (d), Pub. L.
105–277, div. G, subdiv. A, title XIV,
§ 1422(b)(2)(C), Oct. 21, 1998, 112 Stat. 2681–
792; Pub. L. 114–317, § 7(d)(2)(E), Dec. 16,
2016, 130 Stat. 1606.
409(d) .................. 5 U.S.C. App. (IGA Pub. L. 95–452, § 8A(e), formerly (g), as added
§ 8A(e)) Pub. L. 97–113, title VII, § 705(a)(3), Dec. 29,
1981, 95 Stat. 1545; redesignated (e), Pub. L.
105–277, div. G, subdiv. A, title XIV,
§ 1422(b)(2)(C), Oct. 21, 1998, 112 Stat. 2681–
792.
In subsection (b), the reference to ‘‘section 406(a)(7) of this title’’
is substituted for ‘‘section 6(a)(6) of this Act’’ for clarity and to cor-
rect an error in the law. In the source law (section 8A(c) of the In-
spector General Act of 1978), the reference to ‘‘section 6(a)(6) of this
Act’’ is incorrect. Section 6(a)(6) of the Inspector General Act of
1978 was redesignated as section 6(a)(7) of that Act by section
107(1) of the Inspector General Act Amendments of 1988 (Public
Law 100–504, 102 Stat. 2528).
In subsection (c), the words ‘‘overseas personnel ceilings’’ are sub-
stituted for ‘‘overseas personnel ceilings established under the
Monitoring Overseas Direct Employment policy’’ to eliminate obso-
lete language. The Monitoring Overseas Direct Employment
(MODE) policy was superseded by National Security Decision Di-
rective No. 38 (NSDD–38) (June 2, 1982). (See https://
www.state.gov/m/pri/nsdd/45148.htm, last visited December 14,
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SECTION 410
Revised Section Source (U.S. Code) Source (Pub. L.)
410 ...................... 5 U.S.C. App. (IGA § 8B) Pub. L. 95–452, § 8B, as added Pub. L. 100–504,
title I, § 102(f), Oct. 18, 1988, 102 Stat. 2517.
SECTION 411
Revised Section Source (U.S. Code) Source (Pub. L.)
411 ...................... 5 U.S.C. App. (IGA § 8C) Pub. L. 95–452, § 8C, as added Pub. L. 103–204,
§ 23(a)(2), Dec. 17, 1993, 107 Stat. 2407.
SECTION 412
Revised Section Source (U.S. Code) Source (Pub. L.)
412 ...................... 5 U.S.C. App. (IGA § 8D) Pub. L. 95–452, § 8D, formerly § 8C, as added
Pub. L. 100–504, title I, § 102(f), Oct. 18, 1988,
102 Stat. 2518; renumbered § 8D, Pub. L. 103–
204, § 23(a)(3), Dec. 17, 1993, 107 Stat. 2408;
amended Pub. L. 105–206, title I, § 1103(b),
(e)(1), (2), July 22, 1998, 112 Stat. 705, 709;
Pub. L. 107–296, title XI, § 1112(a)(1), Nov. 25,
2002, 116 Stat. 2275; Pub. L. 108–7, div. L,
§ 104(c)(2), Feb. 20, 2003, 117 Stat. 531; Pub.
L. 109–177, title VI, § 605(e)(3), Mar. 9, 2006,
120 Stat. 255; Pub. L. 110–409, § 14(b), Oct.
14, 2008, 122 Stat. 4316; Pub. L. 112–199, title
I, § 117(b), Nov. 27, 2012, 126 Stat. 1475; Pub.
L. 114–317, §§ 6(2), 7(d)(3)(C), Dec. 16, 2016,
130 Stat. 1604, 1606.
In subsection (a)(3) and subsection (g)(1), the words ‘‘[Committee]
on Homeland Security and Governmental Affairs [of the Senate]’’
are substituted for ‘‘[Committee] on Governmental Affairs of the
Senate’’ on authority of Senate Resolution No. 445, 108th Congress,
October 9, 2004 (effective January 4, 2005).
In subsection (a)(3), the words ‘‘Committee on Oversight and Re-
form [of the House of Representatives]’’ are substituted for ‘‘[Com-
mittee on] Government Operations [of the House of Representa-
tives]’’ on authority of section 1(a) of Public Law 104–14 (2 U.S.C.
note prec. 21), House Resolution No. 5 (106th Congress, January 6,
1999), House Resolution No. 6 (110th Congress, January 5, 2007),
and rule X(1)(n) of the Rules of the House of Representatives,
adopted by House Resolution No. 6 (116th Congress, January 9,
2019).
In subsection (g)(1), the words ‘‘Committee on Oversight and Re-
form’’ are substituted for ‘‘[Committee on] Government Reform and
Oversight’’ on authority of rule X(1)(n) of the Rules of the House
of Representatives, adopted by House Resolution No. 6 (116th Con-
gress, January 9, 2019).
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SECTION 413
Revised Section Source (U.S. Code) Source (Pub. L.)
413 ...................... 5 U.S.C. App. (IGA § 8E) Pub. L. 95–452, § 8E, formerly § 8D, as added
Pub. L. 100–504, title I, § 102(f), Oct. 18, 1988,
102 Stat. 2520; renumbered § 8E, Pub. L. 103–
204, § 23(a)(3), Dec. 17, 1993, 107 Stat. 2408;
Pub. L. 107–273, div. A, title III, § 308, Nov. 2,
2002, 116 Stat. 1784; Pub. L. 114–317, §§ 6(3),
7(d)(3)(D), Dec. 16, 2016, 130 Stat. 1604, 1606.
In subsection (a)(3) and subsection (c), the words ‘‘[Committee] on
Homeland Security and Governmental Affairs [of the Senate]’’ are
substituted for ‘‘[Committee] on Governmental Affairs [of the Sen-
ate]’’ because of Senate Resolution No. 445, 108th Congress, Octo-
ber 9, 2004 (effective January 4, 2005).
In subsection (a)(3) and subsection (c), the words ‘‘Committee on
Oversight and Reform [of the House of Representatives]’’ are sub-
stituted for ‘‘[Committee on] Government Operations [of the House
of Representatives]’’ on authority of section 1(a) of Public Law 104–
14 (2 U.S.C. note prec. 21), House Resolution No. 5 (106th Con-
gress, January 6, 1999), House Resolution No. 6 (110th Congress,
January 5, 2007), and rule X(1)(n) of the Rules of the House of Rep-
resentatives, adopted by House Resolution No. 6 (116th Congress,
January 9, 2019).
SECTION 414
Revised Section Source (U.S. Code) Source (Pub. L.)
414 ...................... 5 U.S.C. App. (IGA § 8F) Pub. L. 95–452, § 8F, formerly § 8E, as added
Pub. L. 103–82, title II, § 202(g)(1), Sept. 21,
1993, 107 Stat. 889; renumbered § 8F, Pub. L.
103–204, § 23(a)(3), Dec. 17, 1993, 107 Stat.
2408; amended Pub. L. 111–13, title IV, § 4101,
Apr. 21, 2009, 123 Stat. 1597.
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SECTION 415
Revised Section Source (U.S. Code) Source (Pub. L.)
415 ...................... 5 U.S.C. App. (IGA § 8G) Pub. L. 95–452, § 8G, formerly § 8E, as added
Pub. L. 100–504, title I, § 104(a), Oct. 18, 1988,
102 Stat. 2522; amended Pub. L. 101–73, title
VII, § 702(c), Aug. 9, 1989, 103 Stat. 415; re-
numbered § 8F and amended Pub. L. 103–82,
title II, § 202(g)(1), (2)(A), Sept. 21, 1993, 107
Stat. 889, 890; renumbered § 8G and amended
Pub. L. 103–204, § 23(a)(3), (4), Dec. 17, 1993,
107 Stat. 2408; Pub. L. 104–88, title III, § 319,
Dec. 29, 1995, 109 Stat. 949; Pub. L. 104–208,
div. A, title I, § 101(f) [title VI, § 662(b)(1), (2)],
Sept. 30, 1996, 110 Stat. 3009–314, 3009 379;
Pub. L. 105–134, title IV, § 409(a), Dec. 2,
1997, 111 Stat. 2586; Pub. L. 105–277, div. C,
title III, § 306(h), as added Pub. L. 106–31,
title I, § 105(a)(5), May 21, 1999, 113 Stat. 63;
Pub. L. 106–422, § 1(b)(1), Nov. 1, 2000, 114
Stat. 1872; Pub. L. 107–252, title VIII,
§ 812(a), Oct. 29, 2002, 116 Stat. 1727; Pub. L.
108–271, § 8(b), July 7, 2004, 118 Stat. 814;
Pub. L. 109–435, title VI, §§ 603(b), 605(a),
Dec. 20, 2006, 120 Stat. 3240, 3242; Pub. L.
110–409, §§ 2, 3(b), 6(b), 7(d)(1), Oct. 14, 2008,
122 Stat. 4302, 4305, 4313; Pub. L. 111–203,
title IX, §§ 989B, 989D, title X, § 1081, July 21,
2010,124 Stat. 1945, 1946, 2080; Pub. L. 111–
259, title IV, § 431(a), (c), Oct. 7, 2010, 124
Stat. 2731; Pub. L. 113–126, title IV, §§ 402(1),
412(1), July 7, 2014, 128 Stat. 1408, 1409; Pub.
L. 114–113, div. H, title IV, § 401(a), Dec. 18,
2015, 129 Stat. 2639;Pub. L. 114–317, §§ 6(4),
7(d)(2)(F), (3)(E), Dec. 16, 2016, 130 Stat. 1604,
1606; Pub. L. 115–141, div. P, title V,
§ 501(a)(1), Mar. 23, 2018, 132 Stat. 1090; Pub.
L. 115–254, div. F, title I, § 1414, Oct. 5, 2018,
132 Stat. 3492.
In subsection (a )(1)(A), the words ‘‘the Board for International
Broadcasting’’ are omitted as obsolete. The Board for International
Broadcasting was established by section 3(a) of the Board for Inter-
national Broadcasting Act of 1973 (Public Law 93–129, 87 Stat.
457). The Board for International Broadcasting Act of 1973 was re-
pealed by section 310(e) of the United States International Broad-
casting Act of 1994 (Public Law 103–236, title III, 108 Stat. 442).
In subsection (a)(1)(A), the words ‘‘the Federal Housing Finance
Board’’ are omitted as obsolete because the Federal Housing Fi-
nance Board was abolished by section 1311 of the Housing and
Economic Recovery Act of 2008 (Public Law 110–289, div. A, title
III, 12 U.S.C. 4511 note).
In subsection (a)(1)(A), the words ‘‘the Panama Canal Commis-
sion’’ are omitted as obsolete because of section 1305 of the Panama
Canal Act of 1979 (22 U.S.C. 3714a).
In subsection (a)(1), subparagraph (B) restates the amendment
made by section 409(a) of the Amtrak Reform and Accountability
Act of 1997 (Public Law 105–134, 111 Stat. 2586). That provision
amended section 8G(a)(2) of the Inspector General Act of 1978 by
striking ‘‘Amtrak’’ from the definition of ‘‘designated Federal enti-
ty’’. However, the amendment was enacted with a conditional effec-
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tive date; it will take effect at the beginning of the first fiscal year
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after a fiscal year for which Amtrak receives no Federal subsidy.
The conditional effective date creates uncertainty because it cannot
be known in advance when the condition will be met and the
amendment will take effect. In subsection (a)(1), subparagraph (B)
explicitly incorporates the amendatory language and the condi-
tional effective date within the restatement text in order to clarify
that although ‘‘Amtrak’’ is currently included in the definition of
‘‘designated Federal entity’’, it is automatically struck from the def-
inition, without further congressional action, whenever the speci-
fied condition is met.
In subsection (f)(3), in subparagraph (A)(iii) and subparagraph
(C), the words ‘‘[Committee] on Homeland Security and Govern-
mental Affairs [of the Senate]’’ are substituted for ‘‘[Committee] on
Governmental Affairs [of the Senate]’’ because of Senate Resolution
No. 445, 108th Congress, October 9, 2004 (effective January 4,
2005).
In subsection (f)(3), in subparagraph (A)(iii) and subparagraph
(C), the words ‘‘Committee on Oversight and Reform’’ are sub-
stituted for ‘‘Committee on Government Reform and Oversight’’ on
authority of rule X(1)(n) of the Rules of the House of Representa-
tives, adopted by House Resolution No. 6 (116th Congress, January
9, 2019).
In subsection (f)(3)(B)(ii), the word ‘‘ensuring’’ is substituted for
‘‘insuring’’ for clarity.
In subsection (g)(3), the words ‘‘Notwithstanding the last sen-
tence of subsection (d)(1) of this section’’ are substituted for ‘‘Not-
withstanding the last sentence of subsection (d) of this section’’ for
clarity and to correct an obsolete reference in the law. In section
8G of the Inspector General Act of 1978, subsection (d) was redesig-
nated as subsection (d)(1) by section 431(c)(1) of the Intelligence
Authorization Act for Fiscal Year 2010 (Public Law 111–259, 124
Stat. 2731).
In subsection (h)(1), the words ‘‘Each year,’’ are substituted for
‘‘No later than April 30, 1989, and annually thereafter,’’ to elimi-
nate obsolete language.
In subsection (h)(2), the words ‘‘On October 31 of each year,’’ are
substituted for ‘‘Beginning on October 31, 1989, and on October 31
of each succeeding calendar year,’’ to eliminate obsolete language.
SECTION 416
Revised Section Source (U.S. Code) Source (Pub. L.)
416 ...................... 5 U.S.C. App. (IGA Pub. L. 95–452, § 8H, as added Pub. L. 105–272,
§ 8H) title VII, § 702(b)(1), Oct. 20, 1998, 112 Stat.
2415; amended Pub. L. 107–108, title III,
§ 309(b), Dec. 28, 2001, 115 Stat. 1400; Pub. L.
107–306, title VIII, § 825, Nov. 27, 2002, 116
Stat. 2429; Pub. L. 110–417, [div. A], title IX,
§ 931(b)(2), Oct. 14, 2008, 122 Stat. 4575; Pub.
L. 111–259, title IV, § 431(b), Oct. 7, 2010, 124
Stat. 2731; Pub. L. 113–126, title III, § 310,
title VI, § 603(a), July 7, 2014, 128 Stat. 1398,
1420; Pub. L. 116 92, div. E, title LXVII,
§ 6726(c), Dec. 20, 2019, 133 Stat. 2236.
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SECTION 417
Revised Section Source (U.S. Code) Source (Pub. L.)
417 ...................... 5 U.S.C. App. (IGA § 8I) Pub. L. 95–452, § 8I, as added Pub. L. 108–7, div.
L, § 104(b)(3), Feb. 20, 2003, 117 Stat. 529;
amended Pub. L. 108–458, title VIII, § 8304,
Dec. 17, 2004, 118 Stat. 3868; Pub. L. 109–177,
title VI, § 605(e)(4), Mar. 9, 2006, 120 Stat.
255; Pub. L. 114–317, § 6(5), Dec. 16, 2016, 130
Stat. 1604.
In subsection (b), the reference to ‘‘subsection (a)(2)’’ is sub-
stituted for ‘‘paragraph (2)’’ for clarity and to correct an error in the
law.
SECTION 418
Revised Section Source (U.S. Code) Source (Pub. L.)
418 ...................... 5 U.S.C. App. (IGA § 8J) Pub. L. 95–452, § 8J, formerly § 8F, as added
Pub. L. 100–504, title I, § 105, Oct. 18, 1988,
102 Stat. 2525; renumbered § 8G and amended
Pub. L. 103–82, title II, § 202(g)(1), (5)(B),
Sept. 21, 1993, 107 Stat. 889, 890; renumbered
§ 8H, Pub. L. 104–208, div. A, title I, § 101(f)
[title VI, § 662(b)(3)], Sept. 30, 1996, 110 Stat.
3009–314, 3009 380; Pub. L. 105–206, title I,
§ 1103(e)(3), July 22, 1998, 112 Stat. 709; re-
numbered § 8I and amended Pub. L. 105–272,
title VII, § 702(b), Oct. 20, 1998, 112 Stat.
2415; renumbered § 8J, Pub. L. 108–7, div. L,
§ 104(b)(2), Feb. 20, 2003, 117 Stat. 529; Pub.
L. 114–317, § 6(6), Dec. 16, 2016, 130 Stat.
1604.
SECTION 419
Revised Section Source (U.S. Code) Source (Pub. L.)
419 ...................... 5 U.S.C. App. (IGA § 8L) Pub. L. 95–452, § 8L, as added Pub. L. 112–239,
div. A, title VIII, § 848(2), Jan. 2, 2013, 126
Stat. 1851; Pub. L. 116–92, div. A, title XVII,
§§ 1732(b) through 1734, Dec. 20, 2019, 133
Stat. 1817, 1818.
In subsection (d)(5)(B), the date ‘‘December 19, 2019’’ is sub-
stituted for ‘‘the date of the enactment of the National Defense Au-
thorization Act for Fiscal Year 2020’’ for clarity.
SECTION 420
Revised Section Source (U.S. Code) Source (Pub. L.)
420 ...................... 5 U.S.C. App. (IGA Pub. L. 95–452, § 8M, formerly § 8L, as added
§ 8M) Pub. L. 110–409, § 13(a), Oct. 14, 2008, 122
Stat. 4315; renumbered § 8M, Pub. L. 112–239,
div. A, title VIII, § 848(1), Jan. 2, 2013, 126
Stat. 1851; amended Pub. L. 114–317, §§ 4(e),
7(b)(1)(A), (c), Dec. 16, 2016, 130 Stat. 1602,
1605, 1606.
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SECTION 421
Revised Section Source (U.S. Code) Source (Pub. L.)
421 ...................... 5 U.S.C. App. (IGA § 8N) Pub. L. 95–452, § 8N, as added Pub. L. 114–317,
§ 6(7), Dec. 16, 2016, 130 Stat. 1604.
SECTION 422
Revised Section Source (U.S. Code) Source (Pub. L.)
422 ...................... 5 U.S.C. App. (IGA § 9) Pub. L. 95–452, § 9, Oct. 12, 1978, 92 Stat. 1107;
Pub. L. 96–88, title V, § 508(n)(2), Oct. 17,
1979, 93 Stat. 694; Pub. L. 97–252, title XI,
§ 1117(a)(2), (3), Sept. 8, 1982, 96 Stat. 750;
Pub. L. 100–504, title I, § 102(d), Oct. 18, 1988,
102 Stat. 2516; Pub. L. 103–82, title II,
§ 202(g)(3)(A), Sept. 21, 1993, 107 Stat. 890;
Pub. L. 103–296, title I, § 108(l)(1), Aug. 15,
1994, 108 Stat. 1488; Pub. L. 105–206, title I,
§ 1103(c)(1), July 22, 1998, 112 Stat. 708; Pub.
L. 107–189, § 22(c), June 14, 2002, 116 Stat.
708; Pub. L. 107–296, title XI, § 1112(a)(2),
Nov. 25, 2002, 116 Stat. 2276.
In subsection (a)(1)(K), the words ‘‘Federal Transit Administra-
tion’’ are substituted for ‘‘Urban Mass Transportation Administra-
tion’’ because of section 3004(b) of the Federal Transit Act Amend-
ments of 1991 (Public Law 102–240, title III, 49 U.S.C. 107 note).
In subsection (a)(1)(L)(ii), the date ‘‘July 22, 1998’’ is substituted
for ‘‘the date of the enactment of the Internal Revenue Service Re-
structuring and Reform Act of 1998’’ for clarity.
In subsection (a)(1)(U), the words ‘‘Department of Veterans Af-
fairs’’ are substituted for ‘‘Veterans’’ Administration’’, and the
words ‘‘that department’’ are substituted for ‘‘that agency’’, to up-
date obsolete references in the law.
In subsection (d), the date ‘‘October 1, 1978’’ is substituted for
‘‘the effective date of this Act’’ for clarity and to reflect the effective
date of the Inspector General Act of 1978.
SECTION 423
Revised Section Source (U.S. Code) Source (Pub. L.)
423(a) .................. 5 U.S.C. App. (IGA § 3) Pub. L. 110–409, § 4(a)(3), Oct. 14, 2008, 122
note Stat. 4303; Pub. L. 111–259, title IV, § 405(b),
Oct. 7, 2010, 124 Stat. 2719.
423(b) .................. 5 U.S.C. App. (IGA § 3) Pub. L. 110–409, § 4(b)(1), Oct. 14, 2008, 122
note Stat. 4303.
423(c) .................. 5 U.S.C. App. (IGA § 3) Pub. L. 110–409, § 4(c), Oct. 14, 2008, 122 Stat.
note 4303.
In subsection (a)(1), the words ‘‘the Special Inspector General for
Iraq Reconstruction’’ are omitted as obsolete. The Special Inspector
General for Iraq Reconstruction was established as a temporary
oversight entity and ceased operations on September 30, 2013. In
the document ‘‘Final Listing of Audit and Other Reports Issued by
SIGIR on Reconstruction Spending in Iraq’’ (78 FR 58596), see the
statement by the Special Inspector General for Iraq Reconstruction
in the paragraph headed ‘‘Location of SIGIR Records After Clo-
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SECTION 424
Revised Section Source (U.S. Code) Source (Pub. L.)
424(a) through 5 U.S.C. App. (IGA § 11) Pub. L. 95–452, § 11, as added Pub. L. 110–409,
(e)(3). § 7(a), Oct. 14, 2008, 122 Stat. 4305; amended
Pub. L. 114–113, div. M, title III, § 304, Dec.
18, 2015, 129 Stat. 2913; Pub. L. 114–317, §§ 3,
7(b)(1)(B), (d)(2)(G), Dec. 16, 2016, 130 Stat.
1596, 1605, 1606; Pub. L. 115–192, § 2(b), June
25, 2018, 132 Stat. 1503; Public Law 116–260,
div. U, title V, § 501(a), 134 Stat. 2293).
424(e)(4) .............. (no source)
In subsection (b)(1)(I), the words ‘‘Government Publishing Office’’
are substituted for ‘‘Government Printing Office’’ because of section
1301(b) of the Legislative Branch Appropriations Act, 2015 (Public
Law 113–235, div. H, 44 U.S.C. note prec. 301).
In subsection (b)(3)(B)(viii)(IV), the words ‘‘Committee on Over-
sight and Reform’’ are substituted for ‘‘Committee on Oversight and
Government Reform’’ on authority of rule X(1)(n) of the Rules of
the House of Representatives, adopted by House Resolution No. 6
(116th Congress, January 9, 2019).
In subsection (c)(1)(H), the words ‘‘section 103H of the National
Security Act of 1947 (50 U.S.C. 3033)’’ are substituted for ‘‘section
3033 of title 50, United States Code’’ to correct the citation.
In subsection (c)(3)(C), the date ‘‘October 14, 2008’’ is substituted
for ‘‘the date of enactment of this subsection’’ to reflect the date of
enactment of the Inspector General Reform Act of 2008 (Public Law
110–409, 122 Stat. 4302). Section 7(a) of the Inspector General Re-
form Act of 2008 (Public Law 110–409, 122 Stat. 4305) enacted sec-
tion 11 (including subsection (c)) of the Inspector General Act of
1978.
In subsection (c)(3)(C), the words ‘‘the authority in that subpara-
graph’’ are substituted for ‘‘the authority in that paragraph’’ to cor-
rect an error in the law.
In subsection (c)(5)(A), the reference to ‘‘section 403(d)(1)(C) of
this title’’ is substituted for ‘‘section 3(d)(C)’’ for clarity and to cor-
rect an error in the law. In section 11(c)(5)(A) of the Inspector Gen-
eral Act of 1978, as added by section 2(b) of the Whistleblower Pro-
tection Coordination Act (Public Law 115–192, 132 Stat. 1503), the
reference to ‘‘section 3(d)(C)’’ should be to ‘‘section 3(d)(1)(C)’’. Sec-
tion 3(d)(1)(C) of the Inspector General Act of 1978 is restated as
‘‘section 403(d)(1)(C) of this title’’ (i.e., section 403(d)(1)(C) of title
5, United States Code).
In subsection (d)(8)(A), at the end of clause (ii), the word ‘‘and’’
is omitted to correct an error in the law.
In subsection (d)(8)(A)(iii), the words ‘‘Committee on Oversight
and Reform’’ are substituted for ‘‘Committee on Oversight and Gov-
ernment Reform’’ on authority of rule X(1)(n) of the Rules of the
House of Representatives, adopted by House Resolution No. 6
(116th Congress, January 9, 2019).
In subsection (e)(1)(C), the word ‘‘Program’’ is substituted for the
word ‘‘Plan’’ (in the phrase ‘‘Troubled Asset Relief Program’’) to cor-
rect an error in the law. In subsection (e)(1)(D), the words
‘‘Coronavirus Economic Stabilization Act of 2020’’ are substituted
for ‘‘CARES Act’’ to use the applicable short title as provided in
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In subsection (e), paragraph (4) is added to carry forward the ef-
fective date provision from section 501(c) of the Consolidated Ap-
propriations Act, 2021 (Public Law 116–260, div. U, title V, 134
Stat. 2294). Section 501(c) of the Consolidated Appropriations Act,
2021 provides that: ‘‘This Act and the amendments made by this
Act shall take effect on the date that is 30 days after the date of
receipt by the Council of the Inspectors General on Integrity and
Efficiency of an appropriation for the implementation of this Act.’’.
The scope of applicability for the effective date provision is unclear
because the references to this Act are ambiguous. The references to
this Act do not refer the entirety of the Consolidated Appropria-
tions Act, 2021, because the references are limited by section 3 of
the Consolidated Appropriations Act, 2021 (Public Law 116–260,
134 Stat. 1185), which provides that: ‘‘Except as expressly provided
otherwise, any reference to ‘this Act’ contained in any division of
this Act shall be treated as referring only to the provisions of that
division.’’. At most, therefore, the references to this Act refer only
to the provisions of division U of the Act (beginning at 134 Stat.
2286). However, it is questionable whether Congress intends the ef-
fective date to apply to the entirety of division U. The relevant por-
tion of division U appears to be limited to section 501 of the Con-
solidated Appropriations Act, 2021. The effective date is clearly in-
tended to apply to section 501 of the Act, but it is unclear whether
it is intended to apply to other portions of division U. In the re-
statement, paragraph (4) of subsection (e) carries forward the effec-
tive date as a ‘‘no-source’’ provision, explicitly making the effective
date apply to the provisions added by section 501 of the Consoli-
dated Appropriations Act, 2021, while avoiding the repeal of section
501(c) of the Consolidated Appropriations Act, 2021, which con-
tinues to apply (or not) to other portions of division U to whatever
extent Congress originally intended.
SECTION 13101
Revised Section Source (U.S. Code) Source (Pub. L.)
13101 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 109, Oct. 26, 1978, 92
§ 109) Stat. 1836; Pub. L. 101–194, title II, § 202,
Nov. 30, 1989, 103 Stat. 1741; Pub. L. 101–
280, § 3(1), (8), May 4, 1990, 104 Stat. 152,
155; Pub. L. 102–378, § 4(a)(2), Oct. 2, 1992,
106 Stat. 1357; Pub. L. 102–572, title IX,
§ 902(b)(2), Oct. 29, 1992, 106 Stat. 4516; Pub.
L. 103–160, div. A, title XI, § 1182(d)(3), Nov.
30, 1993, 107 Stat. 1773; Pub. L. 103–337, div.
A, title IX, § 924(d)(3), Oct. 5, 1994, 108 Stat.
2832; Pub. L. 104–186, title II, § 216(2), Aug.
20, 1996, 110 Stat. 1747; Pub. L. 105–368, title
V, § 512(b)(1)(D), Nov. 11, 1998, 112 Stat.
3342; Pub. L. 108–271, § 8(b), July 7, 2004, 118
Stat. 814; Pub. L. 110–323, § 7, Sept. 22, 2008,
122 Stat. 3547; Pub. L. 113–235, div. H, title I,
§ 1301(b), Dec. 16, 2014, 128 Stat. 2537.
In paragraphs (1) and (18)(B), the words ‘‘Committee on Ethics
of the House of Representatives’’ are substituted for ‘‘Committee on
Standards of Official Conduct of the House of Representatives’’ be-
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In paragraph (6), the words ‘‘The term ‘honoraria’ means the plu-
ral of ‘honorarium’ as defined in section 13141 of this title’’ are sub-
stituted for ‘‘the term ‘honoraria’ has the meaning given such term
in section 505 of this Act’’ for clarity. In the source law, the plural
form ‘‘honoraria’’ is defined in section 109 of the Ethics in Govern-
ment Act of 1978, but the singular form ‘‘honorarium’’ is defined in
section 505 of the Act.
SECTION 13102
Revised Section Source (U.S. Code) Source (Pub. L.)
13102 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 111, as added Pub. L.
§ 111) 101–194, title II, § 202, Nov. 30, 1989, 103
Stat. 1744; amended Pub. L. 101–280, § 3(1),
(9), May 4, 1990, 104 Stat. 152, 157.
In subsection (a)(2), the words ‘‘Committee on Ethics of the
House of Representatives’’ are substituted for ‘‘Committee on
Standards of Official Conduct of the House of Representatives’’ be-
cause of House Resolution No. 5, 112th Congress, January 5, 2011.
SECTION 13103
Revised Section Source (U.S. Code) Source (Pub. L.)
13103 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 101, Oct. 26, 1978, 92
§ 101) Stat. 1824; Pub. L. 96–19, § § 2(a)(1), (b), (c)(1),
4(b)(1), (d)–(f), 5, June 13, 1979, 93 Stat. 37,
38, 40; Pub. L. 101–194, title II, § 202, Nov. 30,
1989, 103 Stat. 1725; Pub. L. 101–280, § 3(1),
(2), May 4, 1990, 104 Stat. 152; Pub. L. 102–
25, title VI, § 605(a), Apr. 6, 1991, 105 Stat.
110; Pub. L. 102–378, § 4(a)(1), Oct. 2, 1992,
106 Stat. 1356; Pub. L. 109–435, title VI,
§ 604(c), Dec. 20, 2006, 120 Stat. 3241.
In subsection (c), the words ‘‘section 301 of the Federal Election
Campaign Act of 1971 (52 U.S.C. 30101)’’ are substituted for ‘‘sec-
tion 301 of the Federal Campaign Act of 1971’’ for clarity and to
correct an error in the law.
In subsection (f)(8), the words ‘‘special Government employee’’
are substituted for ‘‘special government employee’’ to correct an
error in the law.
SECTION 13104
Revised Section Source (U.S. Code) Source (Pub. L.)
13104 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 102, Oct. 26, 1978, 92
§ 102) Stat. 1825; Pub. L. 96–19, § § 3(a)(1), (b), 6(a),
7(a)–(d)(1), (f), 9(b), (c)(1), (j), June 13, 1979, 93
Stat. 39–43; Pub. L. 97–51, § 130(b), Oct. 1,
1981, 95 Stat. 966; Pub. L. 98–150, § 10, Nov.
11, 1983, 97 Stat. 962; Pub. L. 101–194, title
II, § 202, Nov. 30, 1989, 103 Stat. 1727; Pub. L.
101–280, § 3(3), May 4, 1990, 104 Stat. 152;
Pub. L. 102–90, title III, § 314(a), Aug. 14,
1991, 105 Stat. 469; Pub. L. 104–65, § § 20,
22(a), (b), Dec. 19, 1995, 109 Stat. 704, 705;
Pub. L. 112–105, § 13(a), Apr. 4, 2012, 126
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In subsection (a)(4)(A), in clause (ii)(II) and clause (iii)(II), the
words ‘‘special Government employee’’ are substituted for ‘‘special
government employee’’ to correct errors in the law.
In subsection (f)(2)(B)(ii), at the end of the clause, after the word
‘‘knowledge’’, the word ‘‘of’’ is omitted to correct an error in the law.
The preceding phrase ‘‘of which’’ eliminates the need for ‘‘of’’ after
‘‘knowledge’’.
In subsection (f)(3)(E), the words ‘‘Securities Exchange Act of
1934’’ are substituted for ‘‘Securities and Exchange Act of 1934’’ to
correct an error in the law. See the short title enacted by section
1 of the Act (15 U.S.C. 78a).
In subsection (f)(3)(F), the reference to ‘‘the effective date of title
II of the Ethics Reform Act of 1989’’ is not translated to a date cer-
tain because the date varies. For most provisions, the effective date
is January 1, 1991. For section 102(f)(4)(B) of the Ethics in Govern-
ment Act of 1978, which is restated as section 13104(f)(4)(B) of title
5, United States Code, the effective date is January 1, 1990. See
section 204 of the Ethics Reform Act of 1989, as added by section
3(10)(B) of Public Law 101–280 (104 Stat. 157).
In subsection (f)(4)(B)(i)(V), the reference to ‘‘the effective date of
this Act’’ is not translated to a date certain because the date is am-
biguous. The words ‘‘the effective date of this Act’’ probably mean
the effective date of title II of the Ethics Reform Act of 1989 (rather
than the effective date of the Ethics in Government Act of 1978).
Title II of the Ethics Reform Act of 1989 enacted a general amend-
ment of title I of the Ethics in Government Act of 1978 (see section
202 at 103 Stat. 1724). For title II of the Ethics Reform Act of
1989, the effective date varies. For most provisions, the effective
date is January 1, 1991. For section 102(f)(4)(B) of the Ethics in
Government Act of 1978, which is restated as section 13104(f)(4)(B)
of title 5, United States Code, the effective date is January 1, 1990.
See section 204 of the Ethics Reform Act of 1989, as added by sec-
tion 3(10)(B) of Public Law 101–280 (104 Stat. 157).
SECTION 13105
Revised Section Source (U.S. Code) Source (Pub. L.)
13105 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 103, Oct. 26, 1978, 92
§ 103) 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; Pub. L. 115–277, § 1(b),
Nov. 3, 2018, 132 Stat. 4167.
In subsection (h)(1)(A)(ii), the date ‘‘November 30, 1989’’ is sub-
stituted for ‘‘the date of the enactment of the Ethics Reform Act of
1989’’ to reflect the date of enactment of the Ethics Reform Act of
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In subsection (i)(1), the reference to ‘‘section 312(a) of the Federal
Election Campaign Act of 1971 (52 U.S.C. 30113(a))’’ is substituted
for ‘‘section 316(a) of the Federal Election Campaign Act of 1971’’
to correct an error in the law. Section 312(a), not section 316(a), of
the Federal Election Campaign Act of 1971 contains provisions re-
lating to the filing of copies of reports with the appropriate State
officer. Section 312 of the Federal Election Campaign Act of 1971
was originally enacted as section 309, but was redesignated several
times. The provision was redesignated as section 317 by section
208(a) of Public Law 93–443 (88 Stat. 1279), as section 316 by sec-
tion 105 of Public Law 94–283 (90 Stat. 481), and as section 312
by section 105(4) of Public Law 96–187 (93 Stat. 1354).
In subsection (j)(1), the words ‘‘Committee on Ethics of the House
of Representatives’’ are substituted for ‘‘Committee on Standards of
Official Conduct of the House of Representatives’’ because of House
Resolution No. 5, 112th Congress, January 5, 2011.
In subsection (l)(8), the words ‘‘special Government employee as
defined in section 202 of title 18’’ are substituted for ‘‘special gov-
ernment employee’’ for clarity and consistency with other provi-
sions of the chapter.
SECTION 13106
Revised Section Source (U.S. Code) Source (Pub. L.)
13106 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 104, Oct. 26, 1978, 92
§ 104) Stat. 1832; Pub. L. 96–19, § 8(a), June 13,
1979, 93 Stat. 41; Pub. L. 101–194, title II,
§ 202, Nov. 30, 1989, 103 Stat. 1737; Pub. L.
101–280, § 3(1), (5), May 4, 1990, 104 Stat.
152, 154; Pub. L. 101–650, title IV, § 405, Dec.
1, 1990, 104 Stat. 5124; Pub. L. 110–81, title
VII, § 702, Sept. 14, 2007, 121 Stat. 775.
In subsection (d)(1) (matter after subparagraph (B)), the extra
period at the end is removed to correct an error in the law. The
extra period resulted from an amendment to the source law made
by section 3(5)(B) of Public Law 101–280 (104 Stat. 154).
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SECTION 13107
Revised Section Source (U.S. Code) Source (Pub. L.)
13107 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 105, Oct. 26, 1978, 92
§ 105) Stat. 1833; Pub. L. 101–194, title II, § 202,
Nov. 30, 1989, 103 Stat. 1737; Pub. L. 101–
280, § 3(6), May 4, 1990, 104 Stat. 154; Pub. L.
102–90, title III, § 313(2), Aug. 14, 1991, 105
Stat. 469; Pub. L. 103–359, title V, § 501(m),
Oct. 14, 1994, 108 Stat. 3430; Pub. L. 104–201,
div. A, title XI, § 1122(b)(2), Sept. 23, 1996, 110
Stat. 2687; Pub. L. 105–318, § 7, Oct. 30, 1998,
112 Stat. 3011; Pub. L. 107–126, Jan. 16, 2002,
115 Stat. 2404; Pub. L. 108–458, title I,
§ 1079(c), Dec. 17, 2004, 118 Stat. 3696; Pub.
L. 110–24, § § 2, 3, May 3, 2007, 121 Stat. 100;
Pub. L. 110–177, title I, § 104, Jan. 7, 2008,
121 Stat. 2535; Pub. L. 110–417, [div. A], title
IX, § 931(b)(1), Oct. 14, 2008, 122 Stat. 4575;
Pub. L. 112–84, § 1, Jan. 3, 2012, 125 Stat.
1870; Pub. L. 112–105, § 8(c), Apr. 4, 2012, 126
Stat. 296; Pub. L. 115–141, div. M, title VI,
§ 601, Mar. 23, 2018, 132 Stat. 1051.
In subsection (a)(1), the word ‘‘by’’ is substituted for ‘‘be’’ to cor-
rect an error in the law. The change appears in the phrase ‘‘public
disclosure of such report would, by [be] revealing the identity of the
individual or other sensitive information, compromise the national
interest of the United States’’.
In subsection (b)(3)(C) (matter before clause (i)), the words ‘‘Com-
mittee on Oversight and Reform’’ are substituted for ‘‘Committee
on Oversight and Government Reform’’ on authority of Rule X(1)(n)
of the Rules of the House of Representatives, adopted by House
Resolution No. 6 (116th Congress, January 9, 2019).
SECTION 13108
Revised Section Source (U.S. Code) Source (Pub. L.)
13108 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 106, Oct. 26, 1978, 92
§ 106) Stat. 1833; Pub. L. 101–194, title II, § 202,
Nov. 30, 1989, 103 Stat. 1739; Pub. L. 101–
280, § 3(1), (7), May 4, 1990, 104 Stat. 152,
155.
SECTION 13109
Revised Section Source (U.S. Code) Source (Pub. L.)
13109 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 107, Oct. 26, 1978, 92
§ 107) Stat. 1834; Pub. L. 96–19, § 9(d), (g), June 13,
1979, 93 Stat. 42, 43; Pub. L. 101–194, title II,
§ 202, Nov. 30, 1989, 103 Stat. 1740.
SECTION 13110
Revised Section Source (U.S. Code) Source (Pub. L.)
13110 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 108, Oct. 26, 1978, 92
§ 108) Stat. 1835; Pub. L. 96–19, § 9(t), June 13,
1979, 93 Stat. 44; Pub. L. 101–194, title II,
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§ 202, Nov. 30, 1989, 103 Stat. 1741.
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SECTION 13111
Revised Section Source (U.S. Code) Source (Pub. L.)
13111 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title I, § 110, as added Pub. L.
§ 110) 101–194, title II, § 202, Nov. 30, 1989, 103
Stat. 1744; amended Pub. L. 101–280, § 3(1),
May 4, 1990, 104 Stat. 152.
SECTION 13121
Revised Section Source (U.S. Code) Source (Pub. L.)
13121 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 401, Oct. 26, 1978, 92
§ 401) Stat. 1862; Pub. L. 98–150, § 2, Nov. 11, 1983,
97 Stat. 959; Pub. L. 100–598, § 3, Nov. 3,
1988, 102 Stat. 3031; Pub. L. 104–179,
§ 4(b)(2)(A), Aug. 6, 1996, 110 Stat. 1567.
SECTION 13122
Revised Section Source (U.S. Code) Source (Pub. L.)
13122 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 402, Oct. 26, 1978, 92
§ 402) Stat. 1862; Pub. L. 96–19, § 9(e), (s), June 13,
1979, 93 Stat. 43, 44; Pub. L. 98–150, § 3(a),
(b), Nov. 11, 1983, 97 Stat. 959; Pub. L. 100–
598, § § 5–7, Nov. 3, 1988, 102 Stat. 3032,
3033.
In subsection (b)(1), the reference to ‘‘subchapter I’’ is substituted
for ‘‘title II of this Act’’ for clarity and to update an obsolete ref-
erence in the law. The reference to ‘‘title II of this Act’’ means title
II of the Ethics in Government Act of 1978, which was previously
repealed. Section 201 of the Ethics Reform Act of 1989 (Public Law
101–194, 103 Stat. 1724) repealed title II of the Ethics in Govern-
ment Act of 1978. Section 202 of the Ethics Reform Act of 1989
(Public Law 101–194, 103 Stat. 1724) enacted a general amend-
ment of title I of the Ethics in Government Act of 1978, and, as
amended, title I of the Ethics in Government Act of 1978 included
provisions relating to the filing, review, and public availability of
financial statements filed by officers and employees in the execu-
tive, legislative, and judicial branches of the Federal Government.
Title I of the Ethics in Government Act of 1978 is restated as ‘‘sub-
chapter I’’ (i.e., subchapter I of chapter 131 of title 5, United States
Code).
In subsection (b)(3), the reference to ‘‘subchapter I’’ is substituted
for ‘‘title II of this Act’’ and for ‘‘such title’’ for clarity and to update
obsolete references in the law. See the explanation in the revision
note pertaining to subsection (b)(1) of this section.
In subsection (b)(15), the reference to ‘‘subchapter I’’ is sub-
stituted for ‘‘title II of this Act’’ for clarity and to update an obso-
lete reference in the law. See the explanation in the revision note
pertaining to subsection (b)(1) of this section.
In subsection (f)(2)(B)(iv), the reference to ‘‘subchapter I’’ is sub-
stituted for ‘‘title 2 of this Act’’ for clarity and to update an erro-
neous and obsolete reference in the law. The reference to ‘‘title 2
of this Act’’ should be ‘‘title II of this Act’’, meaning title II of the
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Ethics in Government Act of 1978, which was previously repealed.
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See the explanation in the revision note pertaining to subsection
(b)(1) of this section.
In subsection (f)(2)(B)(iv), the reference to ‘‘section 13108 of this
title’’ is substituted for ‘‘section 206 of this Act’’ for clarity and to
update an obsolete reference in the law. The reference to ‘‘section
206 of this Act’’ means section 206 of the Ethics in Government Act
of 1978, which was previously repealed. The Act language for the
now repealed section 206 of the Ethics in Government Act of 1978
appears at 92 Stat. 1847 (except that section 9(m) of Public Law
96–19 (93 Stat. 43) amended the text of section 206(a) of the Ethics
in Government Act of 1978 by striking ‘‘shall be’’ and inserting
‘‘is’’). Section 206 of the Ethics in Government Act of 1978 was re-
pealed by section 201 of the Ethics Reform Act of 1989 (Public Law
101–194, 103 Stat. 1724), and equivalent language was enacted as
section 106 of the Ethics in Government Act of 1978 by section 202
of the Ethics Reform Act of 1989 (Public Law 101–194, 103 Stat.
1724, 1739). Section 106 of the Ethics in Government Act of 1978
is restated as ‘‘section 13108 of this title’’ (i.e., section 13108 of title
5, United States Code).
In subsection (f)(3)(B), the words ‘‘the head of the officer’s’’ are
substituted for ‘‘the head of officer’s’’ to correct an error in the law.
SECTION 13123
Revised Section Source (U.S. Code) Source (Pub. L.)
13123 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 403, Oct. 26, 1978, 92
§ 403) Stat. 1863; Pub. L. 98–150, § 5, Nov. 11, 1983,
97 Stat. 960; Pub. L. 100–598, § 9, Nov. 3,
1988, 102 Stat. 3035; Pub. L. 104–179, § 2,
Aug. 6, 1996, 110 Stat. 1566.
SECTION 13124
Revised Section Source (U.S. Code) Source (Pub. L.)
13124 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 404, Oct. 26, 1978, 92
§ 404) Stat. 1863; Pub. L. 98–150, § 3(c), Nov. 11,
1983, 97 Stat. 960.
SECTION 13125
Revised Section Source (U.S. Code) Source (Pub. L.)
13125 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 405, Oct. 26, 1978, 92
§ 405) Stat. 1863; Pub. L. 98–150, § 12, Nov. 11, 1983,
97 Stat. 963; Pub. L. 100–598, § 2, Nov. 3,
1988, 102 Stat. 3031; Pub. L. 101–334, § 2,
July 16, 1990, 104 Stat. 318; Pub. L. 102–506,
§ 2, Oct. 24, 1992, 106 Stat. 3280; Pub. L. 104–
179, § 3, Aug. 6, 1996, 110 Stat. 1566; Pub. L.
107–119, § 2, Jan. 15, 2002, 115 Stat. 2382;
Pub. L. 109–289, div. B, title II, § 21069, as
added Pub. L. 110–5, § 2, Feb. 15, 2007, 121
Stat. 57.
Although provisions authorizing the appropriation of ‘‘such sums
as may be necessary’’ are generally considered unnecessary, and al-
though this provision is obsolete because it explicitly applies only
to fiscal year 2007, the provision is nevertheless intentionally re-
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stated in chapter 131 of title 5, United States Code.
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SECTION 13126
Revised Section Source (U.S. Code) Source (Pub. L.)
13126 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title IV, § 408, as added Pub. L.
§ 408) 100–598, § 4, Nov. 3, 1988, 102 Stat. 3031;
amended Pub. L. 104–179, § 4(b)(2)(B), Aug. 6,
1996, 110 Stat. 1567.
SECTION 13141
Revised Section Source (U.S. Code) Source (Pub. L.)
13141 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title V, § 505, as added Pub. L.
§ 505) 101–194, title VI, § 601(a), Nov. 30, 1989, 103
Stat. 1761; amended Pub. L. 102–90, title I,
§ 6(b)(2), (3), title III, § 314(b), Aug. 14, 1991,
105 Stat. 450, 469.
SECTION 13142
Revised Section Source (U.S. Code) Source (Pub. L.)
13142 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title V, § 503, as added Pub. L.
§ 503) 101–194, title VI, § 601(a), Nov. 30, 1989, 103
Stat. 1761; amended Pub. L. 101–280, § 7(c),
May 4, 1990, 104 Stat. 161; Pub. L. 102–90,
title I, § 6(b)(1), Aug. 14, 1991, 105 Stat. 450.
In paragraph (1)(A), the words ‘‘Committee on Ethics of the
House of Representatives’’ are substituted for ‘‘Committee on
Standards of Official Conduct of the House of Representatives’’ be-
cause of House Resolution No. 5, 112th Congress, January 5, 2011.
SECTION 13143
Revised Section Source (U.S. Code) Source (Pub. L.)
13143 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title V, § 501, as added Pub. L.
§ 501) 101–194, title VI, § 601(a), Nov. 30, 1989, 103
Stat. 1760; amended Pub. L. 101–280, § 7(a),
May 4, 1990, 104 Stat. 161; Pub. L. 102–378,
§ 4(b)(1), (2), Oct. 2, 1992, 106 Stat. 1357.
SECTION 13144
Revised Section Source (U.S. Code) Source (Pub. L.)
13144 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title V, § 502, as added Pub. L.
§ 502) 101–194, title VI, § 601(a), Nov. 30, 1989, 103
Stat. 1761; amended Pub. L. 101–280, § 7(a)(1),
(b), May 4, 1990, 104 Stat. 161; Pub. L. 101–
650, title III, § 319, Dec. 1, 1990, 104 Stat.
5117; Pub. L. 102–198, § 6, Dec. 9, 1991, 105
Stat. 1624; Pub. L. 102–378, § 4(b)(3), Oct. 2,
1992, 106 Stat. 1357.
In subsection (b)(2), the words ‘‘subsection (e) of section 371 of
title 28’’ are substituted for ‘‘subsection (f) of section 371 of title 28’’
for clarity and to update an obsolete reference in the law. Sub-
section (f) of section 371 of title 28, United States Code, was redes-
ignated as subsection (e) by section 654(a)(1)(B) of the Floyd D.
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Spence National Defense Authorization Act for Fiscal Year 2001
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(Public Law 106–398, § 1 [div. A, title VI, § 654(a)(1)(B)], 114 Stat.
1654, 1654A–165).
SECTION 13145
Revised Section Source (U.S. Code) Source (Pub. L.)
13145 ................. 5 U.S.C. App. (EGA Pub. L. 95–521, title V, § 504, as added Pub. L.
§ 504) 101–194, title VI, § 601(a), Nov. 30, 1989, 103
Stat. 1761.
SECTION 13146
Revised Section Source (U.S. Code) Source (Pub. L.)
13146 ................. (no source)
This section is added in accordance with section 603 of the Ethics
Reform Act of 1989 (Public Law 101–194, 26 U.S.C. 7701 note).
Section 603 of the Ethics Reform Act of 1989 provides that amend-
ments made by title VI of the Act (103 Stat. 1760) shall cease to
be effective if the provisions of section 703 of the Act (5 U.S.C. 5318
note) are repealed, in which case the laws in effect before the
amendments made by title VI of the Act shall be deemed to be re-
enacted. Among other things, the amendments made by title VI of
the Ethics Reform Act of 1989 enacted a general rewrite of title V
of the Ethics in Government Act of 1978, which is restated as this
subchapter. If the provisions of section 703 of the Ethics Reform
Act of 1989 (Public Law 101–194, 5 U.S.C. 5318 note) are repealed,
then this subchapter shall cease to be effective, and the prior provi-
sions of title V of the Ethics in Government Act of 1978 shall be
deemed to be reenacted. The prior provisions of title V of the Ethics
in Government Act of 1978 (Public Law 95–521, 92 Stat. 1864) re-
late to an amendment to section 207 of title 18, United States
Code, which has previously been executed to text.
Section 4—Technical Amendments
Section 4(a) of the bill makes technical amendments to update
references to the Federal Advisory Committee Act (Public Law 92–
463), which is restated by section 3(a) of the bill as chapter 10 of
title 5, United States Code.
Section 4(b) of the bill makes technical amendments to update
references to the Inspector General Act of 1978 (Public Law 95–
452), which is restated by section 3(b) of the bill as chapter 4 of
title 5, United States Code.
Section 4(c) of the bill makes technical amendments to update
references to the Ethics in Government Act of 1978 (Public Law
95–521), which is restated by section 3(c) of the bill as chapter 131
of title 5, United States Code.
Section 4(d) of the bill makes technical amendments to update
tables of contents in title 5, United States Code.
In the course of preparing the amendments to update references
in section 4 of the bill, several errors in the existing law were iden-
tified and corrected. The corrections are explained in detail in the
paragraphs below.
Section 4(b)(82)(A)(i) of the bill amends section 160(a) (matter be-
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fore paragraph (1)) of the Energy Policy Act of 1992 (42 U.S.C.
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8262f(a) (matter before paragraph (1))) by striking ‘‘section 11(2) of
the Inspector General Act of 1978 (5 U.S.C. App.),’’ and inserting
‘‘section 401(1) of title 5, United States Code,’’. The existing ref-
erence to ‘‘section 11(2) of the Inspector General Act of 1978 (5
U.S.C. App.)’’ is erroneous because section 11 of the Inspector Gen-
eral Act of 1978 was renumbered as section 12 by section 7(a) of
Public Law 110–409 (122 Stat. 4305). Section 12(2) of the Inspector
General Act of 1978 is restated as section 401(1) of title 5, United
States Code.
Section 4(b)(82)(A)(ii) of the bill amends section 160(a) (matter
before paragraph (1)) of the Energy Policy Act of 1992 (42 U.S.C.
8262f(a) (matter before paragraph (1))) by striking ‘‘section 8E(f)(1)
as established by section 8E(a)(2) of the Inspector General Act
Amendments of 1988 (Public Law 100–504)’’ and inserting ‘‘section
415(f) of title 5, United States Code,’’. The existing reference to
‘‘section 8E(f)(1) as established by section 8E(a)(2) of the Inspector
General Act Amendments of 1988 (Public Law 100–504)’’ is erro-
neous because section 8E of the Inspector General Act of 1978 was
added by section 104(a)—not ‘‘section 8E(a)(2)’’—of the Inspector
General Act Amendments of 1988 (Public Law 100–504, 102 Stat.
2522, 2524). In addition, the existing reference is erroneous be-
cause section 8E of the Inspector General Act of 1978 was succes-
sively redesignated as section 8F (by Public Law 103–82,
§ 202(g)(1), 107 Stat. 889) and as section 8G (by Public Law 103–
204, § 23(a)(3), 107 Stat. 2408). The provision was also amended
several times. The existing reference to ‘‘section 8E(f)(1)’’ means the
language that originally constituted section 8E(f)(1) (see 102 Stat.
2524). That language no longer appears in the Act as amended.
The closest analog is the language in section 8G(f) of the Inspector
General Act of 1978, which is restated as section 415(f) of title 5,
United States Code.
Section 4(b)(85) of the bill amends section 192A(g)(6) of the Na-
tional and Community Service Act of 1990 (42 U.S.C. 12651b(g)(6))
by striking ‘‘section 8E of the Inspector General Act of 1978;’’ and
inserting ‘‘section 414 of title 5, United States Code;’’. The existing
reference to ‘‘section 8E of the Inspector General Act of 1978;’’ is
erroneous because section 8E of the Inspector General Act of 1978,
as added by section 202(g)(1) of Public Law 103–82 (107 Stat. 889),
was redesignated as section 8F by section 23(a)(3) of Public Law
103–204 (107 Stat. 2408). Section 8F of the Inspector General Act
of 1978 is restated as section 414 of title 5, United States Code.
Section 4(b)(86) of the bill amends section 193A(a) of the Na-
tional and Community Service Act of 1990 (42 U.S.C. 12651d(a)) by
striking ‘‘section 8E of the Inspector General Act of 1978.’’ and in-
serting ‘‘section 414 of title 5, United States Code.’’. The existing
reference to ‘‘section 8E of the Inspector General Act of 1978.’’ is
erroneous because section 8E of the Inspector General Act of 1978,
as added by section 202(g)(1) of Public Law 103–82 (107 Stat. 889),
was redesignated as section 8F by section 23(a)(3) of Public Law
103–204 (107 Stat. 2408). Section 8F of the Inspector General Act
of 1978 is restated as section 414 of title 5, United States Code.
Section 4(b)(88) of the bill amends section 195(a) of the National
and Community Service Act of 1990 (42 U.S.C. 12651f(a)) by strik-
ing ‘‘section 8E of the Inspector General Act of 1978,’’ and inserting
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‘‘section 414 of title 5, United States Code,’’. The existing reference
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to ‘‘section 8E of the Inspector General Act of 1978,’’ is erroneous
because section 8E of the Inspector General Act of 1978, as added
by section 202(g)(1) of Public Law 103–82 (107 Stat. 889), was re-
designated as section 8F by section 23(a)(3) of Public Law 103–204
(107 Stat. 2408). Section 8F of the Inspector General Act of 1978
is restated as section 414 of title 5, United States Code.
Section 5—Transitional and Savings Provisions
Section 5 of the bill contains transitional and savings provisions.
Section 6—Effect of References to Title 5 on Application of Ethics
Provisions
Section 6 of the bill provides that a Federal statute providing
that title 5 of the United States Code as a whole is inapplicable,
or providing that an appointment may be made without regard to
the provisions of title 5 governing appointment in the competitive
service, shall not affect the application of any provision of chapter
131 of title 5, United States Code. Provisions of the Ethics in Gov-
ernment Act of 1978, which were previously set out in an appendix
to title 5, United States Code, are restated as chapter 131 of title
5, United States Code, by section 3(c) of the bill. Section 6 of the
bill is added to clarify that the application of the ethics provisions
is not affected by the transfer of those provisions from the appendix
to the body of title 5, United States Code.
Section 7—Repeals
Section 7 of the bill repeals provisions replaced by the bill (see
‘‘Disposition Table’’ above).
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3(e) of House Rule XIII, changes in ex-
isting law made by the bill, H.R. 5961, as reported, are shown as
follows:
CHANGES IN EXISTING LAW MADE BY THE BILL
Set out below is a comparative print showing changes in existing
law made by the bill. Insertions are shown in italic and omissions
are surrounded by brackets.
Changes in Existing Law Made by Section 3(a) of the Bill (Amending Part
I of Title 5, United States Code)
CHAPTER 10—FEDERAL ADVISORY COMMITTEES
Sec.
1001. Definitions.
1002. Findings and declarations.
1003. Applicability.
1004. Responsibilities of congressional committees.
1005. Responsibilities of the President.
1006. Responsibilities of the Administrator.
1007. Responsibilities of agency heads.
1008. Establishment and purpose of advisory committees.
1009. Advisory committee procedures.
1010. Availability of transcripts.
1011. Fiscal and administrative provisions.
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1012. Responsibilities of Library of Congress.
1013. Termination of advisory committees.
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1014. Requirements relating to National Academy of Sciences and National Academy
of Public Administration.
§ 1001. Definitions
In this chapter:
(1) ADMINISTRATOR.—The term ‘‘Administrator’’ means the
Administrator of General Services.
(2) ADVISORY COMMITTEE.—
(A) IN GENERAL.—The term ‘‘advisory committee’’ means
a committee, board, commission, council, conference, panel,
task force, or other similar group, or any subcommittee or
other subgroup thereof (hereafter in this paragraph referred
to as ‘‘committee’’) that is established or utilized to obtain
advice or recommendations for the President or one or more
agencies or officers of the Federal Government and that
is—
(i) established by statute or reorganization plan;
(ii) established or utilized by the President; or
(iii) established or utilized by one or more agencies.
(B) EXCLUSIONS.—The term ‘‘advisory committee’’ ex-
cludes—
(i) a committee that is composed wholly of full-time,
or permanent part-time, officers or employees of the
Federal Government; and
(ii) a committee that is created by the National Acad-
emy of Sciences or the National Academy of Public Ad-
ministration.
(3) AGENCY.—The term ‘‘agency’’ has the meaning given the
term in section 551 of this title.
(4) PRESIDENTIAL ADVISORY COMMITTEE.—The term ‘‘Presi-
dential advisory committee’’ means an advisory committee that
advises the President.
§ 1002. Findings and Declarations
(a) FINDINGS.—Congress finds that there are numerous commit-
tees, boards, commissions, councils, and similar groups which have
been established to advise officers and agencies in the executive
branch of the Federal Government and that they are frequently a
useful and beneficial means of furnishing expert advice, ideas, and
diverse opinions to the Federal Government.
(b) FINDINGS AND DECLARATIONS.—Congress further finds and
declares that—
(1) the need for many existing advisory committees has not
been adequately reviewed;
(2) new advisory committees should be established only when
they are determined to be essential and their number should be
kept to the minimum necessary;
(3) advisory committees should be terminated when they are
no longer carrying out the purposes for which they were estab-
lished;
(4) standards and uniform procedures should govern the es-
tablishment, operation, administration, and duration of advi-
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sory committees;
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(5) Congress and the public should be kept informed with re-
spect to the number, purpose, membership, activities, and cost
of advisory committees; and
(6) the function of advisory committees should be advisory
only, and all matters under their consideration should be deter-
mined, in accordance with law, by the official, agency, or officer
involved.
§ 1003. Applicability
(a) IN GENERAL.—This chapter, and any rule, order, or regulation
promulgated under this chapter, shall apply to each advisory com-
mittee except to the extent that the Act establishing the advisory
committee specifically provides otherwise.
(b) EXEMPTIONS RELATING TO CERTAIN FEDERAL ENTITIES.—
Nothing in this chapter shall be construed to apply to an advisory
committee established or utilized by—
(1) the Central Intelligence Agency;
(2) the Federal Reserve System; or
(3) the Office of the Director of National Intelligence, if the
Director of National Intelligence determines that for reasons of
national security the advisory committee cannot comply with
the requirements of this chapter.
(c) EXEMPTIONS RELATING TO CERTAIN LOCAL AND STATE ENTI-
TIES.—Nothing in this chapter shall be construed to apply to any
local civic group whose primary function is that of rendering a pub-
lic service with respect to a Federal program, or any State or local
committee, council, board, commission, or similar group established
to advise or make recommendations to State or local officials or
agencies.
§ 1004. Responsibilities of Congressional Committees
(a) REVIEW OF ACTIVITIES.—In the exercise of its legislative review
function, each standing committee of the Senate and the House of
Representatives shall make a continuing review of the activities of
each advisory committee under its jurisdiction to determine whether
such advisory committee should be abolished or merged with any
other advisory committee, whether the responsibilities of such advi-
sory committee should be revised, and whether such advisory com-
mittee performs a necessary function not already being performed.
Each such standing committee shall take appropriate action to ob-
tain the enactment of legislation necessary to carry out the purpose
of this subsection.
(b) CONSIDERATION OF LEGISLATION.—In considering legislation
establishing, or authorizing the establishment of any advisory com-
mittee, each standing committee of the Senate and of the House of
Representatives shall determine, and report such determination to
the Senate or to the House of Representatives, as the case may be,
whether the functions of the proposed advisory committee are being
or could be performed by one or more agencies or by an advisory
committee already in existence, or by enlarging the mandate of an
existing advisory committee. Any such legislation shall—
(1) contain a clearly defined purpose for the advisory com-
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mittee;
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(2) require the membership of the advisory committee to be
fairly balanced in terms of the points of view represented and
the functions to be performed by the advisory committee;
(3) contain appropriate provisions to assure that the advice
and recommendations of the advisory committee will not be in-
appropriately influenced by the appointing authority or by any
special interest, but will instead be the result of the advisory
committee’s independent judgment;
(4) contain provisions dealing with authorization of appro-
priations, the date for submission of reports (if any), the dura-
tion of the advisory committee, and the publication of reports
and other materials, to the extent that the standing committee
determines the provisions of section 1009 of this chapter to be
inadequate; and
(5) contain provisions which will assure that the advisory
committee will have adequate staff (either supplied by an agen-
cy or employed by it), will be provided adequate quarters, and
will have funds available to meet its other necessary expenses.
(c) ADHERENCE TO GUIDELINES.—To the extent they are applica-
ble, the guidelines set out in subsection (b) shall be followed by the
President, agency heads, or other Federal officials in creating an
advisory committee.
§ 1005. Responsibilities of the President
(a) DELEGATION.—The President may delegate responsibility for
evaluating and taking action, where appropriate, with respect to all
public recommendations made to the President by Presidential advi-
sory committees.
(b) REPORT ON RESPONSE TO RECOMMENDATIONS.—Within 1 year
after a Presidential advisory committee submits a public report to
the President, the President or the President’s delegate shall submit
to Congress a report stating either proposals for action or reasons
for inaction, with respect to the recommendations contained in the
public report.
§ 1006. Responsibilities of the Administrator
(a) COMMITTEE MANAGEMENT SECRETARIAT.—The Administrator
shall establish and maintain within the General Services Adminis-
tration a Committee Management Secretariat, which shall be re-
sponsible for all matters relating to advisory committees.
(b) ANNUAL REVIEWS.—
(1) IN GENERAL.—Each year, the Administrator shall conduct
a comprehensive review of the activities and responsibilities of
each advisory committee to determine—
(A) whether the committee is carrying out its purpose;
(B) whether, consistent with the provisions of applicable
statutes, the responsibilities assigned to the committee
should be revised;
(C) whether the committee should be merged with other
advisory committees; or
(D) whether the committee should be abolished.
(2) OBTAINING INFORMATION.—The Administrator may from
time to time request such information as the Administrator
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Agency heads shall cooperate with the Administrator in making
the reviews required by this subsection.
(3) RECOMMENDATIONS.—Upon completion of the review, the
Administrator shall make recommendations to the President
and to either the agency head or Congress with respect to action
the Administrator believes should be taken.
(c) ADMINISTRATIVE GUIDELINES AND MANAGEMENT CONTROLS.—
The Administrator shall prescribe administrative guidelines and
management controls applicable to advisory committees, and, to the
maximum extent feasible, provide advice, assistance, and guidance
to advisory committees to improve their performance. In carrying
out functions under this subsection, the Administrator shall con-
sider the recommendations of each agency head with respect to
means of improving the performance of advisory committees whose
duties are related to the agency.
(d) GUIDELINES FOR UNIFORM FAIR PAY RATES.—
(1) IN GENERAL.—The Administrator, after study and con-
sultation with the Director of the Office of Personnel Manage-
ment, shall establish guidelines with respect to uniform fair
rates of pay for comparable services of members, staffs, and
consultants of advisory committees in a manner that gives ap-
propriate recognition to the responsibilities and qualifications
required and other relevant factors. The guidelines shall pro-
vide that—
(A) a member of an advisory committee or of the staff of
an advisory committee shall not receive compensation at a
rate in excess of the maximum rate payable under section
5376 of this title;
(B) members of advisory committees, while engaged in
the performance of their duties away from their homes or
regular places of business, may be allowed travel expenses,
including per diem in lieu of subsistence, as authorized by
section 5703 of this title for persons employed intermittently
in the Government service; and
(C) members of advisory committees may be provided
services pursuant to section 3102 of this title while in per-
formance of their advisory committee duties if the mem-
bers—
(i) are blind or deaf or otherwise qualify as individ-
uals with disabilities (within the meaning of section
501 of the Rehabilitation Act of 1973 (29 U.S.C. 791));
and
(ii) do not otherwise qualify for assistance under sec-
tion 3102 of this title by reason of being an employee
of an agency (within the meaning of section 3102(a)(1)
of this title).
(2) PAY FOR FULL-TIME EMPLOYEES.—Nothing in this sub-
section shall prevent an individual from receiving compensation
at the rate at which the individual would otherwise be com-
pensated (or was compensated) as a full-time employee of the
United States if the individual—
(A) is a full-time employee of the United States without
regard to service with an advisory committee; or
(B) was a full-time employee of the United States imme-
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(e) BUDGET RECOMMENDATIONS.—The Administrator shall in-
clude in budget recommendations a summary of the amounts the
Administrator considers necessary for the expenses of advisory com-
mittees, including the expenses for publication of reports where ap-
propriate.
§ 1007. Responsibilities of Agency Heads
(a) ADMINISTRATIVE GUIDELINES AND MANAGEMENT CONTROLS.—
Each agency head shall establish uniform administrative guidelines
and management controls for advisory committees established by
that agency, which shall be consistent with directives of the Admin-
istrator under sections 1006 and 1009 of this title. Each agency
shall maintain systematic information on the nature, functions, and
operations of each advisory committee within its jurisdiction.
(b) ADVISORY COMMITTEE MANAGEMENT OFFICER.—The head of
each agency that has an advisory committee shall designate an Ad-
visory Committee Management Officer who shall—
(1) exercise control and supervision over the establishment,
procedures, and accomplishments of advisory committees estab-
lished by the agency;
(2) assemble and maintain the reports, records, and other pa-
pers of any advisory committee established by the agency dur-
ing the advisory committee’s existence; and
(3) carry out, on behalf of the agency, the provisions of section
552 of this title with respect to such reports, records, and other
papers.
§ 1008. Establishment and Purpose of Advisory Committees
(a) ESTABLISHMENT.—An advisory committee shall not be estab-
lished unless establishment is—
(1) specifically authorized by statute or by the President; or
(2) determined as a matter of formal record, by the head of
the agency involved after consultation with the Administrator,
with timely notice published in the Federal Register, to be in
the public interest in connection with the performance of duties
imposed on that agency by law.
(b) PURPOSE OF ADVISORY COMMITTEES.—Unless otherwise spe-
cifically provided by statute or Presidential directive, advisory com-
mittees shall be utilized solely for advisory functions. Determina-
tions of action to be taken and policy to be expressed with respect
to matters upon which an advisory committee reports or makes rec-
ommendations shall be made solely by the President or an officer
of the Federal Government.
(c) ADVISORY COMMITTEE CHARTERS.—
(1) GENERAL REQUIREMENT.—An advisory committee shall
not meet or take any action until an advisory committee charter
has been filed—
(A) with the Administrator in the case of Presidential ad-
visory committees; or
(B) with—
(i) the head of the agency to whom the advisory com-
mittee reports; and
(ii) the standing committees of the Senate and House
of Representatives having legislative jurisdiction over
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(2) CONTENTS OF CHARTER.—The advisory committee charter
shall contain—
(A) the committee’s official designation;
(B) the committee’s objectives and the scope of its activity;
(C) the period of time necessary for the committee to carry
out its purposes;
(D) the agency or official to whom the committee reports;
(E) the agency responsible for providing the necessary
support for the committee;
(F) a description of the duties for which the committee is
responsible, and, if the duties are not solely advisory, a
specification of the authority for the duties;
(G) the estimated annual operating costs for the com-
mittee in dollars and person-years;
(H) the estimated number and frequency of committee
meetings;
(I) the committee’s termination date, if less than 2 years
from the date of the committee’s establishment; and
(J) the date the charter is filed.
(3) COPY OF CHARTER TO LIBRARY OF CONGRESS.—A copy of
the advisory committee charter shall be furnished to the Library
of Congress.
§ 1009. Advisory Committee Procedures
(a) COMMITTEE MEETINGS.—
(1) OPEN TO PUBLIC.—Each advisory committee meeting shall
be open to the public.
(2) NOTICE OF MEETINGS.—Except when the President deter-
mines otherwise for reasons of national security, timely notice
of each meeting shall be published in the Federal Register, and
the Administrator shall prescribe regulations to provide for
other types of public notice to insure that all interested persons
are notified of each meeting in advance.
(3) PARTICIPATION.—Interested persons shall be permitted to
attend, appear before, or file statements with any advisory com-
mittee, subject to such reasonable rules or regulations as the
Administrator may prescribe.
(b) PUBLIC INSPECTION AND COPYING OF RECORDS.—Subject to
section 552 of this title, the records, reports, transcripts, minutes,
appendixes, working papers, drafts, studies, agenda, or other docu-
ments which were made available to or prepared for or by each ad-
visory committee shall be available for public inspection and copy-
ing at a single location in the offices of the advisory committee or
the agency to which the advisory committee reports until the advi-
sory committee ceases to exist.
(c) MINUTES.—Detailed minutes of each meeting of each advisory
committee shall be kept and shall contain a record of the persons
present, a complete and accurate description of matters discussed
and conclusions reached, and copies of all reports received, issued,
or approved by the advisory committee. The accuracy of all minutes
shall be certified by the chairman of the advisory committee.
(d) CLOSED SESSIONS.—Paragraphs (1) and (3) of subsection (a)
shall not apply to any portion of an advisory committee meeting for
which the President, or the head of the agency to which the advisory
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be closed to the public in accordance with section 552b(c) of this
title. Any such determination shall be in writing and shall contain
the reasons for the determination. If such a determination is made,
the advisory committee shall issue a report, at least annually, set-
ting forth a summary of its activities and such related matters as
would be informative to the public consistent with the policy of sec-
tion 552(b) of this title.
(e) DESIGNATED OFFICER OR EMPLOYEE OF FEDERAL GOVERN-
MENT.—There shall be designated an officer or employee of the Fed-
eral Government to chair or attend each meeting of each advisory
committee. The officer or employee so designated is authorized,
whenever the officer or employee determines it to be in the public in-
terest, to adjourn any such meeting. An advisory committee shall
not conduct any meeting in the absence of that designated officer or
employee of the Federal Government.
(f) CALL FOR MEETING OR ADVANCE APPROVAL.—Advisory com-
mittees shall not hold any meetings except at the call of, or with the
advance approval of, a designated officer or employee of the Federal
Government, and in the case of advisory committees (other than
Presidential advisory committees), with an agenda approved by
such officer or employee.
§ 1010. Availability of Transcripts
(a) DEFINITION OF AGENCY PROCEEDING.—In this section, the
term ‘‘agency proceeding’’ has the meaning given the term in section
551 of this title.
(b) AVAILABILITY.—Agencies and advisory committees shall make
available to any person, at actual cost of duplication, copies of tran-
scripts of any agency proceeding or advisory committee meeting.
§ 1011. Fiscal and Administrative Provisions
(a) RECORDS.—Each agency shall keep records that fully disclose
the disposition of any funds which may be at the disposal of its ad-
visory committees and the nature and extent of their activities. The
General Services Administration, or such other agency as the Presi-
dent may designate, shall maintain financial records with respect
to Presidential advisory committees. The Comptroller General of the
United States, or any authorized representative of the Comptroller
General, shall have access to the records for the purpose of audit
and examination.
(b) SUPPORT SERVICES.—Each agency shall be responsible for pro-
viding support services for each advisory committee established by
or reporting to it unless the establishing authority provides other-
wise. If an advisory committee reports to more than one agency, only
one agency at a time shall be responsible for support services. In the
case of Presidential advisory committees, support services may be
provided by the General Services Administration.
§ 1012. Responsibilities of Library of Congress
Subject to section 552 of this title, the Administrator shall provide
for the filing with the Library of Congress of at least 8 copies of
each report made by each advisory committee and, where appro-
priate, background papers prepared by consultants. The Librarian
of Congress shall establish a depository for the reports and papers
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§ 1013. Termination of Advisory Committees
(a) IN GENERAL.—
(1) ADVISORY COMMITTEES IN EXISTENCE ON JANUARY 5,
1973.—Each advisory committee that is in existence on January
5, 1973, shall terminate not later than the expiration of the 2—
year period following that date unless—
(A) in the case of an advisory committee established by
the President or an officer of the Federal Government, such
advisory committee is renewed by the President or that offi-
cer by appropriate action prior to the expiration of such 2—
year period; or
(B) in the case of an advisory committee established by
an Act of Congress, its duration is otherwise provided for
by law.
(2) ADVISORY COMMITTEES ESTABLISHED AFTER JANUARY 5,
1973.—Each advisory committee established after January 5,
1973, shall terminate not later than the expiration of the 2—
year period beginning on the date of its establishment unless—
(A) in the case of an advisory committee established by
the President or an officer of the Federal Government such
advisory committee is renewed by the President or such offi-
cer by appropriate action prior to the end of such period;
or
(B) in the case of an advisory committee established by
an Act of Congress, its duration is otherwise provided for
by law.
(b) CHARTERS.—
(1) UPON RENEWAL.—Upon the renewal of an advisory com-
mittee, the advisory committee shall file a charter in accordance
with section 1008(c) of this title.
(2) UPON EXPIRATION OF SUCCESSIVE 2-YEAR PERIODS.—An
advisory committee established by an Act of Congress shall file
a charter in accordance with section 1008(c) of this title upon
the expiration of each successive 2-year period following the
date of enactment of the Act establishing the advisory com-
mittee.
(3) PROHIBITION ON ACTION PRIOR TO FILING CHARTER.—An
advisory committee required to file a charter under this sub-
section shall not take any action (other than preparation and
filing of the charter) prior to the date on which the charter is
filed.
(c) SUCCESSIVE TWO-YEAR PERIODS.—An advisory committee that
is renewed by the President or an officer of the Federal Government
may be continued only for successive 2-year periods by appropriate
action taken by the President or the officer prior to the date on
which the advisory committee would otherwise terminate.
§ 1014. Requirements Relating to National Academy of
Sciences and National Academy of Public Adminis-
tration
(a) IN GENERAL.—An agency may not use any advice or rec-
ommendation provided by the National Academy of Sciences or Na-
tional Academy of Public Administration that was developed by use
of a committee created by that academy under an agreement with
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an agency, unless—
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40
(1) the committee was not subject to any actual management
or control by an agency or an officer of the Federal Government;
(2) in the case of a committee created after December 17,
1997, the membership of the committee was appointed in ac-
cordance with the requirements described in subsection (b) (1);
and
(3) in developing the advice or recommendation, the academy
complied with—
(A) subsection (b)(2) through (6), in the case of any advice
or recommendation provided by the National Academy of
Sciences; or
(B) subsection (b)(2) and (5), in the case of any advice or
recommendation provided by the National Academy of Pub-
lic Administration.
(b) REQUIREMENTS.—The requirements referred to in subsection
(a) are as follows:
(1) PUBLIC NOTICE REGARDING APPOINTEES.—The Academy
shall determine and provide public notice of the names and
brief biographies of individuals that the Academy appoints or
intends to appoint to serve on the committee. The Academy
shall determine and provide a reasonable opportunity for the
public to comment on appointments before they are made or, if
the Academy determines prior comment is not practicable, in
the period immediately following the appointments. The Acad-
emy shall require that any individual the Academy appoints (or
intends to appoint) to serve on the committee inform the Acad-
emy of the individual’s conflicts of interest that are relevant to
the functions to be performed. The Academy shall make its best
efforts to ensure that—
(A) no individual appointed to serve on the committee
has a conflict of interest that is relevant to the functions to
be performed, unless such conflict is promptly and publicly
disclosed and the Academy determines that the conflict is
unavoidable;
(B) the committee membership is fairly balanced as deter-
mined by the Academy to be appropriate for the functions
to be performed; and
(C) the final report of the Academy will be the result of
the Academy’s independent judgment.
(2) PUBLIC NOTICE OF COMMITTEE MEETINGS.—The Academy
shall determine and provide public notice of committee meetings
that will be open to the public.
(3) DATA GATHERING MEETINGS.—The Academy shall ensure
that meetings of the committee to gather data from individuals
who are not officials, agents, or employees of the Academy are
open to the public, unless the Academy determines that a meet-
ing would disclose matters described in section 552(b) of this
title. The Academy shall make available to the public, at rea-
sonable charge if appropriate, written materials presented to
the committee by individuals who are not officials, agents, or
employees of the Academy, unless the Academy determines that
making material available would disclose matters described in
section 552(b) of this title.
(4) OTHER MEETINGS.—The Academy shall make available to
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41
priate, a brief summary of any committee meeting that is not
a data-gathering meeting, unless the Academy determines that
the summary would disclose matters described in section 552(b)
of this title. The summary shall identify the committee members
present, the topics discussed, materials made available to the
committee, and other matters the Academy determines should
be included.
(5) FINAL REPORT.—The Academy shall make available to the
public its final report, at reasonable charge if appropriate, un-
less the Academy determines that the report would disclose
matters described in section 552(b) of this title. If the Academy
determines that the report would disclose matters described in
section 552(b) of this title, the Academy shall make public an
abbreviated version of the report that does not disclose those
matters.
(6) REVIEWERS OF REPORT.—After publication of the final re-
port, the Academy shall make publicly available the names of
the principal reviewers who reviewed the report in draft form
and who are not officials, agents, or employees of the Academy.
(c) REGULATIONS.—The Administrator of General Services may
issue regulations implementing this section.
Changes in Existing Law Made by Section 3(b) of the Bill (Amending Part
I of Title 5, United States Code)
CHAPTER 4—INSPECTORS GENERAL
Sec.
401. Definitions.
402. Establishment and purpose of Offices of Inspector General.
403. Appointments.
404. Duties and responsibilities.
405. Reports.
406. Authority of Inspector General.
407. Complaints by employees.
408. Additional provisions with respect to the Inspector General of the Department
of Defense.
409. Special provisions concerning the Agency for International Development.
410. Special provisions concerning the Nuclear Regulatory Commission.
411. Special provisions concerning the Federal Deposit Insurance Corporation.
412. Special provisions concerning the Department of the Treasury.
413. Special provisions concerning the Department of Justice.
414. Special provisions concerning the Corporation for National and Community
Service.
415. Requirements for Federal entities and designated Federal entities.
416. Additional provisions with respect to Inspectors General of the intelligence com-
munity.
417. Special provisions concerning the Department of Homeland Security.
418. Rule of construction of special provisions.
419. Special provisions concerning overseas contingency operations.
420. Information on websites of Offices of Inspectors General.
421. Additional provisions with respect to the Department of Energy.
422. Transfer of functions.
423. Pay of Inspectors General.
424. Establishment of the Council of the Inspectors General on Integrity and Effi-
ciency.
§ 401. Definitions
In this chapter:
(1) ESTABLISHMENT.—The term ‘‘establishment’’ means the
Department of Agriculture, Commerce, Defense, Education, En-
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ergy, Health and Human Services, Housing and Urban Devel-
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opment, the Interior, Justice, Labor, State, Transportation,
Homeland Security, the Treasury, or Veterans Affairs; the Agen-
cy for International Development, the Community Development
Financial Institutions Fund, the Environmental Protection
Agency, the Federal Communications Commission, the Federal
Emergency Management Agency, the General Services Adminis-
tration, the National Aeronautics and Space Administration,
the Nuclear Regulatory Commission, the Office of Personnel
Management, the Railroad Retirement Board, the Federal De-
posit Insurance Corporation, the Small Business Administra-
tion, the Corporation for National and Community Service, the
Social Security Administration, the Federal Housing Finance
Agency, the Tennessee Valley Authority, the Export-Import
Bank of the United States, the Commissions established under
section 15301 of title 40, the National Security Agency, or the
National Reconnaissance Office, as the case may be.
(2) FEDERAL AGENCY.—The term ‘‘Federal agency’’ means an
agency as defined in section 552(f) of this title (including an es-
tablishment as defined in paragraph (1)), but shall not be con-
strued to include the Government Accountability Office.
(3) HEAD OF THE ESTABLISHMENT.—The term ‘‘head of the es-
tablishment’’ means the Secretary of Agriculture, Commerce,
Defense, Education, Energy, Health and Human Services,
Housing and Urban Development, the Interior, Labor, State,
Transportation, Homeland Security, the Treasury, or Veterans
Affairs; the Attorney General; the Administrator of the Agency
for International Development, Environmental Protection, Gen-
eral Services, National Aeronautics and Space, Small Business,
or the Federal Emergency Management Agency; the Director of
the Office of Personnel Management; the Chairman of the Nu-
clear Regulatory Commission, the Federal Communications
Commission, or the Railroad Retirement Board; the Chief Exec-
utive Officer of the Corporation for National and Community
Service; the Administrator of the Community Development Fi-
nancial Institutions Fund; the Chairperson of the Federal De-
posit Insurance Corporation; the Commissioner of Social Secu-
rity, Social Security Administration; the Director of the Federal
Housing Finance Agency; the Board of Directors of the Ten-
nessee Valley Authority; the President of the Export-Import
Bank of the United States; the Federal Cochairpersons of the
Commissions established under section 15301 of title 40; the Di-
rector of the National Security Agency; or the Director of the
National Reconnaissance Office; as the case may be.
(4) INSPECTOR GENERAL.—The term ‘‘Inspector General’’
means the Inspector General of an establishment.
(5) OFFICE.—The term ‘‘Office’’ means the Office of Inspector
General of an establishment.
§ 402. Establishment and Purpose of Offices of Inspector Gen-
eral
(a) ESTABLISHMENT.—
(1) IN GENERAL.—Subject to paragraph (2), in each of the es-
tablishments listed in section 401(1) of this title, there is estab-
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(2) DEPARTMENT OF THE TREASURY.—In the establishment of
the Department of the Treasury, there is established—
(A) an Office of Inspector General of the Department of
the Treasury; and
(B) an Office of Treasury Inspector General for Tax Ad-
ministration.
(b) PURPOSE.—The offices established under subsection (a) are es-
tablished in order to create independent and objective units—
(1) to conduct and supervise audits and investigations relat-
ing to the programs and operations of the establishments listed
in section 401(1) of this title;
(2) to provide leadership and coordination and recommend
policies for activities designed—
(A) to promote economy, efficiency, and effectiveness in
the administration of those programs and operations; and
(B) to prevent and detect fraud and abuse in those pro-
grams and operations; and
(3) to provide a means for keeping the head of the establish-
ments and Congress fully and currently informed about prob-
lems and deficiencies relating to the administration of those
programs and operations and the necessity for and progress of
corrective action.
§ 403. Appointments
(a) IN GENERAL.—There shall be at the head of each Office an In-
spector General who shall be appointed by the President, by and
with the advice and consent of the Senate, without regard to polit-
ical affiliation and solely on the basis of integrity and demonstrated
ability in accounting, auditing, financial analysis, law, manage-
ment analysis, public administration, or investigations. Each In-
spector General shall report to and be under the general supervision
of the head of the establishment involved or, to the extent such au-
thority is delegated, the officer next in rank below such head, but
shall not report to, or be subject to supervision by, any other officer
of the establishment. Neither the head of the establishment nor the
officer next in rank below the head shall prevent or prohibit the In-
spector General from initiating, carrying out, or completing any
audit or investigation, or from issuing any subpoena during the
course of any audit or investigation.
(b) REMOVAL OR TRANSFER.—An Inspector General may be re-
moved from office by the President. If an Inspector General is re-
moved from office or is transferred to another position or location
within an establishment, the President shall communicate in writ-
ing the reasons for any such removal or transfer to both Houses of
Congress, not later than 30 days before the removal or transfer.
Nothing in this subsection shall prohibit a personnel action other-
wise authorized by law, other than transfer or removal.
(c) NOT EMPLOYEE DETERMINING POLICY.—For the purposes of
section 7324 of this title, an Inspector General shall not be consid-
ered to be an employee who determines policies to be pursued by the
United States in the nationwide administration of Federal laws.
(d) ASSISTANT INSPECTORS GENERAL AND WHISTLEBLOWER PRO-
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TECTION COORDINATOR.—
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(1) IN GENERAL.—Each Inspector General shall, in accordance
with applicable laws and regulations governing the civil serv-
ice—
(A) appoint an Assistant Inspector General for Auditing
who shall have the responsibility for supervising the per-
formance of auditing activities relating to programs and
operations of the establishment;
(B) appoint an Assistant Inspector General for Investiga-
tions who shall have the responsibility for supervising the
performance of investigative activities relating to such pro-
grams and operations; and
(C) designate a Whistleblower Protection Coordinator
who shall—
(i) educate agency employees—
(I) about prohibitions against retaliation for pro-
tected disclosures; and
(II) who have made or are contemplating mak-
ing a protected disclosure about the rights and
remedies against retaliation for protected disclo-
sures, including—
(aa) the means by which employees may seek
review of any allegation of reprisal, including
the roles of the Office of the Inspector General,
the Office of Special Counsel, the Merit Sys-
tems Protection Board, and any other relevant
entities; and
(bb) general information about the timeli-
ness of such cases, the availability of any al-
ternative dispute mechanisms, and avenues for
potential relief;
(ii) assist the Inspector General in promoting the
timely and appropriate handling and consideration of
protected disclosures and allegations of reprisal, to the
extent practicable, by the Inspector General; and
(iii) assist the Inspector General in facilitating com-
munication and coordination with the Special Counsel,
the Council of the Inspectors General on Integrity and
Efficiency, the establishment, Congress, and any other
relevant entity regarding the timely and appropriate
handling and consideration of protected disclosures, al-
legations of reprisal, and general matters regarding the
implementation and administration of whistleblower
protection laws, rules, and regulations.
(2) WHISTLEBLOWER PROTECTION COORDINATOR NOT TO ACT
AS LEGAL REPRESENTATIVE, AGENT, OR ADVOCATE.—The Whis-
tleblower Protection Coordinator shall not act as a legal rep-
resentative, agent, or advocate of the employee or former em-
ployee.
(3) WHISTLEBLOWER PROTECTION COORDINATOR ACCESS TO IN-
SPECTOR GENERAL.—The Whistleblower Protection Coordinator
shall have direct access to the Inspector General as needed to
accomplish the requirements of this subsection.
(4) WHISTLEBLOWER PROTECTION COORDINATOR EXCEPTION
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45
the requirement of the designation of a Whistleblower Protection
Coordinator under paragraph (1)(C) shall not apply to—
(A) any agency that is an element of the intelligence com-
munity (as defined in section 3(4) of the National Security
Act of 1947 (50 U.S.C. 3003(4)); or
(B) as determined by the President, any executive agency
or unit thereof the principal function of which is the con-
duct of foreign intelligence or counter intelligence activities.
(e) RATE OF PAY.—The annual rate of basic pay for an Inspector
General (as defined under section 401 of this title) shall be the rate
payable for level III of the Executive Schedule under section 5314
of this title, plus 3 percent.
(f) PROHIBITION ON CASH AWARDS.—An Inspector General (as de-
fined under section 401 or 415(a) of this title) may not receive any
cash award or cash bonus, including any cash award under chapter
45 of this title.
(g) LEGAL ADVICE.—Each Inspector General shall, in accordance
with applicable laws and regulations governing the civil service, ob-
tain legal advice from a counsel either reporting directly to the In-
spector General or another Inspector General.
§ 404. Duties and Responsibilities
(a) IN GENERAL.—It shall be the duty and responsibility of each
Inspector General, with respect to the establishment within which
the Inspector General’s Office is established—
(1) to provide policy direction for and to conduct, supervise,
and coordinate audits and investigations relating to the pro-
grams and operations of the establishment;
(2) to review existing and proposed legislation and regula-
tions relating to programs and operations of the establishment
and to make recommendations in the semiannual reports re-
quired by section 405(b) of this title concerning the impact of
the legislation and regulations on the economy and efficiency in
the administration of programs and operations administered or
financed by the establishment, or the prevention and detection
of fraud and abuse in the programs and operations;
(3) to recommend policies for, and to conduct, supervise, or
coordinate other activities carried out or financed by, the estab-
lishment for the purpose of promoting economy and efficiency in
the administration of, or preventing and detecting fraud and
abuse in, its programs and operations;
(4) to recommend policies for the establishment, and to con-
duct, supervise, or coordinate relationships between the estab-
lishment and other Federal agencies, State and local govern-
mental agencies, and nongovernmental entities, with respect
to—
(A) all matters relating to the promotion of economy and
efficiency in the administration of, or the prevention and
detection of fraud and abuse in, programs and operations
administered or financed by the establishment; or
(B) the identification and prosecution of participants in
fraud or abuse referred to in subparagraph (A); and
(5) to keep the head of the establishment and Congress fully
and currently informed, by means of the reports required by sec-
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tion 405 of this title and otherwise, concerning fraud and other
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serious problems, abuses, and deficiencies relating to the ad-
ministration of programs and operations administered or fi-
nanced by the establishment, to recommend corrective action
concerning the problems, abuses, and deficiencies, and to report
on the progress made in implementing the corrective action.
(b) STANDARDS AND GUIDELINES.—
(1) IN GENERAL.—In carrying out the responsibilities specified
in subsection (a)(1), each Inspector General shall—
(A) comply with standards established by the Comptroller
General of the United States for audits of Federal estab-
lishments, organizations, programs, activities, and func-
tions;
(B) establish guidelines for determining when it shall be
appropriate to use non-Federal auditors; and
(C) take appropriate steps to ensure that any work per-
formed by non-Federal auditors complies with the stand-
ards established by the Comptroller General as described in
paragraph (1).
(2) REVIEWS PERFORMED EXCLUSIVELY BY AUDIT ENTITIES IN
FEDERAL GOVERNMENT.—For purposes of determining compli-
ance with paragraph (1)(A) with respect to whether internal
quality controls are in place and operating and whether estab-
lished audit standards, policies, and procedures are being fol-
lowed by Offices of Inspector General of establishments defined
under section 401 of this title, Offices of Inspector General of
designated Federal entities defined under section 415(a) of this
title, and any audit office established within a Federal entity
defined under section 415(a) of this title, reviews shall be per-
formed exclusively by an audit entity in the Federal Govern-
ment, including the Government Accountability Office or the Of-
fice of Inspector General of each establishment defined under
section 401 of this title, or the Office of Inspector General of
each designated Federal entity defined under section 415(a) of
this title.
(c) EFFECTIVE COORDINATION AND COOPERATION.—In carrying out
the duties and responsibilities established under this chapter, each
Inspector General shall give particular regard to the activities of the
Comptroller General of the United States with a view toward avoid-
ing duplication and ensuring effective coordination and cooperation.
(d) REPORTING VIOLATION OF FEDERAL CRIMINAL LAW.—In car-
rying out the duties and responsibilities established under this
chapter, each Inspector General shall report expeditiously to the At-
torney General whenever the Inspector General has reasonable
grounds to believe there has been a violation of Federal criminal
law.
(e) RECOMMENDATIONS FOR CORRECTIVE ACTIONS.—
(1) SUBMISSION OF DOCUMENTS.—In carrying out the duties
and responsibilities established under this chapter, whenever
an Inspector General issues a recommendation for corrective ac-
tion to the agency, the Inspector General—
(A) shall submit the document making a recommendation
for corrective action to—
(i) the head of the establishment;
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(ii) the congressional committees of jurisdiction; and
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(iii) if the recommendation for corrective action was
initiated upon request by an individual or entity other
than the Inspector General, that individual or entity;
(B) may submit the document making a recommendation
for corrective action to any Member of Congress upon re-
quest; and
(C) not later than 3 days after the recommendation for
corrective action is submitted in final form to the head of
the establishment, post the document making a rec-
ommendation for corrective action on the website of the Of-
fice of Inspector General.
(2) PUBLIC DISCLOSURE OTHERWISE PROHIBITED BY LAW.—
Nothing in this subsection shall be construed as authorizing an
Inspector General to publicly disclose information otherwise
prohibited from disclosure by law.
§ 405. Reports
(a) DEFINITIONS.—In this section:
(1) DISALLOWED COST.—The term ‘‘disallowed cost’’ means a
questioned cost that management, in a management decision,
has sustained or agreed should not be charged to the Govern-
ment.
(2) FINAL ACTION.—The term ‘‘final action’’ means—
(A) the completion of all actions that the management of
an establishment has concluded, in its management deci-
sion, are necessary with respect to the findings and rec-
ommendations included in an audit report; and
(B) in the event that the management of an establishment
concludes no action is necessary, final action occurs when
a management decision has been made.
(3) MANAGEMENT DECISION.—The term ‘‘management deci-
sion’’ means the evaluation by the management of an establish-
ment of the findings and recommendations included in an
audit report and the issuance of a final decision by manage-
ment concerning its response to the findings and recommenda-
tions, including actions concluded to be necessary.
(4) QUESTIONED COST.—The term ‘‘questioned cost’’ means a
cost that is questioned by the Office because of—
(A) an alleged violation of a provision of a law, regula-
tion, contract, grant, cooperative agreement, or other agree-
ment or document governing the expenditure of funds;
(B) a finding that, at the time of the audit, the cost is not
supported by adequate documentation; or
(C) a finding that the expenditure of funds for the in-
tended purpose is unnecessary or unreasonable.
(5) RECOMMENDATION THAT FUNDS BE PUT TO BETTER USE.—
The term ‘‘recommendation that funds be put to better use’’
means a recommendation by the Office that funds could be used
more efficiently if management of an establishment took actions
to implement and complete the recommendation, including—
(A) reductions in outlays;
(B) deobligation of funds from programs or operations;
(C) withdrawal of interest subsidy costs on loans or loan
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guarantees, insurance, or bonds;
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(D) costs not incurred by implementing recommended im-
provements related to the operations of the establishment,
a contractor, or grantee;
(E) avoidance of unnecessary expenditures noted in
preaward reviews of contract or grant agreements; or
(F) any other savings which are specifically identified.
(6) SENIOR GOVERNMENT EMPLOYEE.—The term ‘‘senior Gov-
ernment employee’’ means—
(A) an officer or employee in the executive branch (includ-
ing a special Government employee as defined in section
202 of title 18) who occupies a position classified at or
above GS–15 of the General Schedule or, in the case of posi-
tions 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 Gen-
eral Schedule; and
(B) any commissioned officer in the Armed Forces in pay
grades O–6 and above.
(7) UNSUPPORTED COST.—The term ‘‘unsupported cost’’ means
a cost that is questioned by the Office because the Office found
that, at the time of the audit, such cost is not supported by ade-
quate documentation.
(b) SEMIANNUAL REPORTS.—Each Inspector General shall, not
later than April 30 and October 31 of each year, prepare semi-
annual reports summarizing the activities of the Office during the
immediately preceding 6-month periods ending March 31 and Sep-
tember 30. The reports shall include, but need not be limited to—
(1) a description of significant problems, abuses, and defi-
ciencies relating to the administration of programs and oper-
ations of such establishment disclosed by such activities during
the reporting period;
(2) a description of the recommendations for corrective action
made by the Office during the reporting period with respect to
significant problems, abuses, or deficiencies identified pursuant
to paragraph (1);
(3) an identification of each significant recommendation de-
scribed in previous semiannual reports on which corrective ac-
tion has not been completed;
(4) a summary of matters referred to prosecutive authorities
and the prosecutions and convictions which have resulted;
(5) a summary of each report made to the head of the estab-
lishment under section 406(c)(2) of this title during the report-
ing period;
(6) a listing, subdivided according to subject matter, of each
audit report, inspection report, and evaluation report issued by
the Office during the reporting period and for each report,
where applicable, the total dollar value of questioned costs (in-
cluding a separate category for the dollar value of unsupported
costs) and the dollar value of recommendations that funds be
put to better use;
(7) a summary of each particularly significant report;
(8) statistical tables showing the total number of audit re-
ports, inspection reports, and evaluation reports and the total
dollar value of questioned costs (including a separate category
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for the dollar value of unsupported costs), for reports—
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(A) for which no management decision had been made by
the commencement of the reporting period;
(B) which were issued during the reporting period;
(C) for which a management decision was made during
the reporting period, including—
(i) the dollar value of disallowed costs; and
(ii) the dollar value of costs not disallowed; and
(D) for which no management decision has been made by
the end of the reporting period;
(9) statistical tables showing the total number of audit re-
ports, inspection reports, and evaluation reports and the dollar
value of recommendations that funds be put to better use by
management, for reports—
(A) for which no management decision had been made by
the commencement of the reporting period;
(B) which were issued during the reporting period;
(C) for which a management decision was made during
the reporting period, including—
(i) the dollar value of recommendations that were
agreed to by management; and
(ii) the dollar value of recommendations that were
not agreed to by management; and
(D) for which no management decision has been made by
the end of the reporting period;
(10) a summary of each audit report, inspection report, and
evaluation report issued before the commencement of the report-
ing period—
(A) for which no management decision has been made by
the end of the reporting period (including the date and title
of each such report), an explanation of the reasons such
management decision has not been made, and a statement
concerning the desired timetable for achieving a manage-
ment decision on each such report;
(B) for which no establishment comment was returned
within 60 days of providing the report to the establishment;
and
(C) for which there are any outstanding unimplemented
recommendations, including the aggregate potential cost
savings of those recommendations;
(11) a description and explanation of the reasons for any sig-
nificant revised management decision made during the report-
ing period;
(12) information concerning any significant management de-
cision with which the Inspector General is in disagreement;
(13) the information described under section 804(b) of the
Federal Financial Management Improvement Act of 1996 (Pub-
lic Law 104–208, § 101(f) [title VIII], 31 U.S.C. 3512 note);
(14)(A) an appendix containing the results of any peer review
conducted by another Office of Inspector General during the re-
porting period; or
(B) if no peer review was conducted within that reporting pe-
riod, a statement identifying the date of the last peer review
conducted by another Office of Inspector General;
(15) a list of any outstanding recommendations from any peer
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review conducted by another Office of Inspector General that
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have not been fully implemented, including a statement describ-
ing the status of the implementation and why implementation
is not complete;
(16) a list of any peer reviews conducted by the Inspector Gen-
eral of another Office of the Inspector General during the re-
porting period, including a list of any outstanding rec-
ommendations made from any previous peer review (including
any peer review conducted before the reporting period) that re-
main outstanding or have not been fully implemented;
(17) statistical tables showing—
(A) the total number of investigative reports issued dur-
ing the reporting period;
(B) the total number of persons referred to the Depart-
ment of Justice for criminal prosecution during the report-
ing period;
(C) the total number of persons referred to State and
local prosecuting authorities for criminal prosecution dur-
ing the reporting period; and
(D) the total number of indictments and criminal infor-
mations during the reporting period that resulted from any
prior referral to prosecuting authorities;
(18) a description of the metrics used for developing the data
for the statistical tables under paragraph (17);
(19) a report on each investigation conducted by the Office in-
volving a senior Government employee where allegations of mis-
conduct were substantiated, including the name of the senior
government official (as defined by the department or agency) if
already made public by the Office, and a detailed description
of—
(A) the facts and circumstances of the investigation; and
(B) the status and disposition of the matter, including—
(i) if the matter was referred to the Department of
Justice, the date of the referral; and
(ii) if the Department of Justice declined the referral,
the date of the declination;
(20)(A) a detailed description of any instance of whistleblower
retaliation, including information about the official found to
have engaged in retaliation; and
(B) what, if any, consequences the establishment actually im-
posed to hold the official described in subparagraph (A) ac-
countable;
(21) a detailed description of any attempt by the establish-
ment to interfere with the independence of the Office, includ-
ing—
(A) with budget constraints designed to limit the capa-
bilities of the Office; and
(B) incidents where the establishment has resisted or ob-
jected to oversight activities of the Office or restricted or
significantly delayed access to information, including the
justification of the establishment for such action; and
(22) detailed descriptions of the particular circumstances of
each—
(A) inspection, evaluation, and audit conducted by the
Office that is closed and was not disclosed to the public;
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and
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(B) investigation conducted by the Office involving a sen-
ior Government employee that is closed and was not dis-
closed to the public.
(c) FURNISHING SEMIANNUAL REPORTS TO HEAD OF ESTABLISH-
MENT AND CONGRESS.—Semiannual reports of each Inspector Gen-
eral shall be furnished to the head of the establishment involved not
later than April 30 and October 31 of each year and shall be trans-
mitted by the head of the establishment to the appropriate commit-
tees or subcommittees of the Congress within 30 days after receipt
of the report, together with a report by the head of the establishment
containing—
(1) any comments the head of the establishment determines
appropriate;
(2) statistical tables showing the total number of audit re-
ports, inspection reports, and evaluation reports and the dollar
value of disallowed costs, for reports—
(A) for which final action had not been taken by the com-
mencement of the reporting period;
(B) on which management decisions were made during
the reporting period;
(C) for which final action was taken during the reporting
period, including—
(i) the dollar value of disallowed costs that were re-
covered by management through collection, offset, prop-
erty in lieu of cash, or otherwise; and
(ii) the dollar value of disallowed costs that were
written off by management; and
(D) for which no final action has been taken by the end
of the reporting period;
(3) statistical tables showing the total number of audit re-
ports, inspection reports, and evaluation reports and the dollar
value of recommendations that funds be put to better use by
management agreed to in a management decision, for reports—
(A) for which final action had not been taken by the com-
mencement of the reporting period;
(B) on which management decisions were made during
the reporting period;
(C) for which final action was taken during the reporting
period, including—
(i) the dollar value of recommendations that were ac-
tually completed; and
(ii) the dollar value of recommendations that man-
agement has subsequently concluded should not or
could not be implemented or completed; and
(D) for which no final action has been taken by the end
of the reporting period;
(4) whether the establishment entered into a settlement agree-
ment with the official described in subsection (b)(20)(A), which
shall be reported regardless of any confidentiality agreement re-
lating to the settlement agreement; and
(5) a statement with respect to audit reports on which man-
agement decisions have been made but final action has not been
taken, other than audit reports on which a management deci-
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sion was made within the preceding year, containing—
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(A) a list of such audit reports and the date each such
report was issued;
(B) the dollar value of disallowed costs for each report;
(C) the dollar value of recommendations that funds be
put to better use agreed to by management for each report;
and
(D) an explanation of the reasons final action has not
been taken with respect to each audit report;
except that the statement may exclude any audit reports that are
under formal administrative or judicial appeal or upon which man-
agement of an establishment has agreed to pursue a legislative solu-
tion, but the statement shall identify the number of reports in each
category so excluded.
(d) REPORTS AVAILABLE TO PUBLIC.—Within 60 days of the trans-
mission of the semiannual reports of each Inspector General to Con-
gress, the head of each establishment shall make copies of the report
available to the public upon request and at a reasonable cost. With-
in 60 days after the transmission of the semiannual reports of each
establishment head to Congress, the head of each establishment
shall make copies of the report available to the public upon request
and at a reasonable cost.
(e) REPORTING SERIOUS PROBLEMS, ABUSES, OR DEFICIENCIES.—
Each Inspector General shall report immediately to the head of the
establishment involved whenever the Inspector General becomes
aware of particularly serious or flagrant problems, abuses, or defi-
ciencies relating to the administration of programs and operations
of the establishment. The head of the establishment shall transmit
any such report to the appropriate committees or subcommittees of
Congress within 7 calendar days, together with a report by the head
of the establishment containing any comments the establishment
head deems appropriate.
(f) LIMITATION ON PUBLIC DISCLOSURE OF INFORMATION.—
(1) IN GENERAL.—Nothing in this section shall be construed
to authorize the public disclosure of information that is—
(A) specifically prohibited from disclosure by any other
provision of law;
(B) specifically required by Executive order to be pro-
tected from disclosure in the interest of national defense or
national security or in the conduct of foreign affairs; or
(C) a part of an ongoing criminal investigation.
(2) CRIMINAL INVESTIGATION INFORMATION IN PUBLIC
RECORDS.—Notwithstanding paragraph (1)(C), any report
under this section may be disclosed to the public in a form
which includes information with respect to a part of an ongoing
criminal investigation if such information has been included in
a public record.
(3) NO AUTHORIZATION TO WITHHOLD INFORMATION FROM
CONGRESS.—Except to the extent and in the manner provided
under section 6103(f) of the Internal Revenue Code of 1986 (26
U.S.C. 6103(f)), nothing in this section or in any other provision
of this chapter shall be construed to authorize or permit the
withholding of information from Congress, or from any com-
mittee or subcommittee of Congress.
(4) PROVISION OF INFORMATION TO MEMBERS OF CONGRESS.—
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Subject to any other provision of law that would otherwise pro-
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53
hibit disclosure of such information, the information described
in paragraph (1) may be provided to any Member of Congress
upon request.
(5) PROTECTION OF PERSONALLY IDENTIFIABLE INFORMATION
OF WHISTLEBLOWERS.—An Office may not provide to Congress
or the public any information that reveals the personally identi-
fiable information of a whistleblower under this section unless
the Office first obtains the consent of the whistleblower.
§ 406. Authority of Inspector General
(a) IN GENERAL.—In addition to the authority otherwise provided
by this chapter, each Inspector General, in carrying out the provi-
sions of this chapter, is authorized—
(1)(A) to have timely access to all records, reports, audits, re-
views, documents, papers, recommendations, or other materials
available to the applicable establishment which relate to the
programs and operations with respect to which that Inspector
General has responsibilities under this chapter;
(B) to have access under subparagraph (A) notwithstanding
any other provision of law, except pursuant to any provision of
law enacted by Congress that expressly—
(i) refers to the Inspector General; and
(ii) limits the right of access of the Inspector General; and
(C) except as provided in subsection (i), with regard to Fed-
eral grand jury materials protected from disclosure pursuant to
rule 6(e) of the Federal Rules of Criminal Procedure, to have
timely access to such information if the Attorney General grants
the request in accordance with subsection (h);
(2) to make such investigations and reports relating to the ad-
ministration of the programs and operations of the applicable
establishment as are, in the judgment of the Inspector General,
necessary or desirable;
(3) to request such information or assistance as may be nec-
essary for carrying out the duties and responsibilities provided
by this chapter from any Federal, State, or local governmental
agency or unit thereof;
(4) to require by subpoena the production of all information,
documents, reports, answers, records, accounts, papers, and
other data in any medium (including electronically stored infor-
mation), as well as any tangible thing and documentary evi-
dence necessary in the performance of the functions assigned by
this chapter, which subpoena, in the case of contumacy or re-
fusal to obey, shall be enforceable by order of any appropriate
United States district court, but procedures other than sub-
poenas shall be used by the Inspector General to obtain docu-
ments and information from Federal agencies;
(5) to administer to or take from any person an oath, affirma-
tion, or affidavit, whenever necessary in the performance of the
functions assigned by this chapter, which oath, affirmation, or
affidavit when administered or taken by or before an employee
of an Office of Inspector General designated by the Inspector
General shall have the same force and effect as if administered
or taken by or before an officer having a seal;
(6) to have direct and prompt access to the head of the estab-
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lishment involved when necessary for any purpose pertaining to
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the performance of functions and responsibilities under this
chapter;
(7) to select, appoint, and employ such officers and employees
as may be necessary for carrying out the functions, powers, and
duties of the Office subject to the provisions of this title, gov-
erning appointments in the competitive service, and the provi-
sions of chapter 51 and subchapter III of chapter 53 of this title
relating to classification and General Schedule pay rates;
(8) to obtain services as authorized by section 3109 of this
title, at daily rates not to exceed the maximum rate payable
under section 5376 of this title; and
(9) to the extent and in such amounts as may be provided in
advance by appropriations Acts, to enter into contracts and
other arrangements for audits, studies, analyses, and other
services with public agencies and with private persons, and to
make such payments as may be necessary to carry out the provi-
sions of this chapter.
(b) PUBLIC DISCLOSURE OTHERWISE PROHIBITED BY LAW.—Noth-
ing in this section shall be construed as authorizing an Inspector
General to publicly disclose information otherwise prohibited from
disclosure by law.
(c) REQUESTS FOR INFORMATION.—
(1) COMPLIANCE IN GENERAL.—Upon request of an Inspector
General for information or assistance under subsection (a)(3),
the head of any Federal agency involved shall, insofar as is
practicable and not in contravention of any existing statutory
restriction or regulation of the Federal agency from which the
information is requested, furnish to the Inspector General, or to
an authorized designee, the requested information or assistance.
(2) UNREASONABLE REFUSAL.—Whenever information or as-
sistance requested under subsection (a)(1) or (a)(3) is, in the
judgment of an Inspector General, unreasonably refused or not
provided, the Inspector General shall report the circumstances
to the head of the establishment involved without delay.
(d) OFFICE SPACE AND SUPPLIES.—Each head of an establishment
shall provide the Office within the establishment with appropriate
and adequate office space at central and field office locations of the
establishment, together with such equipment, office supplies, and
communications facilities and services as may be necessary for the
operation of the offices, and shall provide necessary maintenance
services for the offices and the equipment and facilities provided.
(e) APPLYING CERTAIN PROVISIONS.—
(1) EACH OFFICE CONSIDERED SEPARATE AGENCY.—
(A) For purposes of applying the provisions of law identi-
fied in subparagraph (B)—
(i) each Office of Inspector General shall be consid-
ered to be a separate agency; and
(ii) the Inspector General who is the head of an office
referred to in clause (i) shall, with respect to that office,
have the functions, powers, and duties of an agency
head or appointing authority under such provisions.
(B) This paragraph applies with respect to the following
provisions of this title:
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(i) Subchapter II of chapter 35.
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(ii) Sections 8335(b), 8336, 8344, 8414, 8425(b), and
8468.
(iii) All provisions relating to the Senior Executive
Service (as determined by the Office of Personnel Man-
agement), subject to paragraph (2).
(2) APPLYING SECTION 4507(B).—For purposes of applying sec-
tion 4507(b) of this title, paragraph (1)(A)(ii) shall be applied
by substituting ‘‘the Council of the Inspectors General on Integ-
rity and Efficiency (established by section 424 of this title)
shall’’ for ‘‘the Inspector General who is the head of an office re-
ferred to in clause (i) shall, with respect to that office,’’.
(f) ADDITIONAL AUTHORITY.—
(1) IN GENERAL.—In addition to the authority otherwise pro-
vided by this chapter, each Inspector General, any Assistant In-
spector General for Investigations under such an Inspector Gen-
eral, and any special agent supervised by such an Assistant In-
spector General may be authorized by the Attorney General to—
(A) carry a firearm while engaged in official duties as
authorized under this chapter or other statute, or as ex-
pressly authorized by the Attorney General;
(B) make an arrest without a warrant while engaged in
official duties as authorized under this chapter or other
statute, or as expressly authorized by the Attorney General,
for any offense against the United States committed in the
presence of such Inspector General, Assistant Inspector
General, or agent, or for any felony cognizable under the
laws of the United States if such Inspector General, Assist-
ant Inspector General, or agent has reasonable grounds to
believe that the person to be arrested has committed or is
committing such felony; and
(C) seek and execute warrants for arrest, search of a
premises, or seizure of evidence issued under the authority
of the United States upon probable cause to believe that a
violation has been committed.
(2) DETERMINATION.—The Attorney General may authorize
exercise of the powers under this subsection only upon an initial
determination that—
(A) the affected Office of Inspector General is signifi-
cantly hampered in the performance of responsibilities es-
tablished by this chapter as a result of the lack of such
powers;
(B) available assistance from other law enforcement
agencies is insufficient to meet the need for such powers;
and
(C) adequate internal safeguards and management proce-
dures exist to ensure proper exercise of such powers.
(3) EXEMPTIONS FROM REQUIREMENT OF INITIAL DETERMINA-
TION OF ELIGIBILITY.—The Inspector General offices of the De-
partment of Commerce, Department of Education, Department
of Energy, Department of Health and Human Services, Depart-
ment of Homeland Security, Department of Housing and Urban
Development, Department of the Interior, Department of Justice,
Department of Labor, Department of State, Department of
Transportation, Department of the Treasury, Department of
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Veterans’ Affairs, Agency for International Development, Envi-
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56
ronmental Protection Agency, Federal Deposit Insurance Cor-
poration, Federal Emergency Management Agency, General
Services Administration, National Aeronautics and Space Ad-
ministration, Nuclear Regulatory Commission, Office of Per-
sonnel Management, Railroad Retirement Board, Small Busi-
ness Administration, Social Security Administration, and the
Tennessee Valley Authority are exempt from the requirement of
paragraph (2) for an initial determination of eligibility by the
Attorney General.
(4) GUIDELINES.—The Attorney General shall promulgate,
and revise as appropriate, guidelines which shall govern the ex-
ercise of the law enforcement powers established under para-
graph (1).
(5) RESCINDING OR SUSPENDING POWERS.—
(A) POWERS AUTHORIZED FOR AN OFFICE OF INSPECTOR
GENERAL.—Powers authorized for an Office of Inspector
General under paragraph (1) may be rescinded or sus-
pended upon a determination by the Attorney General that
any of the requirements under paragraph (2) is no longer
satisfied or that the exercise of authorized powers by that
Office of Inspector General has not complied with the
guidelines promulgated by the Attorney General under
paragraph (4).
(B) POWERS AUTHORIZED TO BE EXERCISED BY AN INDI-
VIDUAL.—Powers authorized to be exercised by any indi-
vidual under paragraph (1) may be rescinded or suspended
with respect to that individual upon a determination by the
Attorney General that such individual has not complied
with guidelines promulgated by the Attorney General under
paragraph (4).
(6) NOT REVIEWABLE.—A determination by the Attorney Gen-
eral under paragraph (2) or (5) shall not be reviewable in or by
any court.
(7) MEMORANDUM OF UNDERSTANDING.—To ensure the proper
exercise of the law enforcement powers authorized by this sub-
section, the Offices of Inspector General described under para-
graph (3) shall, not later than 180 days after November 25,
2002, collectively enter into a memorandum of understanding to
establish an external review process for ensuring that adequate
internal safeguards and management procedures continue to
exist within each Office and within any Office that later re-
ceives an authorization under paragraph (2). The review proc-
ess shall be established in consultation with the Attorney Gen-
eral, who shall be provided with a copy of the memorandum of
understanding that establishes the review process. Under the re-
view process, the exercise of the law enforcement powers by each
Office of Inspector General shall be reviewed periodically by an-
other Office of Inspector General or by a committee of Inspectors
General. The results of each review shall be communicated in
writing to the applicable Inspector General and to the Attorney
General.
(8) NOT A LIMITATION ON OTHER LAW ENFORCEMENT POW-
ERS.—No provision of this subsection shall limit the exercise of
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law enforcement powers established under any other statutory
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authority, including United States Marshals Service special
deputation.
(9) DEFINITION OF INSPECTOR GENERAL.—In this subsection,
the term ‘‘Inspector General’’ means an Inspector General ap-
pointed under section 403 of this title or an Inspector General
appointed under section 415 of this title.
(g) BUDGETS.—
(1) INSPECTOR GENERAL’S BUDGET ESTIMATE AND REQUEST
TRANSMITTED TO HEAD OF ESTABLISHMENT OR DESIGNATED FED-
ERAL ENTITY.—For each fiscal year, an Inspector General shall
transmit a budget estimate and request to the head of the estab-
lishment or designated Federal entity to which the Inspector
General reports. The budget request shall specify the aggregate
amount of funds requested for such fiscal year for the oper-
ations of that Inspector General and shall specify the amount
requested for all training needs, including a certification from
the Inspector General that the amount requested satisfies all
training requirements for the Inspector General’s office for that
fiscal year, and any resources necessary to support the Council
of the Inspectors General on Integrity and Efficiency. Resources
necessary to support the Council of the Inspectors General on
Integrity and Efficiency shall be specifically identified and jus-
tified in the budget request.
(2) HEAD OF ESTABLISHMENT OR DESIGNATED FEDERAL ENTI-
TY’S PROPOSED BUDGET TRANSMITTED TO PRESIDENT.—In trans-
mitting a proposed budget to the President for approval, the
head of each establishment or designated Federal entity shall
include—
(A) an aggregate request for the Inspector General;
(B) amounts for Inspector General training;
(C) amounts for support of the Council of the Inspectors
General on Integrity and Efficiency; and
(D) any comments of the affected Inspector General with
respect to the proposal.
(3) PRESIDENT’S BUDGET SUBMITTED TO CONGRESS.—The
President shall include in each budget of the United States
Government submitted to Congress—
(A) a separate statement of the budget estimate prepared
in accordance with paragraph (1);
(B) the amount requested by the President for each In-
spector General;
(C) the amount requested by the President for training of
Inspectors General;
(D) the amount requested by the President for support for
the Council of the Inspectors General on Integrity and Effi-
ciency; and
(E) any comments of the affected Inspector General with
respect to the proposal if the Inspector General concludes
that the budget submitted by the President would substan-
tially inhibit the Inspector General from performing the du-
ties of the office.
(h) FEDERAL GRAND JURY MATERIALS.—
(1) NOTIFICATION OF ATTORNEY GENERAL OF REQUEST.—If the
Inspector General of an establishment submits a request to the
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58
suant to subsection (a)(1), the head of the establishment shall
immediately notify the Attorney General of such request.
(2) DETERMINATION BY ATTORNEY GENERAL.—Not later than
15 days after the date on which a request is submitted to the
Attorney General under paragraph (1), the Attorney General
shall determine whether to grant or deny the request for Fed-
eral grand jury materials and shall immediately notify the
head of the establishment of such determination. The Attorney
General shall grant the request unless the Attorney General de-
termines that granting access to the Federal grand jury mate-
rials would be likely to—
(A) interfere with an ongoing criminal investigation or
prosecution;
(B) interfere with an undercover operation;
(C) result in disclosure of the identity of a confidential
source, including a protected witness;
(D) pose a serious threat to national security; or
(E) result in significant impairment of the trade or eco-
nomic interests of the United States.
(3) COMMENTS.—
(A) REQUIREMENT TO INFORM INSPECTOR GENERAL OF DE-
TERMINATION BY ATTORNEY GENERAL.—The head of the es-
tablishment shall inform the Inspector General of the estab-
lishment of the determination made by the Attorney Gen-
eral with respect to the request for Federal grand jury ma-
terials.
(B) SUBMISSION OF COMMENTS BY INSPECTOR GENERAL.—
The Inspector General of the establishment described under
subparagraph (A) may submit comments on the determina-
tion submitted pursuant to such subparagraph to the com-
mittees listed under paragraph (4) that the Inspector Gen-
eral considers appropriate.
(4) STATEMENT OF ATTORNEY GENERAL REGARDING DENIAL OF
REQUEST.—Not later than 30 days after notifying the head of an
establishment of a denial pursuant to paragraph (2), the Attor-
ney General shall submit a statement that the request for Fed-
eral grand jury materials by the Inspector General was denied
and the reason for the denial to each of the following:
(A) The Committee on Homeland Security and Govern-
mental Affairs, the Committee on the Judiciary, and the
Select Committee on Intelligence of the Senate.
‘‘(B) The Committee on Oversight and Reform, the Com-
mittee on the Judiciary, and the Permanent Select Com-
mittee on Intelligence of the House of Representatives.
(C) Other appropriate committees and subcommittees of
Congress.
(i) NON-APPLICABILITY OF CERTAIN PROVISIONS TO REQUESTS
FROM INSPECTOR GENERAL OF DEPARTMENT OF JUSTICE.—Sub-
sections (a)(1)(A) and (h) shall not apply to requests from the In-
spector General of the Department of Justice.
(j) COMPUTERIZED COMPARISONS.—
(1) DEFINITIONS.—In this subsection, the terms ‘‘agency’’,
‘‘matching program’’, ‘‘record’’, and ‘‘system of records’’ have the
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meanings given those terms in section 552a(a) of title 5.
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(2) NON-CONSIDERATION OF COMPUTERIZED COMPARISONS AS
MATCHING PROGRAMS.—For purposes of section 552a of title 5
or any other provision of law, a computerized comparison of two
or more automated Federal systems of records, or a computer-
ized comparison of a Federal system of records with other
records or non-Federal records, performed by an Inspector Gen-
eral or by an agency in coordination with an Inspector General
in conducting an audit, investigation, inspection, evaluation, or
other review authorized under this chapter shall not be consid-
ered a matching program.
(3) LIMITATION.—Nothing in this subsection shall be con-
strued to impede the exercise by an Inspector General of any
matching program authority established under any other provi-
sion of law.
(k) NON-APPLICABILITY OF FEDERAL INFORMATION POLICY.— Sub-
chapter I of chapter 35 of title 44 shall not apply to the collection
of information during the conduct of an audit, investigation, inspec-
tion, evaluation, or other review conducted by the Council of the In-
spectors General on Integrity and Efficiency or any Office of Inspec-
tor General, including any Office of Special Inspector General.
§ 407. Complaints by employees
(a) RECEIPT AND INVESTIGATION.—The Inspector General may re-
ceive and investigate complaints or information from an employee
of the establishment concerning the possible existence of an activity
constituting a violation of law, rules, or regulations, or mismanage-
ment, gross waste of funds, abuse of authority, or a substantial and
specific danger to the public health and safety.
(b) PROHIBITION ON DISCLOSURE OF IDENTITY.—The Inspector
General shall not, after receipt of a complaint or information from
an employee, disclose the identity of the employee without the con-
sent of the employee, unless the Inspector General determines the
disclosure is unavoidable during the course of the investigation.
(c) PROHIBITION ON REPRISAL.—Any employee who has authority
to take, direct others to take, recommend, or approve any personnel
action, shall not, with respect to that authority, take or threaten to
take any action against any employee as a reprisal for making a
complaint or disclosing information to an Inspector General, unless
the complaint was made or the information disclosed with the
knowledge that it was false or with willful disregard for its truth
or falsity.
§ 408. Additional Provisions With Respect to the Inspector
General of the Department of Defense
(a) INSPECTOR GENERAL.—A member of the Armed Forces, active
or reserve, shall not be appointed Inspector General of the Depart-
ment of Defense.
(b) AUTHORITY OF SECRETARY OF DEFENSE.—
(1) IN GENERAL.—Notwithstanding the last two sentences of
section 403(a) of this title, the Inspector General shall be under
the authority, direction, and control of the Secretary of Defense
with respect to audits or investigations, or the issuance of sub-
poenas, which require access to information concerning—
(A) sensitive operational plans;
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(B) intelligence matters;
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(C) counterintelligence matters;
(D) ongoing criminal investigations by other administra-
tive units of the Department of Defense related to national
security; or
(E) other matters the disclosure of which would constitute
a serious threat to national security.
(2) AUTHORITY TO PROHIBIT AUDIT OR INVESTIGATION.—With
respect to the information described in paragraph (1), the Sec-
retary of Defense may prohibit the Inspector General from initi-
ating, carrying out, or completing any audit or investigation,
from accessing information described in paragraph (1), or from
issuing any subpoena, after the Inspector General has decided
to initiate, carry out, or complete such audit or investigation,
access such information, or to issue such subpoena, if the Sec-
retary determines that such prohibition is necessary to preserve
the national security interests of the United States.
(3) STATEMENT CONCERNING EXERCISE OF POWER.—If the Sec-
retary of Defense exercises any power under paragraph (1) or
(2), the Inspector General shall submit a statement concerning
that exercise of power within 30 days to the Committee on
Armed Services and the Committee on Homeland Security and
Governmental Affairs of the Senate and the Committee on
Armed Services and the Committee on Oversight and Reform of
the House of Representatives and to other appropriate commit-
tees or subcommittees of the Congress.
(4) STATEMENT OF REASONS FOR EXERCISE OF POWER.—The
Secretary shall, within 30 days after submission of a statement
under paragraph (3), transmit a statement of the reasons for
the exercise of power under paragraph (1) or (2) to the congres-
sional committees specified in paragraph (3) and to other ap-
propriate committees or subcommittees.
(c) ADDITIONAL DUTIES AND RESPONSIBILITIES.—In addition to
the other duties and responsibilities specified in this chapter, the In-
spector General of the Department of Defense shall—
(1) be the principal adviser to the Secretary of Defense for
matters relating to the prevention and detection of fraud, waste,
and abuse in the programs and operations of the Department;
(2) initiate, conduct, and supervise such audits and investiga-
tions in the Department of Defense (including the military de-
partments) as the Inspector General considers appropriate;
(3) provide policy direction for audits and investigations re-
lating to fraud, waste, and abuse and program effectiveness;
(4) investigate fraud, waste, and abuse uncovered as a result
of other contract and internal audits, as the Inspector General
considers appropriate;
(5) develop policy, monitor and evaluate program perform-
ance, and provide guidance with respect to all Department ac-
tivities relating to criminal investigation programs;
(6) monitor and evaluate the adherence of Department audi-
tors to internal audit, contract audit, and internal review prin-
ciples, policies, and procedures;
(7) develop policy, evaluate program performance, and mon-
itor actions taken by all components of the Department in re-
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61
ports, and audits conducted by the Comptroller General of the
United States;
(8) request assistance as needed from other audit, inspection,
and investigative units of the Department of Defense (including
military departments);
(9) give particular regard to the activities of the internal
audit, inspection, and investigative units of the military depart-
ments with a view toward avoiding duplication and ensuring
effective coordination and cooperation; and
(10) conduct, or approve arrangements for the conduct of, ex-
ternal peer reviews of Department of Defense audit agencies in
accordance with, and in such frequency as provided by, Govern-
ment auditing standards as established by the Comptroller
General of the United States.
(d) REPORTING VIOLATIONS OF CHAPTER 47 OF TITLE 10.— Not-
withstanding section 404(d) of this title, the Inspector General of the
Department of Defense shall expeditiously report suspected or al-
leged violations of chapter 47 of title 10 (Uniform Code of Military
Justice), to the Secretary of the military department concerned or
the Secretary of Defense.
(e) MEMBER OF ARMED FORCES DEEMED TO BE EMPLOYEE.—For
the purposes of section 407 of this title, a member of the Armed
Forces shall be deemed to be an employee of the Department of De-
fense, except that, when the Coast Guard operates as a service of an-
other department or agency of the Federal Government, a member
of the Coast Guard shall be deemed to be an employee of that de-
partment or agency.
(f) REPORTS.—
(1) REPORTS TRANSMITTED TO CONGRESSIONAL COMMIT-
TEES.—Each semiannual report prepared by the Inspector Gen-
eral of the Department of Defense under section 405(b) of this
title shall be transmitted by the Secretary of Defense to the
Committees on Armed Services and on Homeland Security and
Governmental Affairs of the Senate and the Committees on
Armed Services and on Oversight and Reform of the House of
Representatives and to other appropriate committees or sub-
committees of Congress. Each report shall include—
(A) information concerning the numbers and types of con-
tract audits conducted by the Department during the re-
porting period; and
(B) information concerning any Department of Defense
audit agency that, during the reporting period, has either
received a failed opinion from an external peer review or is
overdue for an external peer review required to be con-
ducted in accordance with subsection (c)(10).
(2) ADDITIONAL REPORTS TRANSMITTED TO CONGRESSIONAL
COMMITTEES.—Any report required to be transmitted by the
Secretary of Defense to the appropriate committees or sub-
committees of the Congress under section 405(e) of this title
shall also be transmitted, within the 7-day period specified in
section 405(e) of this title, to the congressional committees speci-
fied in paragraph (1).
(g) NON-APPLICABILITY OF SECTION 1385 OF TITLE 18.—The pro-
visions of section 1385 of title 18, shall not apply to audits and in-
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of the Inspector General of the Department of Defense to carry out
the purposes of this chapter.
(h) GENERAL COUNSEL TO INSPECTOR GENERAL OF DEPARTMENT
OF DEFENSE.—
(1) IN GENERAL.—There is a General Counsel to the Inspector
General of the Department of Defense, who shall be appointed
by the Inspector General of the Department of Defense.
(2) DUTIES AND FUNCTIONS.—
(A) Notwithstanding section 140(b) of title 10, the Gen-
eral Counsel is the chief legal officer of the Office of the In-
spector General.
(B) The Inspector General is the exclusive legal client of
the General Counsel.
(C) The General Counsel shall perform such functions as
the Inspector General may prescribe.
(D) The General Counsel shall serve at the discretion of
the Inspector General.
(3) OFFICE OF GENERAL COUNSEL.—There is an Office of the
General Counsel to the Inspector General of the Department of
Defense. The Inspector General may appoint to the Office to
serve as staff of the General Counsel such legal counsel as the
Inspector General considers appropriate.
(i) AUTHORITY TO REQUIRE ATTENDANCE AND TESTIMONY OF WIT-
NESSES.—
(1) SUBPOENA.—The Inspector General of the Department of
Defense is authorized to require by subpoena the attendance
and testimony of witnesses as necessary in the performance of
functions assigned to the Inspector General by this chapter, ex-
cept that the Inspector General shall use procedures other than
subpoenas to obtain attendance and testimony from Federal em-
ployees.
(2) ENFORCEMENT.—A subpoena issued under this subsection,
in the case of contumacy or refusal to obey, shall be enforceable
by order of any appropriate United States district court.
(3) NOTIFICATION.—The Inspector General shall notify the At-
torney General 7 days before issuing any subpoena under this
section.
§ 409. Special Provisions Concerning the Agency for Inter-
national Development
(a) DEFINITION OF AGENCY FOR INTERNATIONAL DEVELOPMENT.—
As used in this chapter, the term ‘‘Agency for International Develop-
ment’’ includes any successor agency primarily responsible for ad-
ministering part I of the Foreign Assistance Act of 1961 (22 U.S.C.
2151 et seq.).
(b) MEMBERS OF FOREIGN SERVICE.—In addition to the officers
and employees provided for in section 406(a)(7) of this title, mem-
bers of the Foreign Service may, at the request of the Inspector Gen-
eral of the Agency for International Development, be assigned as
employees of the Inspector General. Members of the Foreign Service
so assigned shall be responsible solely to the Inspector General, and
the Inspector General (or the Inspector General’s designee) shall pre-
pare the performance evaluation reports for the members assigned
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(c) FIELD OFFICES.—In establishing and staffing field offices pur-
suant to section 406(d) of this title, the Administrator of the Agency
for International Development shall not be bound by overseas per-
sonnel ceilings.
(d) ADDITIONAL OFFICER.—The Inspector General of the Agency
for International Development shall be in addition to the officers
provided for in section 624(a) of the Foreign Assistance Act of 1961
(22 U.S.C. 2384(a)).
§ 410. Special Provisions Concerning the Nuclear Regulatory
Commission
(a) DELEGATION.—The Chairman of the Commission may delegate
the authority specified in the 2d sentence of section 403(a) of this
title to another member of the Nuclear Regulatory Commission, but
shall not delegate such authority to any other officer or employee of
the Commission.
(b) PERSONNEL.—Notwithstanding paragraphs (7) and (8) of sec-
tion 406(a) of this title, the Inspector General of the Nuclear Regu-
latory Commission is authorized to select, appoint, and employ such
officers and employees as may be necessary for carrying out the
functions, powers, and duties of the Office of Inspector General and
to obtain the temporary or intermittent services of experts or consult-
ants or an organization of experts or consultants, subject to the ap-
plicable laws and regulations that govern such selections, appoint-
ments, and employment, and the obtaining of such services, within
the Nuclear Regulatory Commission.
§ 411. Special Provisions Concerning the Federal Deposit In-
surance Corporation
(a) DELEGATION.—The Chairperson of the Federal Deposit Insur-
ance Corporation may delegate the authority specified in the 2d sen-
tence of section 403(a) of this title to the Vice Chairperson of the
Board of Directors of the Federal Deposit Insurance Corporation,
but may not delegate such authority to any other officer or employee
of the Corporation.
(b) PERSONNEL.—Notwithstanding paragraphs (7) and (8) of sec-
tion 406(a) of this title, the Inspector General of the Federal Deposit
Insurance Corporation may select, appoint, and employ such officers
and employees as may be necessary for carrying out the functions,
powers, and duties of the Office of Inspector General and may ob-
tain the temporary or intermittent services of experts or consultants
or an organization of experts or consultants, subject to the applica-
ble laws and regulations that govern such selections, appointments,
and employment, and the obtaining of such services, within the Fed-
eral Deposit Insurance Corporation.
§ 412. Special Provisions Concerning the Department of the
Treasury
(a) IN GENERAL.—
(1) AUTHORITY OF SECRETARY OF TREASURY OVER CERTAIN
AUDITS AND INVESTIGATIONS.—Notwithstanding the 2d sentence
and last sentence of section 403(a) of this title, the Inspector
General of the Department of the Treasury shall be under the
authority, direction, and control of the Secretary of the Treasury
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with respect to audits or investigations, or the issuance of sub-
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poenas, which require access to sensitive information con-
cerning—
(A) ongoing criminal investigations or proceedings;
(B) undercover operations;
(C) the identity of confidential sources, including pro-
tected witnesses;
(D) deliberations and decisions on policy matters, includ-
ing documented information used as a basis for making
policy decisions, the disclosure of which could reasonably
be expected to have a significant influence on the economy
or market behavior;
(E) intelligence or counterintelligence matters; or
(F) other matters the disclosure of which would constitute
a serious threat to national security or to the protection of
any person or property authorized protection by section
3056 of title 18, section 3056A of title 18, or any provision
of the Presidential Protection Assistance Act of 1976 (Public
Law 94—524, 18 U.S.C. 3056 note).
(2) AUTHORITY OF SECRETARY OF TREASURY TO PROHIBIT CAR-
RYING OUT OR COMPLETING CERTAIN AUDITS AND INVESTIGA-
TIONS.—With respect to the information described under para-
graph (1), the Secretary of the Treasury may prohibit the In-
spector General of the Department of the Treasury from car-
rying out or completing any audit or investigation, from access-
ing information described in paragraph (1), or from issuing any
subpoena, after such Inspector General has decided to initiate,
carry out, or complete such audit or investigation, access such
information, or to issue such subpoena, if the Secretary deter-
mines that such prohibition is necessary to prevent the disclo-
sure of any information described under paragraph (1) or to
prevent significant impairment to the national interests of the
United States.
(3) NOTIFICATION AND STATEMENT OF REASONS FOR EXERCISE
OF POWER.—If the Secretary of the Treasury exercises any power
under paragraph (1) or (2), the Secretary of the Treasury shall
notify the Inspector General of the Department of the Treasury
in writing, stating the reasons for such exercise. Within 30 days
after receipt of any such notice, the Inspector General of the De-
partment of the Treasury shall transmit a copy of such notice
to the Committee on Homeland Security and Governmental Af-
fairs and the Committee on Finance of the Senate and the Com-
mittee on Oversight and Reform and the Committee on Ways
and Means of the House of Representatives, and to other appro-
priate committees or subcommittees of the Congress.
(4) EXCEPTION RELATING TO TREASURY INSPECTOR GENERAL
FOR TAX ADMINISTRATION.—The Secretary of the Treasury may
not exercise any power under paragraph (1) or (2) with respect
to the Treasury Inspector General for Tax Administration.
(b) OVERSIGHT RESPONSIBILITY FOR INTERNAL INVESTIGATIONS.—
(1) IN GENERAL.—In carrying out the duties and responsibil-
ities specified in this chapter, the Inspector General of the De-
partment of the Treasury shall have oversight responsibility for
the internal investigations performed by the Office of Internal
Affairs of the Tax and Trade Bureau. The head of such office
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ment of the Treasury the significant activities being carried out
by such office.
(2) EXERCISE OF DUTIES AND RESPONSIBILITIES.—The Inspec-
tor General of the Department of the Treasury shall exercise all
duties and responsibilities of an Inspector General for the De-
partment of the Treasury other than the duties and responsibil-
ities exercised by the Treasury Inspector General for Tax Ad-
ministration.
(3) ESTABLISHMENT OF PROCEDURES.—The Secretary of the
Treasury shall establish procedures under which the Inspector
General of the Department of the Treasury and the Treasury In-
spector General for Tax Administration will—
(A) determine how audits and investigations are allo-
cated in cases of overlapping jurisdiction; and
(B) provide for coordination, cooperation, and efficiency
in the conduct of such audits and investigations.
(c) AUDITS AND INVESTIGATIONS IN DEPARTMENT OF TREASURY.—
Notwithstanding subsection (b), the Inspector General of the Depart-
ment of the Treasury may initiate, conduct and supervise such au-
dits and investigations in the Department of the Treasury (includ-
ing the bureau referred to in subsection (b)) as the Inspector General
of the Department of the Treasury considers appropriate.
(d) AUTHORITY TO PROVIDE WRITTEN NOTICE TO TAX AND TRADE
BUREAU.—If the Inspector General of the Department of the Treas-
ury initiates an audit or investigation under subsection (c) con-
cerning the bureau referred to in subsection (b), the Inspector Gen-
eral of the Department of the Treasury may provide the head of the
office of such bureau referred to in subsection (b) with written notice
that the Inspector General of the Department of the Treasury has
initiated such an audit or investigation. If the Inspector General of
the Department of the Treasury issues a notice under the preceding
sentence, no other audit or investigation shall be initiated into the
matter under audit or investigation by the Inspector General of the
Department of the Treasury, and any other audit or investigation of
such matter shall cease.
(e) TREASURY INSPECTOR GENERAL FOR TAX ADMINISTRATION.—
(1) ACCESS TO RETURNS AND RETURN INFORMATION.—The
Treasury Inspector General for Tax Administration shall have
access to returns and return information, as defined in section
6103(b) of the Internal Revenue Code of 1986 (26 U.S.C.
6103(b)), only in accordance with the provisions of section 6103
of the Internal Revenue Code of 1986 (26 U.S.C. 6103) and this
chapter.
(2) STANDARDIZED RECORDS AND ACCOUNTINGS.—The Inter-
nal Revenue Service shall maintain the same system of stand-
ardized records or accountings of all requests from the Treasury
Inspector General for Tax Administration for inspection or dis-
closure of returns and return information (including the rea-
sons for and dates of such requests), and of returns and return
information inspected or disclosed pursuant to such requests, as
described under section 6103(p)(3)(A) of the Internal Revenue
Code of 1986 (26 U.S.C. 6103(p)(3)(A)). Such system of stand-
ardized records or accountings shall also be available for exam-
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ination in the same manner as provided under section
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6103(p)(3) of the Internal Revenue Code of 1986 (26 U.S.C.
6103(p)(3)).
(3) SAFEGUARDS AND CONDITIONS.—The Treasury Inspector
General for Tax Administration shall be subject to the same
safeguards and conditions for receiving returns and return in-
formation as are described under section 6103(p)(4) of the Inter-
nal Revenue Code of 1986 (26 U.S.C. 6103(p)(4)).
(f) AUDIT OR INVESTIGATION SHALL NOT AFFECT FINAL DECISION
UNDER SECTION 6406 OF INTERNAL REVENUE CODE OF 1986.—An
audit or investigation conducted by the Inspector General of the De-
partment of the Treasury or the Treasury Inspector General for Tax
Administration shall not affect a final decision of the Secretary of
the Treasury or the Secretary’s delegate under section 6406 of the
Internal Revenue Code of 1986 (26 U.S.C. 6406).
(g) REPORTS.—
(1) REPORTS TO CONGRESSIONAL COMMITTEES.—Any report
required to be transmitted by the Secretary of the Treasury to
the appropriate committees or subcommittees of the Congress
under section 405(e) of this title shall also be transmitted, with-
in the 7-day period specified under such section, to the Com-
mittee on Homeland Security and Governmental Affairs and
the Committee on Finance of the Senate and the Committee on
Oversight and Reform and the Committee on Ways and Means
of the House of Representatives.
(2) REPORTS MADE BY TREASURY INSPECTOR GENERAL FOR TAX
ADMINISTRATION TO CONGRESSIONAL COMMITTEES.—Any report
made by the Treasury Inspector General for Tax Administration
that is required to be transmitted by the Secretary of the Treas-
ury to the appropriate committees or subcommittees of Congress
under section 405(e) of this title shall also be transmitted, with-
in the 7-day period specified under such subsection, to the Inter-
nal Revenue Service Oversight Board and the Commissioner of
Internal Revenue.
(h) DUTIES AND RESPONSIBILITIES OF TREASURY INSPECTOR GEN-
ERAL FOR TAX ADMINISTRATION.—The Treasury Inspector General
for Tax Administration shall exercise all duties and responsibilities
of an Inspector General of an establishment with respect to the De-
partment of the Treasury and the Secretary of the Treasury on all
matters relating to the Internal Revenue Service. The Treasury In-
spector General for Tax Administration shall have sole authority
under this chapter to conduct an audit or investigation of the Inter-
nal Revenue Service Oversight Board and the Chief Counsel for the
Internal Revenue Service.
(i) ABILITY TO LEAD LARGE AND COMPLEX ORGANIZATION.—In ad-
dition to the requirements of the 1st sentence of section 403(a) of this
title, the Treasury Inspector General for Tax Administration should
have demonstrated ability to lead a large and complex organization.
(j) PROHIBITION ON APPOINTMENT OF EMPLOYEE OF INTERNAL
REVENUE SERVICE TO CERTAIN POSITIONS.—An individual ap-
pointed to the position of Treasury Inspector General for Tax Ad-
ministration, the Assistant Inspector General for Auditing of the Of-
fice of the Treasury Inspector General for Tax Administration under
section 403(d)(1)(B)(i) of this title (or, effective November 27, 2017,
section 403(d)(2)(B)(i) of this title), the Assistant Inspector General
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Tax Administration under section 403(d)(1)(B)(ii) of this title (or, ef-
fective November 27, 2017, section 403(d)(2)(B)(ii) of this title), or
any position of Deputy Inspector General of the Office of the Treas-
ury Inspector General for Tax Administration may not be an em-
ployee of the Internal Revenue Service—
(1) during the 2-year period preceding the date of appoint-
ment to such position; or
(2) during the 5-year period following the date such indi-
vidual ends service in such position.
(k) ADDITIONAL DUTIES AND RESPONSIBILITIES.—
(1) IN GENERAL.—In addition to the duties and responsibil-
ities exercised by an inspector general of an establishment, the
Treasury Inspector General for Tax Administration—
(A) shall have the duty to enforce criminal provisions
under section 7608(b) of the Internal Revenue Code of 1986
(26 U.S.C. 7608(b));
(B) in addition to the functions authorized under section
7608(b)(2) of the Internal Revenue Code of 1986 (26 U.S.C.
7608(b)(2)), may carry firearms;
(C) shall be responsible for protecting the Internal Rev-
enue Service against external attempts to corrupt or threat-
en employees of the Internal Revenue Service, but shall not
be responsible for the conducting of background checks and
the providing of protection to the Commissioner of Internal
Revenue; and
(D) may designate any employee in the Office of the
Treasury Inspector General for Tax Administration to en-
force such laws and perform such functions referred to
under subparagraphs (A), (B), and (C).
(2) REPORTING VIOLATIONS.—
(A) REPORTING REASONABLE GROUNDS TO BELIEVE A VIO-
LATION OF FEDERAL CRIMINAL LAW OCCURRED.—In per-
forming a law enforcement function under paragraph (1),
the Treasury Inspector General for Tax Administration
shall report any reasonable grounds to believe there has
been a violation of Federal criminal law to the Attorney
General at an appropriate time as determined by the Treas-
ury Inspector General for Tax Administration, notwith-
standing section 404(d) of this title.
(B) REPORTING PROBLEMS, ABUSES, OR DEFICIENCIES.—In
the administration of section 405(e) of this title and sub-
section (g)(2) of this section, the Secretary of the Treasury
may transmit the required report with respect to the Treas-
ury Inspector General for Tax Administration at an appro-
priate time as determined by the Secretary, if the problem,
abuse, or deficiency relates to—
(i) the performance of a law enforcement function
under paragraph (1); and
(ii) sensitive information concerning matters under
subsection (a)(1)(A) through (F).
(3) LIMITATION.—Nothing in this subsection shall be con-
strued to affect the authority of any other person to carry out
or enforce any provision specified in paragraph (1).
(l) REQUEST FOR AUDIT OR INVESTIGATION RELATING TO INTER-
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NAL REVENUE SERVICE.—
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(1) IN GENERAL.—The Commissioner of Internal Revenue or
the Internal Revenue Service Oversight Board may request, in
writing, the Treasury Inspector General for Tax Administration
to conduct an audit or investigation relating to the Internal
Revenue Service. If the Treasury Inspector General for Tax Ad-
ministration determines not to conduct such audit or investiga-
tion, the Inspector General shall timely provide a written expla-
nation for such determination to the person making the request.
(2) REPORTS.—
(A) FINAL REPORT OF AUDIT.—Any final report of an
audit conducted by the Treasury Inspector General for Tax
Administration shall be timely submitted by the Inspector
General to the Commissioner of Internal Revenue and the
Internal Revenue Service Oversight Board.
(B) PERIODIC LIST OF INVESTIGATIONS FOR WHICH FINAL
REPORT COMPLETED.—The Treasury Inspector General for
Tax Administration shall periodically submit to the Com-
missioner and Board a list of investigations for which a
final report has been completed by the Inspector General
and shall provide a copy of any such report upon request
of the Commissioner or Board.
(C) APPLICABILITY.—This paragraph applies regardless of
whether the applicable audit or investigation is requested
under paragraph (1).
§ 413. Special Provisions Concerning the Department of Jus-
tice
(a) IN GENERAL.—
(1) AUTHORITY OF ATTORNEY GENERAL OVER CERTAIN AUDITS
AND INVESTIGATIONS.—Notwithstanding the 2d sentence and
last sentence of section 403(a) of this title, the Inspector General
shall be under the authority, direction, and control of the Attor-
ney General with respect to audits or investigations, or the
issuance of subpoenas, which require access to sensitive infor-
mation concerning—
(A) ongoing civil or criminal investigations or pro-
ceedings;
(B) undercover operations;
(C) the identity of confidential sources, including pro-
tected witnesses;
(D) intelligence or counterintelligence matters; or
(E) other matters the disclosure of which would constitute
a serious threat to national security.
(2) AUTHORITY OF ATTORNEY GENERAL TO PROHIBIT CARRYING
OUT OR COMPLETING CERTAIN AUDITS AND INVESTIGATIONS.—
With respect to the information described under paragraph (1),
the Attorney General may prohibit the Inspector General from
carrying out or completing any audit or investigation, from ac-
cessing information described in paragraph (1), or from issuing
any subpoena, after such Inspector General has decided to ini-
tiate, carry out, or complete such audit or investigation, access
such information, or to issue such subpoena, if the Attorney
General determines that such prohibition is necessary to prevent
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the disclosure of any information described under paragraph
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(1) or to prevent significant impairment to the national interests
of the United States.
(3) NOTIFICATION AND STATEMENT OF REASONS FOR EXERCISE
OF POWER.—If the Attorney General exercises any power under
paragraph (1) or (2), the Attorney General shall notify the In-
spector General in writing, stating the reasons for such exercise.
Within 30 days after receipt of any such notice, the Inspector
General shall transmit a copy of such notice to the Committee
on Homeland Security and Governmental Affairs and the Com-
mittee on the Judiciary of the Senate and the Committee on
Oversight and Reform and the Committee on the Judiciary of
the House of Representatives, and to other appropriate commit-
tees or subcommittees of the Congress.
(b) CARRYING OUT DUTIES AND RESPONSIBILITIES.—In carrying
out the duties and responsibilities specified in this chapter, the In-
spector General of the Department of Justice—
(1) may initiate, conduct and supervise such audits and in-
vestigations in the Department of Justice as the Inspector Gen-
eral considers appropriate;
(2) except as specified in subsection (a) and paragraph (3),
may investigate allegations of criminal wrongdoing or adminis-
trative misconduct by an employee of the Department of Justice,
or may, in the discretion of the Inspector General, refer such al-
legations to the Office of Professional Responsibility or the in-
ternal affairs office of the appropriate component of the Depart-
ment of Justice;
(3) shall refer to the Counsel, Office of Professional Responsi-
bility of the Department of Justice, allegations of misconduct
involving Department attorneys, investigators, or law enforce-
ment personnel, where the allegations relate to the exercise of
the authority of an attorney to investigate, litigate, or provide
legal advice, except that no such referral shall be made if the
attorney is employed in the Office of Professional Responsibility;
(4) may investigate allegations of criminal wrongdoing or ad-
ministrative misconduct by a person who is the head of any
agency or component of the Department of Justice; and
(5) shall forward the results of any investigation conducted
under paragraph (4), along with any appropriate recommenda-
tion for disciplinary action, to the Attorney General.
(c) REPORTS.—Any report required to be transmitted by the Attor-
ney General to the appropriate committees or subcommittees of the
Congress under section 405(e) of this title shall also be transmitted,
within the 7-day period specified under that section, to the Com-
mittee on the Judiciary and the Committee on Homeland Security
and Governmental Affairs of the Senate and the Committee on the
Judiciary and the Committee on Oversight and Reform of the House
of Representatives.
(d) REGULATION TO ENSURE REPORTING OF CERTAIN ALLEGA-
TIONS TO INSPECTOR GENERAL.—The Attorney General shall ensure
by regulation that any component of the Department of Justice re-
ceiving a nonfrivolous allegation of criminal wrongdoing or admin-
istrative misconduct by an employee of the Department of Justice,
except with respect to allegations described in subsection (b)(3),
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§ 414. Special Provisions Concerning the Corporation for Na-
tional and Community Service
(a) PERSONNEL.—Notwithstanding the provisions of paragraphs
(7) and (8) of section 406(a) of this title, it is within the exclusive
jurisdiction of the Inspector General of the Corporation for National
and Community Service to—
(1) appoint and determine the compensation of such officers
and employees in accordance with section 195(b) of the National
and Community Service Act of 1990 (42 U.S.C. 12651f(b)); and
(2) procure the temporary and intermittent services of and
compensate such experts and consultants, in accordance with
section 3109(b) of this title,
as may be necessary to carry out the functions, powers, and duties
of the Inspector General.
(b) REPORTS TO BOARD OF DIRECTORS.—Not later than the date
on which the Chief Executive Officer of the Corporation for National
and Community Service transmits any report to the Congress under
subsection (b) or (c) of section 405 of this title, the Chief Executive
Officer shall transmit such report to the Board of Directors of such
Corporation.
(c) REVIEW OF AUDIT REPORTS BY BOARD OF DIRECTORS.—Not
later than the date on which the Chief Executive Officer of the Cor-
poration for National and Community Service transmits a report
described under section 405(c) of this title to the Board of Directors
as provided under subsection (b) of this section, the Chief Executive
Officer shall also transmit any audit report which is described in
the statement required under section 405(c)(4) to the Board of Direc-
tors. All such audit reports shall be placed on the agenda for review
at the next scheduled meeting of the Board of Directors following
such transmittal. The Chief Executive Officer of the Corporation
shall be present at such meeting to provide any information relating
to such audit reports.
(d) REPORT OF PROBLEM, ABUSE, OR DEFICIENCY TO BOARD OF
DIRECTORS.—Not later than the date on which the Inspector Gen-
eral of the Corporation for National and Community Service reports
a problem, abuse, or deficiency under section 405(e) of this title to
the Chief Executive Officer of the Corporation, the Chief Executive
Officer shall report such problem, abuse, or deficiency to the Board
of Directors.
§ 415. Requirements for Federal Entities and Designated Fed-
eral Entities
(a) DEFINITIONS.—Notwithstanding section 401 of this title, in
this section:
(1) DESIGNATED FEDERAL ENTITY.—
(A) IN GENERAL.—The term ‘‘designated Federal entity’’
means Amtrak, the Appalachian Regional Commission, the
Board of Governors of the Federal Reserve System and the
Bureau of Consumer Financial Protection, the Committee
for Purchase From People Who Are Blind or Severely Dis-
abled, the Commodity Futures Trading Commission, the
Consumer Product Safety Commission, the Corporation for
Public Broadcasting, the Defense Intelligence Agency, the
Denali Commission, the Equal Employment Opportunity
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Commission, the Farm Credit Administration, the Federal
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Election Commission, the Election Assistance Commission,
the Federal Labor Relations Authority, the Federal Mari-
time Commission, the Federal Trade Commission, the
Legal Services Corporation, the National Archives and
Records Administration, the National Credit Union Admin-
istration, the National Endowment for the Arts, the Na-
tional Endowment for the Humanities, the National
Geospatial-Intelligence Agency, the National Labor Rela-
tions Board, the National Science Foundation, the Peace
Corps, the Pension Benefit Guaranty Corporation, the Secu-
rities and Exchange Commission, the Smithsonian Institu-
tion, the United States International Development Finance
Corporation, the United States International Trade Com-
mission, the Postal Regulatory Commission, and the United
States Postal Service.
(B) AMTRAK.—Effective at the beginning of the first fiscal
year after a fiscal year for which Amtrak receives no Fed-
eral subsidy, subparagraph (A) is amended by striking
‘‘Amtrak,’’.
(2) FEDERAL ENTITY.—The term ‘‘Federal entity’’ means any
Government corporation (within the meaning of section 103(1)
of this title), any Government controlled corporation (within the
meaning of section 103(2) of this title), or any other entity in the
executive branch of the Government, or any independent regu-
latory agency, but does not include—
(A) an establishment (as defined under section 401 of this
title) or part of an establishment;
(B) a designated Federal entity (as defined under para-
graph (1) of this subsection) or part of a designated Federal
entity;
(C) the Executive Office of the President;
(D) the Central Intelligence Agency;
(E) the Government Accountability Office; or
(F) any entity in the judicial or legislative branches of the
Government, including the Administrative Office of the
United States Courts and the Architect of the Capitol and
any activities under the direction of the Architect of the
Capitol.
(3) HEAD OF THE DESIGNATED FEDERAL ENTITY.—The term
‘‘head of the designated Federal entity’’ means the board or
commission of the designated Federal entity, or in the event the
designated Federal entity does not have a board or commission,
any person or persons designated by statute as the head of a
designated Federal entity and if no such designation exists, the
chief policymaking officer or board of a designated Federal enti-
ty as identified in the list published pursuant to subsection
(h)(1) of this section, except that—
(A) with respect to the National Science Foundation, such
term means the National Science Board;
(B) with respect to the United States Postal Service, such
term means the Governors (within the meaning of section
102(3) of title 39);
(C) with respect to the Federal Labor Relations Authority,
such term means the members of the Authority (described
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(D) with respect to the Committee for Purchase From Peo-
ple Who Are Blind or Severely Disabled, such term means
the Chairman of the Committee for Purchase From People
Who Are Blind or Severely Disabled;
(E) with respect to the National Archives and Records
Administration, such term means the Archivist of the
United States;
(F) with respect to the National Credit Union Adminis-
tration, such term means the National Credit Union Ad-
ministration Board (described under section 102 of the Fed-
eral Credit Union Act (12 U.S.C. 1752a));
(G) with respect to the National Endowment of the Arts,
such term means the National Council on the Arts;
(H) with respect to the National Endowment for the Hu-
manities, such term means the National Council on the Hu-
manities;
(I) with respect to the Peace Corps, such term means the
Director of the Peace Corps; and
(J) with respect to the United States International Devel-
opment Finance Corporation, such term means the Board
of Directors of the United States International Development
Finance Corporation.
(4) HEAD OF THE FEDERAL ENTITY.—The term ‘‘head of the
Federal entity’’ means any person or persons designated by stat-
ute as the head of a Federal entity, and if no such designation
exists, the chief policymaking officer or board of a Federal enti-
ty as identified in the list published pursuant to subsection
(h)(1) of this section.
(5) INSPECTOR GENERAL.—The term ‘‘Inspector General’’
means an Inspector General of a designated Federal entity.
(6) OFFICE OF INSPECTOR GENERAL.—The term ‘‘Office of In-
spector General’’ means an Office of Inspector General of a des-
ignated Federal entity.
(b) OFFICE OF INSPECTOR GENERAL IN EACH DESIGNATED FED-
ERAL ENTITY.—Not later than 180 days after October 18, 1988, there
shall be established and maintained in each designated Federal en-
tity an Office of Inspector General. The head of the designated Fed-
eral entity shall transfer to such office the offices, units, or other
components, and the functions, powers, or duties thereof, that such
head determines are properly related to the functions of the Office
of Inspector General and would, if so transferred, further the pur-
poses of this section. There shall not be transferred to such office
any program operating responsibilities.
(c) APPOINTMENT OF INSPECTOR GENERAL.—Except as provided
under subsection (f) of this section, the Inspector General shall be
appointed by the head of the designated Federal entity in accord-
ance with the applicable laws and regulations governing appoint-
ments within the designated Federal entity. Each Inspector General
shall be appointed without regard to political affiliation and solely
on the basis of integrity and demonstrated ability in accounting, au-
diting, financial analysis, law, management analysis, public admin-
istration, or investigations. For purposes of implementing this sec-
tion, the Chairman of the Board of Governors of the Federal Reserve
System shall appoint the Inspector General of the Board of Gov-
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Financial Protection. The Inspector General of the Board of Gov-
ernors of the Federal Reserve System and the Bureau of Consumer
Financial Protection shall have all of the authorities and respon-
sibilities provided by this Act with respect to the Bureau of Con-
sumer Financial Protection, as if the Bureau were part of the Board
of Governors of the Federal Reserve System.
(d) SUPERVISION.—
(1) IN GENERAL.—Each Inspector General shall report to and
be under the general supervision of the head of the designated
Federal entity, but shall not report to, or be subject to super-
vision by, any other officer or employee of such designated Fed-
eral entity. Except as provided in paragraph (2), the head of the
designated Federal entity shall not prevent or prohibit the In-
spector General from initiating, carrying out, or completing any
audit or investigation, or from issuing any subpoena during the
course of any audit or investigation.
(2) EXCEPTION RELATING TO INTELLIGENCE COMMUNITY.—
(A) IN GENERAL.—The Secretary of Defense, in consulta-
tion with the Director of National Intelligence, may pro-
hibit the inspector general of an element of the intelligence
community specified in subparagraph (D) from initiating,
carrying out, or completing any audit or investigation, or
from accessing information available to an element of the
intelligence community specified in subparagraph (D), if
the Secretary determines that the prohibition is necessary to
protect vital national security interests of the United States.
(B) STATEMENT OF REASONS FOR EXERCISE OF AUTHOR-
ITY.—If the Secretary exercises the authority under sub-
paragraph (A), the Secretary shall submit to the committees
of Congress specified in subparagraph (E) an appropriately
classified statement of the reasons for the exercise of such
authority not later than 7 days after the exercise of such
authority.
(C) NOTIFICATION TO INSPECTOR GENERAL.—At the same
time the Secretary submits under subparagraph (B) a state-
ment on the exercise of the authority in subparagraph (A)
to the committees of Congress specified in subparagraph
(E), the Secretary shall notify the inspector general of such
element of the submittal of such statement and, to the ex-
tent consistent with the protection of intelligence sources
and methods, provide such inspector general with a copy of
such statement. Such inspector general may submit to such
committees of Congress any comments on a notice or state-
ment received by the inspector general under this subpara-
graph that the inspector general considers appropriate.
(D) ELEMENTS OF THE INTELLIGENCE COMMUNITY.—The
elements of the intelligence community specified in this sub-
paragraph are as follows:
(i) The Defense Intelligence Agency.
(ii) The National Geospatial-Intelligence Agency.
(iii) The National Reconnaissance Office.
(iv) The National Security Agency.
(E) COMMITTEES OF CONGRESS.—The committees of Con-
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(i) the Committee on Armed Services and the Select
Committee on Intelligence of the Senate; and
(ii) the Committee on Armed Services and the Perma-
nent Select Committee on Intelligence of the House of
Representatives.
(e) REMOVAL.—
(1) BOARD, CHAIRMAN OF COMMITTEE, OR COMMISSION IS
HEAD OF DESIGNATED FEDERAL ENTITY.—In the case of a des-
ignated Federal entity for which a board, chairman of a com-
mittee, or commission is the head of the designated Federal en-
tity, a removal under this subsection may only be made upon
the written concurrence of a 2⁄3 majority of the board, com-
mittee, or commission.
(2) INSPECTOR GENERAL REMOVED OR TRANSFERRED.—If an
Inspector General is removed from office or is transferred to an-
other position or location within a designated Federal entity,
the head of the designated Federal entity shall communicate in
writing the reasons for any such removal or transfer to both
Houses of Congress, not later than 30 days before the removal
or transfer. Nothing in this subsection shall prohibit a per-
sonnel action otherwise authorized by law, other than transfer
or removal.
(f) UNITED STATES POSTAL SERVICE.—
(1) APPOINTMENT.—For purposes of carrying out subsection
(b) with respect to the United States Postal Service, the appoint-
ment provisions of section 202(e) of title 39 shall be applied.
(2) OVERSIGHT RESPONSIBILITY OF INSPECTOR GENERAL FOR
ACTIVITIES OF POSTAL INSPECTION SERVICE.—In carrying out
the duties and responsibilities specified in this chapter, the In-
spector General of the United States Postal Service (hereinafter
in this subsection referred to as the ‘‘Inspector General’’) shall
have oversight responsibility for all activities of the Postal In-
spection Service, including any internal investigation performed
by the Postal Inspection Service. The Chief Postal Inspector
shall promptly report the significant activities being carried out
by the Postal Inspection Service to such Inspector General.
(3) AUDITS AND INVESTIGATIONS.—
(A) AUTHORITY, DIRECTION, AND CONTROL OF GOV-
ERNORS.—
(i) ACCESS TO SENSITIVE INFORMATION.—Notwith-
standing subsection (d), the Inspector General shall be
under the authority, direction, and control of the Gov-
ernors with respect to audits or investigations, or the
issuance of subpoenas, which require access to sensitive
information concerning—
(I) ongoing civil or criminal investigations or
proceedings;
(II) undercover operations;
(III) the identity of confidential sources, includ-
ing protected witnesses;
(IV) intelligence or counterintelligence matters;
or
(V) other matters the disclosure of which would
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(ii) AUTHORITY TO PROHIBIT INSPECTOR GENERAL
FROM CARRYING OUT OR COMPLETING AUDIT OR INVES-
TIGATION.—With respect to the information described
under clause (i), the Governors may prohibit the In-
spector General from carrying out or completing any
audit or investigation, or from issuing any subpoena,
after such Inspector General has decided to initiate,
carry out, or complete such audit or investigation or to
issue such subpoena, if the Governors determine that
such prohibition is necessary to prevent the disclosure
of any information described under clause (i) or to pre-
vent significant impairment to the national interests of
the United States.
(iii) NOTIFICATION OF REASONS FOR EXERCISE OF
POWER.—If the Governors exercise any power under
clause (i) or (ii), the Governors shall notify the Inspec-
tor General in writing, stating the reasons for such ex-
ercise. Within 30 days after receipt of any such notice,
the Inspector General shall transmit a copy of such no-
tice to the Committee on Homeland Security and Gov-
ernmental Affairs of the Senate and the Committee on
Oversight and Reform of the House of Representatives,
and to other appropriate committees or subcommittees
of the Congress.
(B) INITIATING, CONDUCTING, AND SUPERVISING AUDITS
AND INVESTIGATIONS.—In carrying out the duties and re-
sponsibilities specified in this chapter, the Inspector Gen-
eral—
(i) may initiate, conduct, and supervise such audits
and investigations in the United States Postal Service
as the Inspector General considers appropriate; and
(ii) shall give particular regard to the activities of the
Postal Inspection Service with a view toward avoiding
duplication and ensuring effective coordination and co-
operation.
(C) REPORTING SERIOUS PROBLEMS, ABUSES, OR DEFI-
CIENCIES.— Any report required to be transmitted by the
Governors to the appropriate committees or subcommittees
of the Congress under section 405(e) of this title shall also
be transmitted, within the 7-day period specified under
such section, to the Committee on Homeland Security and
Governmental Affairs of the Senate and the Committee on
Oversight and Reform of the House of Representatives.
(4) LIMITATION.—Nothing in this chapter shall restrict, elimi-
nate, or otherwise adversely affect any of the rights, privileges,
or benefits of either employees of the United States Postal Serv-
ice, or labor organizations representing employees of the United
States Postal Service, under chapter 12 of title 39, the National
Labor Relations Act, any handbook or manual affecting em-
ployee labor relations with the United States Postal Service, or
any collective bargaining agreement.
(5) DEFINITION OF GOVERNORS.—In this subsection, the term
‘‘Governors’’ has the meaning given the term by section 102(3)
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of title 39.
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(6) AUTHORIZATION OF APPROPRIATIONS.—There are author-
ized to be appropriated, out of the Postal Service Fund, such
sums as may be necessary for the Office of Inspector General of
the United States Postal Service.
(g) SPECIAL APPLICATION.—
(1) SECTIONS 404, 405, 406, and 407.—Sections 404, 405, 406
(other than paragraphs (7) and (8) of section 406(a)), and 407
of this title shall apply to each Inspector General and Office of
Inspector General of a designated Federal entity, and such sec-
tions shall be applied to each designated Federal entity and
head of the designated Federal entity (as defined under sub-
section (a)) by substituting—
(A) ‘‘designated Federal entity’’ for ‘‘establishment’’; and
(B) ‘‘head of the designated Federal entity’’ for ‘‘head of
the establishment’’.
(2) PERSONNEL.—In addition to the other authorities specified
in this chapter, an Inspector General is authorized to select, ap-
point, and employ such officers and employees as may be nec-
essary for carrying out the functions, powers, and duties of the
Office of Inspector General and to obtain the temporary or
intermittent services of experts or consultants or an organiza-
tion of experts or consultants, subject to the applicable laws and
regulations that govern such selections, appointments, and em-
ployment, and the obtaining of such services, within the des-
ignated Federal entity.
(3) APPLICATION OF SECTION 412(a).—Notwithstanding the
last sentence of subsection (d)(1) of this section, the provisions
of subsection (a) of section 412 of this title (other than the provi-
sions of subparagraphs (A), (B), (C), and (E) of subsection (a)(1)
of section 412 of this title) shall apply to the Inspector General
of the Board of Governors of the Federal Reserve System and
the Bureau of Consumer Financial Protection and the Chair-
man of the Board of Governors of the Federal Reserve System
in the same manner as such provisions apply to the Inspector
General of the Department of the Treasury and the Secretary of
the Treasury, respectively.
(4) COUNSEL.—Each Inspector General shall—
(A) in accordance with applicable laws and regulations
governing appointments within the designated Federal enti-
ty, appoint a Counsel to the Inspector General who shall re-
port to the Inspector General;
(B) obtain the services of a counsel appointed by and di-
rectly reporting to another Inspector General on a reim-
bursable basis; or
(C) obtain the services of appropriate staff of the Council
of the Inspectors General on Integrity and Efficiency on a
reimbursable basis.
(h) ANNUAL LISTING AND REPORT.—
(1) LISTING.—Each year, the Director of the Office of Manage-
ment and Budget, after consultation with the Comptroller Gen-
eral of the United States, shall publish in the Federal Register
a list of the Federal entities and designated Federal entities and
if the designated Federal entity is not a board or commission,
include the head of each such entity (as defined under sub-
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(2) REPORT.—On October 31 of each year, the head of each
Federal entity (as defined under subsection (a)) shall prepare
and transmit to the Director of the Office of Management and
Budget and to each House of the Congress a report that—
(A) states whether there has been established in the Fed-
eral entity an office that meets the requirements of this sec-
tion;
(B) specifies the actions taken by the Federal entity other-
wise to ensure that audits are conducted of its programs
and operations in accordance with the standards for audit
of governmental organizations, programs, activities, and
functions issued by the Comptroller General of the United
States, and includes a list of each audit report completed
by a Federal or non-Federal auditor during the reporting
period and a summary of any particularly significant find-
ings; and
(C) summarizes any matters relating to the personnel,
programs, and operations of the Federal entity referred to
prosecutive authorities, including a summary description of
any preliminary investigation conducted by or at the re-
quest of the Federal entity concerning these matters, and
the prosecutions and convictions which have resulted.
§ 416. Additional Provisions With Respect to Inspectors Gen-
eral of the Intelligence Community
(a) DEFINITIONS.—In this section:
(1) INTELLIGENCE COMMITTEES.—The term ‘‘intelligence com-
mittees’’ means the Permanent Select Committee on Intelligence
of the House of Representatives and the Select Committee on In-
telligence of the Senate.
(2) URGENT CONCERN.—The term ‘‘urgent concern’’ means any
of the following:
(A) A serious or flagrant problem, abuse, violation of law
or Executive order, or deficiency relating to the funding, ad-
ministration, or operations of an intelligence activity in-
volving classified information, but does not include dif-
ferences of opinions concerning public policy matters.
(B) A false statement to Congress, or a willful with-
holding from Congress, on an issue of material fact relating
to the funding, administration, or operation of an intel-
ligence activity.
(C) An action, including a personnel action described in
section 2302(a)(2)(A) of this title constituting reprisal or
threat of reprisal prohibited under section 407(c) of this
title in response to an employee’s reporting an urgent con-
cern in accordance with this section.
(b) COMPLAINT OR INFORMATION WITH RESPECT TO URGENT CON-
CERN.—
(1) TO WHOM REPORTS MAY BE MADE.—
(A) INSPECTOR GENERAL OF DEPARTMENT OF DEFENSE.—
An employee of the Defense Intelligence Agency, the Na-
tional Geospatial-Intelligence Agency, the National Recon-
naissance Office, or the National Security Agency, or of a
contractor of any of those Agencies, who intends to report
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urgent concern may report the complaint or information to
the Inspector General of the Department of Defense (or des-
ignee).
(B) INSPECTOR GENERAL OF INTELLIGENCE COMMUNITY.—
An employee of an element of the intelligence community,
an employee assigned or detailed to an element of the intel-
ligence community, or an employee of a contractor to the in-
telligence community, who intends to report to Congress a
complaint or information with respect to an urgent concern
may report such complaint or information to the Inspector
General of the Intelligence Community.
(C) INSPECTOR GENERAL OF DEPARTMENT OF JUSTICE.—
An employee of the Federal Bureau of Investigation, or of
a contractor of the Bureau, who intends to report to Con-
gress a complaint or information with respect to an urgent
concern may report the complaint or information to the In-
spector General of the Department of Justice (or designee).
(D) OTHER APPROPRIATE INSPECTOR GENERAL.—Any other
employee of, or contractor to, an executive agency, or ele-
ment or unit thereof, determined by the President under
section 2302(a)(2)(C)(ii) of this title, to have as its principal
function the conduct of foreign intelligence or counterintel-
ligence activities, who intends to report to Congress a com-
plaint or information with respect to an urgent concern
may report the complaint or information to the appropriate
Inspector General (or designee) under this chapter, section
17 of the Central Intelligence Agency Act of 1949 (50 U.S.C.
3517), or section 103H(k) of the National Security Act of
1947 (50 U.S.C. 3033(k)).
(2) DESIGNEE TO REPORT COMPLAINT OR INFORMATION TO IN-
SPECTOR GENERAL WITHIN 7 DAYS.—If a designee of an Inspec-
tor General under this section receives a complaint or informa-
tion of an employee with respect to an urgent concern, that des-
ignee shall report the complaint or information to the Inspector
General within 7 calendar days of receipt.
(3) DESIGNEES OF INSPECTOR GENERAL OF DEPARTMENT OF
DEFENSE.—The Inspectors General of the Defense Intelligence
Agency, the National Geospatial-Intelligence Agency, the Na-
tional Reconnaissance Office, and the National Security Agency
shall be designees of the Inspector General of the Department
of Defense for purposes of this section.
(c) INITIAL DETERMINATIONS AND TRANSMITTALS.—
(1) CREDIBILITY.—Not later than the end of the 14-calendar
day period beginning on the date of receipt of an employee com-
plaint or information under subsection (b), the Inspector Gen-
eral shall determine whether the complaint or information ap-
pears credible. Upon making such a determination, the Inspec-
tor General shall transmit to the head of the establishment no-
tice of that determination, together with the complaint or infor-
mation.
(2) CONFLICT OF INTEREST.—If the head of an establishment
determines that a complaint or information transmitted under
paragraph (1) would create a conflict of interest for the head of
the establishment, the head of the establishment shall return
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determination and the Inspector General shall make the trans-
mission to the Director of National Intelligence and, if the es-
tablishment is within the Department of Defense, to the Sec-
retary of Defense. In such a case, the requirements of this sec-
tion for the head of the establishment apply to each recipient of
the Inspector General’s transmission.
(d) FORWARDING TRANSMITTALS.—Upon receipt of a transmittal
from the Inspector General under subsection (c), the head of the es-
tablishment shall, within 7 calendar days of such receipt, forward
such transmittal to the intelligence committees, together with any
comments the head of the establishment considers appropriate.
(e) SUBMITTING COMPLAINT OR INFORMATION TO CONGRESS.—
(1) IN GENERAL.—If the Inspector General does not find cred-
ible under subsection (c) a complaint or information submitted
to the Inspector General under subsection (b), or does not trans-
mit the complaint or information to the head of the establish-
ment in accurate form under subsection (c), the employee (sub-
ject to paragraph (2)) may submit the complaint or information
to Congress by contacting either or both of the intelligence com-
mittees directly.
(2) LIMITATION.—The employee may contact the intelligence
committees directly as described in paragraph (1) only if the
employee—
(A) before making such a contact, furnishes to the head
of the establishment, through the Inspector General, a
statement of the employee’s complaint or information and
notice of the employee’s intent to contact the intelligence
committees directly; and
(B) obtains and follows from the head of the establish-
ment, through the Inspector General, direction on how to
contact the intelligence committees in accordance with ap-
propriate security practices.
(3) INTELLIGENCE COMMITTEE RECEIPT OF COMPLAINT OR IN-
FORMATION.—A member or employee of one of the intelligence
committees who receives a complaint or information under
paragraph (1) does so in that member or employee’s official ca-
pacity as a member or employee of that committee.
(f) NOTIFICATION.—The Inspector General shall notify an em-
ployee who reports a complaint or information under this section of
each action taken under this section with respect to the complaint
or information. Such notice shall be provided not later than 3 days
after any such action is taken.
(g) NO JUDICIAL REVIEW.—An action taken by the head of an es-
tablishment or an Inspector General under subsections (b) through
(f) shall not be subject to judicial review.
(h) NOTICE OF SUBMISSION AND DATE.—An individual who has
submitted a complaint or information to an Inspector General under
this section may notify any member of the Permanent Select Com-
mittee on Intelligence of the House of Representatives or the Select
Committee on Intelligence of the Senate, or a staff member of either
such Committee, of the fact that such individual has made a sub-
mission to that particular Inspector General, and of the date on
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§ 417. Special Provisions Concerning the Department of
Homeland Security
(a) IN GENERAL.—
(1) AUTHORITY OF SECRETARY OF HOMELAND SECURITY OVER
CERTAIN AUDITS AND INVESTIGATIONS.—Notwithstanding the 2d
sentence and last sentence of section 403(a) of this title, the In-
spector General of the Department of Homeland Security shall
be under the authority, direction, and control of the Secretary
of Homeland Security with respect to audits or investigations,
or the issuance of subpoenas, that require access to sensitive in-
formation concerning—
(A) intelligence, counterintelligence, or counterterrorism
matters;
(B) ongoing criminal investigations or proceedings;
(C) undercover operations;
(D) the identity of confidential sources, including pro-
tected witnesses;
(E) other matters the disclosure of which would, in the
Secretary’s judgment, constitute a serious threat to the pro-
tection of any person or property authorized protection by
section 3056 of title 18, section 3056A of title 18, or any
provision of the Presidential Protection Assistance Act of
1976 (18 U.S.C. 3056 note); or
(F) other matters the disclosure of which would constitute
a serious threat to national security.
(2) AUTHORITY OF SECRETARY OF HOMELAND SECURITY TO
PROHIBIT CARRYING OUT OR COMPLETING AUDITS OR INVESTIGA-
TIONS.—With respect to the information described in paragraph
(1), the Secretary of Homeland Security may prohibit the In-
spector General of the Department of Homeland Security from
carrying out or completing any audit or investigation, from ac-
cessing information described in paragraph (1), or from issuing
any subpoena, after such Inspector General has decided to ini-
tiate, carry out, or complete such audit or investigation, access
such information, or to issue such subpoena, if the Secretary de-
termines that such prohibition is necessary to prevent the dis-
closure of any information described in paragraph (1), to pre-
serve the national security, or to prevent a significant impair-
ment to the interests of the United States.
(3) NOTIFICATION OF EXERCISE OF POWER.—If the Secretary of
Homeland Security exercises any power under paragraph (1) or
(2), the Secretary shall notify the Inspector General of the De-
partment of Homeland Security in writing within 7 days, stat-
ing the reasons for such exercise. Within 30 days after receipt
of any such notice, the Inspector General shall transmit to the
President of the Senate, the Speaker of the House of Representa-
tives, and appropriate committees and subcommittees of Con-
gress the following—
(A) a copy of such notice; and
(B) a written response to such notice that includes a
statement regarding whether the Inspector General agrees
or disagrees with such exercise, and the reasons for any
disagreement.
(b) NOT A LIMITATION ON CONGRESSIONAL ACCESS TO INFORMA-
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section (a)(2) should not be construed as limiting the right of Con-
gress or any committee of Congress to access any information it
seeks.
(c) AUTHORITY OF INSPECTOR GENERAL TO INITIATE, CONDUCT,
AND SUPERVISE AUDITS AND INVESTIGATIONS.—Subject to the condi-
tions established in subsections (a) and (b), in carrying out the du-
ties and responsibilities specified in this chapter, the Inspector Gen-
eral of the Department of Homeland Security may initiate, conduct,
and supervise such audits and investigations in the Department of
Homeland Security as the Inspector General considers appropriate.
(d) REPORTS.—Any report required to be transmitted by the Sec-
retary of Homeland Security to the appropriate committees or sub-
committees of Congress under section 405(e) of this title shall be
transmitted, within the 7-day period specified in section 405(e) of
this title, to the President of the Senate, the Speaker of the House
of Representatives, and appropriate committees and subcommittees
of Congress.
(e) OVERSIGHT RESPONSIBILITY.—Notwithstanding any other pro-
vision of law, in carrying out the duties and responsibilities speci-
fied in this chapter, the Inspector General of the Department of
Homeland Security shall have oversight responsibility for the inter-
nal investigations performed by the Office of Internal Affairs of the
United States Customs Service, the Office of Inspections of the
United States Secret Service, the Bureau of Border Security, and the
Bureau of Citizenship and Immigration Services. The head of each
such office or bureau shall promptly report to the Inspector General
the significant activities being carried out by such office or bureau.
(f) DESIGNATED SENIOR OFFICIAL.—
(1) IN GENERAL.—The Inspector General of the Department of
Homeland Security shall designate a senior official within the
Office of Inspector General, who shall be a career member of the
civil service at the equivalent to the GS—15 level or a career
member of the Senior Executive Service, to perform the func-
tions described in paragraph (2).
(2) FUNCTIONS.—The senior official designated under para-
graph (1) shall—
(A) coordinate the activities of the Office of Inspector
General with respect to investigations of abuses of civil
rights or civil liberties;
(B) receive and review complaints and information from
any source alleging abuses of civil rights and civil liberties
by employees or officials of the Department and employees
or officials of independent contractors or grantees of the De-
partment;
(C) initiate investigations of alleged abuses of civil rights
or civil liberties by employees or officials of the Department
and employees or officials of independent contractors or
grantees of the Department;
(D) ensure that personnel within the Office of Inspector
General receive sufficient training to conduct effective civil
rights and civil liberties investigations;
(E) consult with the Officer for Civil Rights and Civil
Liberties regarding—
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(ii) any policy recommendations regarding civil
rights and civil liberties that may be founded upon an
investigation by the Office of Inspector General;
(F) provide the Officer for Civil Rights and Civil Lib-
erties with information regarding the outcome of investiga-
tions of alleged abuses of civil rights and civil liberties;
(G) refer civil rights and civil liberties matters that the
Inspector General decides not to investigate to the Officer
for Civil Rights and Civil Liberties;
(H) ensure that the Office of the Inspector General pub-
licizes and provides convenient public access to information
regarding—
(i) the procedure to file complaints or comments con-
cerning civil rights and civil liberties matters; and
(ii) the status of corrective actions taken by the De-
partment in response to Office of the Inspector General
reports; and
(I) inform the Officer for Civil Rights and Civil Liberties
of any weaknesses, problems, and deficiencies within the
Department relating to civil rights or civil liberties.
§ 418. Rule of Construction of Special Provisions
The special provisions under section 408, 409, 410, 411, 412, 413,
414, 416, or 421 of this title relate only to the establishment named
in such section and no inference shall be drawn from the presence
or absence of a provision in any such section with respect to an es-
tablishment not named in such section or with respect to a des-
ignated Federal entity as defined under section 415(a) of this title.
§ 419. Special Provisions Concerning Overseas Contingency
Operations
(a) ADDITIONAL RESPONSIBILITIES OF CHAIR OF COUNCIL OF IN-
SPECTORS GENERAL ON INTEGRITY AND EFFICIENCY.—The Chair of
the Council of Inspectors General on Integrity and Efficiency
(CIGIE) shall, in consultation with the members of the Council,
have the additional responsibilities specified in subsection (b) with
respect to the Inspectors General specified in subsection (c) upon the
earlier of—
(1) the commencement or designation of a military operation
as an overseas contingency operation that exceeds 60 days; or
(2) receipt of a notification under section 113(n) of title 10
with respect to an overseas contingency operation.
(b) SPECIFIC RESPONSIBILITIES.—The responsibilities specified in
this subsection are the following:
(1) DESIGNATE LEAD INSPECTOR GENERAL.—In consultation
with the Inspectors General specified in subsection (c), to des-
ignate a lead Inspector General in accordance with subsection
(d) to discharge the authorities of the lead Inspector General for
the overseas contingency operation concerned as set forth in
subsection (d).
(2) RESOLVE CONFLICTS OF JURISDICTION.—To resolve con-
flicts of jurisdiction among the Inspectors General specified in
subsection (c) on investigations, inspections, and audits with re-
spect to such contingency operation in accordance with sub-
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(3) IDENTIFY OFFICE PERSONNEL.—To assist in identifying for
the lead inspector general for such contingency operation, In-
spectors General and inspector general office personnel avail-
able to assist the lead Inspector General and the other Inspec-
tors General specified in subsection (c) on matters relating to
such contingency operation.
(c) INSPECTORS GENERAL.—The Inspectors General specified in
this subsection are the Inspectors General as follows:
(1) The Inspector General of the Department of Defense.
(2) The Inspector General of the Department of State.
(3) The Inspector General of the United States Agency for
International Development.
(d) LEAD INSPECTOR GENERAL FOR OVERSEAS CONTINGENCY OP-
ERATION.—
(1) DESIGNATION.—A lead Inspector General for an overseas
contingency operation shall be designated by the Chair of the
Council of Inspectors General on Integrity and Efficiency under
subsection (b)(1) not later than 30 days after the earlier of—
(A) the commencement or designation of the military op-
eration concerned as an overeas contingency operation that
exceeds 60 days; or
(B) receipt of a notification under section 113(n) of title
10 with respect to an overseas contingency operation.
The lead Inspector General for a contingency operation shall be
designated from among the Inspectors General specified in sub-
section (c).
(2) RESPONSIBILITIES.—The lead Inspector General for an
overseas contingency operation shall have the following respon-
sibilities:
(A) APPOINT ASSOCIATE INSPECTOR GENERAL.—To ap-
point, from among the offices of the other Inspectors Gen-
eral specified in subsection (c), an Inspector General to act
as associate Inspector General for the contingency operation
who shall act in a coordinating role to assist the lead In-
spector General in the discharge of responsibilities under
this subsection.
(B) STRATEGIC PLAN TO CONDUCT COMPREHENSIVE OVER-
SIGHT.—To develop and carry out, in coordination with the
offices of the other Inspectors General specified in sub-
section (c), a joint strategic plan to conduct comprehensive
oversight over all aspects of the contingency operation and
to ensure through either joint or individual audits, inspec-
tions, and investigations, independent and effective over-
sight of all programs and operations of the Federal Govern-
ment in support of the contingency operation.
(C) ACCURACY OF INFORMATION.—To review and ascer-
tain the accuracy of information provided by Federal agen-
cies relating to obligations and expenditures, costs of pro-
grams and projects, accountability of funds, and the award
and execution of major contracts, grants, and agreements
in support of the contingency operation.
(D) JURISDICTIONAL MATTERS.—
(i) NO INSPECTOR GENERAL WITH PRINCIPAL JURIS-
DICTION.—If none of the Inspectors General specified in
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with respect to the contingency operation, to identify
and coordinate with the Inspector General who has
principal jurisdiction over the matter to ensure effective
oversight.
(ii) MORE THAN ONE INSPECTOR GENERAL WITH JU-
RISDICTION.—If more than one of the Inspectors Gen-
eral specified in subsection (c) has jurisdiction over a
matter with respect to the contingency operation, to de-
termine principal jurisdiction for discharging oversight
responsibilities in accordance with this chapter with
respect to such matter.
(iii) INVESTIGATIONS.—
(I) REQUEST BY INSPECTOR GENERAL WITH PRIN-
CIPAL JURISDICTION.—Upon written request by the
Inspector General with principal jurisdiction over
a matter with respect to the contingency operation,
and with the approval of the lead Inspector Gen-
eral, an Inspector General specified in subsection
(c) may provide investigative support or conduct an
independent investigation of an allegation of crimi-
nal activity by any United States personnel, con-
tractor, subcontractor, grantee, or vendor in the
applicable theater of operations.
(II) NO INSPECTOR GENERAL WITH PRINCIPAL JU-
RISDICTION.—In the case of a determination by the
lead Inspector General that no Inspector General
has principal jurisdiction over a matter with re-
spect to the contingency operation, the lead Inspec-
tor General may—
(aa) conduct an independent investigation of
an allegation described in subclause (I); or
(bb) request that an Inspector General speci-
fied in subsection (c) conduct such investiga-
tion.
(E) PERSONNEL.—To employ, or authorize the employ-
ment by the other Inspectors General specified in subsection
(c), on a temporary basis using the authorities in section
3161 of this title (without regard to subsection (b)(2) of that
section), such auditors, investigators, and other personnel
as the lead Inspector General considers appropriate to as-
sist the lead Inspector General and such other Inspectors
General on matters relating to the contingency operation.
(F) REPORT ON ACTIVITY.—To submit to Congress on a bi-
annual basis, and to make available on an internet website
available to the public, a report on the activities of the lead
Inspector General and the other Inspectors General speci-
fied in subsection (c) with respect to the contingency oper-
ation, including—
(i) the status and results of investigations, inspec-
tions, and audits and of referrals to the Department of
Justice; and
(ii) overall plans for the review of the contingency op-
eration by inspectors general, including plans for inves-
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(G) REPORT ON CONTINGENCY OPERATION.—To submit to
Congress on a quarterly basis, and to make available on an
Internet website available to the public, a report on the con-
tingency operation.
(H) OTHER RESPONSIBILITIES.—To carry out such other
responsibilities relating to the coordination and efficient
and effective discharge by the Inspectors General specified
in subsection (c) of duties relating to the contingency oper-
ation as the lead Inspector General shall specify.
(I) ENHANCING COOPERATION.—To enhance cooperation
among Inspectors General and encourage comprehensive
oversight of the contingency operation, any Inspector Gen-
eral responsible for conducting oversight of any program or
operation performed in support of the contingency operation
may, to the maximum extent practicable and consistent
with the duties, responsibilities, policies, and procedures of
that Inspector General—
(i) coordinate such oversight activities with the lead
Inspector General; and
(ii) provide information requested by the lead Inspec-
tor General relating to the responsibilities of the lead
Inspector General described in subparagraphs (B), (C),
and (G).
(3) EMPLOYMENT OF ANNUITANTS.—
(A) IN GENERAL.—The lead Inspector General for an over-
seas contingency operation may employ, or authorize the
employment by the other Inspectors General specified in
subsection (c) of, annuitants covered by section 9902(g) of
this title, for purposes of assisting the lead Inspector Gen-
eral in discharging responsibilities under this subsection
with respect to the contingency operation.
(B) DEEMED DEPARTMENT OF DEFENSE.—The employment
of annuitants under this paragraph shall be subject to the
provisions of section 9902(g) of this title as if the lead In-
spector General concerned was the Department of Defense.
(C) FOREIGN SERVICE ANNUITANTS.—
(i) CONTINUANCE OF ANNUITY.—An annuitant receiv-
ing an annuity under the Foreign Service Retirement
and Disability System or the Foreign Service Pension
System under chapter 8 of title I of the Foreign Service
Act of 1980 (22 U.S.C. 4041 et seq.) who is reemployed
under this subsection—
(I) shall continue to receive the annuity; and
(II) shall not be considered a participant for pur-
poses of chapter 8 of title I of the Foreign Service
Act of 1980 (22 U.S.C. 4041 et seq.) or an employee
for purposes of subchapter III of chapter 83 or
chapter 84 of this title.
(ii) ELECTION REGARDING REEMPLOYMENT.—An an-
nuitant described in clause (i) may elect in writing for
the reemployment of the annuitant under this sub-
section to be subject to section 824 of the Foreign Serv-
ice Act of 1980 (22 U.S.C. 4064). A reemployed annu-
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itant shall make an election under this clause not later
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than 90 days after the date of the reemployment of the
annuitant.
(4) DISCHARGE OF RESPONSIBILITIES IN ACCORDANCE WITH
CHAPTER.—The lead Inspector General for an overseas contin-
gency operation shall discharge the responsibilities for the con-
tingency operation under this subsection in a manner consistent
with the authorities and requirements of this chapter generally
and the authorities and requirements applicable to the Inspec-
tors General specified in subsection (c) under this chapter.
(5) COMPETITIVE STATUS FOR APPOINTMENT.—
(A) IN GENERAL.—A person employed by a lead Inspector
General for an overseas contingency operation under this
section shall acquire competitive status for appointment to
any position in the competitive service for which the em-
ployee possesses the required qualifications upon the com-
pletion of 2 years of continuous service as an employee
under this section.
(B) LIMITATION.—No person who is first employed as de-
scribed in subparagraph (A) more than 2 years after De-
cember 19, 2019, may acquire competitive status under sub-
paragraph (A).
(e) SUNSET FOR PARTICULAR CONTINGENCY OPERATIONS.—The re-
quirements and authorities of this section with respect to an over-
seas contingency operation shall cease at the end of the first fiscal
year after the commencement or designation of the contingency oper-
ation in which the total amount appropriated for the contingency
operation is less than $100,000,000.
(f) CONSTRUCTION OF AUTHORITY.—Nothing in this section shall
be construed to limit the ability of the Inspectors General specified
in subsection (c) to enter into agreements to conduct joint audits, in-
spections, or investigations in the exercise of their oversight respon-
sibilities in accordance with this chapter with respect to overseas
contingency operations.
§ 420. Information on Websites of Offices of Inspectors Gen-
eral
(a) DIRECT LINKS TO INSPECTORS GENERAL OFFICES.—
(1) IN GENERAL.—Each Federal agency and designated Fed-
eral entity shall establish and maintain on the homepage of the
website of that Federal agency or designated Federal entity, a
direct link to the website of the Office of the Inspector General
of that Federal agency or designated Federal entity.
(2) ACCESSIBILITY.—The direct link under paragraph (1)
shall be obvious and facilitate accessibility to the website of the
Office of the Inspector General.
(b) REQUIREMENTS FOR INSPECTORS GENERAL WEBSITES.—
(1) POSTING OF REPORTS AND AUDITS.—The Inspector General
of each Federal agency and designated Federal entity shall—
(A) not later than 3 days after any audit report, inspec-
tion report, or evaluation report (or portion of any such re-
port) is submitted in final form to the head of the Federal
agency or the head of the designated Federal entity, as ap-
plicable, post that report (or portion of that report) on the
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website of the Office of Inspector General; and
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(B) ensure that any posted report (or portion of that re-
port) described under subparagraph (A)—
(i) is easily accessible from a direct link on the home-
page of the website of the Office of the Inspector Gen-
eral;
(ii) includes a summary of the findings of the Inspec-
tor General; and
(iii) is in a format that—
(I) is searchable and downloadable; and
(II) facilitates printing by individuals of the pub-
lic accessing the website.
(2) REPORTING OF FRAUD, WASTE, AND ABUSE.—
(A) IN GENERAL.—The Inspector General of each Federal
agency and designated Federal entity shall establish and
maintain a direct link on the homepage of the website of
the Office of the Inspector General for individuals to report
fraud, waste, and abuse. Individuals reporting fraud,
waste, or abuse using the direct link established under this
paragraph shall not be required to provide personally iden-
tifying information relating to that individual.
(B) ANONYMITY.—The Inspector General of each Federal
agency and designated Federal entity shall not disclose the
identity of any individual making a report under this para-
graph without the consent of the individual unless the In-
spector General determines that such a disclosure is un-
avoidable during the course of the investigation.
(3) RULE OF CONSTRUCTION.—Nothing in this subsection
shall be construed as authorizing an Inspector General to pub-
licly disclose information otherwise prohibited from disclosure
by law.
(c) DEFINITIONS.—In this section, the terms ‘‘designated Federal
entity’’ and ‘‘head of the designated Federal entity’’ have the mean-
ings given those terms in section 415(a) of this title.
§ 421. Additional Provisions With Respect to the Department
of Energy
(a) AUTHORITY TO PROHIBIT ACCESS TO CERTAIN MATERIALS.—
The Secretary of Energy may prohibit the Inspector General of the
Department of Energy from accessing Restricted Data and nuclear
safeguards information protected from disclosure under chapter 12
of the Atomic Energy Act of 1954 (42 U.S.C. 2161 et seq.) and intel-
ligence or counterintelligence, as defined in section 3 of the National
Security Act of 1947 (50 U.S.C. 3003), if the Secretary of Energy de-
termines that the prohibition is necessary to protect the national se-
curity or prevent the significant impairment to the national security
interests of the United States.
(b) NOTIFICATION TO INSPECTOR GENERAL AND STATEMENT TO
CONGRESS.—Not later than 7 days after the date on which the Sec-
retary of Energy exercises any power authorized under subsection
(a), the Secretary shall notify the Inspector General of the Depart-
ment of Energy in writing of the reasons for such exercise. Within
30 days after receipt of any such notice, the Inspector General of the
Department of Energy shall submit to the appropriate committees of
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Congress a statement concerning such exercise.
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§ 422. Transfer of Functions
(a) IN GENERAL.—There shall be transferred—
(1) to the Office of Inspector General—
(A) of the Department of Agriculture, the offices of that
department referred to as the ‘‘Office of Investigation’’ and
the ‘‘Office of Audit’’;
(B) of the Department of Commerce, the offices of that de-
partment referred to as the ‘‘Office of Audits’’ and the ‘‘In-
vestigations and Inspections Staff’’ and that portion of the
office referred to as the ‘‘Office of Investigations and Secu-
rity’’ which has responsibility for investigation of alleged
criminal violations and program abuse;
(C) of the Department of Defense, the offices of that de-
partment referred to as the ‘‘Defense Audit Service’’ and the
‘‘Office of Inspector General, Defense Logistics Agency’’, and
that portion of the office of that department referred to as
the ‘‘Defense Investigative Service’’ which has responsibility
for the investigation of alleged criminal violations;
(D) of the Department of Education, all functions of the
Inspector General of Health, Education, and Welfare or of
the Office of Inspector General of Health, Education, and
Welfare relating to functions transferred by section 301 of
the Department of Education Organization Act (20 U.S.C.
3441);
(E) of the Department of Energy, the Office of Inspector
General (as established by section 208 of the Department of
Energy Organization Act);
(F) of the Department of Health and Human Services, the
Office of Inspector General (as established by title II of
Public Law 94–505);
(G) of the Department of Housing and Urban Develop-
ment, the office of that department referred to as the ‘‘Office
of Inspector General’’;
(H) of the Department of the Interior, the office of that de-
partment referred to as the ‘‘Office of Audit and Investiga-
tion’’;
(I) of the Department of Justice—
(i) the offices of that Department referred to as—
(I) the ‘‘Audit Staff, Justice Management Divi-
sion’’;
(II) the ‘‘Policy and Procedures Branch, Office of
the Comptroller, Immigration and Naturalization
Service’’, the ‘‘Office of Professional Responsibility,
Immigration and Naturalization Service’’, and the
‘‘Office of Program Inspections, Immigration and
Naturalization Service’’;
(III) the ‘‘Office of Internal Inspection, United
States Marshals Service’’; and
(IV) the ‘‘Financial Audit Section, Office of Fi-
nancial Management, Bureau of Prisons’’ and the
‘‘Office of Inspections, Bureau of Prisons’’; and
(ii) from the Drug Enforcement Administration, that
portion of the ‘‘Office of Inspections’’ which is engaged
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in internal audit activities, and that portion of the ‘‘Of-
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fice of Planning and Evaluation’’ which is engaged in
program review activities;
(J) of the Department of Labor, the office of that depart-
ment referred to as the ‘‘Office of Special Investigations’’;
(K) of the Department of Transportation, the offices of
that department referred to as the ‘‘Office of Investigations
and Security’’ and the ‘‘Office of Audit’’ of the Department,
the ‘‘Offices of Investigations and Security, Federal Avia-
tion Administration’’, and ‘‘External Audit Divisions, Fed-
eral Aviation Administration’’, the ‘‘Investigations Division
and the External Audit Division of the Office of Program
Review and Investigation, Federal Highway Administra-
tion’’, and the ‘‘Office of Program Audits, Federal Transit
Administration’’;
(L) (i) of the Department of the Treasury, the office of
that department referred to as the ‘‘Office of Inspector Gen-
eral’’, and, notwithstanding any other provision of law, that
portion of each of the offices of that department referred to
as the ‘‘Office of Internal Affairs, Tax and Trade Bureau’’,
the ‘‘Office of Internal Affairs, United States Customs Serv-
ice’’, and the ‘‘Office of Inspections, United States Secret
Service’’ which is engaged in internal audit activities; and
(ii) of the Treasury Inspector General for Tax Adminis-
tration, effective 180 days after July 22, 1998, the Office of
Chief Inspector of the Internal Revenue Service;
(M) of the Environmental Protection Agency, the offices of
that agency referred to as the ‘‘Office of Audit’’ and the ‘‘Se-
curity and Inspection Division’’;
(N) of the Federal Emergency Management Agency, the
office of that agency referred to as the ‘‘Office of Inspector
General’’;
(O) of the General Services Administration, the offices of
that agency referred to as the ‘‘Office of Audits’’ and the
‘‘Office of Investigations’’;
(P) of the National Aeronautics and Space Administra-
tion, the offices of that agency referred to as the ‘‘Manage-
ment Audit Office’’ and the ‘‘Office of Inspections and Secu-
rity’’;
(Q) of the Nuclear Regulatory Commission, the office of
that commission referred to as the ‘‘Office of Inspector and
Auditor’’;
(R) of the Office of Personnel Management, the offices of
that agency referred to as the ‘‘Office of Inspector General’’,
the ‘‘Insurance Audits Division, Retirement and Insurance
Group’’, and the ‘‘Analysis and Evaluation Division, Ad-
ministration Group’’;
(S) of the Railroad Retirement Board, the Office of In-
spector General (as established by section 23 of the Rail-
road Retirement Act of 1974);
(T) of the Small Business Administration, the office of
that agency referred to as the ‘‘Office of Audits and Inves-
tigations’’;
(U) of the Department of Veterans Affairs, the offices of
that department referred to as the ‘‘Office of Audits’’ and
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the ‘‘Office of Investigations’’;
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(V) of the Corporation for National and Community Serv-
ice, the Office of Inspector General of ACTION; and
(W) of the Social Security Administration, the functions
of the Inspector General of the Department of Health and
Human Services which are transferred to the Social Secu-
rity Administration by the Social Security Independence
and Program Improvements Act of 1994 (other than func-
tions performed pursuant to section 105(a)(2) of such Act),
except that such transfers shall be made in accordance with
the provisions of such Act and shall not be subject to sub-
sections (b) through (d) of this section; and
(2) to the Office of the Inspector General, such other offices or
agencies, or functions, powers, or duties thereof, as the head of
the establishment involved may determine are properly related
to the functions of the Office and would, if so transferred, fur-
ther the purposes of this chapter,
except that there shall not be transferred to an Inspector General
under paragraph (2) program operating responsibilities.
(b) RELATED TRANSFERS.—The personnel, assets, liabilities, con-
tracts, property, records, and unexpended balances of appropria-
tions, authorizations, allocations, and other funds employed, held,
used, arising from, available or to be made available, of any office
or agency the functions, powers, and duties of which are transferred
under subsection (a) are hereby transferred to the applicable Office
of Inspector General.
(c) PERSONNEL.—Personnel transferred pursuant to subsection (b)
shall be transferred in accordance with applicable laws and regula-
tions relating to the transfer of functions except that the classifica-
tion and compensation of such personnel shall not be reduced for
one year after such transfer.
(d) LAPSE OF OFFICE OR AGENCY AND COMPENSATION FOR TRANS-
FERRED POSITIONS WITH COMPARABLE DUTIES.—In any case in
which all the functions, powers, and duties of any office or agency
are transferred pursuant to this subsection, such office or agency
shall lapse. Any person who, on October 1, 1978, held a position
compensated in accordance with the General Schedule, and who,
without a break in service, is appointed in an Office of Inspector
General to a position having duties comparable to those performed
immediately preceding such appointment shall continue to be com-
pensated in the new position at not less than the rate provided for
the previous position, for the duration of service in the new position.
§ 423. Pay of Inspectors General
(a) CERTAIN INSPECTORS GENERAL.—
(1) IN GENERAL.—Notwithstanding any other provision of
law, the annual rate of basic pay of the Inspector General of the
Intelligence Community, the Inspector General of the Central
Intelligence Agency, and the Special Inspector General for Af-
ghanistan Reconstruction shall be that of an Inspector General
as defined under section 401 of this title.
(2) PROHIBITION OF CASH BONUS OR AWARDS.—Section 403(f)
of this title shall apply to the Inspectors General described
under paragraph (1).
(b) INSPECTORS GENERAL OF DESIGNATED FEDERAL ENTITIES.—
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Notwithstanding any other provision of law, the Inspector General
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of each designated Federal entity (as those terms are defined under
section 415(a) of this title) shall, for pay and all other purposes, be
classified at a grade, level, or rank designation, as the case may be,
at or above those of a majority of the senior level executives of that
designated Federal entity (such as a General Counsel, Chief Infor-
mation Officer, Chief Financial Officer, Chief Human Capital Offi-
cer, or Chief Acquisition Officer). The pay of an Inspector General
of a designated Federal entity (as those terms are defined under sec-
tion 415(a) of this title) shall be not less than the average total com-
pensation (including bonuses) of the senior level executives of that
designated Federal entity calculated on an annual basis.
(c) SAVINGS PROVISION FOR NEWLY APPOINTED INSPECTORS GEN-
ERAL.—
(1) IN GENERAL.—The provisions of section 3392 of this title,
other than the terms ‘‘performance awards’’ and ‘‘awarding of
ranks’’ in subsection (c)(1) of that section, shall apply to career
appointees of the Senior Executive Service who are appointed to
the position of Inspector General.
(2) NONREDUCTION IN PAY.—Notwithstanding any other pro-
vision of law, career Federal employees serving on an appoint-
ment made pursuant to statutory authority found other than in
section 3392 of this title shall not suffer a reduction in pay, not
including any bonus or performance award, as a result of being
appointed to the position of Inspector General.
§ 424. Establishment of the Council of the Inspectors General
on Integrity and Efficiency
(a) ESTABLISHMENT AND MISSION.—
(1) ESTABLISHMENT.—There is established as an independent
entity within the executive branch the Council of the Inspectors
General on Integrity and Efficiency (in this section referred to
as the ‘‘Council’’).
(2) MISSION.—The mission of the Council shall be to—
(A) address integrity, economy, and effectiveness issues
that transcend individual Government agencies; and
(B) increase the professionalism and effectiveness of per-
sonnel by developing policies, standards, and approaches to
aid in the establishment of a well-trained and highly
skilled workforce in the offices of the Inspectors General.
(b) MEMBERSHIP.—
(1) IN GENERAL.—The Council shall consist of the following
members:
(A) All Inspectors General whose offices are established
under—
(i) section 402 of this title; or
(ii) section 415 of this title.
(B) The Inspectors General of the Intelligence Community
and the Central Intelligence Agency.
(C) The Controller of the Office of Federal Financial
Management.
(D) A senior level official of the Federal Bureau of Inves-
tigation designated by the Director of the Federal Bureau
of Investigation.
(E) The Director of the Office of Government Ethics.
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(F) The Special Counsel of the Office of Special Counsel.
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(G) The Deputy Director of the Office of Personnel Man-
agement.
(H) The Deputy Director for Management of the Office of
Management and Budget.
(I) The Inspectors General of the Library of Congress,
Capitol Police, Government Publishing Office, Government
Accountability Office, and the Architect of the Capitol.
(2) CHAIRPERSON AND EXECUTIVE CHAIRPERSON.—
(A) EXECUTIVE CHAIRPERSON.—The Deputy Director for
Management of the Office of Management and Budget shall
be the Executive Chairperson of the Council.
(B) CHAIRPERSON.—The Council shall elect 1 of the In-
spectors General referred to in paragraph (1)(A) or (B) to
act as Chairperson of the Council. The term of office of the
Chairperson shall be 2 years.
(3) FUNCTIONS OF CHAIRPERSON AND EXECUTIVE CHAIR-
PERSON.—
(A) EXECUTIVE CHAIRPERSON.—The Executive Chair-
person shall—
(i) preside over meetings of the Council;
(ii) provide to the heads of agencies and entities rep-
resented on the Council summary reports of the activi-
ties of the Council; and
(iii) provide to the Council such information relating
to the agencies and entities represented on the Council
as assists the Council in performing its functions.
(B) CHAIRPERSON.—The Chairperson shall—
(i) convene meetings of the Council—
(I) at least 6 times each year;
(II) monthly to the extent possible; and
(III) more frequently at the discretion of the
Chairperson;
(ii) carry out the functions and duties of the Council
under subsection (c);
(iii) appoint a Vice Chairperson to assist in carrying
out the functions of the Council and act in the absence
of the Chairperson, from a category of Inspectors Gen-
eral described in subparagraph (A)(i), (A)(ii), or (B) of
paragraph (1), other than the category from which the
Chairperson was elected;
(iv) make such payments from funds otherwise avail-
able to the Council as may be necessary to carry out
the functions of the Council;
(v) select, appoint, and employ personnel as needed
to carry out the functions of the Council subject to the
provisions of this title governing appointments in the
competitive service, and the provisions of chapter 51
and subchapter III of chapter 53 of this title, relating
to classification and General Schedule pay rates;
(vi) to the extent and in such amounts as may be pro-
vided in advance by appropriations Acts, made avail-
able from the revolving fund established under sub-
section (c)(3)(B), or as otherwise provided by law, enter
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into contracts and other arrangements with public
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agencies and private persons to carry out the functions
and duties of the Council;
(vii) establish, in consultation with the members of
the Council, such committees as determined by the
Chairperson to be necessary and appropriate for the ef-
ficient conduct of Council functions; and
(viii) prepare and transmit an annual report on be-
half of the Council on the activities of the Council to—
(I) the President;
(II) the appropriate committees of jurisdiction of
the Senate and the House of Representatives;
(III) the Committee on Homeland Security and
Governmental Affairs of the Senate; and
(IV) the Committee on Oversight and Reform of
the House of Representatives.
(c) FUNCTIONS AND DUTIES OF COUNCIL.—
(1) IN GENERAL.—The Council shall—
(A) continually identify, review, and discuss areas of
weakness and vulnerability in Federal programs and oper-
ations with respect to fraud, waste, and abuse;
(B) develop plans for coordinated, Governmentwide ac-
tivities that address these problems and promote economy
and efficiency in Federal programs and operations, includ-
ing interagency and interentity audit, investigation, inspec-
tion, and evaluation programs and projects to deal effi-
ciently and effectively with those problems concerning fraud
and waste that exceed the capability or jurisdiction of an
individual agency or entity;
(C) develop policies that will aid in the maintenance of
a corps of well-trained and highly skilled Office of Inspec-
tor General personnel;
(D) maintain an Internet website and other electronic sys-
tems for the benefit of all Inspectors General, as the Coun-
cil determines are necessary or desirable;
(E) maintain 1 or more academies as the Council con-
siders desirable for the professional training of auditors,
investigators, inspectors, evaluators, and other personnel of
the various offices of Inspector General;
(F) submit recommendations of individuals to the appro-
priate appointing authority for any appointment to an of-
fice of Inspector General described under subsection
(b)(1)(A) or (B);
(G) make such reports to Congress as the Chairperson de-
termines are necessary or appropriate;
(H) except for matters coordinated among Inspectors Gen-
eral under section 103H of the National Security Act of
1947 (50 U.S.C. 3033), receive, review, and mediate any
disputes submitted in writing to the Council by an Office
of Inspector General regarding an audit, investigation, in-
spection, evaluation, or project that involves the jurisdiction
of more than one Office of Inspector General; and
(I) perform other duties within the authority and juris-
diction of the Council, as appropriate.
(2) ADHERENCE AND PARTICIPATION BY MEMBERS.—To the ex-
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with standards established by the Comptroller General of the
United States for audits of Federal establishments, organiza-
tions, programs, activities, and functions, each member of the
Council, as appropriate, shall—
(A) adhere to professional standards developed by the
Council; and
(B) participate in the plans, programs, and projects of the
Council, except that in the case of a member described
under subsection (b)(1)(I), the member shall participate
only to the extent requested by the member and approved
by the Executive Chairperson and Chairperson.
(3) ADDITIONAL ADMINISTRATIVE AUTHORITIES.—
(A) INTERAGENCY FUNDING.—Notwithstanding section
1532 of title 31, or any other provision of law prohibiting
the interagency funding of activities described under sub-
clause (I), (II), or (III) of clause (i), in the performance of
the responsibilities, authorities, and duties of the Council—
(i) the Executive Chairperson may authorize the use
of interagency funding for—
(I) Governmentwide training of employees of the
Offices of the Inspectors General;
(II) the functions of the Integrity Committee of
the Council; and
(III) any other authorized purpose determined by
the Council; and
(ii) upon the authorization of the Executive Chair-
person, any Federal agency or designated Federal enti-
ty (as defined in section 415(a) of this title) which has
a member on the Council shall fund or participate in
the funding of such activities.
(B) REVOLVING FUND.—
(i) IN GENERAL.—The Council may—
(I) establish in the Treasury of the United States
a revolving fund to be called the Inspectors Gen-
eral Council Fund; or
(II) enter into an arrangement with a depart-
ment or agency to use an existing revolving fund.
(ii) AMOUNTS IN REVOLVING FUND.—
(I) IN GENERAL.—Amounts transferred to the
Council under this subsection shall be deposited in
the revolving fund described under clause (i)(I) or
(II).
(II) TRAINING.—Any remaining unexpended bal-
ances appropriated for or otherwise available to
the Inspectors General Criminal Investigator Acad-
emy and the Inspectors General Auditor Training
Institute shall be transferred to the revolving fund
described under clause (i)(I) or (II).
(iii) USE OF REVOLVING FUND.—
(I) IN GENERAL.—Except as provided under sub-
clause (II), amounts in the revolving fund de-
scribed under clause (i)(I) or (II) may be used to
carry out the functions and duties of the Council
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(II) TRAINING.—Amounts transferred into the re-
volving fund described under clause (i)(I) or (II)
may be used for the purpose of maintaining any
training academy as determined by the Council.
(iv) AVAILABILITY OF FUNDS.—Amounts in the revolv-
ing fund described under clause (i)(I) or (II) shall re-
main available to the Council without fiscal year limi-
tation.
(C) SUPERSEDING PROVISIONS.—No provision of law en-
acted after October 14, 2008, shall be construed to limit or
supersede any authority under subparagraph (A) or (B),
unless such provision makes specific reference to the au-
thority in that subparagraph.
(4) EXISTING AUTHORITIES AND RESPONSIBILITIES.—The estab-
lishment and operation of the Council shall not affect—
(A) the role of the Department of Justice in law enforce-
ment and litigation;
(B) the authority or responsibilities of any Government
agency or entity; and
(C) the authority or responsibilities of individual mem-
bers of the Council.
(5) ADDITIONAL RESPONSIBILITIES RELATING TO WHISTLE-
BLOWER PROTECTION.—The Council shall—
(A) facilitate the work of the Whistleblower Protection Co-
ordinators designated under section 403(d)(1)(C) of this
title; and
(B) in consultation with the Office of Special Counsel and
Whistleblower Protection Coordinators from the member of-
fices of the Inspector General, develop best practices for co-
ordination and communication in promoting the timely and
appropriate handling and consideration of protected disclo-
sures, allegations of reprisal, and general matters regard-
ing the implementation and administration of whistle-
blower protection laws, in accordance with Federal law.
(d) INTEGRITY COMMITTEE.—
(1) ESTABLISHMENT.—The Council shall have an Integrity
Committee, which shall receive, review, and refer for investiga-
tion allegations of wrongdoing that are made against Inspectors
General and staff members of the various Offices of Inspector
General described under paragraph (4)(C).
(2) MEMBERSHIP.—
(A) IN GENERAL.—The Integrity Committee shall consist
of the following members:
(i) The official of the Federal Bureau of Investigation
serving on the Council.
(ii) Four Inspectors General described in subpara-
graph (A) or (B) of subsection (b)(1) appointed by the
Chairperson of the Council, representing both estab-
lishments and designated Federal entities (as that term
is defined in section 415(a) of this title).
(iii) The Director of the Office of Government Ethics
or the designee of the Director.
(B) CHAIRPERSON.—
(i) IN GENERAL.—The Integrity Committee shall elect
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one of the Inspectors General referred to in subpara-
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graph (A)(ii) to act as Chairperson of the Integrity
Committee.
(ii) TERM.—The term of office of the Chairperson of
the Integrity Committee shall be 2 years.
(3) LEGAL ADVISOR.—The Chief of the Public Integrity Section
of the Criminal Division of the Department of Justice, or the
Chief’s designee, shall serve as a legal advisor to the Integrity
Committee.
(4) REFERRAL OF ALLEGATIONS.—
(A) DEFINITION OF STAFF MEMBER.—In this paragraph,
the term ‘‘staff member’’ means any employee of an Office
of Inspector General who—
(i) reports directly to an Inspector General; or
(ii) is designated by an Inspector General under sub-
paragraph (C).
(B) REQUIREMENT.—An Inspector General shall refer to
the Integrity Committee any allegation of wrongdoing
against a staff member of the office of that Inspector Gen-
eral, if—
(i) review of the substance of the allegation cannot be
assigned to an agency of the executive branch with ap-
propriate jurisdiction over the matter; and
(ii) the Inspector General determines that—
(I) an objective internal investigation of the alle-
gation is not feasible; or
(II) an internal investigation of the allegation
may appear not to be objective.
(C) DESIGNATION OF STAFF MEMBERS.—Each Inspector
General shall annually submit to the Chairperson of the In-
tegrity Committee a designation of positions whose holders
are staff members for purposes of subparagraph (A).
(5) REVIEW OF ALLEGATIONS.—
(A) IN GENERAL.—Not later than 7 days after the date on
which the Integrity Committee receives an allegation of
wrongdoing against an Inspector General or against a staff
member of an Office of Inspector General described under
paragraph (4)(C), the allegation of wrongdoing shall be re-
viewed and referred to the Department of Justice or the Of-
fice of Special Counsel for investigation, or to the Integrity
Committee for review, as appropriate, by—
(i) a representative of the Department of Justice, as
designated by the Attorney General;
(ii) a representative of the Office of Special Counsel,
as designated by the Special Counsel; and
(iii) a representative of the Integrity Committee, as
designated by the Chairperson of the Integrity Com-
mittee.
(B) REFERRAL TO THE CHAIRPERSON.—
(i) IN GENERAL.—Except as provided in clause (ii),
not later than 30 days after the date on which an alle-
gation of wrongdoing is referred to the Integrity Com-
mittee under subparagraph (A), the Integrity Com-
mittee shall determine whether to refer the allegation of
wrongdoing to the Chairperson of the Integrity Com-
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(ii) EXTENSION.—The 30-day period described in
clause (i) may be extended for an additional period of
30 days if the Integrity Committee provides written no-
tice to the congressional committees described in para-
graph (8)(A)(iii) that includes a detailed, case-specific
description of why the additional time is needed to
evaluate the allegation of wrongdoing.
(6) AUTHORITY TO INVESTIGATE ALLEGATIONS.—
(A) REQUIREMENT.—The Chairperson of the Integrity
Committee shall cause a thorough and timely investigation
of each allegation referred under paragraph (5)(B) to be
conducted in accordance with this paragraph.
(B) RESOURCES.—At the request of the Chairperson of the
Integrity Committee, the head of each agency or entity rep-
resented on the Council—
(i) shall provide assistance necessary to the Integrity
Committee; and
(ii) may detail employees from that agency or entity
to the Integrity Committee, subject to the control and
direction of the Chairperson, to conduct an investiga-
tion under this subsection.
(7) PROCEDURES FOR INVESTIGATIONS.—
(A) STANDARDS APPLICABLE.—Investigations initiated
under this subsection shall be conducted in accordance
with the most current Quality Standards for Investigations
issued by the Council or by its predecessors (the President’s
Council on Integrity and Efficiency and the Executive
Council on Integrity and Efficiency).
(B) ADDITIONAL POLICIES AND PROCEDURES.—
(i) ESTABLISHMENT.—The Integrity Committee, in
conjunction with the Chairperson of the Council, shall
establish additional policies and procedures necessary
to ensure fairness and consistency in—
(I) determining whether to initiate an investiga-
tion;
(II) conducting investigations;
(III) reporting the results of an investigation;
(IV) providing the person who is the subject of
an investigation with an opportunity to respond to
any Integrity Committee report;
(V) except as provided in clause (ii), ensuring, to
the extent possible, that investigations are con-
ducted by Offices of Inspector General of similar
size;
(VI) creating a process for rotation of Inspectors
General assigned to investigate allegations through
the Integrity Committee; and (VII) creating proce-
dures to avoid conflicts of interest for Integrity
Committee investigations.
(ii) EXCEPTION.—The requirement under clause (i)(V)
shall not apply to any Office of Inspector General with
less than 50 employees who are authorized to conduct
audits or investigations.
(iii) SUBMISSION TO CONGRESS.—The Council shall
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lished under clause (i) to the congressional committees
of jurisdiction.
(C) COMPLETION OF INVESTIGATION.—If an allegation of
wrongdoing is referred to the Chairperson of the Integrity
Committee under paragraph (5)(B), the Chairperson of the
Integrity Committee—
(i) shall complete the investigation not later than 150
days after the date on which the Integrity Committee
made the referral; and
(ii) if the investigation cannot be completed within
the 150-day period described in clause (i), shall—
(I) promptly notify the congressional committees
described in paragraph (8)(A)(iii); and
(II) brief the congressional committees described
in paragraph (8)(A)(iii) every 30 days regarding
the status of the investigation and the general rea-
sons for delay until the investigation is complete.
(D) CONCURRENT INVESTIGATION.—If an allegation of
wrongdoing against an Inspector General or a staff member
of an Office of Inspector General described under para-
graph (4)(C) is referred to the Department of Justice or the
Office of Special Counsel under paragraph (5)(A), the
Chairperson of the Integrity Committee may conduct any
related investigation referred to the Chairperson under
paragraph (5)(B) concurrently with the Department of Jus-
tice or the Office of Special Counsel, as applicable.
(E) REPORTS.—
(i) INTEGRITY COMMITTEE INVESTIGATIONS.—For each
investigation of an allegation of wrongdoing referred to
the Chairperson of the Integrity Committee under para-
graph (5)(B), the Chairperson of the Integrity Com-
mittee shall submit to members of the Integrity Com-
mittee and to the Chairperson of the Council a report
containing the results of the investigation.
(ii) OTHER INVESTIGATIONS.—For each allegation of
wrongdoing referred to the Department of Justice or
the Office of Special Counsel under paragraph (5)(A),
the Attorney General or the Special Counsel, as appli-
cable, shall submit to the Integrity Committee a report
containing the results of the investigation.
(iii) AVAILABILITY TO CONGRESS.—
(I) IN GENERAL.—The congressional committees de-
scribed in paragraph (8)(A)(iii) shall have access to
any report authored by the Integrity Committee.
(II) MEMBERS OF CONGRESS.—Subject to any
other provision of law that would otherwise pro-
hibit disclosure of such information, the Integrity
Committee may provide any report authored by the
Integrity Committee to any Member of Congress.
(8) ASSESSMENT AND FINAL DISPOSITION.—
(A) IN GENERAL.—With respect to any report received
under paragraph (7)(E), the Integrity Committee shall—
(i) assess the report;
(ii) forward the report, with the recommendations of
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nary action, within 30 days (to the maximum extent
practicable) after the completion of the investigation, to
the Executive Chairperson of the Council and to the
President (in the case of a report relating to an Inspec-
tor General of an establishment or any employee of that
Inspector General) or the head of a designated Federal
entity (in the case of a report relating to an Inspector
General of such an entity or any employee of that In-
spector General) for resolution;
(iii) submit the report, with the recommendations of
the Integrity Committee, to the Committee on Home-
land Security and Governmental Affairs of the Senate,
the Committee on Oversight and Reform of the House
of Representatives, and other congressional committees
of jurisdiction; and
(iv) following the submission of the report under
clause (iii) and upon request by any Member of Con-
gress, submit the report, with the recommendations of
the Integrity Committee, to that Member.
(B) DISPOSITION.—The Executive Chairperson of the
Council shall report to the Integrity Committee the final
disposition of the matter, including what action was taken
by the President or agency head.
(9) ANNUAL REPORT.—The Council shall submit to Congress
and the President by December 31 of each year a report on the
activities of the Integrity Committee during the preceding fiscal
year, which shall include the following:
(A) The number of allegations received.
(B) The number of allegations referred to the Department
of Justice or the Office of Special Counsel, including the
number of allegations referred for criminal investigation.
(C) The number of allegations referred to the Chairperson
of the Integrity Committee for investigation.
(D) The number of allegations closed without referral.
(E) The date each allegation was received and the date
each allegation was finally disposed of.
(F) In the case of allegations referred to the Chairperson
of the Integrity Committee, a summary of the status of the
investigation of the allegations and, in the case of inves-
tigations completed during the preceding fiscal year, a
summary of the findings of the investigations.
(G) Other matters that the Council considers appropriate.
(10) REQUESTS FOR MORE INFORMATION.—With respect to
paragraphs (8) and (9), the Council shall provide more detailed
information about specific allegations upon request from any
Member of Congress.
(11) NO RIGHT OR BENEFIT.—This subsection is not intended
to create any right or benefit, substantive or procedural, enforce-
able at law by a person against the United States, its agencies,
its officers, or any person.
(12) ALLEGATIONS OF WRONGDOING AGAINST SPECIAL COUN-
SEL OR DEPUTY SPECIAL COUNSEL.—
(A) SPECIAL COUNSEL DEFINED.—In this paragraph, the
term ‘‘Special Counsel’’ means the Special Counsel ap-
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(B) AUTHORITY OF INTEGRITY COMMITTEE.—
(i) IN GENERAL.—An allegation of wrongdoing
against the Special Counsel or the Deputy Special
Counsel may be received, reviewed, and referred for in-
vestigation to the same extent and in the same manner
as in the case of an allegation against an Inspector
General or against a staff member of an Office of In-
spector General described under paragraph (4)(C), sub-
ject to the requirement that the representative des-
ignated by the Special Counsel under paragraph
(5)(A)(ii) shall recuse himself or herself from the con-
sideration of any allegation brought under this para-
graph.
(ii) COORDINATION WITH EXISTING PROVISIONS OF
LAW.—This paragraph shall not eliminate access to the
Merit Systems Protection Board for review under sec-
tion 7701 of title 5. To the extent that an allegation
brought under this paragraph involves section
2302(b)(8) of title 5, a failure to obtain corrective action
within 120 days after the date on which the allegation
is received by the Integrity Committee shall, for pur-
poses of section 1221 of title 5, be considered to satisfy
section 1214(a)(3)(B) of title 5.
(C) REGULATIONS.—The Integrity Committee may pre-
scribe any rules or regulations necessary to carry out this
paragraph, subject to such consultation or other require-
ments as may otherwise apply.
(13) COMMITTEE RECORDS.—The Chairperson of the Council
shall maintain the records of the Integrity Committee.
(e) OVERSIGHT.GOV.—
(1) DEFINITION.—In this subsection, the term ‘‘Office of In-
spector General’’ means the Office of—
(A) an Inspector General described in subparagraph (A),
(B), or (I) of subsection (b)(1);
(B) the Special Inspector General for Afghanistan Recon-
struction established under section 1229 of the National
Defense Authorization Act for Fiscal Year 2008 (Public Law
110–181; 122 Stat. 378);
(C) the Special Inspector General for the Troubled Asset
Relief Program established under section 121 of title I of
the Emergency Economic Stabilization Act of 2008 (12
U.S.C. 5231); and
(D) the Special Inspector General for Pandemic Recovery
established under section 4018 of the Coronavirus Eco-
nomic Stabilization Act of 2020 (15 U.S.C. 9053).
(2) ESTABLISHMENT.—The Council shall establish and main-
tain a website entitled ‘‘oversight.gov’’—
(A) to consolidate all public reports from each Office of
Inspector General to improve the access of the public to any
audit report, inspection report, or evaluation report (or por-
tion of any such report) made by an Office of Inspector Gen-
eral; and
(B) that shall include any additional resources, informa-
tion, and enhancements as the Council determines are nec-
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(3) PARTICIPATION OF OFFICES OF INSPECTORS GENERAL.—
Each Office of Inspector General that publishes an audit report,
inspection report, or evaluation report (or portion of any such
report) on the website of the Office of Inspector General shall,
or in the case of the office of an Inspector General described in
subparagraph (I) of subsection (b)(1) may, contemporaneously
publish the report (or portion of the report) on oversight.gov in
a manner prescribed by the Council.
(4) EFFECTIVE DATE.—This subsection shall take effect on the
date that is 30 days after the date of receipt by the Council of
the Inspectors General on Integrity and Efficiency of an appro-
priation for the implementation of this subsection.
Changes in Existing Law Made by Section 3(c) of the Bill (Amending Title
5, United States Code)
PART IV—ETHICS REQUIREMENTS
CHAPTER 131—ETHICS IN GOVERNMENT
Subchapter I—Financial Disclosure Requirements of Federal Personnel
Sec.
13101. Definitions.
13102. Administration of provisions.
13103. Persons required to file.
13104. Contents of reports.
13105. Filing of reports.
13106. Failure to file or filing false reports.
13107. Custody of and public access to reports.
13108. Review of reports.
13109. Confidential reports and other additional requirements.
13110. Authority of Comptroller General.
13111. Notice of actions taken to comply with ethics agreements.
Subchapter II—Office of Government Ethics
13121. Establishment; appointment of Director.
13122. Authority and functions.
13123. Administrative provisions.
13124. Rules and regulations.
13125. Authorization of appropriations.
13126. Reports to Congress.
Subchapter III—Limitations on Outside Earned Income and Employment
13141. Definitions.
13142. Administration.
13143. Outside earned income limitation.
13144. Limitations on outside employment.
13145. Civil penalties.
13146. Conditional termination.
Subchapter I—Financial Disclosure Requirements of Federal
Personnel
§ 13101. Definitions
In this subchapter:
(1) CONGRESSIONAL ETHICS COMMITTEES.—The term ‘‘congres-
sional ethics committees’’ means the Select Committee on Ethics
of the Senate and the Committee on Ethics of the House of Rep-
resentatives.
(2) DEPENDENT CHILD.—The term ‘‘dependent child’’ means,
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vidual who is a son, daughter, stepson, or stepdaughter and
who—
(A) is unmarried and under age 21 and is living in the
household of such reporting individual; or
(B) is a dependent of such reporting individual within
the meaning of section 152 of the Internal Revenue Code of
1986 (26 U.S.C. 152).
(3) DESIGNATED AGENCY ETHICS OFFICIAL.—The term ‘‘des-
ignated agency ethics official’’ means an officer or employee who
is designated to administer the provisions of this subchapter
within an agency.
(4) EXECUTIVE BRANCH.—The term ‘‘executive branch’’ in-
cludes each Executive agency (as defined in section 105 of this
title), other than the Government Accountability Office, and any
other entity or administrative unit in the executive branch.
(5) GIFT.—The term ‘‘gift’’ means a payment, advance, for-
bearance, rendering, or deposit of money, or any thing of value,
unless consideration of equal or greater value is received by the
donor, but does not include—
(A) bequest and other forms of inheritance;
(B) suitable mementos of a function honoring the report-
ing individual;
(C) food, lodging, transportation, and entertainment pro-
vided by a foreign government within a foreign country or
by the United States Government, the District of Columbia,
or a State or local government or political subdivision
thereof;
(D) food and beverages which are not consumed in con-
nection with a gift of overnight lodging;
(E) communications to the offices of a reporting indi-
vidual, including subscriptions to newspapers and periodi-
cals; or
(F) consumable products provided by home-State busi-
nesses to the offices of a reporting individual who is an
elected official, if those products are intended for consump-
tion by persons other than such reporting individual.
(6) HONORARIA.—The term ‘‘honoraria’’ means the plural of
‘‘honorarium’’ as defined in section 13141 of this title.
(7) INCOME.—The term ‘‘income’’ means all income from
whatever source derived, including but not limited to the fol-
lowing items: compensation for services, including fees, commis-
sions, and similar items; gross income derived from business
(and net income if the individual elects to include it); gains de-
rived from dealings in property; interest; rents; royalties; divi-
dends; annuities; income from life insurance and endowment
contracts; pensions; income from discharge of indebtedness; dis-
tributive share of partnership income; and income from an in-
terest in an estate or trust.
(8) JUDICIAL CONFERENCE.—The term ‘‘Judicial Conference’’
means the Judicial Conference of the United States.
(9) JUDICIAL EMPLOYEE.—The term ‘‘judicial employee’’ means
any employee of the judicial branch of the Government, of the
United States Sentencing Commission, of the Tax Court, of the
Court of Federal Claims, of the Court of Appeals for Veterans
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Forces, who is not a judicial officer and who is authorized to
perform adjudicatory functions with respect to proceedings in
the judicial branch, or 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.
(10) JUDICIAL OFFICER.—The term ‘‘judicial officer’’ means the
Chief Justice of the United States, the Associate Justices of the
Supreme Court, and the judges of the United States courts of
appeals, United States district courts, including the district
courts in Guam, the Northern Mariana Islands, and the Virgin
Islands, Court of Appeals for the Federal Circuit, Court of
International Trade, Tax Court, Court of Federal Claims, Court
of Appeals for Veterans Claims, United States Court of Appeals
for the Armed Forces, and any court created by Act of Congress,
the judges of which are entitled to hold office during good be-
havior.
(11) LEGISLATIVE BRANCH.—The term ‘‘legislative branch’’ in-
cludes—
(A) the Architect of the Capitol;
(B) the Botanic Gardens;
(C) the Congressional Budget Office;
(D) the Government Accountability Office;
(E) the Government Publishing Office;
(F) the Library of Congress;
(G) the United States Capitol Police;
(H) the Office of Technology Assessment; and
(I) any other agency, entity, office, or commission estab-
lished in the legislative branch.
(12) MEMBER OF CONGRESS.—The term ‘‘Member of Congress’’
means a United States Senator, a Representative in Congress,
a Delegate to Congress, or the Resident Commissioner from
Puerto Rico.
(13) OFFICER OR EMPLOYEE OF CONGRESS.—The term ‘‘officer
or employee of Congress’’ means an individual described in sub-
paragraph (A), (B), or (C), other than a Member of Congress or
the Vice President, whose compensation is disbursed by the Sec-
retary of the Senate or the Chief Administrative Officer of the
House of Representatives. The individuals described in sub-
paragraphs (A), (B), and (C) are—
(A) each officer or employee of the legislative branch (ex-
cept any officer or employee of the Government Account-
ability Office) who, for at least 60 days, 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;
(B) each officer or employee of the Government Account-
ability Office who, for at least 60 consecutive days, occupies
a position for which the rate of basic pay, minus the
amount of locality pay that would have been authorized
under section 5304 of this title (had the officer or employee
been paid under the General Schedule) for the locality
within which the position of such officer or employee is lo-
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to or greater than 120 percent of the minimum rate of basic
pay payable for GS–15 of the General Schedule; and
(C) at least one principal assistant designated for pur-
poses of this paragraph by each Member who does not have
an employee 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 Gen-
eral Schedule.
(14) PERSONAL HOSPITALITY OF ANY INDIVIDUAL.—The term
‘‘personal hospitality of any individual’’ means hospitality ex-
tended for a nonbusiness purpose by an individual, not a cor-
poration or organization, at the personal residence of that indi-
vidual or the individual’s family or on property or facilities
owned by that individual or the individual’s family.
(15) REIMBURSEMENT.—The term ‘‘reimbursement’’ means
any payment or other thing of value received by the reporting
individual, other than gifts, to cover travel-related expenses of
such individual other than those which are—
(A) provided by the United States Government, the Dis-
trict of Columbia, or a State or local government or polit-
ical subdivision thereof;
(B) required to be reported by the reporting individual
under section 7342 of this title; or
(C) required to be reported under section 304 of the Fed-
eral Election Campaign Act of 1971 (52 U.S.C. 30104).
(16) RELATIVE.—The term ‘‘relative’’ means an individual
who is related to the reporting individual, as father, mother,
son, daughter, brother, sister, uncle, aunt, great aunt, great
uncle, first cousin, nephew, niece, husband, wife, grandfather,
grandmother, grandson, granddaughter, father- in-law, mother-
in-law, son-in-law, daughter-in-law, brother- in-law, sister-in-
law, stepfather, stepmother, stepson, stepdaughter, stepbrother,
stepsister, half brother, half sister, or who is the grandfather or
grandmother of the spouse of the reporting individual, and
shall be deemed to include the fiance or fiancee of the reporting
individual.
(17) SECRETARY CONCERNED.—The term ‘‘Secretary con-
cerned’’ has the meaning set forth in section 101(a) of title 10,
and, in addition, means—
(A) the Secretary of Commerce, with respect to matters
concerning the National Oceanic and Atmospheric Admin-
istration;
(B) the Secretary of Health and Human Services, with re-
spect to matters concerning the Public Health Service; and
(C) the Secretary of State, with respect to matters con-
cerning the Foreign Service.
(18) SUPERVISING ETHICS OFFICE.—The term ‘‘supervising eth-
ics office’’ means—
(A) the Select Committee on Ethics of the Senate, for Sen-
ators, officers and employees of the Senate, and other offi-
cers or employees of the legislative branch required to file
financial disclosure reports with the Secretary of the Senate
pursuant to section 13105(h) of this title;
(B) the Committee on Ethics of the House of Representa-
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Representatives and other officers or employees of the legis-
lative branch required to file financial disclosure reports
with the Clerk of the House of Representatives pursuant to
section 13105(h) of this title;
(C) the Judicial Conference for judicial officers and judi-
cial employees; and
(D) the Office of Government Ethics for all executive
branch officers and employees.
(19) VALUE.—The term ‘‘value’’ means a good faith estimate
of the dollar value if the exact value is neither known nor easily
obtainable by the reporting individual.
§ 13102. Administration of Provisions
(a) IN GENERAL.—The provisions of this subchapter shall be ad-
ministered by—
(1) the Director of the Office of Government Ethics, the des-
ignated agency ethics official, or the Secretary concerned, as ap-
propriate, with regard to officers and employees described in
paragraphs (1) through (8) of section 13103(f) of this title;
(2) the Select Committee on Ethics of the Senate and the
Committee on Ethics of the House of Representatives, as appro-
priate, with regard to officers and employees described in para-
graphs (9) and (10) of section 13103(f) of this title; and
(3) the Judicial Conference in the case of an officer or em-
ployee described in paragraphs (11) and (12) of section 13103(f)
of this title.
(b) DELEGATION BY JUDICIAL CONFERENCE.—The Judicial Con-
ference may delegate any authority it has under this subchapter to
an ethics committee established by the Judicial Conference.
§ 13103. Persons Required to File
(a) REPORTS FILED UPON ENTERING A FILING POSITION.—Within
30 days of assuming the position of an officer or employee described
in subsection (f), an individual shall file a report containing the in-
formation described in section 13104(b) of this title unless the indi-
vidual has left another position described in subsection (f) within 30
days prior to assuming such new position or has already filed a re-
port under this subchapter with respect to nomination for the new
position or as a candidate for the position.
(b) REPORTS FOR NOMINEES TO POSITIONS REQUIRING SENATE
CONFIRMATION.—
(1) IN GENERAL.—Within 5 days of the transmittal by the
President to the Senate of the nomination of an individual
(other than an individual nominated for appointment to a posi-
tion as a Foreign Service Officer or a grade or rank in the uni-
formed services for which the pay grade prescribed by section
201 of title 37 is O–6 or below) to a position, appointment to
which requires the advice and consent of the Senate, such indi-
vidual shall file a report containing the information described
in section 13104(b) of this title. Such individual shall, not later
than the date of the first hearing to consider the nomination of
such individual, make current the report filed pursuant to this
paragraph by filing the information required by section
13104(a)(1)(A) of this title with respect to income and honoraria
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such hearing. Nothing in this chapter shall prevent any con-
gressional committee from requesting, as a condition of con-
firmation, any additional financial information from any Presi-
dential nominee whose nomination has been referred to that
committee.
(2) PUBLIC ANNOUNCEMENT OF INTENDED NOMINATION.—An
individual whom the President or the President-elect has pub-
licly announced he or she intends to nominate to a position may
file the report required by paragraph (1) at any time after that
public announcement, but not later than is required under the
1st sentence of paragraph (1).
(c) REPORTS FOR CANDIDATES FOR ELECTED FEDERAL OFFICE.—
Within 30 days of becoming a candidate as defined in section 301
of the Federal Election Campaign Act of 1971 (52 U.S.C. 30101), in
a calendar year for nomination or election to the office of President,
Vice President, or Member of Congress, or on or before May 15 of
that calendar year, whichever is later, but in no event later than 30
days before the election, and on or before May 15 of each successive
year an individual continues to be a candidate, an individual other
than an incumbent President, Vice President, or Member of Con-
gress shall file a report containing the information described in sec-
tion 13104(b) of this title. Notwithstanding the preceding sentence,
in any calendar year in which an individual continues to be a can-
didate for any office but all elections for such office relating to such
candidacy were held in prior calendar years, such individual need
not file a report unless the individual becomes a candidate for an-
other vacancy in that office or another office during that year.
(d) ANNUAL REPORTS.—Any individual who is an officer or em-
ployee described in subsection (f) during any calendar year and per-
forms the duties of the position or office for a period in excess of 60
days in that calendar year shall file on or before May 15 of the suc-
ceeding year a report containing the information described in sec-
tion 13104(a) of this title.
(e) TERMINATION REPORTS.—Any individual who occupies a posi-
tion described in subsection (f) shall, on or before the 30th day after
termination of employment in such position, file a report containing
the information described in section 13104(a) of this title covering
the preceding calendar year if the report required by subsection (d)
has not been filed and covering the portion of the calendar year in
which such termination occurs up to the date the individual left
such office or position, unless such individual has accepted employ-
ment in another position described in subsection (f).
(f) INDIVIDUALS REQUIRED TO FILE.—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, who occupies a position classified above GS–15 of the
General Schedule or, in the case of positions not under the Gen-
eral Schedule, for which the rate of basic pay is equal to or
greater than 120 percent of the minimum rate of basic pay pay-
able for GS–15 of the General Schedule; each member of a uni-
formed service whose pay grade is at or in excess of O–7 under
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section 201 of title 37; and each officer or employee in any other
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107
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 this
title;
(5) any employee not described in paragraph (3) who is in a
position in the executive branch which is excepted from the com-
petitive service by reason of being of a confidential or policy-
making character, except that the Director of the Office of Gov-
ernment Ethics may, by regulation, exclude from the applica-
tion of this paragraph any individual, or group of individuals,
who are in such positions, but only in cases in which the Direc-
tor determines such exclusion would not affect adversely the in-
tegrity of the Government or the public’s confidence in the integ-
rity 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), em-
ployed in the Executive Office of the President (other than a spe-
cial Government employee) who holds a commission of appoint-
ment from the President;
(9) a Member of Congress as defined in section 13101 of this
title;
(10) an officer or employee of the Congress as defined in sec-
tion 13101 of this title;
(11) a judicial officer as defined in section 13101 of this title;
and
(12) a judicial employee as defined in section 13101 of this
title.
(g) EXTENSIONS OF TIME FOR FILING.—
(1) IN GENERAL.—Reasonable extensions of time for filing any
report may be granted under procedures prescribed by the su-
pervising ethics office for each branch, but the total of such ex-
tensions shall not exceed 90 days.
(2) ARMED FORCES.—
(A) COMBAT ZONE.—In the case of an individual who is
serving in the Armed Forces, or serving in support of the
Armed Forces, in an area while that area is designated by
the President by Executive order as a combat zone for pur-
poses of section 112 of the Internal Revenue Code of 1986
(26 U.S.C. 112), the date for the filing of any report shall
be extended so that the date is 180 days after the later of—
(i) the last day of the individual’s service in such
area during such designated period; or
(ii) the last day of the individual’s hospitalization as
a result of injury received or disease contracted while
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serving in such area.
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(B) PROCEDURES.—The Office of Government Ethics, in
consultation with the Secretary of Defense, may prescribe
procedures under this paragraph.
(h) EXCEPTIONS.—The provisions of subsections (a), (b), and (e)
shall not apply to an individual who, as determined by the des-
ignated agency ethics official or Secretary concerned (or in the case
of a Presidential appointee under subsection (b), the Director of the
Office of Government Ethics), the congressional ethics committees,
or the Judicial Conference, is not reasonably expected to perform the
duties of the individual’s office or position for more than 60 days
in a calendar year, except that if such individual performs the du-
ties of the office or position for more than 60 days in a calendar
year—
(1) the report required by subsections (a) and (b) shall be filed
within 15 days of the 60th day; and
(2) the report required by subsection (e) shall be filed as pro-
vided in that subsection.
(i) REQUEST FOR WAIVER.—The supervising ethics office for each
branch may grant a publicly available request for a waiver of any
reporting requirement under this section for an individual who is
expected to perform or has performed the duties of the individual’s
office or position less than 130 days in a calendar year, but only if
the supervising ethics office determines that—
(1) such individual is not a full-time employee of the Govern-
ment;
(2) such individual is able to provide services specially needed
by the Government;
(3) it is unlikely that the individual’s outside employment or
financial interests will create a conflict of interest; and
(4) public financial disclosure by such individual is not nec-
essary in the circumstances.
§ 13104. Contents of Reports
(a) ANNUAL AND TERMINATION REPORTS.—Each report filed pur-
suant to section 13103(d) and (e) of this title shall include a full
and complete statement with respect to the following:
(1) INCOME.—
(A) IN GENERAL.—The source, type, and amount or value
of income (other than income referred to in subparagraph
(B)) from any source (other than from current employment
by the United States Government), and the source, date,
and amount of honoraria from any source, received during
the preceding calendar year, aggregating $200 or more in
value and, effective January 1, 1991, the source, date, and
amount of payments made to charitable organizations in
lieu of honoraria, and the reporting individual shall simul-
taneously file with the applicable supervising ethics office,
on a confidential basis, a corresponding list of recipients of
all such payments, together with the dates and amounts of
such payments.
(B) DIVIDENDS, RENTS, INTEREST, AND CAPITAL GAINS.—
The source and type of income which consists of dividends,
rents, interest, and capital gains, received during the pre-
ceding calendar year which exceeds $200 in amount or
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value, and an indication of which of the following cat-
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egories the amount or value of such item of income is with-
in—
(i) not more than $1,000;
(ii) greater than $1,000 but not more than $2,500;
(iii) greater than $2,500 but not more than $5,000;
(iv) greater than $5,000 but not more than $15,000;
(v) greater than $15,000 but not more than $50,000;
(vi) greater than $50,000 but not more than
$100,000;
(vii) greater than $100,000 but not more than
$1,000,000;
(viii) greater than $1,000,000 but not more than
$5,000,000; or
(ix) greater than $5,000,000.
(2) GIFTS AND REIMBURSEMENTS.—
(A) GIFTS.—The identity of the source, a brief description,
and the value of all gifts aggregating more than the mini-
mal value as established by section 7342(a)(5) of this title,
or $250, whichever is greater, received from any source
other than a relative of the reporting individual during the
preceding calendar year, except that any food, lodging, or
entertainment received as personal hospitality of an indi-
vidual need not be reported, and any gift with a fair mar-
ket value of $100 or less, as adjusted at the same time and
by the same percentage as the minimal value is adjusted,
need not be aggregated for purposes of this subparagraph.
(B) REIMBURSEMENTS.—The identity of the source and a
brief description (including a travel itinerary, dates, and
nature of expenses provided) of reimbursements received
from any source aggregating more than the minimal value
as established by section 7342(a)(5) of this title, or $250,
whichever is greater, and received during the preceding cal-
endar year.
(C) WAIVER.—In an unusual case, a gift need not be ag-
gregated under subparagraph (A) if a publicly available re-
quest for a waiver is granted.
(3) INTERESTS IN PROPERTY.—The identity and category of
value of any interest in property held during the preceding cal-
endar year in a trade or business, or for investment or the pro-
duction of income, which has a fair market value which exceeds
$1,000 as of the close of the preceding calendar year, excluding
any personal liability owed to the reporting individual by a
spouse or by a parent, brother, sister, or child of the reporting
individual or of the reporting individual’s spouse, or any depos-
its 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 de-
posit in a bank, savings and loan association, credit union, or
similar financial institution.
(4) LIABILITIES.—The identity and category of value of the
total liabilities owed to any creditor other than a spouse, or a
parent, brother, sister, or child of the reporting individual or of
the reporting individual’s spouse which exceed $10,000 at any
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time during the preceding calendar year, excluding—
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(A) any mortgage secured by real property which is a per-
sonal residence of the reporting individual or the individ-
ual’s spouse, except that this exception shall not apply to a
reporting individual—
(i) described in paragraph (1), (2), or (9) of 13103(f)
of this title;
(ii) described in section 13103(b) of this title who has
been nominated for appointment as an officer or em-
ployee in the executive branch described in subsection
(f) of that section, other than—
(I) an individual appointed to a position—
(aa) as a Foreign Service Officer below the
rank of ambassador; or
(bb) in the uniformed services for which the
pay grade prescribed by section 201 of title 37
is O–6 or below; or
(II) a special Government employee, as defined
under section 202 of title 18; or
(iii) described in section 13103(f) of this title who is
in a position in the executive branch the appointment
to which is made by the President and requires advice
and consent of the Senate, other than—
(I) an individual appointed to a position—
(aa) as a Foreign Service Officer below the
rank of ambassador; or
(bb) in the uniformed services for which the
pay grade prescribed by section 201 of title 37
is O–6 or below; or
(II) a special Government employee, as defined
under section 202 of title 18; and
(B) any loan secured by a personal motor vehicle, house-
hold furniture, or appliances, which loan does not exceed
the purchase price of the item which secures it.
With respect to revolving charge accounts, only those with an
outstanding liability which exceeds $10,000 as of the close of
the preceding calendar year need be reported under this para-
graph.
(5) TRANSACTIONS.—Except as provided in this paragraph, a
brief description, the date, and category of value of any pur-
chase, sale or exchange during the preceding calendar year
which exceeds $1,000—
(A) in real property, other than property used solely as a
personal residence of the reporting individual or the indi-
vidual’s spouse; or
(B) in stocks, bonds, commodities futures, and other
forms of securities.
Reporting is not required under this paragraph of any trans-
action solely by and between the reporting individual, the indi-
vidual’s spouse, or dependent children.
(6) POSITIONS WITH OUTSIDE ENTITIES AND MAJOR SOURCES
OF COMPENSATION.—
(A) POSITIONS WITH OUTSIDE ENTITIES.—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
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individual, during the 2-year period preceding such cal-
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endar year) as an officer, director, trustee, partner, propri-
etor, representative, employee, or consultant of any corpora-
tion, company, firm, partnership, or other business enter-
prise, any nonprofit organization, any labor organization,
or any educational or other institution other than the
United States. This subparagraph shall not require the re-
porting of positions held in any religious, social, fraternal,
or political entity and positions solely of an honorary na-
ture.
(B) MAJOR SOURCES OF COMPENSATION.—If any person,
other than the United States Government, paid a non-
elected reporting individual compensation in excess of
$5,000 in any of the 2 calendar years prior to the calendar
year during which the individual files the individual’s first
report under this chapter, the individual shall include in
the report—
(i) the identity of each source of such compensation;
and
(ii) a brief description of the nature of the duties per-
formed or services rendered by the reporting individual
for each such source.
The preceding sentence shall not require any individual to in-
clude in such report any information which is considered con-
fidential as a result of a privileged relationship, established by
law, between such individual and any person, nor shall it re-
quire an individual to report any information with respect to
any person for whom services were provided by any firm or as-
sociation of which such individual was a member, partner, or
employee unless such individual was directly involved in the
provision of such services.
(7) AGREEMENTS OR ARRANGEMENTS RELATING TO OTHER EM-
PLOYMENT.—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.
(8) QUALIFIED BLIND TRUSTS.—The category of the total cash
value of any interest of the reporting individual in a qualified
blind trust, unless the trust instrument was executed prior to
July 24, 1995, and precludes the beneficiary from receiving in-
formation on the total cash value of any interest in the qualified
blind trust.
(b) REPORTS FOR NEW EMPLOYEES, NOMINEES, AND CAN-
DIDATES.—
(1) IN GENERAL.—Each report filed pursuant to subsections
(a), (b), and (c) of section 13103 of this title shall include a full
and complete statement with respect to the information required
by—
(A) paragraph (1) of subsection (a) for the year of filing
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and the preceding calendar year;
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(B) paragraphs (3) and (4) of subsection (a) as of the date
specified in the report but which is less than 31 days before
the filing date; and
(C) paragraphs (6) and (7) of subsection (a) as of the fil-
ing date but for periods described in such paragraphs.
(2) ALTERNATIVES FOR REPORTING.—
(A) FORMATS.—In lieu of filling out one or more sched-
ules of a financial disclosure form, an individual may sup-
ply the required information in an alternative format, pur-
suant to either rules adopted by the supervising ethics office
for the branch in which such individual serves or pursuant
to a specific written determination by such office for a re-
porting individual.
(B) AMOUNTS.—In lieu of indicating the category of
amount or value of any item contained in any report filed
under this subchapter, a reporting individual may indicate
the exact dollar amount of such item.
(c) REPORT AFTER TERMINATION OF EMPLOYMENT.—In the case of
any individual described in section 13103(e) of this title, any ref-
erence to the preceding calendar year shall be considered also to in-
clude that part of the calendar year of filing up to the date of the
termination of employment.
(d) CATEGORIES FOR REPORTING AMOUNTS OR VALUES.—
(1) PARAGRAPHS (3), (4), (5), AND (8) OF SUBSECTION (A).—The
categories for reporting the amount or value of the items cov-
ered in paragraphs (3), (4), (5), and (8) of subsection (a) are—
(A) not more than $15,000;
(B) greater than $15,000 but not more than $50,000;
(C) greater than $50,000 but not more than $100,000;
(D) greater than $100,000 but not more than $250,000;
(E) greater than $250,000 but not more than $500,000;
(F) greater than $500,000 but not more than $1,000,000;
(G) greater than $1,000,000 but not more than
$5,000,000;
(H) greater than $5,000,000 but not more than
$25,000,000;
(I) greater than $25,000,000 but not more than
$50,000,000; and
(J) greater than $50,000,000.
(2) VALUATION OF INTERESTS IN REAL PROPERTY.—For the
purposes of paragraph (3) of subsection (a), if the current value
of an interest in real property (or an interest in a real estate
partnership) is not ascertainable without an appraisal, an indi-
vidual may list (A) the date of purchase and the purchase price
of the interest in the real property, or (B) the assessed value of
the real property for tax purposes, adjusted to reflect the market
value of the property used for the assessment if the assessed
value is computed at less than 100 percent of such market
value, but such individual shall include in his or her report a
full and complete description of the method used to determine
such assessed value, instead of specifying a category of value
pursuant to paragraph (1) of this subsection. If the current
value of any other item required to be reported under para-
graph (3) of subsection (a) is not ascertainable without an ap-
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praisal, such individual may list the book value of a corpora-
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tion whose stock is not publicly traded, the net worth of a busi-
ness partnership, the equity value of an individually owned
business, or with respect to other holdings, any recognized indi-
cation of value, but such individual shall include in his or her
report a full and complete description of the method used in de-
termining such value. In lieu of any value referred to in the pre-
ceding 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) REPORTING INFORMATION RELATING TO SPOUSE OR DEPEND-
ENT CHILD.—
(1) IN GENERAL.—Except as provided in the last sentence of
this paragraph, each report required by section 13103 of this
title shall also contain information listed in paragraphs (1)
through (5) of subsection (a) of this section respecting the spouse
or dependent child of the reporting individual as follows:
(A) SOURCE OF EARNED INCOME AND HONORARIA.—The
source of items of earned income earned by a spouse from
any person which exceed $1,000 and the source and
amount of any honoraria received by a spouse, except that,
with respect to earned income (other than honoraria), if the
spouse is self-employed in business or a profession, only the
nature of such business or profession need be reported.
(B) DIVIDENDS, RENTS, INTEREST, AND CAPITAL GAINS.—
All information required to be reported in subsection (a)
(1)(B) with respect to income derived by a spouse or de-
pendent child from any asset held by the spouse or depend-
ent child and reported pursuant to subsection (a)(3).
(C) GIFTS.—In the case of any gifts received by a spouse
or dependent child which are not received totally inde-
pendent of the relationship of the spouse or dependent child
to the reporting individual, the identity of the source and
a brief description of gifts of transportation, lodging, food,
or entertainment and a brief description and the value of
other gifts.
(D) REIMBURSEMENTS.—In the case of any reimburse-
ments received by a spouse or dependent child which are
not received totally independent of the relationship of the
spouse or dependent child to the reporting individual, the
identity of the source and a brief description of each such
reimbursement.
(E) INTERESTS IN PROPERTY, LIABILITIES, AND TRANS-
ACTIONS.—In the case of items described in paragraphs (3)
through (5) of subsection (a), all information required to be
reported under these paragraphs other than items (i) which
the reporting individual certifies represent the spouse’s or
dependent child’s sole financial interest or responsibility
and which the reporting individual has no knowledge of,
(ii) which are not in any way, past or present, derived from
the income, assets, or activities of the reporting individual,
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and (iii) from which the reporting individual neither de-
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rives, nor expects to derive, any financial or economic ben-
efit.
(F) AMOUNTS OR VALUES GREATER THAN $1,000,000.—
For purposes of this section, categories with amounts or
values greater than $1,000,000 set forth in subsection
(a)(1)(B) and subsection (d)(1) shall apply to the income,
assets, or liabilities of spouses and dependent children only
if the income, assets, or liabilities are held jointly with the
reporting individual. All other income, assets, or liabilities
of the spouse or dependent children required to be reported
under this section in an amount or value greater than
$1,000,000 shall be categorized only as an amount or value
greater than $1,000,000.
Reports required by subsections (a), (b), and (c) of section 13103
of this title shall, with respect to the spouse and dependent
child of the reporting individual, contain only information list-
ed in paragraphs (1), (3), and (4) of subsection (a), as specified
in this paragraph.
(2) SEPARATED SPOUSE.—No report shall be required with re-
spect 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 in-
come or obligations of an individual arising from the dissolu-
tion of the individual’s marriage or the permanent separation
from the individual’s spouse.
(f) TRUSTS AND OTHER FINANCIAL ARRANGEMENTS.—
(1) IN GENERAL.—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 in-
come is held by, such individual, the individual’s spouse, or any
dependent child.
(2) EXCEPTIONS.—A reporting individual need not report the
holdings of or the source of income from any of the holdings
of—
(A) any qualified blind trust (as defined in paragraph
(3));
(B) a trust—
(i) which was not created directly by such individual,
the individual’s spouse, or any dependent child; and
(ii) the holdings or sources of income of which such
individual, the individual’s spouse, and any dependent
child have no knowledge; or
(C) an entity described under the provisions of paragraph
(8);
but such individual shall report the category of the amount of
income received by the individual, the individual’s spouse, or
any dependent child from the trust or other entity under sub-
section (a)(1)(B).
(3) DEFINITION OF QUALIFIED BLIND TRUST.—For purposes of
this subsection, the term ‘‘qualified blind trust’’ includes any
trust in which a reporting individual, the individual’s spouse,
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principal or income, and which meets the following require-
ments:
(A) TRUSTEE.—
(i) The trustee of the trust and any other entity des-
ignated in the trust instrument to perform fiduciary
duties is a financial institution, an attorney, a certified
public accountant, a broker, or an investment advisor
who—
(I) is independent of and not associated with any
interested party so that the trustee or other person
cannot be controlled or influenced in the adminis-
tration of the trust by any interested party; and
(II) is not and has not been an employee of or af-
filiated with any interested party and is not a
partner of, or involved in any joint venture or other
investment with, any interested party; and
(III) is not a relative of any interested party.
(ii) Any officer or employee of a trustee or other entity
who is involved in the management or control of the
trust—
(I) is independent of and not associated with any
interested party so that such officer or employee
cannot be controlled or influenced in the adminis-
tration of the trust by any interested party;
(II) is not a partner of, or involved in any joint
venture or other investment with, any interested
party; and
(III) is not a relative of any interested party.
(B) TRANSFERRED ASSET.—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 ex-
pressly approved by the supervising ethics office of the re-
porting individual.
(C) TRUST INSTRUMENT.—The trust instrument which es-
tablishes the trust provides that—
(i) except to the extent provided in subparagraph (B)
of this paragraph, the trustee in the exercise of the
trustee’s authority and discretion to manage and con-
trol the assets of the trust shall not consult or notify
any interested party;
(ii) the trust shall not contain any asset the holding
of which by an interested party is prohibited by any
law or regulation;
(iii) the trustee shall promptly notify the reporting
individual and the reporting individual’s supervising
ethics office when the holdings of any particular asset
transferred to the trust by any interested party are dis-
posed of or when the value of such holding is less than
$1,000;
(iv) the trust tax return shall be prepared by the
trustee or the trustee’s designee, and such return and
any information relating thereto (other than the trust
income summarized in appropriate categories necessary
to complete an interested party’s tax return) shall not
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be disclosed to any interested party;
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(v) an interested party shall not receive any report on
the holdings and sources of income of the trust, except
a report at the end of each calendar quarter with re-
spect to the total cash value of the interest of the inter-
ested 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 sub-
section (a)(1) of this section, but such report shall not
identify any asset or holding;
(vi) except for communications which solely consist of
requests for distributions of cash or other unspecified
assets of the trust, there shall be no direct or indirect
communication between the trustee and an interested
party with respect to the trust unless such communica-
tion 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 re-
porting individual creates a conflict of interest or the
appearance thereof due to the subsequent assumption
of duties by the reporting individual (but nothing here-
in shall require any such direction); and
(vii) the interested parties shall make no effort to ob-
tain information with respect to the holdings of the
trust, including obtaining a copy of any trust tax re-
turn filed or any information relating thereto except as
otherwise provided in this subsection.
(D) APPROVAL BY SUPERVISING ETHICS OFFICE.—The pro-
posed trust instrument and the proposed trustee are ap-
proved by the reporting individual’s supervising ethics of-
fice.
(E) DEFINITIONS.—For purposes of this subsection, ‘‘inter-
ested party’’ means a reporting individual, the individual’s
spouse, and any minor or dependent child; ‘‘broker’’ has the
meaning set forth in section 3(a)(4) of the Securities Ex-
change Act of 1934 (15 U.S.C. 78c(a) (4)); and ‘‘investment
adviser’’ includes any investment adviser who, as deter-
mined under regulations prescribed by the supervising eth-
ics office, is generally involved in the role as such an ad-
viser in the management or control of trusts.
(F) TRUST QUALIFIED BEFORE EFFECTIVE DATE OF TITLE
II OF ETHICS REFORM ACT OF 1989.—Any trust qualified by
a supervising ethics office before the effective date of title II
of the Ethics Reform Act of 1989 shall continue to be gov-
erned by the law and regulations in effect immediately be-
fore such effective date.
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(4) TRUST ASSET CONSIDERED FINANCIAL INTEREST.—
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(A) IN GENERAL.—An asset placed in a trust by an inter-
ested party shall be considered a financial interest of the
reporting individual, for the purposes of any applicable
conflict of interest statutes, regulations, or rules of the Fed-
eral Government (including section 208 of title 18), until
such time as the reporting individual is notified by the
trustee that such asset has been disposed of, or has a value
of less than $1,000.
(B) EXCEPTION.—
(i) The provisions of subparagraph (A) shall not
apply with respect to a trust created for the benefit of
a reporting individual, or the spouse, dependent child,
or minor child of such a person, if the supervising eth-
ics office for such reporting individual finds that—
(I) the assets placed in the trust consist of a well-
diversified portfolio of readily marketable securi-
ties;
(II) none of the assets consist of securities of enti-
ties having substantial activities in the area of the
reporting individual’s primary area of responsi-
bility;
(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, not-
withstanding the provisions of paragraph (3)(C)(v)
of this subsection, to prepare on behalf of any in-
terested party the personal income tax returns and
similar returns which may contain information re-
lating to the trust; and
(V) except as otherwise provided in this para-
graph, 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 amend-
ment, the trustee, the reporting individual, and
any other interested party agree in writing) that
the trust shall be administered in accordance with
the requirements of this subsection and the trustee
of such trust meets the requirements of paragraph
(3)(A).
(ii) In any instance covered by this subparagraph in
which the reporting individual is an individual whose
nomination is being considered by a congressional com-
mittee, the reporting individual shall inform the con-
gressional committee considering the individual’s nom-
ination before or during the period of such individual’s
confirmation hearing of the individual’s intention to
comply with this paragraph.
(5) NOTIFICATION.—
(A) COPIES.—The reporting individual shall, within 30
days after a qualified blind trust is approved by the indi-
vidual’s supervising ethics office, file with such office a copy
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(i) the executed trust instrument of such trust (other
than those provisions which relate to the testamentary
disposition of the trust assets); and
(ii) a list of the assets which were transferred to such
trust, including the category of value of each asset as
determined under subsection (d) of this section.
This subparagraph shall not apply with respect to a trust
meeting the requirements for being considered a qualified
blind trust under paragraph (7) of this subsection.
(B) TRANSFER OF ASSET.—The reporting individual shall,
within 30 days of transferring an asset (other than cash) to
a previously established qualified blind trust, notify the in-
dividual’s supervising ethics office of the identity of each
such asset and the category of value of each asset as deter-
mined under subsection (d) of this section.
(C) DISSOLUTION.—Within 30 days of the dissolution of
a qualified blind trust, a reporting individual shall—
(i) notify the individual’s supervising ethics office of
such dissolution; and
(ii) file with such office a copy of a list of the assets
of the trust at the time of such dissolution and the cat-
egory of value under subsection (d) of this section of
each such asset.
(D) DOCUMENTS AVAILABLE TO PUBLIC.—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 re-
port is made available under section 13107 of this title, and
the provisions of that section shall apply with respect to
such documents and lists.
(E) COPY OF WRITTEN COMMUNICATION.—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 super-
vising ethics office within 5 days of the date of the commu-
nication.
(6) PROHIBITIONS.—
(A) TRUSTEES.—A trustee of a qualified blind trust shall
not knowingly and willfully, or negligently—
(i) disclose any information to an interested party
with respect to such trust that may not be disclosed
under paragraph (3) of this subsection;
(ii) acquire any holding the ownership of which is
prohibited by the trust instrument;
(iii) solicit advice from any interested party with re-
spect 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 sub-
section.
(B) REPORTING INDIVIDUALS.—A reporting individual
shall not knowingly and willfully, or negligently—
(i) solicit or receive any information with respect to
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vidual 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 sub-
section.
(C) CIVIL ACTIONS FOR VIOLATIONS.—
(i) KNOWING AND WILLFUL VIOLATIONS.—The Attor-
ney General may bring a civil action in any appro-
priate United States district court against any indi-
vidual who knowingly and willfully violates the provi-
sions of subparagraph (A) or (B) of this paragraph.
The court in which such action is brought may assess
against such individual a civil penalty in any amount
not to exceed $10,000.
(ii) NEGLIGENT VIOLATIONS.—The Attorney General
may bring a civil action in any appropriate United
States district court against any individual who neg-
ligently violates the provisions of subparagraph (A) or
(B) of this paragraph. The court in which such action
is brought may assess against such individual a civil
penalty in any amount not to exceed $5,000.
(7) TRUST CONSIDERED TO BE QUALIFIED BLIND TRUST.—Any
trust may be considered to be a qualified blind trust if—
(A) the trust instrument is amended to comply with the
requirements of paragraph (3) or, in the case of a trust in-
strument which does not by its terms permit amendment,
the trustee, the reporting individual, and any other inter-
ested party agree in writing that the trust shall be adminis-
tered in accordance with the requirements of this subsection
and the trustee of such trust meets the requirements of
paragraph (3)(A); except that in the case of any interested
party who is a dependent child, a parent or guardian of
such child may execute the agreement referred to in this
subparagraph;
(B) a copy of the trust instrument (except testamentary
provisions) and a copy of the agreement referred to in sub-
paragraph (A), and a list of the assets held by the trust at
the time of approval by the supervising ethics office, includ-
ing the category of value of each asset as determined under
subsection (d) of this section, are filed with such office and
made available to the public as provided under paragraph
(5)(D) of this subsection; and
(C) the supervising ethics office determines that approval
of the trust arrangement as a qualified blind trust is in the
particular case appropriate to assure compliance with ap-
plicable laws and regulations.
(8) EXCEPTED INVESTMENT FUNDS.—A reporting individual
shall not be required to report the financial interests held by a
widely held investment fund (whether such fund is a mutual
fund, regulated investment company, pension or deferred com-
pensation plan, or other investment fund)—
(A) if—
(i) the fund is publicly traded; or
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(B) if the reporting individual neither exercises control
over nor has the ability to exercise control over the financial
interests held by the fund.
(g) POLITICAL CAMPAIGN FUNDS.—Political campaign funds, in-
cluding campaign receipts and expenditures, need not be included
in any report filed pursuant to this subchapter.
(h) GIFTS AND REIMBURSEMENTS RECEIVED WHILE INDIVIDUAL
NOT OFFICER OR EMPLOYEE OF FEDERAL GOVERNMENT.—A report
filed pursuant to subsection (a), (d), or (e) of section 13103 of this
title need not contain the information described in subparagraphs
(A), (B), and (C) of subsection (a)(2) with respect to gifts and reim-
bursements received in a period when the reporting individual was
not an officer or employee of the Federal Government.
(i) NON-REPORTABLE RETIREMENT BENEFITS.—A reporting indi-
vidual shall not be required under this subchapter to report—
(1) financial interests in or income derived from—
(A) any retirement system under this title (including the
Thrift Savings Plan under subchapter III of chapter 84 of
this title); or
(B) any other retirement system maintained by the
United States for officers or employees of the United States,
including the President, or for members of the uniformed
services; or
(2) benefits received under the Social Security Act (42
U.S.C. 301 et seq.).
§ 13105. Filing of Reports
(a) REPORTS FILED WITH DESIGNATED AGENCY ETHICS OFFI-
CIAL.— Except as otherwise provided in this section, the reports re-
quired under this subchapter shall be filed by the reporting indi-
vidual with the designated agency ethics official at the agency by
which the reporting individual is employed (or in the case of an in-
dividual described in section 13103(e) of this title, was employed) or
in which the individual will serve. The date any report is received
(and the date of receipt of any supplemental report) shall be noted
on such report by the designated agency ethics official.
(b) REPORTS FILED WITH DIRECTOR OF OFFICE OF GOVERNMENT
ETHICS.—The President, the Vice President, and independent coun-
sel and persons appointed by independent counsel under chapter 40
of title 28, shall file reports required under this subchapter with the
Director of the Office of Government Ethics.
(c) COPIES OF REPORTS TRANSMITTED TO THE OFFICE OF GOVERN-
MENT ETHICS.—Copies of the reports required to be filed under this
subchapter by the Postmaster General, the Deputy Postmaster Gen-
eral, the Governors of the Board of Governors of the United States
Postal Service, designated agency ethics officials, employees de-
scribed 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, 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 nomi-
nated to be judicial officers and those referred to in subsection (f)
shall be transmitted to the Director of the Office of Government Eth-
ics. The Director shall forward a copy of the report of each nominee
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(d) AVAILABILITY TO PUBLIC.—Reports required to be filed under
this subchapter 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 subchapter.
(e) REPORTS FILED WITH FEDERAL ELECTION COMMISSION.—Each
individual identified in section 13103(c) of this title who is a can-
didate for nomination or election to the Office of President or Vice
President shall file the reports required by this subchapter with the
Federal Election Commission.
(f) REPORTS FILED WITH SECRETARY CONCERNED.—Reports re-
quired of members of the uniformed services shall be filed with the
Secretary concerned.
(g) FORMS FOR REPORTING.—Each supervising ethics office shall
develop and make available forms for reporting the information re-
quired by this subchapter.
(h) REPORTS FILED BY CERTAIN GOVERNMENT OFFICIALS.—
(1) OFFICIALS WITH WHOM REPORTS ARE FILED.—
(A) REPORTS BY MEMBERS AND STAFF OF CONGRESS.—
(i) IN GENERAL.—
(I) REPORTS FILED WITH CLERK OF THE HOUSE OF
REPRESENTATIVES.—The reports required under
this subchapter shall be filed by a reporting indi-
vidual with the Clerk of the House of Representa-
tives, 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 Rep-
resentatives, an officer or employee of the Architect
of the Capitol, the 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 13103(e) of this title, in any
office or position referred to in this subclause), or
an individual described in section 13103(c) of this
title who is a candidate for nomination or election
as a Representative in Congress, a Delegate to
Congress, or the Resident Commissioner from
Puerto Rico.
(II) REPORTS FILED WITH SECRETARY OF THE
SENATE.—The reports required under this sub-
chapter shall be filed by a reporting individual
with 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 Govern-
ment Accountability Office, the Office of Tech-
nology Assessment, or the Office of the Attending
Physician (including any individual terminating
service, under section 13103(e) of this title, in any
office or position referred to in this subclause), or
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an individual described in section 13103(c) of this
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title who is a candidate for nomination or election
as a Senator.
(ii) OTHER REPORTS.—In the case of an officer or em-
ployee of the Congress as described under section
13103(f)(10) of this title who is employed by an agency
or commission established in the legislative branch
after November 30, 1989, the reports required under
this subchapter shall be filed by a reporting individual
with—
(I) the Secretary of the Senate or the Clerk of the
House of Representatives, as the case may be, as
designated in the statute establishing such agency
or commission; or
(II) if such statute does not designate such com-
mittee, the Secretary of the Senate for agencies and
commissions established in even numbered cal-
endar years, and the Clerk of the House of Rep-
resentatives for agencies and commissions estab-
lished in odd numbered calendar years.
(B) REPORTS FILED WITH JUDICIAL CONFERENCE.—The re-
ports required under this subchapter shall be filed by a re-
porting individual with the Judicial Conference with re-
gard to a judicial officer or employee described under para-
graphs (11) and (12) of section 13103(f) of this title (includ-
ing individuals terminating service in such office or posi-
tion under section 13103(e) of this title or immediately pre-
ceding service in such office or position).
(2) DATE REPORT RECEIVED.—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) COPIES OF REPORTS TO STATE OFFICERS.—
(1) IN GENERAL.—A copy of each report filed under this sub-
chapter 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 312(a)
of the Federal Election Campaign Act of 1971 (52 U.S.C.
30113(a)) 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) EXCEPTION FOR ELECTRONICALLY FILED REPORTS.—The re-
quirements of paragraph (1) do not apply to any report filed
under this subchapter which is filed electronically and for
which there is online public access, in accordance with the sys-
tems developed by the Secretary and Sergeant at Arms of the
Senate and the Clerk of the House of Representatives under sec-
tion 8(b) of the STOCK Act.
(j) COPIES OF REPORTS TO ETHICS COMMITTEES.—
(1) HOUSE OF REPRESENTATIVES.—A copy of each report filed
under this subchapter with the Clerk of the House of Represent-
atives shall be sent by the Clerk to the Committee on Ethics of
the House of Representatives within the 7-day period beginning
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(2) SENATE.—A copy of each report filed under this sub-
chapter with the Secretary of the Senate shall be sent by the
Secretary to the Select Committee on Ethics of the Senate with-
in the 7-day period beginning on the day the report is filed.
(k) ASSISTANCE OF FEDERAL ELECTION COMMISSION.—In carrying
out their responsibilities under this subchapter with respect to can-
didates 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 com-
plete 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 Sec-
retary to the greatest extent possible.
(l) PERIODIC TRANSACTION REPORTS.—Not later than 30 days
after receiving notification of any transaction required to be re-
ported under section 13104(a)(5)(B of this title, but in no case later
than 45 days after such transaction, the following persons, if re-
quired to file a report under any subsection of section 13103 of this
title, 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, includ-
ing a special Government employee as defined in section 202 of
title 18, who occupies a position classified above GS–15 of the
General Schedule or, in the case of positions not under the Gen-
eral Schedule, for which the rate of basic pay is equal to or
greater than 120 percent of the minimum rate of basic pay pay-
able for GS—15 of the General Schedule; each member of a uni-
formed service whose pay grade is at or in excess of O–7 under
section 201 of title 37; and each officer or employee in any other
position determined by the Director of the Office of Government
Ethics to be of equal classification.
(4) Each employee appointed pursuant to section 3105 of this
title.
(5) Any employee not described in paragraph (3) who is in a
position in the executive branch which is excepted from the com-
petitive service by reason of being of a confidential or policy-
making character, except that the Director of the Office of Gov-
ernment Ethics may, by regulation, exclude from the applica-
tion of this paragraph any individual, or group of individuals,
who are in such positions, but only in cases in which the Direc-
tor determines such exclusion would not affect adversely the in-
tegrity of the Government or the public’s confidence in the integ-
rity 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
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(8) Any civilian employee not described in paragraph (3), em-
ployed in the Executive Office of the President (other than a spe-
cial Government employee as defined in section 202 of title 18)
who holds a commission of appointment from the President.
(9) A Member of Congress, as defined under section 13101 of
this title.
(10) An officer or employee of the Congress, as defined under
section 13101 of this title.
§ 13106. Failure to File or Filing False Reports
(a) VIOLATION.—
(1) CIVIL ACTIONS.—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 to file or report any information
that such individual is required to report pursuant to section
13104 of this title. The court in which such action is brought
may assess against such individual a civil penalty in any
amount, not to exceed $50,000.
(2) VIOLATIONS AND PENALTIES.—
(A) VIOLATIONS.—It shall be unlawful for any person to
knowingly and willfully—
(i) falsify any information that such person is re-
quired to report under section 13104 of this title; and
(ii) fail to file or report any information that such
person is required to report under section 13104 of this
title.
(B) PENALTIES.—Any person who—
(i) violates subparagraph (A)(i) shall be fined under
title 18, imprisoned for not more than 1 year, or both;
and
(ii) violates subparagraph (A)(ii) shall be fined under
title 18.
(b) REFERRAL TO ATTORNEY GENERAL.—The head of each agency,
each Secretary concerned, the Director of the Office of Government
Ethics, each congressional ethics committee, or the Judicial Con-
ference, as the case may be, shall refer to the Attorney General the
name of any individual which such official or committee has rea-
sonable cause to believe has willfully failed to file a report or has
willfully falsified or willfully failed to file information required to
be reported. Whenever the Judicial Conference refers a name to the
Attorney General under this subsection, the Judicial Conference also
shall notify the judicial council of the circuit in which the named
individual serves of the referral.
(c) PERSONNEL ACTION.—The President, the Vice President, the
Secretary concerned, the head of each agency, the Office of Personnel
Management, a congressional ethics committee, and the Judicial
Conference, may take any appropriate personnel or other action in
accordance with applicable law or regulation against any indi-
vidual failing to file a report or falsifying or failing to report infor-
mation required to be reported.
(d) LATE FEES.—
(1) IN GENERAL.—Any individual who files a report required
to be filed under this subchapter more than 30 days after the
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(A) the date such report is required to be filed pursuant
to the provisions of this subchapter and the rules and regu-
lations promulgated under this subchapter; or
(B) if a filing extension is granted to such individual
under section 13103(g) of this title, the last day of the filing
extension period,
shall, at the direction of and pursuant to regulations issued by
the supervising ethics office, pay a filing fee of $200. All such
fees shall be deposited in the miscellaneous receipts of the
Treasury. The authority under this paragraph to direct the pay-
ment of a filing fee may be delegated by the supervising ethics
office in the executive branch to other agencies in the executive
branch.
(2) WAIVER.—The supervising ethics office may waive the fil-
ing fee under this subsection in extraordinary circumstances.
§ 13107. Custody of and Public Access to Reports
(a) AVAILABILITY OF REPORTS TO PUBLIC.—Each agency, each su-
pervising ethics office in the executive or judicial branch, the Clerk
of the House of Representatives, and the Secretary of the Senate
shall make available to the public, in accordance with subsection
(b), each report filed under this subchapter with such agency or of-
fice or with the Clerk or the Secretary of the Senate, except that—
(1) this section does not require public availability of a report
filed by any individual in the Office of the Director of National
Intelligence, the Central Intelligence Agency, the Defense Intel-
ligence Agency, the National Geospatial-Intelligence Agency, or
the National Security Agency, or any individual engaged in in-
telligence activities in any agency of the United States, if the
President finds or has found that, due to the nature of the office
or position occupied by such individual, public disclosure of
such report would, by revealing the identity of the individual or
other sensitive information, compromise the national interest of
the United States; and such individuals may be authorized,
notwithstanding section 13106(a) of this title, to file such addi-
tional reports as are necessary to protect their identity from
public disclosure if the President first finds or has found that
such filing is necessary in the national interest; and
(2) any report filed by an independent counsel whose identity
has not been disclosed by the division of the court under chap-
ter 40 of title 28, and any report filed by any person appointed
by that independent counsel under such chapter, shall not be
made available to the public under this subchapter.
(b) INSPECTION OF REPORTS.—
(1) IN GENERAL.—Except as provided in the second sentence
of this subsection, each agency, each supervising ethics office in
the executive or judicial branch, the Clerk of the House of Rep-
resentatives, and the Secretary of the Senate shall, within 30
days after any report is received under this subchapter by such
agency or office or by the Clerk or the Secretary of the Senate,
as the case may be, permit inspection of such report by or fur-
nish a copy of such report to any person requesting such inspec-
tion or copy. With respect to any report required to be filed by
May 15 of any year, such report shall be made available for
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public inspection within 30 calendar days after May 15 of such
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year or within 30 days of the date of filing of such a report for
which an extension is granted pursuant to section 13103(g) of
this title. The agency, office, Clerk, or Secretary of the Senate,
as the case may be, may require a reasonable fee to be paid in
any amount which is found necessary to recover the cost of re-
production 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.
(2) PROCEDURE FOR REQUESTING REPORTS.—Notwithstanding
paragraph (1), a report may not be made available under this
section to any person nor may any copy of the report be pro-
vided under this section to any person except upon a written ap-
plication by such person stating—
(A) that person’s name, occupation, and address;
(B) the name and address of any other person or organi-
zation on whose behalf the inspection or copy is requested;
and
(C) that such person is aware of the prohibitions on the
obtaining or use of the report.
Any such application shall be made available to the public
throughout the period during which the report is made avail-
able to the public.
(3) JUDICIAL EMPLOYEES AND OFFICERS.—
(A) IN GENERAL.—This section does not require the imme-
diate and unconditional availability of reports filed by an
individual described in paragraph (9) or (10) of section
13101 of this title if a finding is made by the Judicial Con-
ference, in consultation with the United States Marshals
Service, that revealing personal and sensitive information
could endanger that individual or a family member of that
individual.
(B) REDACTION.—A report may be redacted pursuant to
this paragraph only—
(i) to the extent necessary to protect the individual
who filed the report or a family member of that indi-
vidual; and
(ii) for as long as the danger to such individual ex-
ists.
(C) REDACTION REPORT.—The Administrative Office of
the United States Courts shall submit to the Committees on
the Judiciary of the House of Representatives and of the
Senate and the Senate Committee on Homeland Security
and Governmental Affairs and the House Committee on
Oversight and Reform an annual report with respect to the
operation of this paragraph including—
(i) the total number of reports redacted pursuant to
this paragraph;
(ii) the total number of individuals whose reports
have been redacted pursuant to this paragraph;
(iii) the types of threats against individuals whose
reports are redacted, if appropriate;
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