5 U.S.C. § 13108 — Review of reports

Page 1348 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 13108 be made available electronically under this sub- section along with its related disclosure. ‘‘(4) EXPIRATION.—The requirements of this sub- section shall expire upon implementation of the pub- lic disclosure system established under subsection (b). ‘‘(b) ELECTRONIC FILING AND ONLINE PUBLIC AVAIL- ABILITY OF FINANCIAL DISCLOSURE FORMS OF CERTAIN EXECUTIVE BRANCH OFFICIALS.— ‘‘(1) IN GENERAL.—Subject to paragraph (6), and not later than January 1, 2014, the President, acting through the Director of the Office of Government Ethics, shall develop systems to enable— ‘‘(A) electronic filing of reports required by sec- tion 13105 of title 5, United States Code, other than subsection (h) of such section; and ‘‘(B) public access to— ‘‘(i) financial disclosure reports filed by the President, the Vice President, and any officer oc- cupying a position listed in section 5312 or section 5313 of title 5, United States Code, having been nominated by the President and confirmed by the Senate to that position, ‘‘(ii) reports filed by any individual described in clause (i) of a transaction disclosure required by section 13105(l) of title 5, United States Code, and ‘‘(iii) notices of extensions, amendments, and blind trusts, with respect to financial disclosure reports described in clauses (i) and (ii), pursuant to subchapter I of chapter 131 of title 5, United States Code, through databases that are maintained on the official website of the Office of Government Ethics. ‘‘(2) LOGIN.—For purposes of filings under paragraph (1)(B), section 13107(b)(2) of title 5, United States Code, does not apply. ‘‘(3) PUBLIC AVAILABILITY.—Pursuant to section 13107(b)(1) of title 5, United States Code, electronic availability on the official website of the Office of Government Ethics under paragraph (1)(B) shall be deemed to have met the public availability require- ment. ‘‘(4) FILERS COVERED.—Executive branch employees required under subchapter I of chapter 131 of title 5, United States Code, to file financial disclosure re- ports shall be able to file the reports electronically with their supervising ethics office. ‘‘(5) EXTENSIONS.—Notices of extension for financial disclosure shall be made available electronically under paragraph (1)(B) along with its related disclo- sure. ‘‘(6) ADDITIONAL TIME.—The requirements of this subsection may be implemented after the date pro- vided in paragraph (1) if the Director of the Office of Government Ethics, after consultation with the Clerk of the House of Representatives and Secretary of the Senate, identifies in writing to relevant congres- sional committees the additional time needed for such implementation.’’ [Pub. L. 117–286, § 4(c)(16), which directed amendment of section 11 of the ‘‘Stop Trading on Congressional Knowledge Act of 2012 (Public Law 112–105, 126 Stat. 298, 5 U.S.C. App. 105 note)’’, was executed to section 11 of Pub. L. 112–105, set out above, known as the ‘‘Rep- resentative Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act’’ or the ‘‘STOCK Act’’, to reflect the probable intent of Congress.] [For definitions of terms used in section 11 of Pub. L. 112–105, set out above, see section 2 of Pub. L. 112–105, set out as a Definitions note under section 13101 of this title.] PUBLIC AVAILABILITY OF REPORTS FILED UNDER PRE- 1991 ETHICS IN GOVERNMENT ACT PROVISIONS Pub. L. 101–280, § 9, May 4, 1990, 104 Stat. 162, provided that: ‘‘Those reports filed under title I [former 2 U.S.C. 701 et seq.], II [formerly set out under the heading Ex- ecutive Personnel Financial Disclosure Requirements in the Appendix to this title], or III [formerly set out under the heading Judicial Personnel Financial Disclo- sure Requirements in the Appendix to Title 28, Judici- ary and Judicial Procedure] of the Ethics in Govern- ment Act of 1978 [Pub. L. 95–521], as in effect before January 1, 1991, shall be made available to the public on or after such date in accordance with [former] sec- tion 105 of that Act [see 5 U.S.C. 13107], as amended by the Ethics Reform Act of 1989 [Pub. L. 101–194], and the provisions of such section shall apply with respect to those reports.’’ § 13108. Review of reports (a) TIME FOR REVIEW.— (1) EXECUTIVE BRANCH.—Each designated agency ethics official or Secretary concerned shall make provisions to ensure that each re- port filed with the designated agency ethics official or Secretary under this subchapter is reviewed within 60 days after the date of such filing, except that the Director of the Office of Government Ethics shall review only those re- ports required to be transmitted to the Direc- tor of the Office of Government Ethics under this subchapter within 60 days after the date of transmittal. (2) CONGRESSIONAL ETHICS COMMITTEE AND JU- DICIAL CONFERENCE.—Each congressional eth- ics committee and the Judicial Conference shall make provisions to ensure that each re- port filed under this subchapter is reviewed within 60 days after the date of such filing. (b) RESULTS OF REVIEW.— (1) COMPLIANCE.—If after reviewing any re- port under subsection (a), the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics offi- cial, a person designated by the congressional ethics committee, or a person designated by the Judicial Conference, as the case may be, is of the opinion that on the basis of information contained in such report the individual sub- mitting such report is in compliance with ap- plicable laws and regulations, he or she shall state such opinion on the report, and shall sign such report. (2) ADDITIONAL INFORMATION REQUIRED OR POSSIBLE NONCOMPLIANCE.—If the Director of the Office of Government Ethics, the Sec- retary concerned, the designated agency eth- ics official, a person designated by the con- gressional ethics committee, or a person des- ignated by the Judicial Conference, after re- viewing any report under subsection (a)— (A) believes additional information is re- quired to be submitted, he or she shall notify the individual submitting such report what additional information is required and the time by which it must be submitted; or (B) is of the opinion, on the basis of infor- mation submitted, that the individual is not in compliance with applicable laws and regu- lations, he or she shall notify the individual, afford a reasonable opportunity for a written or oral response, and after consideration of such response, reach an opinion as to wheth- er or not, on the basis of information sub- mitted, the individual is in compliance with such laws and regulations. (3) NONCOMPLIANCE AND NOTIFICATION OF STEPS TO ASSURE COMPLIANCE.—If the Director of the Office of Government Ethics, the Sec- retary concerned, the designated agency eth- Page 1349 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 13109 ics official, a person designated by a congres- sional ethics committee, or a person des- ignated by the Judicial Conference, reaches an opinion under paragraph (2)(B) that an indi- vidual is not in compliance with applicable laws and regulations, the official or com- mittee shall notify the individual of that opin- ion and, after an opportunity for personal con- sultation (if practicable), determine and notify the individual of which steps, if any, would in the opinion of such official or committee be appropriate for assuring compliance with such laws and regulations and the date by which such steps should be taken. Such steps may in- clude, as appropriate— (A) divestiture; (B) restitution; (C) the establishment of a blind trust; (D) request for an exemption under section 208(b) of title 18; or (E) voluntary request for transfer, reas- signment, limitation of duties, or resigna- tion. The use of any such steps shall be in accord- ance with such rules or regulations as the su- pervising ethics office may prescribe. (4) REFERRAL OF INDIVIDUALS IN POSITIONS REQUIRING SENATE CONFIRMATION.—If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by an individual in a posi- tion in the executive branch (other than in the Foreign Service or the uniformed services), ap- pointment to which requires the advice and consent of the Senate, the matter shall be re- ferred to the President for appropriate action. (5) REFERRAL OF MEMBER OF FOREIGN SERVICE OR UNIFORMED SERVICES.—If steps for assuring compliance with applicable laws and regula- tions are not taken by the date set under para- graph (3) by a member of the Foreign Service or the uniformed services, the Secretary con- cerned shall take appropriate action. (6) REFERRAL OF OTHER OFFICERS OR EMPLOY- EES.—If steps for assuring compliance with ap- plicable laws and regulations are not taken by the date set under paragraph (3) by any other officer or employee, the matter shall be re- ferred to the head of the appropriate agency, the congressional ethics committee, or the Ju- dicial Conference, for appropriate action, ex- cept that in the case of the Postmaster Gen- eral or Deputy Postmaster General, the Direc- tor of the Office of Government Ethics shall recommend to the Governors of the Board of Governors of the United States Postal Service the action to be taken. (7) ADVISORY OPINIONS.—Each supervising ethics office may render advisory opinions in- terpreting this subchapter within its respec- tive jurisdiction. Notwithstanding any other provision of law, the individual to whom a public advisory opinion is rendered in accord- ance with this paragraph, and any other indi- vidual covered by this subchapter who is in- volved in a fact situation which is indistin- guishable in all material aspects, and who acts in good faith in accordance with the provi- sions and findings of such advisory opinion shall not, as a result of such act, be subject to any penalty or sanction provided by this sub- chapter. (Pub. L. 117–286, § 3(c), Dec. 27, 2022, 136 Stat. 4292.) HISTORICAL AND REVISION NOTES Revised Section Source (U.S. Code) Source (Statutes at Large) 13108 .......... 5 U.S.C. App. (EGA § 106) Pub. L. 95–521, title I, § 106, Oct. 26, 1978, 92 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. § 13109. Confidential reports and other addi- tional requirements (a) IN GENERAL.— (1) AUTHORITY TO REQUIRE CONFIDENTIAL FI- NANCIAL DISCLOSURE REPORTS.—Each super- vising ethics office may require officers and employees under its jurisdiction (including special Government employees as defined in section 202 of title 18) to file confidential fi- nancial disclosure reports, in such form as the supervising ethics office may prescribe. The information required to be reported under this subsection by the officers and employees of any department or agency shall be set forth in rules or regulations prescribed by the super- vising ethics office, and may be less extensive than otherwise required by this subchapter, or more extensive when determined by the super- vising ethics office to be necessary and appro- priate in light of sections 202 through 209 of title 18, regulations promulgated under those sections, or the authorized activities of such officers or employees. Any individual required to file a report pursuant to section 13103 of this title shall not be required to file a con- fidential report pursuant to this subsection, except with respect to information which is more extensive than information otherwise re- quired by this subchapter. Subsections (a), (b), and (d) of section 13107 of this title shall not apply with respect to any such report. (2) CONFIDENTIALITY.—Any information re- quired to be provided by an individual under this subsection shall be confidential and shall not be disclosed to the public. (3) NO EXEMPTION FROM OTHER REPORTING RE- QUIREMENTS.—Nothing in this subsection ex- empts any individual otherwise covered by the requirement to file a public financial disclo- sure report under this subchapter from such requirement. (b) PREEMPTION.—The provisions of this sub- chapter requiring the reporting of information shall supersede any general requirement under any other provision of law or regulation with re- spect to the reporting of information required for purposes of preventing conflicts of interest or apparent conflicts of interest. Such provi- sions of this subchapter shall not supersede the requirements of section 7342 of this title. (c) NO AUTHORIZATION FOR ACTIVITY OTHERWISE PROHIBITED.—Nothing in this chapter requiring reporting of information shall be deemed to au- thorize the receipt of income, gifts, or reim- bursements; the holding of assets, liabilities, or positions; or the participation in transactions that are prohibited by law, Executive order, rule, or regulation.