5 U.S.C. § 13103 — Persons required to file
submitted 4 years ago by Pub. L. 117-286 to r/title-5-GOVERNMENT-ORGANIZATION-AND-EMPLOYEES · 1,547 words · no verdicts yet
This section lists who must file a financial disclosure report and when. It covers new hires in covered jobs, Senate-confirmed nominees, and federal candidates. It also covers yearly filers and people leaving their job. Subsection (f) lists the 12 covered officer and employee types, and later subsections let ethics offices grant extensions or waivers.
(a) Reports Filed Upon Entering a Filing Position — Within 30 days of starting a job as an officer or employee described in subsection (f), a person must file a report with the information section 13104(b) requires. This does not apply if the person left another covered job within the 30 days before starting the new one, or if the person already filed a report under this subchapter for this new job — either as a nominee or as a candidate.
(b) Reports for Nominees to Positions Requiring Senate Confirmation — (1) In general: Within 5 days after the President sends the Senate a nomination for a job needing Senate confirmation, the nominee must file a report with the information section 13104(b) requires. (This does not apply to nominees for Foreign Service Officer or for a uniformed-services rank of O-6 or below.) By the date of the nominee's first confirmation hearing, the nominee must update the income* and honoraria* information under section 13104(a)(1)(A), current as of 5 days before the hearing. A Senate committee can still ask a Presidential nominee for more financial information as a condition of confirmation. (2) Public announcement of intended nomination: If the President or President-elect has publicly announced plans to nominate someone, that person may file the report required by paragraph (1) any time after the announcement, but no later than paragraph (1)'s deadline.
(c) Reports for Candidates for Elected Federal Office — Within 30 days of becoming a candidate (as section 301 of the Federal Election Campaign Act of 1971 defines it) for President, Vice President, or Congress, or by May 15 of that year — whichever is later, but always at least 30 days before the election — a candidate (other than a sitting President, Vice President, or Member of Congress*) must file a report with the section 13104(b) information. The candidate must keep filing by May 15 each year the candidacy continues. But if all elections tied to that candidacy already happened in a past year, the candidate doesn't have to file again unless running for another seat or vacancy that year.
(d) Annual Reports — Anyone who is a covered officer or employee under subsection (f) and does the job for more than 60 days in a calendar year must file, by May 15 of the next year, a report with the information section 13104(a) requires.
(e) Termination Reports — Anyone who holds a covered position under subsection (f) must, within 30 days after leaving that job, file a report with the section 13104(a) information. This covers the prior calendar year, if the subsection (d) annual report wasn't already filed, plus the part of the current year worked before leaving. This does not apply if the person immediately took another covered job under subsection (f).
(f) Individuals Required To File — Subsections (a), (d), and (e) apply to: (1) the President; (2) the Vice President; (3) each executive branch* officer or employee — including a special government employee — in a position graded above GS-15, or paid at least 120% of the minimum GS-15 rate if not on the General Schedule; each uniformed-service member at pay grade O-7 or above; and anyone else the Director of the Office of Government Ethics rates as equivalent; (4) each employee appointed under section 3105 of this title; (5) any other executive-branch employee in a confidential or policymaking position excepted from the competitive service — though the Director may exclude some of these people by regulation, if doing so wouldn't hurt the government's integrity or the public's trust in it; (6) the Postmaster General, the Deputy Postmaster General, each Postal Service Governor, and each Postal Service or Postal Regulatory Commission officer or employee paid at least 120% of the minimum GS-15 rate; (7) the Director of the Office of Government Ethics and each designated agency ethics official*; (8) any other civilian Executive Office of the President employee (not a special government employee) who holds a Presidential commission; (9) a Member of Congress, as section 13101 defines it; (10) an officer or employee of Congress*, as section 13101 defines it; (11) a judicial officer*, as section 13101 defines it; and (12) a judicial employee*, as section 13101 defines it.
(g) Extensions of Time for Filing — (1) In general: The supervising ethics office for each branch can grant reasonable filing extensions, under its own procedures, but the total extension cannot exceed 90 days. (2) Armed forces: (A) Combat zone: For someone serving in, or supporting, the Armed Forces in an area the President has designated a combat zone under section 112 of the Internal Revenue Code, the filing deadline moves to 180 days after the later of (i) the last day serving in that area during the designated period, or (ii) the last day hospitalized for an injury or illness from serving there. (B) Procedures: The Office of Government Ethics, working with the Secretary of Defense, may set procedures for this.
(h) Exceptions — Subsections (a), (b), and (e) don't apply to someone the designated agency ethics official, the Secretary concerned, the Director of the Office of Government Ethics (for Presidential appointees under subsection (b)), the congressional ethics committees*, or the Judicial Conference* decides is not expected to work the job for more than 60 days in a calendar year. But if that person ends up working more than 60 days after all: (1) the subsection (a) or (b) report is due within 15 days of the 60th day; and (2) the subsection (e) report is due as that subsection provides.
(i) Request for Waiver — Each branch's supervising ethics office can grant a publicly available waiver of a reporting requirement, for someone expected to work — or who worked — the job fewer than 130 days in a calendar year, but only if the office finds: (1) the person is not a full-time government employee; (2) the person provides services the government specially needs; (3) it's unlikely the person's outside job or financial interests will create a conflict of interest; and (4) public disclosure isn't necessary given the circumstances.
Within 30 days of assuming the position of an officer or employee described in subsection (f), an individual shall file a report containing the information described in section 13104(b) of this title unless the individual has left another position described in subsection (f) within 30 days prior to assuming such new position or has already filed a report under this subchapter with respect to nomination for the new position or as a candidate for the position.
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 position as a Foreign Service Officer or a grade or rank in the uniformed 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 individual 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* received as of the date which occurs 5 days before the date of such hearing. Nothing in this chapter shall prevent any congressional committee from requesting, as a condition of confirmation, any additional financial information from any Presidential nominee whose nomination has been referred to that committee.
An individual whom the President or the President-elect has publicly 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).
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 Congress shall file a report containing the information described in section 13104(b) of this title. Notwithstanding the preceding sentence, in any calendar year in which an individual continues to be a candidate 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 another vacancy in that office or another office during that year.
Any individual who is an officer or employee described in subsection (f) during any calendar year and performs 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 succeeding year a report containing the information described in section 13104(a) of this title.
Any individual who occupies a position 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 employment in another position described in subsection (f).
The officers and employees referred to in subsections (a), (d), and (e) are—
the President;
the Vice President;
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 General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule; each member of a uniformed service whose pay grade is at or in excess of O–7 under section 201 of title 37; and each officer or employee in any other position determined by the Director of the Office of Government Ethics to be of equal classification;
each employee appointed pursuant to section 3105 of this title;
any employee not described in paragraph (3) who is in a position in the executive branch which is excepted from the competitive service by reason of being of a confidential or policymaking character, except that the Director of the Office of Government Ethics may, by regulation, exclude from the application of this paragraph any individual, or group of individuals, who are in such positions, but only in cases in which the Director determines such exclusion would not affect adversely the integrity of the Government or the public’s confidence in the integrity of the Government;
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;
the Director of the Office of Government Ethics and each designated agency ethics official*;
any civilian employee not described in paragraph (3), employed in the Executive Office of the President (other than a special Government employee) who holds a commission of appointment from the President;
a Member of Congress as defined in section 13101 of this title;
an officer or employee of the Congress as defined in section 13101 of this title;
a judicial officer* as defined in section 13101 of this title; and
a judicial employee* as defined in section 13101 of this title.
Reasonable extensions of time for filing any report may be granted under procedures prescribed by the supervising ethics office for each branch, but the total of such extensions shall not exceed 90 days.
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 purposes 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—
the last day of the individual’s service in such area during such designated period; or
the last day of the individual’s hospitalization as a result of injury received or disease contracted while serving in such area.
The Office of Government Ethics, in consultation with the Secretary of Defense, may prescribe procedures under this paragraph.
The provisions of subsections (a), (b), and (e) shall not apply to an individual who, as determined by the designated 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 duties of the office or position for more than 60 days in a calendar year—
the report required by subsections (a) and (b) shall be filed within 15 days of the 60th day; and
the report required by subsection (e) shall be filed as provided in that subsection.
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 Government;
(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 necessary in the circumstances.
Source credit: (Pub. L. 117–286, § 3(c), Dec. 27, 2022, 136 Stat. 4270.)
- 2022Enacted · Pub. L. 117-286 · 136 Stat. 4270
A history note hasn’t been published yet. The record shows enactment by Pub. L. 117-286 on 2022-12-27.
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