5 U.S.C. § 13108 — Review of reports

submitted 4 years ago by Pub. L. 117-286 to r/title-5-GOVERNMENT-ORGANIZATION-AND-EMPLOYEES · 872 words · no verdicts yet

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Ethics officials must review financial disclosure reports within 60 days of filing. If a filer looks compliant, the reviewer signs off; if not, the official asks for more information or works with the filer to fix the problem, which can include steps like divesting assets or setting up a blind trust.

(a) Time for review: (1) Executive branch: Each designated agency ethics official or the relevant Secretary must make sure every report filed with them is reviewed within 60 days of filing. The Director of the Office of Government Ethics only has to review the reports that must be sent to the Director, and gets 60 days from when those are transmitted. (2) Congressional ethics committee and Judicial Conference: Each congressional ethics committee and the Judicial Conference must also make sure every report filed with them is reviewed within 60 days. (b) Results of review: (1) Compliance: If, after reviewing a report, the reviewer (the Director, the Secretary, the designated agency ethics official, or someone designated by the congressional ethics committee or Judicial Conference) believes the filer complies with the applicable laws and regulations, the reviewer states that opinion on the report and signs it. (2) Additional information required or possible noncompliance: If the reviewer, after reviewing the report, (A) believes more information is needed, they must tell the filer what is needed and by when; or (B) believes the filer may not be in compliance, they must notify the filer, give them a fair chance to respond in writing or in person, and then decide — after considering the response — whether the filer is in compliance. (3) Noncompliance and notification of steps to assure compliance: If the reviewer decides under (2)(B) that a filer is not in compliance, they must notify the filer, give them a chance to talk it over in person if practical, then decide and tell the filer what steps would fix the problem and by when. Those steps might include: (A) selling off an asset; (B) restitution; (C) setting up a blind trust; (D) requesting an exemption under 18 U.S.C. § 208(b); or (E) voluntarily transferring, being reassigned, limiting duties, or resigning. Any of these steps must follow rules set by the supervising ethics office. (4) Referral of individuals in positions requiring Senate confirmation: If a Senate-confirmed executive branch official (outside the Foreign Service and uniformed services) does not take the required steps by the deadline, the matter goes to the President for action. (5) Referral of member of Foreign Service or uniformed services: If a Foreign Service or uniformed services member does not comply by the deadline, the relevant Secretary must take appropriate action. (6) Referral of other officers or employees: If any other officer or employee does not comply by the deadline, the matter goes to the head of the relevant agency, the congressional ethics committee, or the Judicial Conference for action — except that for the Postmaster General or Deputy Postmaster General, the Director of the Office of Government Ethics recommends action to the Postal Service's Board of Governors. (7) Advisory opinions: Each supervising ethics office may issue advisory opinions interpreting this subchapter within its own jurisdiction. Anyone who gets a public advisory opinion, and anyone else covered by this subchapter whose facts genuinely match it, is protected from penalty under this subchapter if they act in good faith following that opinion.

the actual law source: uscode.house.gov ↗public domain

(a)Time for Review.—

(1)Executive branch.—

Each designated agency ethics official or Secretary concerned shall make provisions to ensure that each report 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 reports required to be transmitted to the Director of the Office of Government Ethics under this subchapter within 60 days after the date of transmittal.

(2)Congressional ethics committee and judicial conference.—

Each congressional ethics committee and the Judicial Conference shall make provisions to ensure that each report 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 report under subsection (a), the Director of the Office of Government Ethics, the Secretary concerned, the designated agency ethics official, 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 submitting such report is in compliance with applicable 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 Secretary concerned, the designated agency ethics official, a person designated by the congressional ethics committee, or a person designated by the Judicial Conference, after reviewing any report under subsection (a)—

(A)

believes additional information is required 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 information submitted, that the individual is not in compliance with applicable laws and regulations, 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 whether or not, on the basis of information submitted, 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 Secretary concerned, the designated agency ethics official, a person designated by a congressional ethics committee, or a person designated by the Judicial Conference, reaches an opinion under paragraph (2)(B) that an individual is not in compliance with applicable laws and regulations, the official or committee shall notify the individual of that opinion and, after an opportunity for personal consultation (if practicable), determine and notify the individual of which steps, if any, would in 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 include, as appropriate—

(A)

divestiture;

(B)

restitution;

(C)

the establishment of a blind trust;

(D)

request for an exemption under section 208(b) of title 18; or

(E)

voluntary request for transfer, reassignment, limitation of duties, or resignation.

The use of any such steps shall be in accordance with such rules or regulations as the supervising 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 position in the executive branch (other than in the Foreign Service or the uniformed services), appointment to which requires the advice and consent of the Senate, the matter shall be referred to the President for appropriate action.

(5)Referral of member of foreign service or uniformed services.—

If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by a member of the Foreign Service or the uniformed services, the Secretary concerned shall take appropriate action.

(6)Referral of other officers or employees.—

If steps for assuring compliance with applicable laws and regulations are not taken by the date set under paragraph (3) by any other officer or employee, the matter shall be referred to the head of the appropriate agency, the congressional ethics committee, or the Judicial Conference, for appropriate action, except that in the case of the Postmaster General or Deputy Postmaster General, the Director of the Office of Government Ethics shall recommend to the Governors of the Board of Governors of the United States Postal Service the action to be taken.

(7)Advisory opinions.—

Each supervising ethics office may render advisory opinions interpreting this subchapter within its respective jurisdiction. Notwithstanding any other provision of law, the individual to whom a public advisory opinion is rendered in accordance with this paragraph, and any other individual covered by this subchapter who is involved in a fact situation which is indistinguishable in all material aspects, and who acts in good faith in accordance with the provisions and findings of such advisory opinion shall not, as a result of such act, be subject to any penalty or sanction provided by this subchapter.

Source credit: (Pub. L. 117–286, § 3(c), Dec. 27, 2022, 136 Stat. 4292.)

history & why it existsrecord from the source credit

2022Enacted · Pub. L. 117-286 · 136 Stat. 4292

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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