Custody of and public access to reports

5 U.S.C. § 13107

• Title: 5 — Government Organization and Employees
• Chapter: SUBCHAPTER I—FINANCIAL DISCLOSURE REQUIREMENTS OF FEDERAL PERSONNEL

Text

(a) Availability of Reports to Public.—Each agency, each supervising 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 office 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 Intelligence Agency, the National Geospatial-Intelligence Agency, or the National Security Agency, or any individual engaged in intelligence 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 additional 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 chapter 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 Representatives, 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 furnish a copy of such report to any person requesting such inspection or copy. With respect to any report required to be filed by May 15 of any year, such report shall be made available for public inspection within 30 calendar days after May 15 of such 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 reproduction 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 provided under this section to any person except upon a written application by such person stating—
(A) that person's name, occupation, and address;
(B) the name and address of any other person or organization 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 available to the public.
(3) Judicial employees and officers.—
(A) In general.—This section does not require the immediate 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 Conference, 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 individual; and
(ii) for as long as the danger to such individual exists.
(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;
(iv) the nature or type of information redacted;
(v) what steps or procedures are in place to ensure that sufficient information is available to litigants to determine if there is a conflict of interest;
(vi) principles used to guide implementation of redaction authority; and
(vii) any public complaints received relating to redaction.
(D) Regulations.—The Judicial Conference, in consultation with the Department of Justice, shall issue regulations setting forth the circumstances under which redaction is appropriate under this paragraph and the procedures for redaction.
(E) Expiration of paragraph.—This paragraph shall expire on December 31, 2027, and apply to filings through calendar year 2027.
(c) Prohibited Uses of Reports.—
(1) In general.—It shall be unlawful for any person to obtain or use a report—
(A) for any unlawful purpose;
(B) for any commercial purpose, other than by news and communications media for dissemination to the general public;
(C) for determining or establishing the credit rating of any individual; or
(D) for use, directly or indirectly, in the solicitation of money for any political, charitable, or other purpose.
(2) Civil actions.—The Attorney General may bring a civil action against any person who obtains or uses a report for any purpose prohibited in paragraph (1) of this subsection. The court in which such action is brought may assess against such person a penalty in any amount not to exceed $10,000. Such remedy shall be in addition to any other remedy available under statutory or common law.
(d) Retention of Reports.—
(1) In general.—Any report filed with or transmitted to an agency or supervising ethics office or to the Clerk of the House of Representatives or the Secretary of the Senate pursuant to this subchapter shall be retained by such agency or office or by the Clerk of the House of Representatives or the Secretary of the Senate, as the case may be.
(2) Public availability.—Such report shall be made available to the public—
(A) in the case of a Member of Congress, until a date that is 6 years from the date the individual ceases to be a Member of Congress; and
(B) in the case of all other reports filed pursuant to this subchapter, for a period of 6 years after receipt of the report.
(3) Destruction of reports.—After the relevant time period identified under paragraph (2), the report shall be destroyed unless needed in an ongoing investigation, except that in the case of an individual who filed the report pursuant to section 13103(b) of this title and was not subsequently confirmed by the Senate, or who filed the report pursuant to section 13103(c) of this title and was not subsequently elected, such reports shall be destroyed 1 year after the individual either is no longer under consideration by the Senate or is no longer a candidate for nomination or election to the Office of President, Vice President, or as a Member of Congress, unless needed in an ongoing investigation or inquiry.
"(c) ONLINE PUBLICATION OF FINANCIAL DISCLOSURE REPORTS OF FEDERAL JUDGES.—
"(1) ESTABLISHMENT OF DATABASE.—Subject to paragraph (4), not later than 180 days after the date of enactment of the Courthouse Ethics and Transparency Act, the Administrative Office of the United States Courts shall establish a searchable internet database to enable public access to any report required to be filed under this title by a judicial officer, bankruptcy judge, or magistrate judge.
"(2) AVAILABILITY.—Not later than 90 days after the date on which a report is required to be filed under this title by a judicial officer, bankruptcy judge, or magistrate judge, the Administrative Office of the United States Courts shall make the report available on the database established under paragraph (1) in a full-text searchable, sortable, and downloadable format for access by the public.
"(3) REDACTION.—Any report made available on the database established under paragraph (1) shall not contain any information that is redacted in accordance with subsection (b)(3).
"(4) ADDITIONAL TIME.—
"(A) IN GENERAL.—Subject to subparagraph (B), the requirements of this subsection may be implemented after the date described in paragraph (1) if the Administrative Office of the United States Courts identifies in writing to the relevant committees of Congress the additional time needed for that implementation.
"(B) PUBLICATION REQUIREMENT.—The Administrative Office of the United States Courts shall continue to make the reports described in paragraph (1) available to the public during the period in which the Administrative Office of the United States Courts establishes the database under this subsection."

History

(Pub. L. 117–286, §3(c), Dec. 27, 2022, 136 Stat. 4289.)

Editorial Notes

Amendments Not Shown in Text
This section was derived from section 105 of the Ethics in Government Act of 1978, Pub. L. 95–521, which was set out in the former Appendix to this title, and as it existed as of Oct. 19, 2021. Section 105 of Pub. L. 95–521 was amended by Pub. L. 117–125, §2(b), (c)(2), May 13, 2022, 136 Stat. 1205, 1206, prior to being repealed and reenacted as this section by Pub. L. 117–286, §§3(c), 7, Dec. 27, 2022, 136 Stat. 4289, 4361. For applicability of those amendments to this section, see section 5(b) of Pub. L. 117–286, set out in a Transitional and Savings Provisions note preceding section 101 of this title. Section 105 of Pub. L. 95–521 was amended as follows:
(1) in subsection (a)(1), by striking "be revealing" and inserting "by revealing";
(2) in subsection (b)—
(A) in paragraph (1), in the first sentence, by striking "be,," and inserting "be," and, in the third sentence, by striking "may be may" and inserting "may be, may"; and
(B) in paragraph (3)(A), by striking "described in section 109(8) or 109(10) of this Act" and inserting "who is a judicial officer or a judicial employee"; and
(3) by redesignating subsections (c) and (d) as (d) and (e), respectively, and by inserting after subsection (b) the following:
The substitutions directed to subsections (a)(1) and (b)(1) had already been made in the text of this section as restated by Pub. L. 117–286. The reference to "section 109(8) or 109(10) of this Act" in the quoted text directed to be stricken in subsection (b)(3)(A) did not appear in the text as enacted by Pub. L. 117–286 but was changed to refer to "paragraph (9) or (10) of section 13101 of this title".
The date of enactment of the Courthouse Ethics and Transparency Act, referred to in subsection (c)(1) as set out above, is the date of enactment of Pub. L. 117–125, which was approved May 13, 2022.
In subsection (a)(1), the word "by" is substituted for "be" to correct 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 "Committee 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).

Statutory Notes and Related Subsidiaries

Change of Name
Committee on Oversight and Reform of House of Representatives changed to Committee on Oversight and Accountability of House of Representatives by House Resolution No. 5, One Hundred Eighteenth Congress, Jan. 9, 2023.

Public, Online Disclosure of Financial Disclosure Forms
Pub. L. 113–7, §1(a)(1), (2), Apr. 15, 2013, 127 Stat. 438, provided that:
"(1) In general.—Except with respect to financial disclosure forms filed by officers and employees referred to in paragraph (2), section 8(a) and section 11(a) of the STOCK Act [Pub. L. 112–105] (5 U.S.C. App. 105 note[s]) [now 5 U.S.C. 13107 notes, set out below] shall not be effective.
"(2) Exempted officers and employees.—The officer and employees referred to in paragraph (1) are the following:
"(A) The President.
"(B) The Vice President.
"(C) Any Member of Congress.
"(D) Any candidate for Congress.
"(E) Any officer occupying 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."

Public Filing and Disclosure of Financial Disclosure Forms of Members of Congress and Congressional Staff
Pub. L. 112–105, §8(a), (b), Apr. 4, 2012, 126 Stat. 295, as amended by Pub. L. 112–173, §1(1), Aug. 16, 2012, 126 Stat. 1310; Pub. L. 113–7, §1(b)(1), Apr. 15, 2013, 127 Stat. 438; Pub. L. 117–286, §4(c)(15), Dec. 27, 2022, 136 Stat. 4355, provided that:
"(a) Public, Online Disclosure of Financial Disclosure Forms of Members of Congress and Congressional Staff.—
"(1) In general.—Not later than September 30, 2012, or 90 days after the date of enactment of this Act [Apr. 4, 2012], whichever is later, the Secretary of the Senate and the Sergeant at Arms of the Senate, and the Clerk of the House of Representatives, shall ensure that financial disclosure forms filed by Members of Congress, candidates for Congress, and employees of Congress in calendar year 2012 and in subsequent years pursuant to subchapter I of chapter 131 of title 5, United States Code, are made available to the public on the respective official websites of the Senate and the House of Representatives not later than 30 days after such forms are filed.
"(2) Extensions.—Notices of extension for financial disclosure shall be made available electronically under this subsection along with its related disclosure.
"(3) Reporting transactions.—In the case of a transaction disclosure required by section 13105(l) of title 5, United States Code, such disclosure shall be filed not later than the date required by that section. Notices of extension for transaction disclosure shall be made available electronically under this subsection along with its related disclosure.
"(4) Expiration.—The requirements of this subsection shall expire upon implementation of the public disclosure system established under subsection (b).
"(b) Electronic Filing and Online Public Availability of Financial Disclosure Forms of Members of Congress.—
"(1) In general.—Subject to paragraph (6) and not later than January 1, 2014, the Secretary of the Senate and the Sergeant at Arms of the Senate and the Clerk of the House of Representatives shall develop systems to enable—
"(A) electronic filing of reports received by them pursuant to section 13105(h)(1)(A) of title 5, United States Code; and
"(B) public access to—
"(i) financial disclosure reports filed by Members of Congress and candidates for Congress,
"(ii) reports filed by Members of Congress and candidates for Congress 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 websites of the House of Representatives and the Senate.
"(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 websites of the Senate and the House of Representatives under paragraph (1)(B) shall be deemed to have met the public availability requirement.
"(4) Filers covered.—Individuals required under chapter 131 of title 5, United States Code, or the Senate Rules to file financial disclosure reports with the Secretary of the Senate or the Clerk of the House of Representatives shall be able to file reports electronically using the systems developed by the Secretary of the Senate, the Sergeant at Arms of the Senate, and the Clerk of the House of Representatives.
"(5) Extensions.—Notices of extension for financial disclosure shall be made available electronically under paragraph (1)(B) along with its related disclosure.
"(6) Additional time.—The requirements of this subsection may be implemented after the date provided in paragraph (1) if the Secretary of the Senate or the Clerk of the House of Representatives identifies in writing to relevant congressional committees the additional time needed for such implementation."
[Pub. L. 117–286, §4(c)(15), which directed amendment of section 8 of the "Stop Trading on Congressional Knowledge Act of 2012 (Public Law 112–105, 126 Stat. 295, 5 U.S.C. App. 105 note)", was executed to section 8 of Pub. L. 112–105, set out above, known as the "Representative 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 8 of Pub. L. 112–105, set out above, see section 2 of Pub. L. 112–105, set out as a note under section 13101 of this title.]

Executive Branch Reporting
Pub. L. 112–105, §11, Apr. 4, 2012, 126 Stat. 298, as amended by Pub. L. 112–173, §1(2), Aug. 16, 2012, 126 Stat. 1310; Pub. L. 113–7, §1(b)(2), Apr. 15, 2013, 127 Stat. 439; Pub. L. 117–286, §4(c)(16), Dec. 27, 2022, 136 Stat. 4355, provided that:
"(a) Executive Branch Reporting.—
"(1) In general.—Not later than September 30, 2012, or 90 days after the date of enactment of this Act [Apr. 4, 2012], whichever is later, the President shall ensure that financial disclosure forms filed pursuant to subchapter I of chapter 131 of title 5, United States Code, in calendar year 2012 and in subsequent years, by executive branch employees specified in section 13103 of title 5, United States Code, are made available to the public on the official websites of the respective executive branch agencies not later than 30 days after such forms are filed.
"(2) Extensions.—Notices of extension for financial disclosure shall be made available electronically along with the related disclosure.
"(3) Reporting transactions.—In the case of a transaction disclosure required by section 13105(l) of title 5, United States Code, such disclosure shall be filed not later than the date required by that section. Notices of extension for transaction disclosure shall be made available electronically under this subsection along with its related disclosure.
"(4) Expiration.—The requirements of this subsection shall expire upon implementation of the public disclosure system established under subsection (b).
"(b) Electronic Filing and Online Public Availability 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 section 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 occupying 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 requirement.
"(4) Filers covered.—Executive branch employees required under subchapter I of chapter 131 of title 5, United States Code, to file financial disclosure reports 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 disclosure.
"(6) Additional time.—The requirements of this subsection may be implemented after the date provided 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 congressional 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 "Representative 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 Executive Personnel Financial Disclosure Requirements in the Appendix to this title], or III [formerly set out under the heading Judicial Personnel Financial Disclosure Requirements in the Appendix to Title 28, Judiciary and Judicial Procedure] of the Ethics in Government 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] section 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."