Title 5, United States Code, government organization and employees

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Title:
Title 5, United States Code, government organization and employees
Uniform Title:
Government organization and employees
Portion of title:
Government organization and employees
Physical Description:
v. : ; 24 cm.
Language:
English
Creator:
United States
United States -- Congress. -- House. -- Committee on Post Office and Civil Service
Publisher:
U.S. G.P.O. :
For sale by the U.S. G.P.O., Supt. of Docs.
Place of Publication:
Washington
Frequency:
annual[1994-]
irregular[ former <1969>-1980]
biennial[ former 1983-1993]
annual
regular

Subjects

Subjects / Keywords:
Civil service -- Periodicals -- United States   ( lcsh )
Genre:
federal government publication   ( marcgt )
legislation   ( marcgt )

Notes

Additional Physical Form:
Vols. for <1983-> distributed to some depository libraries in microfiche.
Statement of Responsibility:
prepared by the Committee on Post Office and Civil Service, House of Representatives.
General Note:
At head of title, <1969->: Committee print.
General Note:
Description based on: Apr. 1993.

Record Information

Source Institution:
University of Florida
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
aleph - 030534798
oclc - 28103446
lccn - sn 93027767
Classification:
lcc - KF5336.A319 A2
System ID:
AA00025284:00001

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95th Congress COMMITTEE PRINT PRINT No.
2d Session 1 95-22


TITLE


5, UNITED STATES CODE


Government Organization
and Employees




PREPARED BY THE

COMMITTEE ON


POST


OFFICE AND CIVIL SERVICE


HOUSE OF REPRESENTATIVES


DECEMBER 1978






Printed for the use of the
Committee on Post Office and Civil Service

U.S. GOVERNMENT PRINTING OFFICE


WASHINGTON : 1978


For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C. 20402


35-550 0































COMMITTEE ON POST OFFICE AND CIVIL SERVICE


ROBERT N. C. NIX, Pennsylvania, Chairman
MORRIS K. UDALL, Arizona, Vice Chairman


JAMES M. HANLEY, New York
CHARLES H. WILSON, California
RICHARD C. WHITE, Texas
WILLIAM D. FORD, Michigan
WILLIAM (BILL) CLAY, Missouri
PATRICIA SCHROEDER, Colorado
WILLIAM LEHMAN, Florida
GLADYS NOON SPELLMAN, Maryland
HERBERT E. HARRIS II, Virginia
STEPHEN J. SOLARZ, New Jersey
MICHAEL 0. MYERS, Pennsylvania
CECIL (CEC) HEFTEL, Hawaii
ROBERT GARCIA, New York


EDWARD J. DERWINSKI, Illinois
JOHN H. ROUSSELOT, California
JAMES M. COLLINS, Texas
GENE TAYLOR, Missouri
BENJAMIN A. GILMAN, New York
TRENT LOTT, Mississippi
JIM LEACH, Iowa
TOM CORCORAN, Illinois


DAVID MINTON, Executive Director and General Counsel
THEODORE J. KAZY, Minority Staff Director
ROBERT E. LOCKHART, Deputy General Counsel
J. PIERCE MYERS, Assistant General Counsel
HERMAN THOMPSON, Assistant General Counsel
JAMBS CREGAN, Assistant General Counsel

(II)














NOTE
This Committee Print No. 95-22 of title 5, United States Code, re-
lating to government organization and employees, includes amend-
ments made to that title through November 10, 1978. It replaces all
previous committee prints.
(III)




















Digitized by the Internet Archive
in 2013














http://archive.org/details/title5uniteunit

















TABLE OF CONTENTS *


PART I-THE AGENCIES GENERALLY

CHAPTER 1-ORGANIZATION
SEC.
101. Executive departments.
102. Military departments.
103. Government corporation.
104. Independent establishment.
105. Executive agency.
CHAPTER 3-POWERS
301. Departmental regulations.
302. Delegation of authority.
303. Oaths to witnesses.
304. Subpenas.
305. Systematic agency review of operations.

CHAPTER 5-ADMINISTRATIVE PROCEDURE

SUBCHAPTER I--GENERAL PROVISIONS
500. Administrative practice; general provisions.
501. Advertising practice; restrictions.
502. Administrative practice; Reserves and National Guardsmen.
503. Witness fees and allowances.

SUBCHAPTER 11-ADMINISTRATIVE PROCEDURE
551. Definitions.
552. Public information; agency rules, opinions, orders, records, and proceedings.
552a. Records about individuals.
552b. Open meetings.
553. Rule making.
554. Adjudications.
555. Ancillary matters.
556. Hearings; presiding employees; powers and duties; burden of proof;
evidence; record as basis of decision.
557. Initial decisions; conclusiveness; review by agency; submissions by par-
ties; contents of decisions; record.
558. Imposition of sanctions; determination of applications for licenses; suspen-
sion, revocation, and expiration of licenses.
559. Effect on other laws; effect of subsequent statute.

SUBCHAPTER III-ADMINISTRATIVE CONFERENCE OF THE UNITED STATES
571. Purpose.
572. Definitions.
573. Administrative Conference of the United States.
574. Powers and duties of the Conference.
575. Organization of the Conference.
576. Appropriations.
CHAPTER 7-JUDICIAL REVIEW
701. Application; definitions.
702. Right of review.
*Included for the convenience of the reader and is not part of title 5, United States Code.








Contents vi


Sec.
703. Form and venue of proceeding.
704. Actions reviewable.
705. Relief pending review.
706. Scope of review.

CHAPTER 9-EXECUTIVE REORGANIZATION
901. Purpose.
902. Definitions.
903. Reorganization plans.
904. Additional contents of reorganization plan.
905. Limitations on powers.
906. Effective date and publications of reorganization plans.
907. Effect on other laws, pending legal proceedings, and unexpended appro-
priations.
908. Rules of Senate and House of Representatives on reorganization plans.
909. Terms of resolution.
910. Introduction and reference of resolution.
911. Discharge of committee considering resolution.
912. Procedure after report or discharge of committee; debate; vote on final
disapproval.

PART II--CIVIL SERVICE FUNCTIONS AND RESPONSIBILITIES
CHAPTER 11-OFFICE OF PERSONNEL MANAGEMENT
1101. Office of Personnel Management.
1102. Director; Deputy Director; Associate Directors.
1103. Functions of the Director.
1104. Delegation of authority for personnel management.
1105. Administrative procedure.

CHAPTER 12-M.IERIT SYSTEMS PROTECTION BOARD AND SPECIAL COUNSEL
1201. Appointment of members of the Merit Systems Protection Board.
1202. Term of office; filling vacancies; removal.
1203. Chairman; Vice Chairman.
1204. Special Counsel; appointment and removal.
1205. Powers and functions of the Merit Systems Protection Board and Special
Counsel.
1206. Authority and responsibilities of the Special Counsel.
1207. Hearings and decisions on complaints filed by the Special Counsel.
1208. Stays of certain personnel actions.
1209. Information.

CHAPTER 13-SPECIAL AUTHORITY
1301. Rules.
1302. Regulations.
1303. Investigations; reports.
1304. Loyalty investigations; reports; revolving fund.
1305. Administrative law judges.
1306. Oaths to witnesses.
1307. Minutes.
1308. Annual reports.

CHAPTER 15-POLITICAL ACTIVITY OF CERTAIN STATE AND LOCAL EMPLOYEES
1501. Definitions.
1502. Influencing elections; taking part in political campaigns; prohibitions;
exceptions.
1503. Nonpartisan candidacies permitted.
1504. Investigations; notice of hearing.
1505. Hearings; adjudications; notice of determinations.
1506. Orders; withholding loans or grants; limitations.
1507. Subpenas and depositions.
1508. Judicial review.








vii Contents


PART Ill-EMPLOYEES

SUBPART A-GENERAL PROVISIONS
CHAPTER 21-DEFINITIONS
SEC.
2101. Civil service; armed forces; uniformed services.
2101a. The Senior Executive Service.
2102. The competitive service.
2103. The excepted service.
2104. Officer.
2105. Employee.
2106. Member of Congress.
2107. Congressional employee.
2108. Veteran; disabled veteran; preference eligible.
2109. Air traffic controller.

CHAPTER 23-MERIT SYSTEM PRINCIPLES
2301. Merit system principles.
2302. Prohibited personnel practices.
2303. Prohibited personnel practices in the Federal Bureau of Investigation.
2304. Responsibility of the General Accounting Office.
2305. Coordination with certain other provisions of law.

CHAPTER 29-COMMISSIONS, OATHS, RECORDS, AND REPORTS
SUBCHAPTER I-COMMISSIONS, OATHS, AND RECORDS
2901. Commission of an officer.
2902. Commission; where recorded.
2903. Oath; authority to administer.
2904. Oath; administered without fees.
2905. Oath; renewal.
2906. Oath; custody.
SUBCHAPTER II-REPORTS
2951. Reports to the Office of Personnel Management.
2952. Time of making annual reports.
2953. Reports to Congress on additional employee requirements.
2954. Information to committees of Congress on request.

SUBPART B-EMPLOYMENT AND RETENTION

CHAPTER 31-AUTHORITY FOR EMPLOYMENT

SUBCHAPTER I-EMPLOYMENT AUTHORITIES
3101. General authority to employ.
3102. Employment of reading assistants for blind employees and interpreting
assistants for deaf employees.
3103. Employment at seat of Government only for services rendered.
3104. Employment of specially qualified scientific and professional personnel.
3105. Appointment of administrative law judges.
3106. Employment of attorneys; restrictions.
3107. Employment of publicity experts; restrictions.
3108. Employment of detective agencies; restrictions.
3109. Employment of experts and consultants; temporary or intermittent.
3110. Employment of relatives; restrictions.
3111. Acceptance of volunteer service.
3112. Disabled veterans; noncompetitive appointment.

SUBCHAPTER II--THE SENIOR EXECUTIVE SERVICE
3131. The Senior Executive Service.
3132. Definitions and exclusions.
3133. Authorization of positions; authority for appointment.
3134. Limitations on noncareer and limited appointments.
3135. Biennial report.
3136. Regulations.











CHAPTER 33-EXAMINATION, SELECTION, AND PLACEMENT

SUBCHAPTER I-EXAMINATION, CERTIFICATION, AND APPOINTMENT
SEC.
3301. Civil service; generally.
3302. Competitive service; rules.
3303. Competitive service; recommendations of Senators or Representatives.
3304. Competitive service; examinations.
3304a. Competitive service; career appointment after 3 years' temporary service.
3305. Competitive service; examinations; when held.
3306. [Repealed.]
3307. Competitive service; maximum-age entrance requirements; exceptions.
3308. Competitive service; examinations; educational requirements prohibited;
exceptions.
3309. Preference eligibles; examinations; additional points for.
3310. Preference eligibles; examinations; guards, elevator operators, messen-
gers, and custodians.
3311. Preference eligibles; examinations; crediting experience.
3312. Preference eligibles; physical qualifications; waiver.
3313. Competitive service; registers of eligibles.
3314. Registers; preference eligibles who redesigned.
3315. Registers; preference eligibles furloughed or separated.
3315a. [Repealed.]
3316. Preference eligibles; reinstatement.
3317. Competitive service; certification from registers.
3318. Competitive service; selection from certificates.
3319. [Repealed.]
3320. Excepted service; government of the District of Columbia; selection.
3321. Competitive service; probationary period.
3.322. [Repealed.]
3323. Automatic separations; reappointment; reemployment of annuitants.
3324. Appointments at GS-16. 17, and 18.
3325. Appointments to scientific and professional positions.
3326. Appointments of retired members of the armed forces to positions in the
Department of Defense.
3327. Civil service employment information.

SUBCHAPTE II--OATH OF OFFICE
3331. Oath of office.
3332. Officer affidavit; no consideration paid for appointment.
333.. Employee affidavit; loyalty and striking against the Government.

SUBCHAPTER I -DETAILS
3341. Details; within Executive or military departments.
3342. [Repealed.]
.343. Details; to international organizations.
3344. Details; administrative law judges.
3345. Details; to office of head of Executive or military department.
3346. Details; to subordinate offices.
3347. Details; Presidential authority.
3348. Details; limited in time.
3349. Details; to fill vacancies; restrictions.

SUBCHAPTER IV-TRANSFERS
3351. Preference eligibles; transfer; physical qualifications; waiver.

SUBOHAPTE V-PROMOTION
3361. Promotion; competitive service; examination.
3:62. Promotion ; effect of incentive award.
3:33. Preference eligil)les; promotion; physical qualifications; waiver.
33(4. [Repealed.]


Contents


viii









Contents


SUBCHAPTER VI-ASSIGNMENTS TO AND FROM STATES
SEC.
3371. Definitions.
3372. General provisions.
3373. Assignments of employees to State or local governments.
3374. Assignments of employees from State or local governments.
3375. Travel expenses.
3376. Regulations.

SUBCHAPTER VII-AIR TRAFFIC CONTROLLERS

3381. Training.
3382. Involuntary separation for retirement.
3383. Determinations; review procedures.
3384. Regulations.
3385. Effect on other authority.

SUBCHAPTER VIII-APPOINTMENT, REASSIGNMENT, TRANSFER, AND DEVELOPMENT IN
THE SENIOR EXECUTIVE SERVICE

3391. Definitions.
3392. General appointment provisions.
3393. Career appointments.
3394. Noncareer and limited appointments.
3395. Reassignment and transfer within the Senior Executive Service.
3396. Development for and within the Senior Executive Service.
3397. Regulations.

CHAPTER 34-PART-TIME CAREER EMPLOYMENT OPPORTUNITIES
3401. Definitions.
3402. Establishment of part-time career employment programs.
3403. Limitations.
3404. Personnel ceilings.
3405. Nonapplicability.
3406. Regulations.
3407. Reports.
3408. Employee organization representation.

CHAPTER 35-RETENTION PREFERENCE, RESTORATION, AND REEMPLOYMENT

SUBCHAPTER I-RETENTION PREFERENCE
3501. Definitions; application.
3502. Order of retention.
3503. Transfer of functions.
3504. Preference eligibles; retention; physical qualifications; waiver.

SUBCHAPTER II-RESTORATION AFTER ACTIVE DUTY OR TRAINING DUTY
355 1. Restoration; Reserves and National Guardsmen.

SUBCHAPTER III-REINSTATEMENT OF RESTORATION AFTER SUSPENSION OR REMOVAL
FOR NATIONAL SECURITY
3571. Reinstatement or restoration; individuals suspended or removed for
national security.

SUBCHAPTER IV-REEMPLOYMENT AFTER SERVICE WITH AN INTERNATIONAL
ORGANIZATION
3581. Definitions.
3582. Rights of transferring employees.
3583. Computations.
3584. Regulations.







Contents x


SUBCHAPTER V-REMOVAL, REINSTATEMENT, AND GUARANTEED PLACEMENT IN THE
SENIOR EXECUTIVE SERVICE
SEC.
3591. Definitions.
3592. Removal from the Senior Executive Service.
3593. Reinstatement in the Senior Executive Service.
3594. Guaranteed placement in other personnel systems.
3595. Regulations.

SUBPART C-EMPLOYEE PERFORMANCE

C CHAPTER 41-TRAINING
4101. Definitions.
4102. Exceptions; Presidential authority.
4103. Establishment of training programs.
4104. Government facilities; use of.
4105. Non-Government facilities; use of.
4106. Non-Government facilities; amount of training limited.
4107. Non-Government facilities; restrictions.
4108. Employee agreements; service after training.
4109. Expenses of training.
4110. Expenses of attendance at meetings.
4111. Acceptance of contributions, awards, and other payments.
4112. Absorption of costs within funds available.
4113. Agency review of training needs; annual program reports.
4114. Non-Government facilities; review of training programs.
4115. Collection of training information.
4116. Training program assistance.
4117. Administration.
4118. Regulations.

CHAPTER 43-PERFORMANCE APPRAISAL

SUBCHAPTER I-GENERAL PROVISIONS
4301. Definitions.
4302. Establishment of performance appraisal systems.
4303. Actions based on unacceptable performance.
4304. Responsibilities of Office of Personnel Management.
4305. Regulations.

SUBCHAPTER II-PERFORMANCE APPRAISAL IN THE SENIOR EXECUTIVE SERVICE
4311. Definitions.
4312. Senior Executive Service performance appraisal systems.
4313. Criteria for performance appraisals.
4314. Ratings for performance appraisals.
4315. Regulations.

CHAPTER 45-INCENTIVE AWARDS
4501. Definitions.
4502. General provisions.
4503. Agency awards.
4504. Presidential awards.
4505. Awards to former employees.
4506. Regulations.
4507. Awarding of ranks in the Senior Executive Service.

CHAPTER 47-PERSONNEL RESEARCH PROGRAMS AND DEMONSTRATION PROJECTS
4701. Definitions.
4702. Research programs.
4703. Demonstration projects.
4704. Allocation of funds.
4705. Reports.
4706. Regulations.







Contents


SUBPART D-PAY AND ALLOWANCES

CHAPTER 51-CLASSIFICATION
SEC.
5101. Purpose.
5102. Definitions; application.
5103. Determination of applicability.
5104. Basis for grading positions.
5105. Standards for classification of positions.
5106. Basis for classifying positions.
5107. Classification of positions.
5108. Classification of positions at GS-16,17, and 18.
5109. Positions classified by statute.
5110. Review of classification of positions.
5111. Revocation and restoration of authority to classify positions.
5112. General authority of the Office of Personnel Management.
5113. Classification records.
5114. Reports; positions in GS-16,17, and 18.
5115. Regulations.

CHAPTER 53-PAY RATES AND SYSTEMS

SUBCHAPTER I-PAY COMPARABILITY SYSTEM
5301. Policy.
5302. [Repealed.]
5303. Higher minimum rates; Presidential authority.
5304. Presidential policies and regulations.
5305. Annual pay reports and adjustments.
5306. Advisory Committee on Federal Pay.
5307. Pay fixed by administrative action.
5308. Pay limitation.

SUBCHAPTER II-EXECUTIVE SCHEDULE PAY RATES
5311. The Executive Schedule.
5312. Positions at level I.
5313. Positions at level II.
5314. Positions at level III.
5315. Positions at level IV.
5316. Positions at level V.
5317. Presidential authority to place positions at levels IV and V.
5318. Adjustments in rates of pay.

SUBCHAPTER III--GENERAL SCHEDULE PAY RATES
5331. Definitions; application.
5332. The General Schedule.
5333. Minimum rate for new appointments; higher rates for supervisors of
wage-board employees.
5334. Rate on change of position or type of appointment; regulations.
5335. Periodic step-increases.
5336. Additional step-increases.
5337. [Repealed.]
5338. Regulations.

SUBCHAPTER IV-PREVAILING RATE SYSTEMS
5341. Policy.
5342. Definitions; application.
5343. Prevailing rate determinations; wage schedules; night differentials.
5344. Effective date of wage increase; retroactive pay.
5345. [Repealed.]
5346. Job grading system.
5347. Federal Prevailing Rate Advisory Committee.
5348. Crews of vessels.
5349. Prevailing rate employees; legislative, judicial, Bureau of Engraving and
Printing, and Government of the District of Columbia.










SUBCHAPTER V-STUDENT-EMPLOYEES
SEC.
5351. Definitions.
5352. Stipends.
5353. Quarters, subsistence, and laundry.
5354. Effect of detail or affiliations; travel expenses.
5355. Effect on other statutes.
5356. Appropriations.

SUBCHAPTER VI---GRADE AND PAY RETENTION
5361. Definitions.
5362. Grade retention following a change of positions or reclassification.
5363. Pay retention.
5364. Remedial actions.
5365. Regulations.
5366. Appeals.

SUBCHAPTER VII-MISCELLANEOUS PROVISIONS
5371. Scientific and professional positions.
5372. Administrative law judges.
5373. Limitation on pay fixed by administrative action.
5374. Miscellaneous positions in the executive branch.
5375. Police force of National Zoological Park.

SUBCHAPTER VIII-PAY FOR THE SENIOR EXECUTIVE SERVICE
5381. Definitions.
5382. Establishment and adjustment of rates of pay for the Senior Executive
Service.
5383. Setting individual senior executive pay.
5384. Performance awards in the Senior Executive Service.
5385. Regulations.

CHAPTER 54-MERIT PAY AND CASH AWARDS
5401. Purpose.
5402. Merit pay system.
5403. Cash award program.
5404. Report.
5405. Regulations.

CHAPTER 55-PAY ADMINISTRATION
SUBCHAPTER I-GENERAL PROVISIONS
5501. Disposition of money accruing from lapsed salaries or unused appropria-
tions for salaries.
5502. Unauthorized office; prohibition on use of funds.
5503. Recess appointments.
5504. Biweekly pay periods; computation of pay.
5505. Monthly pay periods; computation of pay.
5506. Computation of extra pay based on standard or daylight saving time.
5507. Officer affidavit; condition to pay
5508. Officer entitled to leave; effect on pay status.
5509. Appropriations.

SUBCHAPTER I-WITHHOLDING PAY
5511. Withholding pay; employees removed for cause.
5512. Withholding pay; individuals in arrears.
5513. Withholding pay; credit disallowed or charge raised for payment.
5514. Installment deduction for indebtedness because of erroneous payment.
5515. Crediting amounts received for jury or witness service.
5516. Wiithholding District of Columbia income taxes.
5517. Withholding State income taxes.
5518. Deductions for State retirement systems; National Guard employees.
5519. Crediting amounts received for certain Reserve or National Guard service.
5520. Wiithholding of city 6k county income or employment taxes.


Contents


oo
XII











SUBCHAPTER III-ADVANCEMENT, ALLOTMENT, AND ASSIGNMENT OF PAY
SEC.
5521. Definitions.
5522. Advance payments; rates; amounts recoverable.
5523. Duration of payments; rates; active service period.
5524. Review of accounts.
5525. Allotment and assignment of pay.
5526. Funds available on reimbursable basis.
5527. Regulations.

SUBCHAPTER IV-DUAL PAY AND DUAL EMPLOYMENT
5531. Definitions.
5532. Employment of retired members of the uniformed service; reduction in
retired or retainer pay.".
5533. Dual pay from more than one position; limitations; exceptions.
5534. Dual employment and pay of Reserves and National Guardsmen.
5534a. Dual employment and pay during terminal leave from uniformed services.
5535. Extra pay for details prohibited.
5536. Extra pay for extra services prohibited.
5537. Fees for jury and witness service.

SUBCHAPTER V-PREMIUM PAY
5541. Definitions.
5542. Overtime rates; computation.
5543. Compensatory time off.
5544. Wage-board overtime and Sunday rates; computation.
5545. Night, standby, irregular, and hazardous duty differential.
e 5546. Pay for Sunday and holiday work.
5547. Limitation on premium pay.
5548. Regulations.
5549. Effect on other statutes.
5550. Pay for Sunday and overtime work; employees of nonappropriated fund
instrumentalities.
5550a. Compensatory time off for religious observances.

SUBCHAPTER VI-PAYMENT FOR ACCUMULATED AND ACCRUED LEAVE
5551. Lump-sum payment for accumulated and accrued leave on separation.
5552. Lump-sum payment for accumulated and accrued leave on entering active
duty; election.
SUBCHAPTER VII-PAYMENTS TO MISSING EMPLOYEES
5561. Definitions.
5562. Pay and allowances; continuance while in a missing status; limitations.
5563. Allotments; continuance, suspension, initiation, resumption, or increase
while in a missing status; limitations.
5564. Travel and transportation; dependents; household and personal effects;
motor vehicles; sale of bulky items; claims for proceeds; appropriation
chargeable.
5565. Agency review.
5566. Agency determinations.
5567. Settlement of accounts.
5568. Income tax deferment.
SUBCHAPTER VIII-SETTLEMENT OF ACCOUNTS
5581. Definitions.
5582. Designation of beneficiary; order of precedence.
5583. Payment of money due; settlement of accounts.
5584. Claims for overpayment of pay and allowances, other than travel and
transportation expenses and allowances and relocation expenses.

SUBCHAPTER IX-SEVERANCE PAY AND BACK PAY
5591-
S5594. [Repealed.]
5595. Severance pay.
5596. Back pay due to unjustified personnel action.


Contents


***
XIII











CHAPTER 57-TRAVEL, TRANSPORTATION, AND SUBSISTENCE

SUBCHAPTER I---TRAVEL AND SUBSISTENCE EXPENSES; MILEAGE ALLOWANCES
SEC.
5701. Definitions.
5702. Per diem; employee -traveling on official business.
5703. Per diem, travel, and transportation expenses; experts and consultants;
individuals serving without pay.
5704. Mileage and related allowances.
5705. Advancements and deductions.
5706. Allowable travel expenses.
5707. Regulations and reports.
5708. Effect on other statutes.
5709. Air evacuation patients: furnished subsistence.

SUBCHAPTEB H-TRAVEL AND TRANSPORTATION EXPENSES; NEW APPOINTEES,
STUDENT TRAINEES, AND TRANSFERRED EMPLOYEES
5721. Definitions.
5722. Travel and transportaiton expenses of new appointees; posts of duty out-
side the continental United States.
5723. Travel and transportation expenses of new appointees and student train-
ees; manpower shortage positions.
5724. Travel and transportation expenses of employees transferred; advance-
ment of funds; reimbursement on commuted basis.
5724a. Relocation expenses of employees transferred or reemployed.
5725. Transportation expenses; employees assigned to danger areas.
5726. Storage expenses; household goods and personal effects.
5727. Transportation of motor vehicles.
5728. Travel and transportation expenses; vacation leave.
5729. Transportation expenses; prior return of family.
5730. Funds available.
5731. Expenses limited to lowest first-class rate.
5732. General average contribution; payment of reimbursement.
5733. Expeditious travel.

SUBCHAPTER 111I-TRANSPORTATION OF REMAINS, DEPENDENTS, AND EFFECTS
5741. General prohibition.
5742. Transportation of remains, dependents, and effects; death occurring away
from official station or abroad.

SUBCHAPTER IV-MISCELLANEOUS PROVISIONS
5751. Travel expenses of witnesses.
5752. Travel expenses of Senior Executive Service candidates.

CHAPTER 59-ALLOWANCES

SUBCHAPTER I-UNIFORMS
5901. Uniform allowances.
5902. Increase in maximum uniform allowance.
5903. Regulations.
SUBCHAPTER II-QUARTERS
5911. Quarters and facilities; employees in the United States.
5912. Quarters in Government owned or rented buildings; employees in foreign
countries.
5913. Official residence expenses.

SUBCHAPTER III---OVERSEAS DIFFERENTIALS AND ALLOWANCES
5921. Definitions.
5922. General provisions.
5923. Quarters allowances.
5924. Cost-of-living allowances.
5925. Post differentials.
5926. Compensatory time off at certain posts in foreign areas.


XAV


Contents







Contents


SUBCHAPTER IV-MISCELLANEOUS ALLOWANCES
SEC.
5941. Allowances based on living costs and conditions of environment; em-
ployees stationed outside continental United States or in Alaska.
5942. Allowance based on duty at remote worksites.
5943. Foreign currency appreciation allowances.
5944. Illness and burial expenses; native employees in foreign countries.
5945. Notary public commission expenses.
5946. Membership fees; expenses of attendance at meetings; limitations.
5947. Quarters, subsistence, and allowances for employees of the Corps of Engi-
neers, Department of the Army, engaged in floating plant operations.
5948. Physicians comparability allowances.

SUBPART E-ATTENDANCE AND LEAVE

CHAPTER 61-HouRs OF WORK


6101.
6102.
6103.
6104.
6105.
6106.


Basic 40-hour workweek; work schedules; regulations.
[Repealed.]
Holidays.
Holidays; daily, hourly, and piece-work basis employees.
Closing of Executive departments.
Time clocks; restrictions.


CHAPTER 63-LEAVE

SUBCHAPTER I-ANNUAL AND SICK LEAVE


6301.
6302.
6303.
6304.
6305.
6306.
6307.
6308.
6309.
6310.
6311.
6312.


Definitions.
General provisions.
Annual leave; accrual.
Annual leave; accumulation.
Home leave; leave for Chiefs of Missions; leave for crews of vessels.
Annual leave; refund of lump-sum payment; recredit of annual leave.
Sick leave; accrual and accumulation.
Transfers between positions under different leave systems.
[Repealed.]
Leave of absence; aliens.
Regulations.
Accrual and accumulation for former ASCS county office employees.


SUBCHAPTER II-OTHER PAID LEAVE


6321. Absence of veterans to attend funeral services.
6322. Leave for jury or witness service; official duty status for certain witness
service.
6323. Military leave; Reserves and National Guardsmen.
6324. Absence of certain police and firemen.
6325. Absence resulting from hostile action abroad.
6326. Absence in connection with funerals of immediate relatives in the Armed
Forces.

SUBPART F-LABOR-MANAGEMENT AND EMPLOYEE RELATIONS

CHAPTER 71-LABOR-MANAGEMENT RELATIONS

SUBCHAPTER I-GENERAL PROVISIONS


7101.
7102.
7103.
7104.
7105.
7106.


Findings and purpose.
Employees' rights.
Definitions; application.
Federal Labor Relations Authority.
Powers and duties of the Authority.
Management rights.










SUBCHAPTER II-RIGHTS AND DUTIES OF AGENCIES AND LABOR ORGANIZATIONS
SEC.
7111. Exclusive recognition of labor organizations.
7112. Determination of appropriate units for labor organization representation.
7113. National consultation rights.
7114. Representation rights and duties.
7115. Allotments to representatives.
7116. Unfair labor practices.
7117. Duty to bargain in good faith; compelling need; duty to consult.
7118. Prevention of unfair labor practices.
7119. Negotiation impasses; Federal Service Impasses Panel.
7120. Standards of conduct for labor organizations.

SUBCHAPTER III-GRIEVANCES, APPEALS, AND REVIEW
7121. Grievance procedures.
7122. Exceptions to arbitral awards.
7123. Judicial review; enforcement.

SUBCHAPTER IV-ADMINISTRATIVE AND OTHER PROVISIONS
7131. Official time.
7132. Subpenas.
7133. Compilation and publication of data.
7134. Regulations.
7135. Continuation of existing laws, recognition, agreements, and procedures.

CHAPTER 72-ANTIDISCRIMINATION; RIGHT TO PETITION CONGRESS

SUBCHAPTER I-ANTIDISCRIMINATION IN EMPLOYMENT
7201. Antidiscrimination policy; minority recruitment program.
7202. Marital status.
7203. Handicapping condition.
7204. Other prohibitions.

SUBCHAPTER II-EMPLOYEES' RIGHT TO PETITION CONGRESS
7211. Employees' right to petition Congress.

CHAPTER 73-SUITABILITY, SECURITY, AND CONDUCT

SUBCHAPTER I-REGULATION OF CONDUCT
7301. Presidential regulations.
SUBCHAPTER II--EMPLOYMENT LIMITATIONS
7311. Loyalty and striking.
7312. Employment and clearance; individuals removed for national security.
7313. Riots and civil disorders.

SUBCHAPTER II-POLITICAL ACTIVITIES
7321. Political contributions and services.
7322. Political use of authority or influence; prohibition.
7323. Political contributions; prohibition.
7324. Influencing elections; taking part in political campaigns; prohibitions;
exceptions.
7325. Penalties.
7326. Nonpartisan political activity permitted.
7327. Political activity permitted; employees residing in certain municipalities.

SUBCHAPTER IV-FOREIGN GIFTS AND DECORATIONS
7341. [Repealed.]
7342. Receipt and disposition of foreign gifts and decorations.


Contents


xvi













I


8101.
8102.
8103.
8104.
8105.
8106.
8107.
8108.
8109.
8110.
1 8111.


Definitions.
Compensation for disability or death of employee.
Medical services and initial medical and other benefits.
Vocational rehabilitation.
Total disability.
Partial disability.
Compensation schedule.
Reduction of compensation for subsequent injury to same member.
Beneficiaries of awards unpaid at death; order of precedence.
Augmented compensation for dependents.
Additional compensation for services of attendants or vocational rehabili-
tation.


35-550 0 79 2


xvii


Contents


SUBCHAPTER V-MISCONDUCT
SEC.
7351. Gifts to superiors.
7352. Excessive and habitual use of intoxicants.

CHAPTER 75-ADVERSE ACTIONS
SUBCHAPTER I-SUSPENSION OF 14 DAYS OR LESS
7501. Definitions.
7502. Actions covered.
7503. Cause and procedure.
7504. Regulations.

SUBCHAPTER II--REMOVAL, SUSPENSION FOR MORE THAN 14 DAYS, REDUCTION IN
GRADE OR PAY, OR FURLOUGH FOR 30 DAYS OR LESS
7511. Definitions; application.
7512. Actions covered.
7513. Cause and procedure.
7514. Regulations.

SUBCHAPTER III-ADMINISTRATIVE LAW JUDGES
7521. Actions against administrative law judges.

SUBCHAPTER IV-NATIONAL SECURITY
7531. Definitions.
7532. Suspension and removal.
7533. Effect on other statutes.

SUBCHAPTER V-SENIOR EXECUTIVE SERVICE
7541. Definitions.
7542. Actions covered.
7543. Cause and procedure.

CHAPTER 77-APPEALS
7701. Appellate procedures.
7702. Actions involving discrimination.
7703. Judicial review of decisions of the Merit Systems Protection Board.

CHAPTER 79-SERVICES TO EMPLOYEES

7901. Health service programs.
7902. Safety programs.
7903. Protective clothing and equipment.

SUBPART G-INSURANCE AND ANNUITIES

CHAPTER 81-COMPENSATION FOR WORK INJURIES

SUBCHAPTER I-GENERALLY


I
I







Contents


XVIII
XVlll


SEC.
8112. Maximum and minimum monthly payments.
8113. Increase or decrease of basic compensation.
8114. Computation of pay.
8115. Determination of wage-earning capacity.
8116. Limitations on right to receive compensation.
8117. Time of accrual of right.
8118. Continuation of pay; election to use annual or sick leave.
8119. Notice of injury or death.
8120. Report of injury.
8121. Claim.
8122. Time for making claim.
8123. Physical examinations.
8124. Findings and award; hearings.
8125. Misbehavior at proceedings.
8126. Subpenas; oaths; examination of witnesses.
8127. Representation; attorneys' fees.
8128. Review of award.
8129. Recovery of overpayments.
8130. Assignment of claim.
8131. Subrogation of the United States.
8132. Adjustment after recovery from a third person.
8133. Compensation in case of death.
8134. Funeral expenses; transportation of body.
8135. Lump-sum payment.
8136. Initial payments outside the United States.
8137. Compensation for noncitizens and nonresidents.
8138. Minimum limit modification for noncitizens and aliens.
8139. Employees of the District of Columbia.
8140. Members of the Reserve Officers' Training Corps.
8141. Civil Air Patrol volunteers.
8142. Peace Corps volunteers.
8143. Job Corps enrollees; volunteers in service to America.
8143a. Members of the National Teacher Corps.
8144. Student-employees.
8145. Administration.
8146. Administration for the Canal Zone and The Alaska Railroad.
8146a. Cost-of-living adjustment of compensation.
8147. Employees' Compensation Fund.
8148. [Repealed.]
8149. Regulations.
8150. Effect on other statutes.
8151. Civil Service retention rights.

SUBCHAPTER II-EMPLOYEES OF NONAPPROPRIATED FUND INSTRUMENTALITIES
8171. Compensation for work injuries; generally.
8172. Employees not citizens or residents of the United States.
8173. Liability under this subchapter exclusive.

SUBCHAPTER III-LAW ENFORCEMENT OFFICERS NOT EMPLOYED BY THE UNITED STATES
8191. Detention of eligibility.
8192. Benefits.
8193. Administration.

CHAPTER 83-RETIREMENT

SUBCHAPTER I-GENERAL PROVISIONS
8301. Uniform retirement date.

SUBCHAPTER II-FORFEITURE OF ANNUITIES AND RETIRED PAY
8311. Definitions
8312. Conviction of certain offenses.
8313. Absence from the United States to avoid prosecution.










SEC.
8314. Refusal to testify.
8315. Falsifying employment applications.
8316. Refund of contributions and deposits.
8317. Repayment of annuity or retired pay properly paid; waiver.
8318. Restoration of annuity or retired pay.
8319. Removal of members of the uniformed services from rolls; restoration;
reappointment.
8320. Offense or violation committed in compliance with orders.
8321. Liability of accountable employees.
8322. Effect on other statutes.

SUBCHAPTER III--CIVIL SERVICE RETIREMENT
8331. Definitions.
8332. Creditable service.
8333. Eligibility for annuity.
8334. Deductions, contributions, and deposits.
8335. Mandatory separation.
8336. Immediate retirement.
8337. Disability retirement.
8338. Deferred retirement
8339. Computation of annuity.
8340. Cost-of-living adjustment of annuities.
8341. Survivor annuities.
8342. Lump-sum benefits; designation of beneficiary; order of precedence.
8343. Additional annuities; voluntary contributions.
8344. Annuities and pay on reemployment.
8345. Payment of benefits; commencement, termination, and waiver of annuity.
8346. Exemption from legal process; recovery of payments.
8347. Administration; regulations.
8348. Civil Service Retirement and Disability Fund.

CHAPTER 85-UNEMPLOYMENT COMPENSATION

SUBCHAPTER I-EMPLOYEES GENERALLY
8501. Definitions.
8502. Compensation under State agreement.
8503. Compensation absent State agreement.
8504. Assignment of Federal service and wages.
8505. Payments to States.
8506. Dissemination of information.
8507. False statements and misrepresentations.
8508. Regulations.
SUBCHAPTER II-EX-SERVICEMEN
8521. Definitions; application.
8522. Assignment of Federal service and wages.
8523. Dissemination of information.
8524. [Repealed.]
8525. Effect on other statutes.

CHAPTER 87-LIFE INSURANCE
8701. Definition.
8702. Automatic coverage.
8703. Benefit certificate.
8704. Group insurance; amounts.
8705. Death claims; order of precedence; escheat.
8706. Termination of insurance.
8707. Employee deductions; withholding.
8708. Government contributions.
8709. Insurance policies.
8710. Reinsurance.
8711. Basic tables of premium rates.


Contents


XIX









Contents xx


SEC.
8712. Annual accounting; special contingency reserve.
8713. Advisory committee.
8714. Employees' Life Insurance Fund.
8714a. Optional insurance.
8715. Jurisdiction of courts.
8716. Regulations.
CHAPTER 89-HEALTH INSURANCE
8901. Definitions.
8902. Contracting authority.
8903. Health benefits plan&
8904. Types of benefits.
8905. Election of coverage.
8906. Contributions.
8907. Information to employees.
8908. Coverage of restored employees and survivor annuitants.
8909. Employees Health Benefits Fund.
8910. Studies, reports and audits.
8911. Advisory committee.
8912. Jurisdiction of courts.
8913. Regulations.


Contents


XX
























TITLE 5, UNITED STATES CODE

Government Organization and Employees



(1)






































































































































4













PART I-THE AGENCIES GENERALLY

CHAPTER SEC.
1-Organization -----------------------------------101
3-Powers ---------------------------------------301
5-Administrative Procedure------------------------ 501
7-Judicial Review------------------------------- 701
9-Executive Reorganization------------------------- 901
(8)







I
U









I
I
I
I
I
I
I















I
1!
I












k (







I..






Sec. 101


CHAPTER 1-ORGANIZATION
SEC.
101. Executive departments.
102. Military departments.
103. Government corporation.
104. Independent establishment.
105. Executive agency.
101. Executive departments
The Executive departments are:
The Department of State.
The Department of the Treasury.
The Department of Defense.
The Department of Justice.
The Department of the Interior.
The Department of Agriculture.
The Department of Commerce.
The Department of Labor.
The Department of Health, Education, and Welfare.
The Department of Housing and Urban Development.
The Department of Transportation.
The Department of Energy.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 378, amended Pub. L. 89-670,
10(b), Oct. 15,1966, 80 Stat. 948; Pub. L. 91-375, 6(c) (1), Aug. 12
1970, 84 Stat. 775; Pub. L. 95-91, Aug. 4,1977, 91 Stat. 609.)
102. Military departments
The military departments are:
The Department of the Army.
The Department of the Navy.
The Department of the Air Force.
(Pub. L. 89-554, Sept. 6,1966,80 Stat. 378.)
103. Government corporation
For the purpose of this title-
(1) "Government corporation" means a corporation owned or
controlled by the Government of the United States; and
(2) "Government controlled corporation" does not include a
corporation owned by the Government of the United States.
(Pub. L. 89-554, Sept. 6,1966,80 Stat. 378.)
104. Independent establishment
For the purpose of this title, "independent establishment" means-
(1) an establishment in the executive branch (other than the
United States Postal Service or the Postal Rate Commission)
which is not an Executive department, military department. Gov-
ernment corporation, or part thereof, or part of an independent
establishment; and







Sec. 105 6

(2) The General Accounting Office.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 379, amended Pub. L. 91-375,
6(c) (2), Aug. 12, 1970,84 Stat. 775.)
105. Executive agency
For the purpose of this title, "Executive agency" means an Execu-
tive department, a Government corporation, and an independent es-
tablishment. (Pub. L. 89-554, Sept. 6,1966, 80 Stat. 379.)


Eu




I


Sec. 301


CHAPTER 3-POWERS
SEC.
301. Departmental regulations.
302. Delegation of authority.
303. Oaths to witnesses.
304. Subpenas.
305. Systematic agency review of operations.
301. Departmental regulations
The head of an Executive department or military department may
prescribe regulations for the government of his department, the con-
duct of its employees, the distribution and performance of its busi-
ness, and the custody, use, and preservation of its records, papers,
and property. This section does not authorize withholding informa-
tion from the public or limiting the availability of records to the
public. (Pub. L. 89-554, Sept. 6, 1966,80 Stat. 379.)
302. Delegation of authority
(a) For the purpose of this section, "agency" has the meaning
given it by section 5721 of this title.
(b) In addition to the authority to delegate, conferred by other
law, the head of an agency may delegate to subordinate officials the
authority vested in him-
(1) by law to take final action on matters pertaining to the
employment, direction, and general administration of personnel
under his agency; and
(2) by section 3702 of title 44 to authorize the publication of
advertisements, notices, or proposals.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 379, amended Pub. L. 94-183,
2(1), Dec. 31, 1975, 89 Stat. 1057.)
303. Oaths to witnesses
(a) An employee of an Executive department lawfully assigned to
investigate frauds on or attempts to defraud the United States, or
irregularity or misconduct of an employee or agent of the United
States, may administer an oath to a witness attending to testify or
depose in the course of the investigation.
(b) An employee of the Department of Defense lawfully assigned
to investigative duties may administer oaths to witnesses in connec-
tion with an official investigation. (Pub. L. 89-554, Sept. 6, 1966, 80
Stat. 379, amended Pub. L. 94-213, Feb. 13, 1976, 90 Stat. 179.)
304. Subpenas
(a) The head of an Executive department or military department
or bureau thereof in which a claim against the United States is pend-
ing may apply to a judge or clerk of a court of the United States to
issue a subpoena for a witness within the jurisdiction of the court to
appear at a time and place stated in the subpoena before an individual
authorized to take depositions to be used in the courts of the United






Sec. 305


States, to give full and true answers to such written interrogatories
and cross-interrogatories as may be submitted with the application, or
to be orally examined and cross-examined on the subject of the claim.
(b) If a witness, after being served with a subpoena, neglects or
refuses to appear, or appearing, refuses to testify, the judge of the
district in which the subpoena issued may proceed, on proper process,
to enforce obedience to the subpoena, or to punish for disobedience,
in the same manner as a court of the United States may in case of
process of subpoena ad testificandum issued by the court. (Pub. L.
89-554, Sept. 6,1966,80 Stat. 379.)
305. Systematic agency review of operations
(a) For the purpose of this section, "agency" means an Executive
agency, but does not include-
(1) a Government controlled corporation;
(2) the Tennessee Valley Authority;
(3) The Alaska Railroad;
(4) the Virgin Islands Corporation;
(5) the Atomic Energy Commission;
(6) the Central Intelligence Agency;
(7) the Panama Canal Company; or
(8) the National Security Agency, Department of Defense.
(b) Under regulations prescribed and administered by the Direc-
tor of the Bureau of the Budget, each agency shall review systemat-
ically the operations of each of its activities, functions, or organiza-
tion units, on a continuing basis.
(c) The purpose of the reviews includes-
(1) determining the degree of efficiency and economy in the'
operation of the agency's activities, functions, or organization
units;
(2) identifying the units that are outstanding in those respects;
and
(3) identifying the employees whose personal efforts have
caused their units to be outstanding in efficiency and economy of
operations.
(Pub. L. 89-554, Sept. 6,1966,80 Stat. 380.)

















i:














CHAPTER 5-ADMINISTRATIVE PROCEDURE

SUBCHAPTER I-GENERAL PROVISIONS
SSEC.
500. Administrative practice; general provisions.
501. Advertising practice; restrictions.
502. Administrative practice; Reserves and National Guardsmen.
503. Witness fees and allowances.

SUBCHAPTER II-ADMINISTRATIVE PROCEDURE
551. Definitions.
552. Public information; agency rules, opinions, orders, records, and proceedings.
552a. Records about individuals.
I 552b. Open meetings.
1. 553. Rule making.
554. Adjudications.
555. Ancillary matters.
556. Hearings; presiding employees; powers and duties; burden of proof;
evidence; record as basis of decision.
557. Initial decisions; conclusiveness; review by agency; submissions by
parties; contents of decisions; record.
558. Imposition of sanctions; determination of applications for licenses; sus-
pension, revocation, and expiration of licenses.
559. Effect on other laws; effect of subsequent statute.

SUBCHAPTER III-ADMINISTRATIVE CONFERENCE
OF THE UNITED STATES
571. Purpose.
' 572. Definitions.
573. Administrative Conference of the United States.
S574. Powers and duties of the Conference.
575. Organization of the Conference.
576. Appropriations.


(9)





Sec. 500 10






SUBCHAPTER I-GENERAL PROVISIONS
500. Administrative practice; general provisions
(a) For the purpose of this section-
(1) "agency" has the meaning given it by section 551 of this
title; and
(2) "State" means a State, a territory or possession of the
United States including a Commonwealth, or the District of
Columbia.
(b) An individual who is a member in good standing of the bar
of the highest court of a State may represent a person before an
agency on filing with the agency a written declaration that he is
currently qualified as provided by this subsection and is authorized
to represent the particular person in whose behalf he acts.
(c) An individual who is duly qualified to practice as a certified
public accountant in a State may represent a person before the Internal
Revenue Service of the Treasury Department on filing with that
agency a written declaration that he is currently qualified as provided
by this subsection and is authorized to represent the particular person
in whose behalf he acts.
(d) This section does not-
(1) grant or deny to an individual who is not qualified as pro-
vided by subsection (b) or (c) of this section the right to appear
for or represent a person before an agency or in an agency
proceeding;
(2) authorize or limit the discipline, including disbarment,
of individuals who appear in a representative capacity before an
agency;
(3) authorize an individual who is a former employee of an
agency to represent a person before an agency when the repre-
sentation is prohibited by statute or regulation; or
(4) prevent an agency from requiring a power of attorney as
a condition to the settlement of a controversy involving the pay-
ment of money.
(e) Subsections (b)-(d) of this section do not apply to practice
before the Patent Office with respect to patent matters that continue
to be covered by chapter 3 (sections 31-33) of title 35.
(f) When a participant in a matter before an agency is represented
by an individual qualified under subsection (b) or (c) of this section,
a notice or other written communication required or permitted to be::
given the participant in the matter shall be given to the representa-
tive in addition to any other service specifically required by statute.
When a participant is represented by more than one such qualified!
representative, service on any one of the representatives is sufficient,
(Added Pub. L. 90-83, 1(1) (A), Sept. 11, 1967, 81 Stat. 195.)






Sec. 503


501. Advertising practice; restrictions
An individual, firm, or corporation practicing before an agency
of the United States may not use the name of a Member of either
House of Congress or of an individual in the service of the United
States in advertising the business. (Pub. L. 89-554, Sept. 6, 1966, 80
Stat. 381.)
502. Administrative practice; Reserves and National Guards-
men
Membership in a reserve component of the armed forces or in the
National Guard does not prevent an individual from practicing his
civilian profession or occupation before, or in connection with, an
agency of the United States. (Pub. L. 89-554, Sept. 6, 1966, 80
Stat. 381.)
503. Witness fees and allowances
(a) For the purpose of this section, "agency" has the meaning given
it by section 5721 of this title.
(b) A witness is entitled to the fees and allowances allowed by
statute for witnesses in the courts of the United States when-
(1) he is subpenaed under section 304(a) of this title; or
(2) he is subpenaed to and appears at a hearing before an
agency authorized by law to hold hearings and subpena witnesses
to attend the hearings.
(Pub. L. 89-554, Sept. 6,1966.80 Stat. 381.1






Sec. 551


SUBCHAPTER II-ADMINISTRATIVE PROCEDURE
551. Definitions
For the purpose of this subchapter-
(1) "agency" means each authority of the Government of the
United States, whether or not it is within or subject to review by
another agency, but does not include-
(A) the Congress;
(B) the courts of the United States;
(C) the governments of the territories or possessions of the
United States;
(D) the Government of the District of Columbia;
or except as to the requirements of section 552 of this title-
(E) agencies composed of representatives of the parties or
of representatives of organizations of the parties to the
disputes determined by them;
(F) courts martial and military commissions;
(G) military authority exercised in the field in time of war
or in occupied territory; or
(H) functions conferred by sections 1738, 1739, 1743, and
1744 of title 12; chapter 2 of title 41; or sections 1622, 1884,
1891-1902, and former section 1641(b) (2), of title 50,
appendix;
(2) "person" includes an individual, partnership, corporation,
association, or public or private organization other than an
agency;
(3) "party" includes a person or agency named or admitted as
a party, or properly seeking and entitled as of right to be ad-
mitted as a party, in an agency proceeding, and a person or
agency admitted by an agency as a party for limited purposes;
(4) "rule" means the whole or a part of an agency statement of
general or particular applicability and future effect designed to
implement, interpret, or prescribe law or policy or describing the
organization, procedure, or practice requirements of an agency
and includes the approval or prescription for the future of rates,
wages, corporate or financial structures or reorganizations thereof,
prices, facilities, appliances, services or allowances therefore or:
of valuations, costs, or accounting, or practices bearing on any of
the foregoing;
(5) "rule making" means agency process for formulating,
amending, or repealing a rule;
(6) "order" means the whole or a part of a final disposition
whether affirmative, negative, injunctive, or declaratory in form,
of an agency Mn a matter other than rule making but including
licensing;
(7) "adjudication" means agency process for the formulation
of an order;


1i






Sec. 552


(8) "license" includes the whole or a part of an agency permit,
certificate, approval, registration, charter, membership, statutory
exemption or other form of permission;
(9) "licensing" includes agency process respecting the grant, re-
newal, denial, revocation, suspension, annulment, withdrawal,
limitation, amendment, modification, or conditioning of a license;
(10) "sanction" includes the whole or a part of an agency-
(A) prohibition requirement, limitation, or other condition
affecting the freedom of a person;
(B) withholding of relief;
(C) imposition of penalty or fine;
(D) destruction, taking, seizure, or withholding of
property;
(E) assessment of damages, reimbursement, restitution,
compensation, costs, charges, or fees;
(F) requirement, revocation, or suspension of a license; or
(G) taking other compulsory or restrictive. action;
(11) "relief" includes the whole or a part of an agency-
(A) grant of money, assistance, license, authority, exemp-
tion, exception, privilege, or remedy;
(B) recognition of a claim, right, immunity, privilege, ex-
emption, or exception; or
(C) taking of other action on the application or petition of,
and beneficial to, a person;
(12) "agency proceedings" means an agency process as defined
by paragraphs (5), (7), and (9) of this section;
(13) "agency action" includes the whole or a part of an agency
rule, order, license, sanction, relief, or the equivalent or denial
thereof, or failure to act; and
(14) "ex parte communication" means an oral or written com-
munication not on the public record with respect to which reason-
able prior notice to all parties is not given, but it shall not include
requests for status reports on any matter or proceeding covered by
this subchapter.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 381; amended Pub. L. 94-409.
Sept. 13, 1976, 90 Stat. 1247.)
552. Public information; agency rules, opinions, orders, records,
and proceedings
(a) Each agency shall make available to the public information as
follows:
(1) Each agency shall separately state and currently publish in
the Federal Register for the guidance of the public-
(A) descriptions of its central and field organization and
the established places at which, the employees (and in the
case of a uniformed service, the members) from whom, and
the methods whereby, the public may obtain information,
make submittals or requests, or obtain decisions;
(B) statements of the general course and method by which
its functions are channeled and determined, including the
nature and requirements of all formal and informal proce-
dures available;


35-550 0 79 3








(C) rules of procedure, descriptions of forms available or
the places at which forms may be obtained, and instructions
as to the scope and contents of all papers, reports, or exam-
inations;
(D) substantive rules of general applicability adopted as
authorized by law, and statements of general policy or inter-
pretations of general applicability formulated and adopted
by the agency; and
(E) each amendment, revision, or repeal of the foregoing.
Except to the extent that a person has actual and timely notice of
the terms thereof, a person may not in any manner be required to
resort to, or be adversely affected by, a matter required to be pub-
lished in the Federal Register and not so published. For the pur-
pose of this paragraph, matter reasonably available to the class of
persons affected thereby is deemed published in the Federal Regis-
ter when incorporated by reference therein with the approval of
the Director of the Federal Register.
(2) Each agency, in accordance with published rules, shall make
available for public inspection and copying-
(A) final opinions, including concurring and dissenting
opinions, as well as orders, made in the adjudication of cases;
(B) those statements of policy and interpretations which
have been adopted by the agency and are not published in the
Federal Register; and
(C) administrative staff manuals and instructions to staff
that affect a member of the public;
unless the materials are promptly published and copies offered for
sale. To the extent required to prevent a clearly unwarranted inva-
sion of personal privacy, an agency may delete identifying details
when it makes available or publishes an opinion, statement of
policy, interpretation, or staff manual or instruction. However, in
each case the justification for the deletion shall be explained fully
in writing. Each agency shall also maintain and make available
for public inspection and copying current indexes providing
identifying information for the public as to any matter issued,
adopted, or promulgated after July 4, 1967, and required by this
paragraph to be made available or published. Each agency shall
promptly publish, quarterly or more frequently, and distribute
(by sale or otherwise) copies of each index or supplements thereto
unless it determines by order published in the Federal Register
that the publication would be unnecessary and impracticable, in
which case the agency shall nonetheless provide copies of such
index on request at a cost not to exceed the direct cost of dupli-
cation. A final order, opinion, statement of policy, interpretation,
or staff manual or instruction that affects a member of the public
may be relied on, used, or cited as precedent by an agency against
a party other than an agency only if-
(i) it hlias been indexed and either made available or pub-
lished as provided by this paragraph; or
(ii) the party has actual and timely notice of the terms
thereof.
(3) Except with respect, to the records made available under
paragrap)lis (1) and (2) of this subsection, eachl agency, upon any


Sec. 552


14





Sec. 552


request for records which (A) reasonably describes such records
and (B) is made in accordance with published rules stating the
time, place, fees (if any), and procedures to be followed, shall
make the records promptly available to any person.
(4) (A) In order to carry out the provisions of this section,
each agency shall promulgate regulations, pursuant to notice and
receipt of public comments, specifying a uniform schedule of fees
applicable to all constituent units of such agency. Such fees shall
be limited to reasonable standard charges for document search and
duplication and provide for recovery of only the direct costs of
such search and duplication. Documents shall be furnished with-
out charge or at a reduced charge where the agency determines
that waiver or reduction of the fee is in the public interest because
furnishing the information can be considered as primarily bene-
fiting the general public.
(B) On complaint, the district court of the United States in
the district in which the complainant resides, or has his principal
place of business, or in whicli the agency records are situated, or
in the District of Columbia, has jurisdiction to enjoin the agency
from withholding agency records and to order the production of
any agency records improperly withheld from the complainant. In
such a case the court shall determine the matter de novo, and
may examine the contents of such agency records in camera to
determine whether such records or any part thereof shall be with-
held under any of the exemptions set forth in subsection (b) of
this section, and the burden is on the agency to sustain its action.
(C) Notwithstanding any other provision of law, the defend-
ant shall serve an answer or otherwise plead to any complaint
made under this subsection within thirty days after service upon
the defendant of the pleading in which such complaint is made,
unless the court otherwise directs for good cause shown.
(D) Except as to cases the court considers of greater impor-
tance, proceedings before the district court, as authorized by this
subsection, and appeals therefrom, take precedence on the docket
over all cases and shall be assigned for hearing and trial or for
argument at the earliest practicable date and expedited in every
way.
(E) The court may assess against the United States reasonable
attorney fees and other litigation costs reasonably incurred in any
case under this section in which the complainant has substantially
prevailed.
(F) Whenever the court orders the production of any agency
records improperly withheld from the complainant and assesses
against the United States reasonable attorney fees and other liti-
gation costs, and the court additionally issues a written finding
that the circumstances surrounding the withholding raise ques-
tions whether agency personnel acting arbitrarily or capriciously
with respect to the withholding, the Special Counsel shall
promptly initiate a proceeding to determine whether disciplinary
action is warranted against the officer or employee who was pri-
marily responsible for the withholding. The Special Counsel, after
investigation and consideration of the evidence submitted, shall
submit his findings and recommendations to the administrative







authority of the agency concerned and shall send copies of the
findings and recommendations to the officer or employee
or his representative. The administrative authority shall take the
corrective action that the Special Counsel recommends.
(G) In the event of noncompliance with the order of the court,
the district court may punish for contempt the responsible em-
ployee, and in the case of a uniformed service, the responsible
member.
(5) Each agency having more than one member shall maintain
and make available for public inspection a record of the final votes
of each member in every agency proceeding.
(6) (A) Each agency, upon any request for records made under
paragraph (1), (2), or (3) of this subsection, shall-
(i) determine within ten days (excepting Saturdays, Sun-
days, and legal public holidays) after the receipt of any such
request whether to comply with such request and shall im-
mediately notify the person making such request of such de-
termination and the reasons therefore, and of the right of such
person to appeal to the head of the agency any adverse deter-
mination; and
(ii) make a determination with respect to any appeal
within twenty days (excepting Saturdays, Sundays, and legal
public holidays) after the receipt of such appeal. If on appeal
the denial of the request for records is in whole or in part
upheld, the agency shall notify the person making such re-
quest of the provisions for judicial review of that determina-
tion under paragraph (4) of this subsection.

(B) In unusual circumstances as specified in this subpara-
graph, the time limits prescribed in either clause (i) or clause (ii)
of subparagraph (A) may be extended by written notice to the
person making such request setting forth the reasons for such
extension and the date on which a determination is expected to be
dispatched. No such notice shall specify a date that would result
in an extension for more than ten working days. As used in this
subparagraph, "unusual circumstances" means, but only to the
extent reasonably necessary to the proper processing of the par-
ticular request--
(i) the need to search for and collect the requested records
from field facilities or other establishments that are separate
from the office processing the request;
(ii) the need to search for, collect, and appropriately ex-
amine a voluminous amount of separate and distinct records
which are demanded in a single request; or
(iii) the need for consultation, which shall be conducted
with all practicable speed, with another agency having a sub-
stantial interest in the determination of the request or among
two or more components of the agency having substantial
subject-matter interest therein.
(C) Any person making a request to any agency for records
under paragraph (1), (2), or (3) of this subsection shall be
deemed to have exhausted his administrative remedies with re-
spect to such request if the agency fails to comply with the appli-
i


Sec. 552


16





17 Sec. 552

cable time limit provisions of this paragraph. If the Government
can show exceptional circumstances exist and that the agency is
exercising due diligence in responding to the request, the court
may retain jurisdiction and allow the agency additional time to
complete its review of the records. Upon any determination by an
agency to comply with a request for records, the records shall be
made promptly available to such person making such request. Any
notification of denial of any request for records under this sub-
section shall set forth the names and titles or positions of each
person responsible for the denial of such request.
(b) This section does not apply to matters that are-
(1) (A) specifically authorized under criteria established by
an Executive order to be kept secret in the interest of national de-
fense or foreign policy and (B) are in fact properly classified
pursuant to such Executive order;
(2) related solely to the internal personnel rules and practices
of an agency;
(3) specifically exempted from disclosure by statute (other
than section 552b of this title), provided that such statute (A)
requires that the matters be withheld from the public in such a
manner as to leave no discretion on the issue, or (B) establishes
particular criteria for withholding or refers to particular types
of matters to be withheld;
(4) trade secrets and commercial or financial information ob-
tained from a person and privileged or confidential;
(5) inter-agency or intra-agency memorandums or letters
which would not be available by law to a party other than an
agency in litigation with the agency;
(6) personnel and medical files and similar files the disclosure
of which would constitute a clearly unwarranted invasion of per-
sonal privacy;
(7) investigatory records compiled for law enforcement pur-
poses, but only to the extent that the production of such records
would (A) interfere with enforcement proceedings, (B) deprive
a person of a right to a fair trial or an impartial adjudication,
(C) constitute an unwarranted invasion of personal privacy, (D)
disclose the identity of a confidential source and, in the case of a
record compiled by a criminal law enforcement authority in the
course of a criminal investigation, or by an agency conducting a
lawful national security intelligence investigation, confidential
information furnished only by the confidential source, (E) dis-
close investigative techniques and procedures, or (F) endanger
the life or physical safety of law enforcement personnel;
(8) contained in or related to examination, operating, or con-
dition reports prepared by, on behalf of, or for the use of an
agency responsible for the regulation or supervision of financial
institutions; or
(9) geological and geophysical information and data, includ-
ing maps, concerning wells.
Any reasonably segregable portion of a record shall be provided to
any person requesting such record after deletion of the portions which
are exempt under this subsection.








(c) This section does not authorize withholding of information or
limit the availability of records to the public, except as specifically
stated in this section. This section is not authority to withhold infor-
mation from Congress.
(d) On or before March 1 of each calendar year, each agency shall
submit a report covering the preceding calendar year to the Speaker
of the House of Representatives and President of the Senate for re-
ferral to the appropriate committees of the Congress. The report shall
include-
(1) the number of determinations made by such agency not
to comply with requests for records made to such agency under
subsection (a) and the reasons for each such determination;
(2) the number of appeals made by persons under subsection
(a) (6), the result of such appeals, and the reason for the action
upon each appeal that results in a denial of information;
(3) the names and titles or positions of each person respon-
sible for the denial of records requested under this section, and
the number of instances of participation for each;
(4) the results of each proceeding conducted pursuant to sub-
section (a) (4) (F), including a report of the disciplinary action
taken against the officer or employee who was primarily responsi-
ble for improperly withholding records or an explanation of why
disciplinary action was not taken;
(5) a copy of every rule made by such agency regarding this
section;
(6) a copy of the fee schedule and the total amount of fees col-
lected by the agency for making records available under this
section; and
(7) such other information as indicates efforts to administer
fully this section.
The Attorney General shall submit an annual report on or before
March 1 of each calendar year which shall include for the prior
calendar year a listing of the number of cases arising under this sec-
tion, the exemption involved in each case, the disposition of such case,
and the cost, fees, and penalties assessed under subsections (a) (4) (E),
(F) and (G). Such report shall also include a description of the efforts
undertaken by the Department of Justice to encourage agency comn-
pliance with this section.
(e) For purposes of this section, the term "agency" as defined in
section 551(1) of this title includes any executive department, mili-
tary department, Government corporation, Government controlled cor-
poration, or other establishment in the executive branch of the !
Government( including the Executive Office of the President), or any
independent regulatory agency. (Pub. L. 89-554, Sept. 6, 1966, 80
Stat. 383, amended Pub. L. 90-23, 1, June 5, 1967, 81 Stat. 54;
Pub. L. 93-502, 1-3, Nov. 21, 1974, 88 Stat. 1561-1564; Pub. L. 94-
409, Sept. 13, 1976, 90 Stat. 1247; amended Pub. L. 95-454, Oct. 13,
1978, 92 Stat. 1225.)
552a. Records maintained on individuals
(a) DEFINITIONS.-For purposes of this section-
(1) the term "agency" means agency as defined in section |I
552 (e) of this title;



ti


Sec. 552a


18





Sec. 552a


(2) the term "individual" means a citizen of the United States
or an alien lawfully admitted for permanent residence;
(3) the term "maintain" includes maintain, collect, use, or
disseminate;
(4) the term "record" means any item, collection, or grouping
of information about an individual that is maintained by an
agency, including, but not limited to, his education, financial
transactions, medical history, and criminal or employment history
and that contains his name, or the identifying number, symbol,
or other identifying particular assigned to the individual, such as
a finger or voice print or a photograph;
(5) the term "system of records" means a group of any records
under the control of any agency from which information is re-
trieved by the name of the individual or by some identifying
number, symbol, or other identifying particular assigned to the
individual;
(6) the term "statistical record" means a record in a system
of records maintained for statistical research or reporting pur-
poses only and not used in whole or in part in making any deter-
mination about an identifiable individual, except as provided by
section 8 of title 13; and
(7) the term "routine use" means, with respect to the disclosure
of a record, the use of such record for a purpose which is com-
patible with the purpose for which it was collected.
(b) CONDITIONS OF DISCLOSURE.-NO agency shall disclose any
record which is contained in a system of records by any means of com-
munication to any person, or to another agency, except pursuant to a
written request by, or with the prior written consent of, the individual
to whom the record pertains, unless disclosure of the record would
be-
(1) to those officers and employees of the agency which main-
tains the record who have a need for the record in the performance
of their duties;
(2) required under section 552 of this title;
(3) for a routine use as defined in subsection (a) (7) of this
section and described under subsection (e) (4) (D) of this section;
(4) to the Bureau of the Census for purposes of planning or
carrying out a census or survey or related activity pursuant to
the provisions of title 13;
(5) to a recipient who has provided the agency with advance
adequate written assurance that the record will be used solely as
a statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) to the National Archives of the United States as a record
which has sufficient historical or other value to warrant its con-
tinued preservation by the United States Government, or for
evaluation by the Administrator of General Services or his des-
ignee to determine whether the record has such value;
(7) to another agency or to an instrumentality of any govern-
mental jurisdiction within or under the control of the United
States for a civil or criminal law enforcement activity if the
activity is authorized by law, and if the head of the agency or







instrumentality has made a written request to the agency which
maintains the record specifying the particular portion desired and
the law enforcement activity for which the record is sought;
(8) to a person pursuant to a showing of compelling circum-
stances affecting the health or safety of an individual if upon such
disclosure notification is transmitted to the last known address of
such individual;
(9) to either House of Congress, or, to the extent of matter
within its jurisdiction, any committee or subcommittee thereof,
any joint committee of Congress or subcommittee of any such
joint committee;
(10) to the Comptroller General, or any of his authorized rep-
resentatives, in the course of the performance of the duties of
the General Accounting Office; or
(11) pursuant to the order of a court of competent jurisdic-
tion.
(c) ACCOUNTING OF CERTAIN DISCLOSUREs.-Each agency, with
respect to each system of records under its control, shall-
(1) except for disclosures made under subsections (b) (1) or
(b) (2) of this section, keep an accurate accounting of-
(A) the date, nature, and purpose of each disclosure of
a record to any person or to another agency made under
subsection (b) of this section; and
(B) the name and address of the person or agency to
whom the disclosure is made;
(2) retain the accounting made under paragraph (1) of this
subsection for at least five years or the life of the record, which-
ever is longer, after the disclosure for which the accounting is
made;
(3) except for disclosures made under subsection (b) (7) of
this section, make the accounting made under paragraph (1) of
this subsection available to the individual named in the record
at his request; and
(4) inform any person or other agency about any correction
or notation of dispute made by the agency in accordance with:
subsection (d) of this section of any record that has been dis-
closed to the person or agency if an accounting of the disclosure f
was made.
(d) AccEss TO RECORDS.-Each agency that maintains a system{ i
of records shall-
(1) upon request, by any individual to gain access to his record
or to any information pertaining to him which is contained in the
system, permit him and upon his request, a person of his own:
choosing to accompany him, to review the record and have a copy"
made of all or any portion thereof in a form comprehensible toj
him, except that the agency may require the individual to furnish
a written statement authorizing discussion of that individual's!
record inthe accompanying person's presence;
(2) permit the individual to request amendment of a record
pertaining to him and-
(A) not later than 10 days (excluding Saturdays, Sun-
days, and legal public holidays) after the date of receipt oj
such request, acknowledge in writing such receipt; and


Sec. 552a


20






21 Sec. 552a

(B) promptly, either-
(i) make any correction of any portion thereof which
the individual believes is not accurate, relevant, timely,
or complete; or
(ii) inform the individual of its refusal to amend the
record in accordance with his requests, the reason for
the refusal, the procedures established by the agency
for the individual to request a review of that refusal by
the head of the agency or an officer designated by the
head of the agency, and the name and business address
of that official;
(3) permit the individual who disagrees with the refusal of the
agency to amend his record to request a review of such refusal,
and not later than 30 days (excluding Saturdays, Sundays, and
legal public holidays) from the date on which the individual
requests such review, complete such review and make a final
determination unless, for good cause shown, the head of the agency
extends such 30-day period; and, if after his review, the reviewing
official also refuses to amend the record in accordance with the
request, permit the individual to file with the agency a concise
statement setting forth the reasons for his disagreement with the
refusal of the agency, and notify the individual of the provisions
for judicial review of the reviewing official's determination under
subsection (g) (1) (A) of this section;
(4) in any disclosure, containing information about which the
individual has filed a statement of disagreement, occurring after
the filing of the statement under paragraph (3) of this subsec-
tion, clearly note any portion of the record which is disputed and
provide copies of the statement and, if the agency deems it ap-
propriate, copies of a concise statement of the reasons of the
agency for not making the amendments requested, to persons or
other agencies to whom the disputed record has been disclosed;
and
(5) nothing in this section shall allow an individual access to
any information compiled in reasonable anticipation of a civil
action or proceeding.
(e) AGENCY REQUIREMENT.-Each agency that maintains a system
of records shall-
(1) maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose
of the agency required to be accomplished by statute or by execu-
tive order of the President;
(2) collect information to the greatest extent practicable di-
rectly from the subject individual when the information may
result in adverse determinations about an individual's rights, bene-
fits, and privileges under Federal programs;
(3) inform each individual whom it asks to supply informa-
S tion, on the form which it uses to collect the information or on a
separate form that can be retained by the individual-
(A) the authority (whether granted by statute, or by ex-
ecutive order of the President) which authorizes the solici-
tation of the information and whether disclosure of such
information is mandatory or voluntary;








(B) the principal purpose or purposes for which the in-
formation is intended to be used;
(C) the routine uses which may be made of the informa-
tion, as published pursuant to paragraph (4)(D) of this
subsection; and
(D) the effects on him, if any, of not providing all or
any part of the requested information;
(4) subject to the provisions of paragraph (11) of this sub-
section, publish in the Federal Register at least annually a notice
of the existence and character of the system of records, which
notice shall include-
(A) the name and location of the system;
(B) the categories of individuals on whom records are
maintained in the system;
(C) the categories of records maintained in the system;
(D) each routine use of the records contained in the sys-
tem, including the categories of users and the purpose of such
use;
(E) the policies and practices of the agency regarding
storage, retrievability, access controls, retention, and disposal
of the records;
(F) the title and business address of the agency official
who is responsible for the system of records;
(G) the agency procedures whereby an individual can be
notified at his request if the system of records contains a
record pertaining to him;
(H) the agency procedures whereby an individual can be
notified at his request how he can gain access to any record
pertaining to him contained in the system of records, and how
he can contest its content; and
(I) the categories of sources of records in the system;
(5) maintain all records which are used by the agency in mak-
ing any determination about any individual with such accuracy,
relevance, timeliness, and completeness as is reasonably necessary
to assure fairness to the individual in the determination;
(6) prior to disseminating any record about an individual to
any person other than an agency, unless the dissemination is
made pursuant to subsection (b) (2) of this section, make reason-
able efforts to assure that such records are accurate, complete,
timely, and relevant for agency purposes;
(7) maintain no record describing how any individual exer-
cises rights guaranteed by the. First, Amendment unless expressly
authorized 'by statute or by the individual about whom the record
is maintained or unless pertinent to and within the scope of an
authorized law enforcement activity;
(8) make reasonable efforts to serve notice on an individual
when any record on such individual is made available to any per-
son under compulsory legal process when such process becomes al
matter of public record;
(9) establish rules of conduct for persons involved in the
design, development, operation, or maintenance of any system ol
records, or in maintaining any record, and instruct each such per-
|
**
n:
I.
I


Sec. 552a


22





S23 Sec. 552a

son with respect to such rules and the requirements of this section,
including any other rules and procedures adopted pursuant to this
section and the penalties for noncompliance;
(10) establish appropriate administrative, technical, and
physical safeguards to insure the security and confidentiality of
records and to protect against any anticipated threats or hazards
to their security or integrity which could result in substantial
Sharm, embarrassment, inconvenience, or unfairness to any individ-
ual on whom information is maintained; and
(11) at least 30 days prior to publication of information under
paragraph (4) (D) of this subsection, publish in the Federal Reg-
ister notice of any new use or intended use of the information in
the system, and provide an opportunity for interested persons
to submit written data, views, or arguments to the agency.
(f) AGENCY RULES.-In order to carry out the provisions of this
section, each agency that maintains a system of records shall pro-
mulgate rules, in accordnace with the requirements (including general
notice) of section 553 of this title, which shall-
i (1) establish procedures whereby an individual can be notified
in response to his request if any system of records named by the
individual contains a record pertaining to him;
(2) define reasonable times, places, and requirements for iden-
tifying an individual who requests his record or information
pertaining to him before the agency shall make the record or
a information available to the individual;
(3) establish procedures for the disclosure to an individual
upon his request of his record or information pertaining to him,
including special procedure, if deemed necessary, for the disclo-
sure to an individual of medical records, including psychological
records pertaining to him;
(4) establish procedures for reviewing a request from an indi-
vidual concerning the amendment to any record or information
pertaining to the individual, for making a determination on the
request, for an appeal within the agency of an initial adverse
agency determination, and for whatever additional means may be
necessary for each individual to be able to exercise fully his rights
under this section; and
(5) establish fees to be charged, if any, to any individual for
making copies of his record, excluding the cost of any search for
and review of the record.
The Office of the Federal Register shall annually compile and publish
the rules promulgated under this subsection and agency notices pub-
lished under subsection (e) (4) of this section in a form available to
the public at low cost.
(g) (1) CIVIL REMEDIES.-Whenever any agency-
(A) makes a determination under subsection (a) (3) of this
section not to amend an individual's record in accordance with
a his request, or fails to make such review in conformity with that
subsection;
(B) refuses to comply with an individual request under sub-
section (d) (1) of this section;
(C) fails to maintain any record concerning any individual
necessary to assure fairness in any determination relating to the







qualification, character, rights, or opportunities of, or benefits to
the individual that may be made on the basis of such record,
and consequently a determination is made which is adverse to the
individual; or
(D) fails to comply with any other provision of this section,
or any rule promulgated thereunder, in such a way as to have
an adverse effect on an individual,
the individual may bring a civil action against the agency, and the
district courts of the United States shall have jurisdiction in the mat-
ters under the provisions of this subsection.
(2) (A) In any suit brought under the provisions of subsection (g)
(1) (A) of this section, the court may order the agency to amend
the individual's record in accordance with his request or in such other
way as the court may direct. In such a case the court shall determine
the matter de novo.
(B) The court may assess against the United States reasonable at-
torney fees and other litigation costs reasonably incurred in any case
under this paragraph in which the complainant has substantially
prevailed.
(3) (A) In any suit brought under the provisions of subsection (g)
(1) (B) of this section, the court may enjoin the agency from with-
holding the records and order the production to the complainant of
any agency records improperly withheld from him. In such a case the
court shall determine the matter de novo, and may examine the con-
tents of any agency records in camera to determine whether the rec-
ords or any portion thereof may be withheld under any of the. exemp-
tions set forth in subsection (k) of this section, and the burden is on
the agency to sustain its action.
(B) The court. may assess against the United States reasonable at-
torney fees and other litigation costs reasonably incurred in any case
under this paragraph in which the complainant has substantially
prevailed.
(4) In any suit brought under the provisions of subsection (g) (1)
(C) or (D) of this section in which the -court determines that the
agency acted in a manner which was intentional or willful, the United
States shall be. liable to the individual in an amount equal to the sum
of-
(A) actual damages sustained by the individual as a result of
the refusal or failure, but in no case shall a person entitled to re-
covery receive less than the sumn of $1,000; and
(B) the costs of the action together with reasonable attorney
fees as determined by the court.
(5) An action to enforce any liability created under this section
may be brougliht. in the district court of the United States in the district
in which the complainant resides, or lias his principal place of busi-
ness, or in which the agency records are situated, or in the District of
Columbia, without regard to the amount in controversy, within two
years from the date on which tlie cause of action arises, except that
where an agency lehas materially and willfully iisrepresented any in-
formiation replired under this section to be disclosed to an individual
and the information .so miisrepresented is material to establishment of
tho liability of the agency to the. individual under this section, the
'*-


lI


Same 5520


2A






25 Sec. 552a

action may be brought at any time within two years after discovery by
the individual of the misrepresentation. Nothing in this section shall
be construed to authorize any civil action by reason of any injury
sustained as the result of a disclosure of a record prior to September 27,
1975.
(h) RIGHTS or LEGAL GUARDIANs.-For the purposes of this section,
the parent of any minor, or the legal guardian of any individual who
has been declared to be incompetent due to physical or mental inca-
pacity or age by a court of competent jurisdiction, may act on behalf
of the individual.
(i) (1) CRIMIINAL PENALTIES.-Any officer or employee of an agency,
who by virtue of his employment or official position, has posses-
sion of, or access to, agency records which contain individually
identifiable information the disclosure of which is prohibited by this
section or by rules or regulations established thereunder, and who
knowing that disclosure of the specific material is so prohibited, will-
fully discloses the material in any manner to any person or agency not
entitled to receive it, shall be guilty of a misdemeanor and fined not
more than $5,000.
(2) Any officer or employee of any agency who willfully maintains
a system of records without meeting the notice requirements of sub-
section (e) (4) of this section shall be guilty of a misdemeanor and
fined not more than $5,000.
(3) Any person who knowingly and willfully requests or obtains
any record concerning an individual from an agency under false pre-
tenses shall be guilty of a misdemeanor and fined not more that $5,000.
(j) GENERAL EXEMTIONS.-T.he lead of any agency may promul-
gate rules, in accordance with the requirements (including general
notice) of sections 553 (b) (1), (2), and (3), (c), and (e) of this title,
to exempt any system of records within the agency from any part of
this section except subsections (b), (c) (1) and (2). (e) (4) (A)
through (F), (e)(6), (7), (9), (10), and (11), and (i) if the system
of records is-
(1) maintained by the Central Intelligence Agency; or
(2) maintained by an agency or component thereof which per-
forms as its principal function any activity pertaining to the en-
forcement of criminal laws, including police efforts to prevent,
control, or reduce crime or to apprehend criminals, and the activ-
ities of prosecutors, courts, correctional, probation, pardon, or
parole authorities, and which consists of (A) information com-
piled for the purpose of identifying individual criminal offenders
and alleged offenders and consisting only of identifying data and
notations of arrests, the nature and disposition of criminal
charges, sentencing, confinement, release, and parole and proba-
tion status; (B) information compiled for the purpose of a
criminal investigation, including reports of informants and in-
vestigators, and associated with an identifiable individual; or (C)
reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or in-
dictment through release from supervision.
SAt the time rules are adopted under this subsection, the agency shall
include in the statement required under section 553(c) of this title,








the reasons why the system of records is to be exempted from a pro-
vision of this section. e
(k) SPECIFIC EXEMPTIONS.-The head of any agency may pro- es:
mulgate rules, in accordance with the requirements (including general fo
notice) of sections 553(b) (1), (2), and (3), (c), and (e) of this title, ag
to exempt any system of records within the agency from subsections si(
(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I) and (f) of this sec- di
t ion if the system of records is- or
(1) subject to the provisions of section 552(b) (1) of this title; WI
(2) investigatory material compiled for law enforcement pur-
poses, other than material within the scope of subsection (j) (2) rl
of this section: Provided, however, That if any individual is as
denied any right, privilege, or benefit that he would otherwise it
be entitled by Federal law, or for which he would otherwise be tl
eligible, as a result of the maintenance of such material, such ma- e
trial shall be provided to such individual, except to the extent no
that the disclosure of such material would reveal the identity of gr
a source who furnished information to the Government under an
express promise that the identity of the source would be held in thi
confidence, or prior to the effective date of this section, under
an implied promise that the identity of the source would be held ti
in confidence; a i
(3) maintained in connection with providing protective serv- 0oi
ices to the President of the United States or other individuals thi
pursuant to section 3056 of title 18; b
(4) required by statute to be maintained and used solely as ex
statistical records; A
(5) investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal for
civilian employment, military service, Federal contracts, or access of
to classified information, but only to the extent that the disclosure %i
of such material would reveal the identity of a source who fur- apj
nished information to the Government under an express promise ail
that the identity of the source would be held in confidence, or, rri
prior to the effective date of this section, under an implied promise rr
that the identity of the source would be held in confidence;
(6) testing or examination material used solely to determine VF
individual qualifications for appointment or promotion in the 2e
Federal service the disclosure of which would compromise the i
objectivity or fairness of the testing or examination process; or [
(7) evaluation material used to determine potential for pro-
motion in the armed services, but only to the extent that the Rd,
disclosure of such material would reveal the identity of a source (if;
who furnished information to the Government under an express in,
promise that the identity of the source would be held in confi- pr.
d(ence, or, prior to the effective date of this section, under an
implied promise that the identity of tlhe source would be held in 31j
confidence.
At the time rules are adopted under this subsection, the agency shall
include in the statement required under section 553(c) of this title if
the reasons why the system of records is to be exempted from a provi- (-lp
sion of this section. :


Sec. 552a


26








(1)(1) ARCHIVAL RECORDS.-Each agency record which is ac-
cepted by the Administrator of General Services for storage, proc-
essing, and servicing in accordance with section 3103 of title 44 shall,
for the purposes of this section, be considered to be maintained by the
agency which deposited the record and shall be subject to the provi-
sions of this section. The Administrator of General Services shall not
disclose the record except to the agency which maintains the record,
or under rules established by that agency which are not inconsistent
with the provisions of this section.
(2) Each agency record pertaining to an identifiable individual
which was transferred to the National Archives of the United States
as a record which has sufficient historical or other value to warrant
its continued preservation by the United States Government, prior to
the effective date of this section, shall, for the purposes of this section,
be considered to be maintained by the National Archives and shall
not be subject to the provisions of this section, except that a statement
generally describing such records (modeled after the requirements
relating to records subject to subsections (e) (4) (A) through (G) of
this section) shall be published in the Federal Register.
(3) Each agency record pertaining to an identifiable individual
which is transferred to the National Archives of the United States as
a record which has sufficient historical or other value to warrant its
continued preservation by the United States Government, on or after
the effective date of this section, shall, for the purposes of this section,
be considered to be maintained by the National Archives and shall be
exempt from the requirements of this section except subsections (e) (4)
(A) through (G) and (e) (9) of this section.
(m) GOVERN.MENT CONTRACTORS.-When an agency provides by a
contract for the operation by or on behalf of the agency of a system
of records to accomplish an agency function, the agency shall, con-
sistent with its authority, cause the requirements of this section to be
applied to such system. For purposes of subsection (i) of this section
any such contractor and any employee of such contractor, if such con-
tract is agreed to on or after the effective date of this section, shall be
considered to be an employee of an agency.
(n) MAILING LISTS.-An individual's name and address may not
be sold or rented by an agency unless such action is specifically author-
ized by law. This provision shall not be construed to require the with-
holding of names and addresses otherwise permitted to be made
public.
(o) REPORT ON NEW SrsTE.rs.-Each agency shall provide adequate
advance notice to Congress and the Office of Management and Budget
of any proposal to establish or alter any system of records in order
to permit an evaluation of the probable or potential effect of such pro-
posal on the privacy and other personnel or property rights of indi-
viduals or the disclosure of information relating to such individuals,
and its effect on the preservation of the constitutional principles of
federalism and separation of powers.
(p) ANNUAL REPORT.-The President shall submit to the Speaker
of the House and the President of the Senate, by June 30 of each
calendar year, a consolidated report, separately listing for each Fed-
eral agency the number of records contained in any system of records


27


Sec. 552a







which were exempted from the application of this section under the
provisions of subsections (j) and (k) of this section during the pre-
ceding calendar year, and the reasons for the exemptions, and such
other information as indicates efforts to administer fully this section.
(q) EFFECT OF OTHER LAWS.-No agency shall rely on any exemp-
tion contained in section 552 of this title to withhold from an indi-
vidual any record which is otherwise accessible to such individual
under the provisions of this section. (Pub. L. 93-579, 3, Dec. 31,1974,
88 Stat. 1897, amended Pub. L. 94-183, 2(2), Dec. 31, 1975, 89 Stat.
1057.)
552b. Open meetings
(a) For purposes of this section-
(1) the term "agency" means any agency, as defined in section
552(e) of this title, headed by a collegial body composed of two
or more individual members, a majority of whom are appointed
to such position by the President with the advice and consent of
the Senate, and any subdivision thereof authorized to act on
behalf of the agency;
(2) the term "meeting" means the deliberations of at least the
number of individual agency members required to take action
on behalf of the agency where such deliberations determine or
result in the joint conduct or disposition of official agency busi-
ness, but does not include deliberations required or permitted by
subsection (d) or (e) ; and
(3) the term "members" means an individual who belongs to
a collegial body heading an agency.
(b) Members shall not jointly conduct or dispose of agency business
other than in accordance with this section. Except as provided in sub-
section (c), every portion of every meeting of an agency shall be open
to public observation.
(c) Except in a case where the agency finds that the public inter-
est requires otherwise, the second sentence of subsection (b) shall not
apply to any portion of an agency meeting, and the requirements of
subsections (d) and (e) shall not apply to any information pertain-
ing to ;ich meeting otherwise required by this section to be disclosed
to the public, where the agency properly determines that such portion
or portions of its meeting or the disclosure of such information is
likely to-
(1) disclose matters that are (A) specifically authorized under
criteria established by an Executive order to be kept secret in the
interest of national defense or foreign policy and (B) in fact
properly classified pursuant to such Executive order;
(2) relate solely to the internal personnel rules and practices
of an agency;
(3) disclose matters specifically exempted from disclosure by
statute (other than section 552 of this title), provided that such
statute (A) requires that the matters be withheld from the public
in such a manner as to leave no discretion on the issue, or (B)
establishes particular criteria for withholding or refers to partic-
ular types of matters to be withheld;
(4) disclose trade secrets and commercial or financial informa-
tion obtained from a person and privileged or confidential;


Sec. 552b


28








(5) involve accusing any person of a crime, or formally cen-
suring any person;
(6) disclose information of a personal nature where disclosure
would constitute a clearly unwarranted invasion of personal
privacy;
(7) disclose investigatory records compiled for law enforce-
ment purposes, or information which if written would be con-
tained in such records, but only to the extent that the production
of such records or information would (A) interfere with enforce-
ment proceedings, (B) deprive a person of a right to a fair trial
or an impartial adjudication, (C) constitute an unwarranted
invasion of personal privacy, (D) disclose the identity of a con-
fidential source and, in the case of a record compiled by criminal
law enforcement authority in the course of a criminal investiga-
tion or by an agency conducting a lawful national security
intelligence investigation, confidential information furnished only
by the confidential source, (E) disclose investigative techniques
and procedures, or (F) endanger the life or physical safety of
law enforcement personnel;
(8) disclose information contained in or related to examina-
tion, operating, or condition reports prepared by, on behalf of, or
for the use of an agency responsible for the regulation or supervi-
sion of financial institutions;
(9) disclose information the premature disclosure of which
would-
(A) in the case of an agency which regulates currencies,
securities, commodities, or financial institutions, be likely to
(i) lead to significant financial speculation in currencies.
securities, or commodities. or (ii) significantly endanger the
stability of any financial institution; or
(B) in the case of any agency, be likely to significantly
frustrate implementation of a proposed agency action,
except that subparagraph (B) shall not apply in any instance
where the agency has already disclosed to the public the content or
nature of its proposed action, or where the agency is required by
law to make such disclosure on its own initiative prior to taking
final agency action on such proposal; or
(10) specifically concern the agency's issuance of a subpoena, or
the agency's participation in a civil action or proceeding, an action
in a foreign court or international tribunal, or an arbitration, or
the initiation, conduct, or disposition by the agency of a particular
case of formal agency adjudication pursuant to the procedures in
section 554 of this title or otherwise involving a determination on
the record after opportunity for a hearing.
(d)(1) Action under subsection (c) shall be taken only when a
majority of the entire membership of the agency (as defined in sub-
section (a) (1)) votes to take such action. A separate vote of the agency
members shall be taken with respect to each agency meeting a portion
or portions of which are proposed to be closed to the public pursuant to
subsection (c), or with respect to any information which is proposed
to be withheld under subsection (c)."A single vote may be taken with
respect to a series of meetings, a portion or portions of which are pro-


35-550 0 79 4


Sec. 552b


29





Sec. 552b 30

posed to be. closed to the public, or with respect to any information
concerning such series of meetings, so long as each meeting in such
series involves the same particular matters and is scheduled to be held
no more than thirty days after the initial meeting in such series. The
vote of each agency member participating in such vote shall be re-
corded and no proxies shall be allowed.
(2) Whenever any person whose interests may be directly affected
by a portion of a meeting requests that the agency close such portion to
the public for any of the reasons referred to in paragraph (5), (6), or
(7) of subsection (c), the agency, upon request of any one of its mem-
bers, shall vote by recorded vote whether to close such meeting.
(3) Within one day of any vote taken pursuant to paragraph (1)
or (2), the agency shall make publicly available a written copy of such
vote reflecting the vote of each member on the question. If a portion of
a meeting is to be closed to the public, the agency shall, within one day
of the vote taken pursuant to paragraph (1) or (2) of this subsection,
make publicly available a full written explanation of its action closing
the portion together with a list of all persons expected to attend the
meeting and their affiliation.
(4) Any agency, a majority of whose meetings may properly be
closed to the public pursuant to paragraph (4), (8), (9) (A), or (10)
of subsection (c), or any combination thereof, may provide by regula-
tion for the closing of such meetings or portions thereof in the event
that a majority of the members of the agency votes by recorded vote
at the beginning of such meeting, or portion thereof, to close the exempt
portion or portions of the meeting, and a copy of such vote, reflecting
the vote of each member on the question, is made available to the pub-
lic. The provisions of paragraphs (1), (2), and (3) of this subsection
and subsection (e) shall not apply to any portion of a meeting to which
such regulations apply: Provided, That the agency shall, except to the
extent that such information is exempt from disclosure under the pro-
visions of subsection (c), provide the public with public announce-
ment of the time, place, and subject matter of the meeting and of each
portion thereof at the earliest practicable time.
(e) (1) In the case of each meeting, the agency shall make public
announcement, at least one week before the meeting, of the time, place,
and subject matter of the meeting, whether it is to be open or closed to
the public, and the name and phone number of the official designated
by the agency to respond to requests for information about the meet-
ing. Such announcement shall be nlade unless a majority of the melin-
bers of the agency determines by a recorded vote that agency business
requires that such meeting be called at an earlier date, in which case
the agency shall jmake, public announcement of the. time, place, and
subject, matter of such meeting, and whether open or closed to the
public, at the earliest practicable time.
(2) The time or place. of a meeting may be changed following the
public announcement required by paragraph (1) only if the agency
publicly announces such change at. the earliest practicable time. The
sIbject. matter of a meeting, or the determination of the agency to
open or close a Jeeting, or portion of a meeting, to thle pll)ublic, may be
c(ha-nged(l followiniir the public aniol ce1meinleit required by this subsec-
tion only if (A) a majority of the entire membership of the agency





Sec. 552b


determines by a recorded vote that agency business so requires and that
no earlier announcement of the change was po-ible, and (B) the
agency publicly announces such change and the vote of each member
upon such change at the earliest practicable time.
(3) Immediately following each public announcement required by
this subsection, notice of the time, place, and subject matter of a meet-
ing, whether the meeting is open or clos:ed, any change in one of the
preceding, and the name and phone number of the official designated
by the agency to respond to requests for information about the meeting,
shall also be submitted for publication in the Federal Register.
(f) (1) For every meeting clo-dl pursuant to paragraphs (1)
through (10) of subsection (c). the General Counsel or chief legal
officer of the agency shall publicly certify that, in his or her opinion.
the meeting may be closed to the public and shall state each relevant
exempt ive provision. A copy of such certification, together with a state-
ment from the presiding officer of the meeting setting forth the time
and place of the meeting, and the persons present, shall be retained by
the agency. The agency shall maintain a complete transcript or elec-
tronic recording adequate to record fully the proceedings of each
meeting, or portion of a meeting, closed to the public, except that in
the case of a meeting, or portion of a meeting, closed to the public pur-
suant to paragraph (8), (9) (A), or (10) of sub),o(tion (c),. the agency
shall maintain either such a transcript or recording, or a set of minutes.
Such minutes shall fully and clearly describe all matters d(liscussed and
shall provide a full and accurate summary of any actions taken, and
the reasons therefore, including a de-cription of each of the views
expressed on any item and the record of any rollcall vote (reflecting
the vote of each member on the question). All documents considered in
connection with any action shall be identified in such minutes.
(2) The agency shall make promptly available to the public, in a
place easily accessible to the public, the transcript, electronic record-
ing, or minutes (as required by paragraph (1)) of the discussion of
any item on the agenda, or of any item of the testimony of any witness
received at the meeting, except for such item or items of such discus-
sion or testimony as the agency determines to contain information
which may be withheld under subsection (c). Copies of such tran:,-ript,
or minutes, or a transcription of such recording disclosing the identity
of each speaker, shall be furnished to any person at the actual cost of
duplication or transcription. The agency shall mijaintain a complete
verbatim copy of the transcript, a complete copy of the minutes, or a
complete electronic recording of each meeting, or portion of a meeting.
closed to the public, for a period of at least two yeai's after such meet-
ing, or until one year after the conclusion of any agency proceeding
with respect to which the meeting or portion was held, whichever
occurs later.
(g) Each agency subject to the requirements of this section shall,
within 180 days after the date of enactment of this section, following
consultation with the Office of the Chairman of the Administrative
Conference of the United States and published notice in the Federal
Register of at least thirty days and opportunity for written comment
by any person, promulgate regulations to implement the requirements
of subsections (b) through (f) of this section. Any person may bring







Sec. 552b 32


a proceeding in the United States District Court for the District of
Columbia to require an agency to promulgate such regulations if such
agency has not promulgated such regulations within the time period
specified herein. Subject to any limitations of time provided by law, any
person may bring a proceeding in the United States Court of Appeals
for the District of Columbia to set aside agency regulations issued pur-
suant to this subsection that are not in accord with the requirements of
subsections (b) through (f) of this section and to require the pro-
mulgation of regulations that are in accord with such subsections.
(h) (1) The district courts of the United States shall have jurisdic-
tion to enforce the requirements of subsections (b) through (f) of this
section by declaratory judgment, injunctive relief, or other relief as
may be appropriate. Such actions may be brought by any person
against an agency prior to, or within sixty days after, the meeting out
of which the violation of this section arises, except that if public an-
nouncement of such meeting is not initially provided by the agency in |1
accordance with the requirements of this section, such action may be
instituted pursuant to this section at any time pior to sixty days after
any public announcement of such meeting. Such actions may be
brought in the district court of the United States for the district in a
which the agency meeting is held or in which the agency in question has
its headquarters, or in the District Court for the District of Columbia.
In such actions a defendant shall serve his answer within thirty days
after the service of the complaint. The burden is on the defendant to
sustain his action. In deciding such cases the court may examine in
camera any portion of the transcript, electronic recording, or minutes 3
of a meeting closed to the public, and may take such additional evi-
dence as it deems necessary. The court, having due regard for orderly tol
administration and the public interest, as well as the interests of the
parties, may grant. such equitable relief as it deems appropriate, in-
cluding granting an injunction against future violations of this sec-
tion or ordering the agency to make available to the public such por-
tion of the transcript, recording, or minutes of a meeting as is not au-
thorized to be withheld under subsection (c) of this section. thp
(2) Any Federal court otherwise authorized by law to review P
agency action may, at the application of any person properly partici-
pating in the proceeding pursuant to other applicable law, inquire into
violations by the agency of the requirements of this section and afford
such relief as it deems appropriate. Nothing in this section authorizes
any Federal court, having jurisdiction solely on the basis of paragraph
(1) to set aside, enjoin, or invalidate any agency action (other than
an action to close a meeting or to withhold information under this
section) taken or discussed at any agency meeting out of which the E
violation of this section arose. 6
(i) The court may assess against any party reasonable attorney
fees and other litigation costs reasonably incurred by any other party
who substantially prevails in any action brought in accordance with
the provisions of subsection (g) or (h) of this section, except that
costs may be assessed against the plaintiff only where the court finds
that the suit was initiated by the plaintiff primarily for frivolous or
d(ilatory purposes. In the case of assessment of costs against an agency,
tho costs may be assessed by the court against the United States.
tlrro1


Sec. 552b


32








(j) Each agency subject to the requirements of this section shall
annually report to Congress regarding its compliance with such re-
quirements, including a tabulation of the total number of agency
meetings open to the public, the total number of meetings closed to the
public, the reasons for closing such meetings, and a description of any
litigation brought against the agency under this section, including any
costs assessed against the agency in such litigation (whether or not
paid by the agency).
(k) Nothing herein expands or limits the present rights of any
person under section 552 of this title, except that the exemptions set
forth in subsection (c) of thick section shall govern in the case of any
request made pursuant to section 552 to copy or inspect the transcripts,
recordings, or minutes described in subsection (f) of this section. The
requirements of chapter 33 of title 44, United States Code, shall not
apply to the transcripts, recordings, and minutes described in subsec-
tion (f) of this section.
(1) This section does not constitute authority to withhold any in-
formation from Congress, and does not authorize the closing of any
agency meeting or portion thereof required by any other provision of
law to be open.
(m) Nothing in this section authorizes any agency to withhold from
any individual any record, including transcripts, recordings, or min-
utes required by this section, which is otherwise accessible to such in-
dividual under zeotion 552a of this title. (Pub. L. 94-409, 3(a),
Sept. 13, 1976, 90 Stat. 1241.)
53. Rule making
(a) This section applies, according to the provisions thereof, except
to the extent that there is involved-
(1) a military or foreign affairs function of the United States;
or
(2) a matter relating to agency management or personnel or to
public property, loans. grants. benefits, or contracts.
(b) General notice of proposed rule making shall be published in
the Federal Register, unless persons subject thereto are named and
either personally served or otherwise have actual notice thereof in
accordance with law. The notice shall include-
(1) a statement of the time, place, and nature of public rule
making proceedings;
(2) reference to the legal authority under which the rule is
proposed; and
(3) either the terms or substance of the proposed rule or a
description of the subjects and issues involved.
Except when notice or hearing is required by statute, this subsection
does not apply-
(A) to interpretative rules, general statements of policy, or
rules of agency organization, procedure, or practice: or
(B) when the agency for good cause, finds (and incorporates
the finding and a brief statement of reasons therefore in the rules
issued) that notice and public procedure thereon are impractica-
ble, unnecessary, or contrary to the public interest.
(c) After notice required by this section, the agency shall give
interested persons an opportunity to participate in the rule making
through submission of written data, views, or arguments with or with-


Sec. 553


33





Sec. 554 34

out opportunity for oral presentation. After consideration of the rele-
vant matter presented, the agency shall incorporate in the rules
adopted a concise general statement of their basis and purpose. When
rules are required by statute to be made on the record after oppor-
tunity for an agency hearing, sections 556 and 557 of this title apply 7
instead of this subsection.
(d) The required publication or service of a substantive rule shall
be made not less than 30 days before its effective date, except-
(1) a substantive rule which grants or recognizes an exemption
or relieves a restriction;
(2) interpretative rules and statements of policy; or
(3) as otherwise provided by the agency for good cause found
and published with the rule.
(e) Each agency shall give an interested person the right to peti-
tion for the issuance, amendment, or repeal of a rule. (Pub. L. 89-554,
Sept. 6,1966,80 Stat. 383.)
554. Adjudications
(a) This section applies, according to the provisions thereof, in
every case of adjudication required by statute to be determined on the
record after opportunity for an agency hearing, except to the extent
that there is involved-
(1) a matter subject to a subsequent trial of the law and the i
facts de novo in a court;
(2) the selection or tenure of an employee, except an administra-
tive law judge appointed under section 3105 of this title;
(3) proceedings in which decisions rest solely on inspections,
tests, or elections;
4) the conduct of military or foreign affairs functions;
5) cases in which an agency is acting as an agent for a court;
or
(6) the certification of worker representatives.
(b) Persons entitled to notice of an agency hearing shall be timely R1
informed of-
(1) the time, place, and nature of the hearing;
(2) the legal authority and jurisdiction under which the hear-
ing is to be held; and fl
(3) the matters of fact and law asserted. or
When private persons are the moving parties, other parties to the
proceeding shall give prompt notice of issues controverted in fact or foi
law; and in other instances agencies may by rule require responsive ti
pleading. In fixing the time and place for hearings, due regard shall tin
be had for the convenience and necessity of the parties or their repre- i
sentatives.
(c) The agency shall give all interested parties opportunity for-
(1) the submission and consideration of facts, arguments, 1at
offers of settlement or proposals of adjustment when time, the it
nature of the proceeding, and the public interest permit; and
(2) to the extent that the parties are unable, so to determine a ar
controversy by consent, hearing and decision on notice and in i m
accordance with sections 556 and 557 of this title.
(d) The employee who presides at the reception of evidence pur-
suant to section 556 of this title shall make the recommended decision o
!






Sec. 555


or initial decision required by section 557 of this title, unless he be-
comes unavailable to the agency. Except to the extent required for the
disposition of ex parte matters as authorized by law, such an employee
may not-
(1) consult a person or party on a fact in issue, unless on
not ice and opportunity for all parties to participate; or
(2) be responsible to or subject to the supervision or direction
of an employee or agent engaged in the performance of investi-
gativ-e or prosecuting functions for an agency.
An employee or agent engaged in the performance of investigative
or prosecuting functions for an agency in a case may not, in that or a
factually related case, participate or advise in the decision, recom-
mended decision, or agency review pursuant to section 557 of this
title, except as witness or counsel in public proceedings. This subsec-
tion does not apply-
(A) in determining applications for initial licenses;
(B) to proceedings involving the validity or application of
rates, facilities, or practices of public utilities or carriers; or
(C) to the agency or a member or members of the body com-
prising the agency.
(e) The agency, with like effect as in the case of other orders, and
in its sound discretion, may issue a declaratory order to terminate a
controversy or remove uncertainty. (Pub. L. 89-554, Sept. 6, 1966,
80 Stat. 384; amended Pub. L. 95-251, Mar. 27, 1978, 92 Stat. 183.)
555. Ancillary matters
(a) This section applies, according to the provisions thereof, ex-
cept as otherwise provided by this subchapter.
(b) A person compelled to appear in person before an agency or
representative thereof is entitled to be accompanied, represented, and
advised by counsel or, if permitted by the agency, by other qualified
representative. A party is entitled to appear in person or by or with
counsel or other duly qualified representative in an agency proceed-
ing. So far as the orderly conduct of public business permits, an inter-
ested person may appear before an agency or its responsible employees
for the presentation, adjustment, or determination of an issue, request,
or controversy in a proceeding, whether interlocutory, summary, or
otherwise, or in connection with an agency function. With due regard
for the convenience and necessity of the parties or their representa-
tives and within a reasonable time, each agency shall proceed to con-
clude a matter presented to it. This subsection does not grant or deny
a person who is not a lawyer the right to appear for or represent
others before an agency or in an agency proceeding.
(c) Process, requirement of a report, inspection, or other investi-
gativ act or demand may not be issued, made, or enforced except as
authorized by law. A person compelled to submit data or evidence is
entitled to retain or, on payment of lawfully prescribed costs, procure
a copy or transcript thereof, except that in a nonpublic investigatory
proceeding the witness may for good cause be limited to inspection of
the official transcript of his testimony.
(d) Agency subpenas authorized by law shall be issued to a party
on request and, when required by rules of procedure on a statement or








showing of general relevance and reasonable scope of the evidence
sought. On contest, the court shall sustain the subpoena or similar
process or deniand to the extent that it is found to be in accordance
with law. In a proceeding for enforcement, the court shall issue an
order requiring the appearance of the witness or the production of the
evidence or data within a reasonable time under penalty of punish-
ment for contempt in case of contumacious failure to comply.
(e) Prompt notice shall be given of the denial in whole or in part
of a written application, petition, or other request of an interested
person made in connection with any agency proceedings. Except in
affirming a prior denial or when the denial is self-explanatory, the
notice shall be accompanied by a brief statement of the grounds for
denial. (Pub. L. 89-554, Sept. 6,1966,80 Stat. 385.)
'556. Hearings; presiding employees; powers and duties; burden
of proof; evidence; record as basis of decision
(a) This section applies, according to the provisions thereof, to
hearings required by section 553 or 554 of this title to be conducted
in accordance with this section.
(b) There shall preside at the taking of evidence-
(1) the agency;
(2) one or more members of the body which comprises the
agency; or
(3) one or more administrative law judges appointed under
section 3105 of this title.
This subchapter does not supersede the conduct of specified classes of
proceedings, in whole or in part, by or before boards or other em-
ployees specially provided for by or designated under statute. The
functions of presiding employees and of employees participating in
decisions in accordance with section 557 of this title shall be con-
ducted in an impartial manner. A presiding or participating employee
may at any time disqualify himself. On the filing in good faith of a
timely and sufficient affidavit of personal bias or other disqualification
of a presiding or participating employee, the agency shall determine
the matter as a part of the record and decision in the case.
(c) Subject to published rules of the agency and within its powers,
employees presiding at hearings may-
(1) administer oaths and affirmations;
(2) issue subpenas authorized by law;
(3) rule on offers of proof and receive relevant evidence;
(4) take depositions or have depositions taken when the ends
of justice would be served;
(5) regulate the course of the hearing;
(6) hold conferences for the settlement or simplification of the
issues by consent of the parties; 0
(7) dispose of proce(dural requests or similar matters;
(8) make or recomnmend decisions in accordance with section
557 of this title; and
(9) take other action authorized by agency rule consistent with
this subclhapter.
(d) lExCept as otherwise provided by statute, the proponent of a rule
or order lias the burden of proof. Any oral or documentary evidence
may be received, but the agency as a matter of policy shall provide


Sec. 556


36





Sec. 557


for the exclusion of irrelevant, immaterial, or unduly repetitious evi-
dence. A sanction may not be imposed or rule or order issued except
on consideration of the whole record or those parts thereof cited by a
party and supported by and in accordance with the reliable, probative,
and substantial evidence. The agency may, to the extent consistent
with the interests of justice and the policy of the underlying statutes
administered by the agency, consider a violation of section 557(d) of
this title sufficient grounds for a decision adverse to a party who has
knowingly committee such violation or knowingly caused such viola-
tion to occur. A party is entitled to present his case or defense by oral
or documentary evidence, to submit rebuttal evidence, and to conduct
such cross-examination as may be required for a full and true disclo-
sure of the facts. In rule making or determining claims for money or
benefits or applications for initial licenses an agency may, when a
party will not be prejudiced thereby, adopt procedures for the sub-
mission of all or part of the evidence in written form.
(e) The transcript of testimony and exhibits, together with all
papers and requests filed in the proceeding constitutes the exclusive
record for decision in accordance with section 557 of this title and, on
payment of lawfully prescribed costs, shall be made available to the
parties. When an agency decision rests on official notice of a material
fact not appearing in the evidence in the record, a party is entitled.
on timely request, to an opportunity to show the contrary. (Pub. L.
89-554, Sept. 6, 1966, 80 Stat. 386: amended Pub. L. 94-409, Sept. 13,
1976, 90 Stat. 1247; Pub. L. 95-251, Mar. 27, 1978, 92 Stat. 183.)
557. Initial decisions; conclusiveness; review by agency; sub-
missions by parties; contents of decisions; record
(a) This section applies, according to the provisions thereof, when
a hearing is required to be conducted in accordance with section 556
of this title.
(b) When the agency did not preside at the reception of the evi-
dence, the presiding employee or, in cases not subject to section 554(d)
of this title, an employee qualified to preside at. hearings pursuant to
section 556 of this title, shall initially decide the case unhl-e the agency
requires, either in specific cases or by general rule, the entire record
to be certified to it for dv-,iion. When the presiding employee makes an
initial decision, that decision then becomes the decision of the agency
without further proceedings unless there is an appeal to. or review on
motion of, the agency within time provided by rule. On appeal from or
review of the initial decision, the agency has all the powers which it.
would have in making the initial decision except as it may limit the
issues on notice or by rule. When the agency makes the decision without
having presided at the reception of the evidence, the presiding em-
ployee or an employee qualified to preside at hearings pursuant to
section 556 of this title shall first recommend a decision, except that
in rule making or determining applications for initial licenses-
(1) instead thereof the agency may issue a tentative decision or
one of its responsible employees may recommend a decision; or
(2) this procedure may be omitted in a case in which the agency
finds on the record that due and timely execution of its functions
imperatively and unavoidably so requires.







(c) Before a recommended, initial, or tentative decision, or a deci-
sion on agency review of the decision of subordinate employees, the
parties are entitled to a reasonable. opportunity to submit for the con-
sideration of the employees participating in the decisions-
(1) proposed findings and conclusions; or
(2) exceptions to the decision or recommended decisions of
subordinate employees or to tentative agency decisions; and
(3) supporting reasons for the exceptions or proposed find-
ings or conclusions.
The record shall show the ruling on each finding, conclusion, or ex-
ception presented. All decisions, including initial, recommended, and
tentative decisions, are a part of the record and shall include a state-
ment of-.
(A) findings and conclusions, and the reasons or basis there-
for, on all the material issues of fact, law, or discretion presented
on the record; and
(B) the appropriate rule, order, sanction, relief, or denial
thereof.
(d) (1) In any agency proceeding which is subject to subsection
(a) of this section, except to the extent required for the disposition
of ex parte matters as authorized by law-%
(A) no interested person outside the agency shall make or
knowingly cause to be made to any member of the body compris- V
ing the agency, administrative law judge, or other employee who
is or may reasonably be expected to be involved in the decisional
process of the proceeding, an ex parte communication relevant to
the merits of the proceeding; :
(B) no member of the body comprising the agency, adminis- i
trative law judge, or other employee who is or may reasonably be
expected to be involved in the decisional process of the proceed-
ing, shall make or knowingly cause to be made to any interested
person outside the agency an ex parte communication relevant to
the merits of the proceeding;
(C) a member of the body comprising the agency, administra-
tive law judge, or other employee wlho is or may reasonably be
expected to be involved in the decisional process of such proceed-
ing who receives, or who makes or knowingly causes to be made,
a communication prohibited by this subsection shall place on the 6
public record of the proceeding:
(i) all such written communications;
(ii) memoranda stating tlhe substance of all such oral corn-
munications; and
(iii) all written responses, and memoranda stating the
substance of all oral responses, to the materials described in
clauses (i) and (ii) of this subparagraph;
(D) upon receipt of a communication knowingly made or
knowingly -:aused to be mide by a party in violation of this sub-
section, tle agency, administrative law jlldge, or other employee i
presiding at the hearing may. to tlie extent consistent with the
interests of justice and tlhe policy of the underlying statutes.
require the party to show cause why his claim or interest in the


38


Sec. 557








proceeding should not be dismissed, denied, disregarded, or other-
wise adversely affected on account of such violation; and
(E) the prohibitions of this sub-eetion shall apply beginning
at such time as the agency may designate, but in no case shall
they begin to apply later than the time at which a proceeding is
noticed for hearing unless the person responsible for the com-
munication has knowledge that it will be noticed, in which case
the prohibitions shall apply beginning at the time of his acquisi-
tion of such knowledge.
(2) This subsection does not constitute authority to withhold infor-
Smation from Congress. (Pub. L. 89-554. Sept. 6. 1966. 80 Stat. 387:
amended Pub. L. 94-409. Sept. 13. 1976. 90 Stat. 1246.)
558. Imposition of sanctions; determination of applications for
licenses; suspension, revocation, and expiration of
licenses
(a) This section applies, according to the provisions thereof, to the
exercise of a power or authority.
S(b) A sanction may not be imposed or a substantive rule or order
Issued except within jurisdiction delegated to the agency and as
authorized by law.
(c) When application is made for a license required by law. the
agency, with due regard for the rights and privileges of all the inter-
ested parties or adverSely affected persons and within a reasonable
Time, shall set and complete proceedings required to be conducted
in accordance with sections 556 and 557 of this title or other proceed-
infrs required by law and shall make its decision. Except in cases of
willfulness or those in which public health, interest, or safety requires
Otherwise, the withdrawal, suspension, revocation, or annulment of a
license is lawful only if, before the institution of agency proceedings
Stherefor, the licensee has been given-
(1) notice by the agency in writing of the facts or conduct
which may warrant the action: and
(2) opportunity to demonstrate or achieve compliance with all
lawful requirements.
When the licensee has made timely and sufficient application for a re-
newal or a new license in accordance with agency rules, a license with
Reference to an attivitv of a continuing nature does not expire until
the application has been finally determined by the agency. (Pub. L.
89-554, Sept. 6,1966,80 Stat. 388.)
559. Effect on other laws; effect of subsequent statute
This subchapter, chapter 7. and sections 1305, 3105. 3344, 4301(2)
S(E), 5372. and 7521 of this title, and the provisions of section 5335 (a)
1 (B) of this title that relate to administrative law judges, do not limit
or repeal additional requirements imposed by statute or otherwise
r recognized by law. Except as otherwise required by law. requirements
Sor privileges relating to evidence or procedure apply equally to
? agencies and persons. Each agency is arranted the authority nece'sary
Sto comply with the requirements of this subchapter through the
Issuance of rules or otherwise. Subsequent statute may not be held to


Sec. 558


39









supersede or modify this subchapter, chapter 7, sections 1305, 3105,
3344,4301(2) (E), 5372, or 7521 of this title, or the provisions of section
5335(a) (B) of this title that relate to administrative law judges,
except to the extent that it does so expressly. (Pub L. 89-554, Sept. 6.
1966, 80 Stat. 388, amended Pub. L. 90-623, 1(1), Oct. 22, 1968, 82
Stat. 1312; Pub. L. 95-251, Mar. 27, 1978, 92 Stat. 183; Pub. L. 95-454,
Oct. 13,1978,92 Stat. 1221.)






































;i








t:


ii
I

Jh


Sec. 559


40





$1 Sec. 571


SUBCHAPTER III-ADMINISTRATIVE CONFERENCE OF
THE UNITED STATES
571. Purpose
I It is the purpose of this subchapter to provide suitable arrangements
through which Federal agencies, assisted by outside experts, may co-
operatively study mutual problems, exchange information, and develop
recommendations for action by proper authorities to the end that pri-
vate rights may be fully protected and regulatory activities and other
Federal responsibilities may be carried out expeditiously in the public
interest. (Pub. L. 89-554, Sept. 6, 1966,80 Stat. 388.)
572. Definitions
For the purpose of this subchapter-
(1) "administrative program" includes a Federal function
which involves protection of the public interest and the determina-
tion of rights, privileges, and obligations of private persons
through rule making, adjudication, licensing, or investigation, as
those terms are used in subchapter II of this chapter, except that it
does not include a military or foreign affairs function of the
United States;
(2) "administrative agency" means an authority as defined by
section 551 (1) of this title; and
(3) "administrative procedure" means procedure used in carry-
ing out an administrative program and is to be broadly construed
to include any aspect of agency organization, procedure, or man-
agement which may affect the equitable consideration of public
and private interests, the fairness of agency decisions, the speed
of agency action, and the relationship of operating methods to
later judicial review, but does not include the scope of agency re-
sponsibility as established by law or matters of substantive policy
committed by law to agency discretion.
(Pub. L. 89-554, Sept. 6,1966,80 Stat. 388.)
573. Administrative Conference of the United States
I (a) The Administrative Conference of the United States consists of
'not more than 91 nor less than 75 members appointed as set forth in
subsection (b) of this section.
(b) The Conference is composed of-
(1) a full-time Chairman appointed for a 5-year term by the
President, by and with the advice.and consent of the Senate. The
Chairman is entitled to pay at the highest rate established by
statute for the chairman of an independent regulatory board or
commission, and may continue to serve until his successor is
appointed and has qualified;
(2) the chairman of each independent regulatory board or com-
mission or an individual designated by the board or commission;





Sec. 574 42

(3) the head of each Executive department or other adminis-
trative agency which is designated by the President, or an indi1
vidual designated by the head of the department or agency;
(4) when authorized by the Council referred to in section 575
(b) of this title, one or more appointees from a board, commission,
department, or agency referred to in this subsection, designated
by the head thereof with, in the case of a board or commission, the
approval of the board or commission;
(5) individuals appointed by the President to membership on
the Council who are not. otherwise members of the Conference;.
and
(6) not more than 36 other members appointed by the Chair-
man, with the approval of the Council, for terms of 2 years, except
that the number of members appointed by the Chairman may at,
no time be less than one-third nor more thann two-fifths of the
total number of members. The Chairman shall select the members,
in a manner which will provide broad representation of the views,
of private citizens and utilize diverse experience. The members
shall be members of the practicing bar, scholars in the field o
administrative law or government, or others specially informed by
knowledge and experience with respect to Federal administrative
procedure.
(c) Members of the Conference, except the Chairman, are not en-
titled to pay for service. Members appointed from outside the Federal
Government are entitled to travel expenses, including per diem instead
of subsistence, as authorized by section 5703 of this title for individ-
uals serving without, pay. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 389.)
574. Powers and duties of the Conference
To carry out the purpose of this subchapter, the Administrative
Conference of the United States may-
(1) study the efficiency, adequacy, and fairness of the adminis-
trative procedure used by administrative agencies in carrying out
administrative programs, and make recommendations to adminis-
trative agencies, collectively or individually, and to the President.
Congress, or the Judicial Conference of the United States, in con-
nection therewith, as it considers appropriate;
(2) arrange for interchange among administrative agencies oJ
information potentially useful in improving administrative pro.
cedure; and
(3) collect information and statistics from administrative agen
cies and publish such reports as it considers useful for evaluiatin
and improving aiininistrative procedure.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 390).
575. Organization of the Conference
(a) The membership of the Administrative Conference of th,,
UTnit(ed States meeting in plenary session constitutes the Assembly o:
tlie Conference. The asseminbl irhas ultimate authority over all activItiea
of the Conference. Specifically, it has the power to-
(1) adopt, such recommendations as it considers appropriate.
for imlproving a(dmliniistrative, procedure. A member who disagree
with a, recommendation adopted by the Assembly is entitled tV

iI
i





Sec. 575


enter a dessenting opinion and an alternate proposal in the record
of the Conference proceedings, and the opinion and proposal so
entered shall accompany the Conference recommendation .in a
publication or distribution thereof; and
(2) adopt bylaws and regulations not inconsistent with this
subchapter for carrying out the functions of the Conference, in-
cluding the creation of such committees as it considers necessary
for the conduct of studies and the development of recommenda-
tions for consideration by the Assembly.
(b) The Conference includes a Council composed of the Chairman
of the Conference, who is Chairman of the Council, and 10 other mem-
bers appointed by the President, of whom not more than one-half
shall be employees of Federal regulatory agencies or Executive de-
partments. The President may designate a member of the Council as
Vice Chairman. During the absence or incapacity of the Chairman or
when that office is vacant, the Vice Chairman shall serve as Chairman.
The term of each member, except the Chairman, is 3 years. When the
term of a member ends, he may continue to serve until a successor is
appointed. However, the service of any member ends when a change
in his employment status would make him ineligible for Council
membership under the conditions of his original appointment. The
Council has the power to-
(1) determine the time and place of plenary sessions of the
Conference and the agenda for the .t.ions. The Council shall
call at least one plenary session each year;
(2) propose bylaws and regulations, including rules of proce-
dure and committee organization, for adoption by the Assembly;
(3 make recommendations to the Conference or its committees
on a subject germane to the purpose of the Conference;
(4) receive and consider reports and recommendations of com-
mittees of the Conference and send them to members of the Con-
ference with the views and recommendations of the Council;
(5) designate a member of the Council to preside at meetings
of the Council in the alience or incapacity of the Chairman and
Vice Chairman;
(6) designate such additional officers of the Conference as it
considers desirable;
(7) approve or revise the budgetary proposals of the Chair-
man; and
(8) exercise such other powers as may be delegated to it by the
Assembly.
(c) The Chairman is the chief executiv-e of the Conference. In that
capacity he has the power to-
(1) make inquiries into matters he considers important for
Conference consideration, including matters proposed by individ-
uals inside or outside the Federal Government;
(2) be the official spokesman for the Conference in relations
with the several branches and agencies of the Federal Government
and with interested organizations and individuals outside the
Government, including responsibility for encouraging Federal
agencies to carry out the recommendations of the Conference;
(3) request agency heads to provide information needed by the








Conference, which information shall be supplied to the extent
permitted by law;
(4) recommend to the Council appropriate subjects for action
by the Conference;
(5) appoint, with the approval of the Council, members of
committees authorized by the bylaws and regulations of the
Conference;
(6) prepare, for approval of the Council, estimates of the budg-
etary requirements of the Conference;
(7) appoint and fix the pay of employees, define their duties
and responsibilities, and direct and supervise their activities;
(8) rent office space in the District of Columbia;
(9) provide necessary services for the Assembly, the Council,
and the committees of the Conference;
(10) organize and direct studies ordered by the Assembly or
the Council, to contract for the performance of such studies with
any public or private persons, firm, association, corporation, or
institution under title III of the Federal Property and Adminis-
trative Services Act of 1949, as amended (41 U.S.C. 251-260), and
to use from time to time, as appropriate, experts and consultants
who may be employed in accordance with section 3109 of this title
at 'rates not in excess of the maximum rate of pay for grade GS-15
as provided in section 5332 of this title;
(11) utilize, with their consent, the services and facilities of
Federal agencies and of State and private, agencies and instru-
mentalities with or without reimbursement;
(12) accept, hold, administer, and utilize gifts, devices, and be-
quests of property, both real and personal, for the purpose of
aiding and facilitating the work of the Conference. Gifts and be-
quests of money and proceeds from sales of other property re-
ceived as gifts, devises, or bequests shall be deposited in the
Treasury and shall be disbursed upon the order of the Chairman.
Property accepted pursuant to this section, and the proceeds there-
of, shall be used as nearly as possible in accordance with the terms
of the gifts, devises, or bequests. For purposes of Federal income,
estate, or gift taxes, l)rop.erty accepted under this section shall be
considered as a gift, devise, or Ibequest to tlihe United States;
(13) accept voluntary and uncompensated services notwith-
standing the provisions of section 3679(b) of tlhe Revised Statutes
(31 U.S.C. 665(b));
(14) on request of the head of an agency, furnish assistance and
advice on matters of administrative procedure; and
(15) exercise schl additional authority as the Council or As-
sembly delegates to him.
Thle Chairman shall preside at meetings of the Council and at each
p)lenary sessionll of the Conference, to which lie shall make a full report
concerning the affairs of tlhe Conference since the last preceding
plenary session. The Chlairman, on behalf of the Conference, shall
transmit to thlie Presi(dent and Congress an annual report and such
interim reports as lie considers desirablel. (Pub. L. 89-554, Sept. 6,
1966, 80 Stat. 390, amended Pub. L. 92-526, 1, Oct. 21, 1972, 86 Stat.
1048.)


Sec. 575


44









576. Appropriations
To carry out the purposes of this subchapter, there are authorized to
be appropriated sums not to exceed $1,700,000 for the fiscal yea ri ending
September 30, 1979, $2,000,000 for the fiscal year ending September 30,
1980, $2,300,000 for the fiscal year ending September 30, 1981, and
$2,300,000 for the fiscal year ending September 30, 1982. (Pub. L. 95-
293, June 13, 1978,92 Stat. 317.)


35-550 0 79 5


Sec. 576


45







Sec. 701 46


CHAPTER 7-JUDICIAL REVIEW
SEC.
701. Application; definitions.
702. Right of review.
703. Form and venue of proceeding
704. Actions reviewable.
705. Relief pending review.
706. Scope of review.
701. Application; definitions
(a) This chapter applies, according to the provisions thereof, ex-
cept to the extent that- P
(1) statutes preclude judicial review; or
(2) agency action is committed to agency discretion by law.
(b) For the purpose of this chapter-
(1) "agency" means each authority of the Government of the
United States, whether or not it is within or subject to review by
another agency, but does not include--
(A) the Congress;
(B) the courts of the United States;
(C) the governments of the territories or possessions of
the United States;
(D) the government of the District of Columbia;
(E) agencies composed of representatives of the parties
or of representatives of organizations of the parties to the u
disputes determined by them; ;
(F) courts martial and military commissions;
(G) military authority exercised in the field in time of
war or in occupied territory; or
(H) functions conferred by sections 1738, 1739, 1743, and i
1744 of title 12; chapter 2 of title 41; or sections 1622, 1884,
1891-1902, and former section 1641(b)(2), of title 50, r
appendix; and
(2) "person", "rule", "order", "license", "sanction", "relief",
and "agency action" have the meanings given them by section 551
of this title.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 392.)
702. Right of review
A person suffering legal wrong because of agency action, or ad- i
v'ersely affected or aggrieved by agency action within the meaning of o'!
; relevant, statute, is entitled to judicial review thereof. An action in a li
court of the United States seeking relief other than money damages r
and stating a claim that an agency or an officer or employee thereof iV
acted or failed to act in an official capacity or under color of legal
authority shall not be dismissed nor relief therein be denied on the
ground that it is against the United States or that the United States is
an indispensable party. The United States may be named as a defend-


Sec. 701


46






47 Sec. 703

ant in any such action, and a judgment or decree may be entered
against the United States: Pro cvided, That any mandatory or injunc-
tive decree shall specify the Federal officer or officers (by name or by
title), and their successors in office, personally responsible for compli-
ance. Nothing herein (1) affects other limitations on judicial review
or the power or duty of the court to dismiss any action or deny relief
on any other appropriate legal or equitable ground; or (2) confers
authority to grant relief if any other statute that grants consent to
suit expressly or impliedly forbids the relief which is sought. (Pub. L.
89-554, Sept. 6, 1966, 80 Stat. 392; amended Pub. L. 94-574, Oct. 21,
1976, 90 Stat. 2721.)
703. Form and venue of proceeding
The form of proceeding for judicial review is the special statutory
review proceeding relevant to the subject matter in a court specified by
statute or, in the absence or inadequacy thereof, any applicable form
of legal action, including actions for declaratory judgments or writs of
prohibitory or mandatory injunction or habeas corpus, in a court of
competent jurisdiction. If no special statutory review proceeding is
applicable, the action for judicial review may be brought against the
United States, the agency by its official title, or the appropriate officer.
Except to the extent that prior, adequate, and exclusive opportunity
for judicial review is provided by law, agency action is subject to
judicial review in civil or criminal proceedings for judicial enforce-
ment. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 392; amended Pub. L.
94-574, Oct. 21, 1976,90 Stat. 2721.)
704. Actions reviewable
Agency action made reviewable by statute and final agency action
for which there is no other adequate remedy in a court are subject to
Judicial review. A preliminary, procedural, or intermediate agency
action or ruling not directly reviewable is subject to review on the
review of the final agency action. Except as otherwise expressly
required by statute, agency action otherwise final is final for the pur-
poses of this section whether or not there has been presented or deter-
mined an application for a declaratory order, for any form of re-
consideration, or, unless the agency otherwise requires by rule and
provides that the action meanwhile is inoperative, for an appeal to
superior agency authority. (Pub. L. 89-554, Sept. 6,1966, 80 Stat. 392.)
705. Relief pending review
When an agency finds that justice so requires, it may postpone the
effective date of action taken by it, pending judicial review. On such
conditions as may be required and to the extent necessary to prevent
irreparable injury, the reviewing court, including the court to which
a case may be taken on appeal from or on application for certiorari or
other writ to a reviewing court, may issue all necessary and appropri-
ate process to postpone the effective date of an agency action or to pre-
serve status or rights pending conclusion of the review proceedings.
S(Pub. L. 89-554, Sept. 6,1966,80 Stat. 393.)
S 706. Scope of review
STo the extent necessary to decision and when presented, the review-
ing court shall decide all relevant questions of law, interpret constitu-









tional and statutory provisions, and determine the meaning or ap-
plicability of the terms of an agency action. The reviewing court
shall-
(1) compel agency action unlawfully withheld or unreasonably
delayed; and
(2) hold unlawful and set aside agency action, findings, and
conclusions found to be-
(A) arbitrary, capricious, an abuse of discretion, or other-
wise not in accordance with law;
(B) contrary to constitutional right, power, privilege, or
immunity;
(C) in excess of statutory jurisdiction, authority, or limi-
tations, or short of statutory right;
(D) without observance of procedure required by law;
(E) unsupported by substantial evidence in a case subject
to sections 556 and 557 of this title or otherwise reviewed on
the record of an agency hearing provided by statute; or
(F) unwarranted by the facts to the extent that the facts
are subject to trial de novo by the reviewing court.
In making the foregoing determinations, the court shall review the
whole record or those parts of it cited by a party, and due account
shall be taken of the rule of prejudicial error. (Pub. L. 89-554, Sept.
6,1966, 80 Stat. 393.)
















i

I. ;


i !




i2
o!


k
h"
*1


48


Sec. 706






S49 Sec. 901







CHAPTER 9-EXECUTIVE REORGANIZATION
SEC.
901. Purpose.
902. Definitions.
903. Reorganization plans.
904. Additional contents of reorganization plan.
905. Limitations on powers.
906. Effective date and publication of reorganization plans.
907. Effect on other laws, pending legal proceedings, and unexpended appro-
priations.
908. Rules of Senate and House of Representatives on reorganization plans.
909. Terms of resolution.
910. Introduction and reference of resolution.
911. Discharge of committee considering resolution.
912. Procedure after report or discharge of committee; debate; vote on final
disapproval.
901. Purpose
(a) The Congress declares that it is the policy of the United
States--
(1) to promote the better execution of the laws, the more ef-
I feet.ive management of the executive branch and of its agencies
and functions, and the expeditious administration of the public
business;
(2) to reduce expenditures and promote economy to the fullest
extent consistent with the efficient operation of the Government;
(3) to increase the efficiency of the operations of the Govern-
mnent to the fullest, extent practicable;
(4) to group, coordinate, and consolidate agencies and func-
tions of the Government, as nearly as may be. according to major
purposes;
(5) to reduce the number of agencies by consolidating those
having similar functions under a single head, and to abolish such
agencies or functions thereof as may not be nece,;ary for the effi-
cient conduct of the Government; and
(6) to eliminate overlapping and duplication of effort.
(b) Congress declares that the public interest, demands the carry-
ing out of the purposes of subsection (a) of this section and that the
purposes may be accomplished in great measure by proceeding under
this chapter, and can be accomplished more speedily thereby than by
the enact ment of specific legislation.
(c) It is the intent of Congress that the President should provide
appropriate means for broad citizen advice and participation in
restructuring and reorganizing the executive branch.
(d) The President shall from time to time examine the organiza-
tion of all agencies and shall determine what chan're in such organi-
zation are necesa ry to carry out any policy set forth in subsection (a)
of this section. (Pub. L. 95-17, Apr. 6, 1977, 91 Stat. 29.)








902. Definitions
For the purpose of this chapter-
(1) "agency" means-
(A) an Executive agency or parttherof; and
(B) an office or officer in the executive branch;
but does not include the General Accounting Office or the Comp-
troller General of the United States;
(2) "reorganization" means a transfer, consolidation, coordina-
tion, authorization, or abolition, referred to in section 903 of this
title; and
(3) "officer" is not limited by section 2104 of this title.
(Pub. L. 95-17, Apr. 6,1977,91 Stat. 30.)
903. Reorganization plans
(a) Whenever the President, after investigation, finds that changes
in the organization of agencies are necessary to carry out any policy
set forth in section 901(a) of this title, he shall prepare a reorganiza-
tion plan specifying the reorganization he finds are necessary. Any
plan may provide for-
(1) the transfer of the whole or a part of an agency, or of the
whole or a part of the functions thereof, to the jurisdiction and
control of another agency;
(2) the abolition of all or a part of the functions of an agency,
except that no enforcement function or statutory program shall
be abolished by the plan;
(3) the consolidation or coordination of the whole or a part
of an agency, or of the whole or a part of the functions thereof,
with the whole or a part of another agency or the functions
thereof;
(4) the consolidation or coordination of a part of an agency
or the functions thereof with another part of the same agency or
the functions thereof;
(5) the authorization of an officer to delegate any of his func-
tions; or
(6) the abolition of the whole or a part of an agency which
agency or part, does not have, or on the taking effect of the re-
organization plan will not have, any functions.
The. President shall transmit the plan (bearing an identification num-
ber) to the Congress together with a declaration that, with respect to
each reorganization included in the plan, he has found that the re-
organization is necessary to carry out any policy set forth in section
901 (a) of this title.
(b) The President shall have a reorganization plan delivered to
both Houises on the same. (lay and to each House while it is in session,
except, that no more than three plans may be pending before the Con- f
gress at one tine. In his message transmitting a reorganization plan,
the P)resident shall specify with respect to each abolition of a function
included in the plan the statutory authority for the exercise of the
function. The message shall also estimate. any reduction or increase in
expenditures (itemized so far as practicable), and describe any im-
provemients in managenirent, delivery of Federal services, execution l
of the laws, and increases in efficiency of Government operations,
L:
t


Sec. 902


50






Sec. 904


which it is expected will be realized as a result of the reorganizations
included in the plan.
(c) Any time during the period of thirty calendar days of con-
tinuous session of Congress after the date on which the plan is trans-
mitted to it, but before any resolution described in :-ction 909 has
been ordered reported in either House, the President may make amend-
ments or modifications to the plan, consistent with -ections 903-905 of
this title, which modifications or revisions shall thereafter be treated
as a part of the reorganization plan originally transmitted and shall
not affect in any way the time limits otherwi-e provided for in this
chapter. The President may withdraw the plan any time prior to the
conclusion of sixty calendar days of continuous session of Congress
following the date on which the plan is submitted to Congress. (Pub.
L. 95-17, Apr. 6, 1977, 91 Stat. 31.)
904. Additional contents of reorganization plan
A reorganization plan transmitted by the Pre-ident under section
903 of this title-
(1) may change, in such cases as the President considers neces-
sary, the name of an agency affected by a reorganization and the
title of its head, and shall designate the name on an agency result-
ing from a reorganization and the title of its head;
(2) may provide for the appointment and pay of the head and
one or more officers of any agency (including an agency resulting
from a consolidation or other type of reorganization) if the Presi-
dent finds, and in his me;-age transmitting the plan declares, that
by reason of a reorganization made by the plan the provisions are
necessary;
(3) shall provide for the transfer or other disposition of the
records, property, and personnel affected by a reorganization;
(4) shall provide for the transfer of such unexpended balances
of appropriations, and of other funds, available for use in connec-
tion with a function or agency affected by a reorganization, as the
President considers nece-sary by reason of the reorganization for
use in connection with the functions affected by the reorganiza-
tion, or for the use of the agency which shall have the functions
after the reorganization plan is effective; and
(5) shall provide for terminating the affairs of an agency
abolished.
A reorganization plan transmitted by the President containing provi-
sions authorized by paragraph (2) of this section may provide that the
head of an agency be an individual or a cominmi:sion or board with more
than one member. In the case of an appointment of the head of such an
agency, the term of office may not be fixed at more than four years, the
pay may not be at a rate in excess of that found by the President to be
applicable to comparable officers in the executive branch, and if the
appointment is not to a position in the competitive service, it shall be
by the President, by and with the advice and consent of the Senate.
Any reorganization plan transmitted by the Pre.ident containing pro-
visions required by paragraph (4) of this section shall provide for
the transfer of unexpended balances only if such balances are used for
the purposes for which the appropriation was originally made. (Pub.
L. 95-17, Apr. 6,1977, 91 Stat. 31.)








905. Limitation on powers
(a) A reorganization plan may not provide for, and a reorganiza-
tion utinder this chapter may not have the effect of-
(1) creating a new executive department, abolishing or trans-
ferring an executive department or independent regulatory
agency, or all the functions thereof, or consolidating two or more
executive departments or two or more independent regulatory
agencies, or all the functions thereof;
(2) continuing an agency beyond the period authorized by law
for its existence or beyond the time when it would have terminated
if the reorganization had not been made;
(3) continuing a function beyond the period authorized by
law for its exercise or beyond the time when it would have ter- i
minated if the reorganization had not been made;
(4) authorizing an agency to exercise a function which is not i
expressly authorized by law at the time the plan is transmitted to
Congress;
(5) increasing the term of an office beyond that provided by i
law for the office; or t
(6) dealing with more than one logically consistent subject J
matter.
(b) A provision contained in a reorganization plan may take effect t
only if the plan is transmitted to Congress within three years of the q
d(late of enactment of the Reorganization Act. of 1977. (Pub. L. 95-17, p
Apr. 6,1977,91 Stat. 32.) F
906. Effective date and publication of reorganization plans
(a) Except as otherwise provided under subsection (c) of this sec-
tion, a reorganization plan is effective at the end of the first period of
sixty calendar days of continuous session of Congress after the date on
which the plan is transmitted to it unless, between the date of trans-
inittal and the end of the sixty-day period, either House passes a reso-
lution stating in substance that the House does not favor the reorgani-
zation plan.
(b) For t.he purpose of this chapter-
(1) continuity of session is broken only by an adjournment of
Congress sine d(lie; and
(2) the (lays on which either House is not in session because of:
ain adjournment of more than three days to a day certain are ex-
cluded in the computation of any period of time in which Congress:
is in continuous session.i
(c) Under provisions contained in a reorganization plan, any provi-!
sion thereof may boe effective at a time later than the d(late on which the:
plain otherwise is effective or. if )both Houses of Congress have defeated.
a resolution of disapproval, mnay be effective at a time earlier than th(|
expiration of the sixty-day I)eriod required by subsection (a)."
(d) A reorganization plan which is effective shall be printed (1) ir,
the Stiatiites at Large in the same volume as the public laws and (2) ir
tie Federal Register. (Pub. L. 95-17, Apr. 6, 1977, 91 Stat. 32.)
907. Effect on other laws, pending legal proceedings, and unex.
pended appropriations
(a) A statute enacted, and a regulation or other action made, pre .
scribed, issued, granted, or performed in respect of or by an agency o


52


Sec. 905






Sec. 908


i
i function affected by a reorganization under this chapter, before the
effective date of the reorganization, has. except to the extent rescinded,
modified, superseded, or made inapplicable by or under authority of
law or by the abolition of a function, the same effect as if the reorga-
nization had not been made. However, if the statute, regulation, or
other action has vested the functions in the agency from which it is
removed under the reorganization plan, the function insofar as it is
to be exercised after the plan becomes effective, shall be deemed as
vested in the agency under which the function is placed by the plan.
(b) For the purpose of subsection (a) of this section, "regulation or
other action" means a regulation, rule, order, policy, determination,
directive, authorization, permit, privilege, requirement, designation, or
other action.
(c) A suit, action, or other proceeding lawfully commenced by or
against the head of an agency or other officer of the United States. in
Shis official capacity or in relation to the discharge of his official duties,
Does not abate by reason of the taking effect of a reorganization plan
under this chapter. On motion or supplemental petition filed at any
time within twelve months after the reorganization plan takes effect,
I showing a necessity for a survival of the suit. action, or other proceed-
ing to obtain a settlement of the questions involved, the court may allow
Sthe suit, action, or other proceeding to be maintained by or against the
Successor of the head or officer under the reorganization effected by the
Plan or, if there is no successor, against such agency or officer as the
President designates.
(d) The appropriations or portions of appropriations unexpended
by reason of the operation of the chapter may not be used for any pur-
pose. but shall revert to the Treasury. (Pub. L. 95-17, Apr. 6, 1977, 91
Stat. 33.)
.. 908. Rules of Senate and House of Representatives on reorga-
nization plans
Sections 909 through 912 of this title are enacted by Congress-
(1) as an exercise of the rulemaking power of the Senate and
the House of Representative -, respectively, and as such they are
'i deemed a part of the rules of each House, respectively, but appli-
cable only with respect to the procedure to be followed in that
House in the case of resolutions described by section 909 of this
title; and they supersede other rules only to the extent that they
are inconsistent therewith; and
(2) with full recognition of the constitutional right of either
House to change the rules (so far as relating to the procedure of
that House) at any time, in the same manner and to the same
d extent as in the case of any other rule of that House (Pub. L. 95-17,
le Apr. 6, 1977, 91 Stat. 33.)
S 909. Terms of resolution
For the purpose of sections 908 through 912 of this title. "resolu-
tion" means only a resolution of either House of Congress. the matter
after the resolving clause of which is as follows: "That the does
not favor the reorganization plan numbered transmitted to the
Congress by the President on ,19 ." and includes such modi-
Sfications and revisions as are submitted by the President under section
41








903 (c) of this chapter. The blank spaces therein are to be filled appro-
priately. The term does not include a resolution which specifies more
than one reorganization plan. (Pub. L. 95-17, Apr. 6,1977,91 Stat. 33.)
910. Introduction and reference of resolution
(a) No later than the first day of session following the day on
which a reorganization plan is transmitted to the House of Repre-
sentatives and the Senate under section 903, a resolution, as defined
in section 909, shall be introduced (by request) in the House by the
chairman of the Government Operations Committee of the House, or
by a Member or Members of the House designated by such chairman;
and shall be introduced (by request) in the Senate by the chairman
of the Governmental Affairs Committee of the Senate, or by a Member
or Members of the Senate designated by such chairman.
(b) A resolution with respect to a reorganization plan shall be
referred to the Committee on Governmental Affairs of the Senate
and the Committee on Government Operations of the House (and all
resolutions with respect to the same plan shall be referred to the same
committee) by the President of the Senate or the Speaker of the
House of Representatives, as the case may be. The committee shall
make its recommendations to the House of Representatives or the
Senate, respectively, within 45 calendar days of continuous session of
Congress following the date of such resolution's introduction. (Pub. L.
95-17, Apr. 6,1977,91 Stat. 34.)
911. Discharge of committee considering resolution
If the committee to which is referred a resolution introduced pur-
suant to subsection (a) of section 910 (or, in the absence of such a
resolution the first resolution introduced with respect to the same
reorganization plan) has not reported such resolution or identical'
resolution at the end of 45 calendar days of continuous session of|
Congress after its introduction, such committee shall be deemed to be j
discharged from further consideration of such resolution and such'
resolution shall be placed on the appropriate calendar of the House
involved. (Pub. L. 95-17, Apr. 6,1977,91 Stat. 34.)
912. Procedure after report or discharge of committee; debate;:1
vote on final disapproval
(a) When the committee has reported, or has been deemed to be
discharged (under section 911) from further consideration of, a reso-
lution with respect to a reorganization plan, it is at any time there-:
after in order (even though a previous motion to the same effect has:
been disagreed to) for any Member of the respective House to move
to proceed to the consideration of the resolution. The motion is highly
privileged and is not debatable. The motion shall not be subject tc
amendment, or to a motion to postpone, or a motion to proceed to the
consideration of other business. A motion to reconsider the vote b3
which the motion is agreed to or disagreed to shall not be in order i
If a motion to proceed to the consideration of the resolution is agreec
to, the resolution shall remain the unfinished business of the respective
House until disposed of.
(b) Debate on the resolution, and on all debatable motions an(
appeals in connection therewith, shall be limited to not more than tez


Sec. 910


54






S55 Sec. 912

hours, which shall be divided equally between individuals favoring
and individuals opposing the resolution. A motion further to limit
debate is in order and not debatable. An amendment to, or a motion
to postpone, or a motion to proceed to the consideration of other busi-
ness, or a motion to recommit the resolution is not in order. A motion
to reconsider the vote by which the resolution is agreed to or disagreed
to shall not be in order.
(c) Immediately following the conclusion of the debate on the
resolution with respect to a reorganization plan, and a single quorum
call at the conclusion of the debate if requested in accordance with the
rules of the appropriate House, the vote on final approval of the reso-
lution shall occur. (Pub. L. 95-17, Apr. 6, 1977, 91 Stat. 34.)
(d) Appeals from the decisions of the Chair relating to the appli-
cation of the rules of the Senate or the House of Representatives, as
Sthe case may be, to the procedure relating to a resolution with respect
Sto a reorganization plan shall be decided without debate. (Pub. L. 95-
S17, April 6,1977,91 Stat. 35.)





































'I
11
























~1
I4












PART II-CIVIL SERVICE FUNCTIONS AND
RESPONSIBILITIES
CHAPTER SEC.
11-Office of Personnel Management------------------ 1101
12-Merit Systems Protection Board and Special Counsel- 1201
13-Special Authority----------------------------- 1301
15-Political Activity of Certain State and Local Employees- 1501
(57)






Sec. 1101 58


CHAPTER 11-OFFICE OF PERSONNEL MANAGEMENT
SEC.
1101. Office of Personnel Management.
1102. Director; Deputy Director; Associate Directors.
1103. Functions of the Director.
1104. Delegation of authority for personnel management.
1105. Administrative procedure.
1101. Office of Personnel Management
The Office of Personnel MIanagement is an independent establish-
ment in the executiv-e branch. The Office shall have an official seal,
which shall be judicially noticed, and shall have its principal office in
the District of Columbia, and may have field offices in other appropri-
ate locations. (Pub. L. 95-454, Oct. 13,1978, 92 Stat. 1119.)
1102. Director; Deputy Director; Associate Directors
(a) There is at the head of the Office of Personnel Management a n
Director of the Office of Personnel Management appointed by the tI
President, by and with the advice and consent of the Senate. The term e
of office of any individual appointed as Director shall be 4 years.
(b) There is in the Office a Deputy Director of the Office of Person-
nel Management -appointed by the President, by and with the advice
and consent of the Senate. The Deputy Director shall perform such
functions as the Director may from time to time prescribe and shall
act as Director during the absence or disability of the Director or
when the office of Director is vacant.
(c) No individual shall, while serving as Director or Deputy Direc-
tor, serve in any other office or position in the Government of the
United States except ,as otherwise provided by law or at the direction
of the President. The Director and Deputy Director shall not recom-
mend any individual for appointment to any position (other than to
Deputy Director of the Office) which requires the advice and consent
of the Senate. Pq
(d) TherIie may be within the Office of Personnel Management not
more than 5 Associate Directors, as determined from time to time by
the Director. Each Associate. Director shall be appointed by the
Director. (Pub. L. 95-454, Oct. 13,1978,92 Stat. 1119.)
1103. Functions of the Director
(a) The following functions are vested in the Director of the Office
of Personnel Management, and shall be performed by the Director, or
subject to section 1104 of this title, by such employees of the Office as
the Director designates:
(1) securing accuracy, uniformity, and justice in the functions
of the Office;
(2) appointing individuals to be employed by the Office;
(3) directing and supervising employees of the Office, distrib-
uting business among employees and organizational units of the
Office, and directing the internal management of the Office;









(4) directing the preparation of requests for appropriations
for the Office and the use and expenditure of funds by the Office;
(5) executing, administering, and enforcing-
(A) the civil service rules and regulations of the President
and the Office and the laws governing the civil service; and
(B) the other activities of the Office including retirement
and classification activities;
except with respect to functions for which the Merit Systems Pro-
tection Board or the Special Counsel is primarily responsible;
(6) reviewing the operations under chapter 87 of this title;
(7) aiding the President, as the President may request, in
preparing such civil service rules as the Persident prescribes, and
otherwise advising the President on actions which may be taken
to promote an efficient civil service and a systematic application
of the merit system principles, including recommending policies
relating to the selection, promotion, transfer, performance, pay,
conditions of service, tenure, and separation of employees; and
(8) conducting, or otherwise providing for the conduct of,
studies and research under chapter 47 of this title into methods
of assuring improvements in personnel management.
(b) (1) The Director shall publish in the Federal Register general
notice of any rule or regulation which is proposed by the Office and
the application of which does not apply solely to the Office or its
employees. Any such notice shall include the matter required under
section 553(b) (1), (2),and (3) of this title.
(2) The Director shall take steps to ensure that-
(A) any proposed rule or regulation to which paragraph
(1) of this subsection applies is posted in offices of Federal
agencies maintaining copies of the Federal personnel regulations;
and
(B) to the extent the Director determines appropriate and
practical, exclusive representatives of employees affected by such
proposed rule or regulation and interested members of the public
are notified of such proposed rule or regulation.
('3) Paragraphs (1) and (2) of this subsection shall not apply
to any proposed rule or regulation which is temporary in nature and
which is necessary to be implemented expeditiously as a result of an
emergency. (Pub. L. 95-454, Oct. 13. 1978, 92 Stat. 1120.)
1104. Delegation of authority for personnel management
(a) Subject to sub 'et ion (b) (3) of this section-
(1) the President may delegate, in whole or in part, authority
for personnel management functions, including authority for
competitive examinations, to the Director of the Office of Per-
sonnel Management:; and
(2) the Director may delegate, in whole or in part, any function
vested in or delegated to the Director, including authority for
competitive examinations (except competitive examinations for
administrative law judges appointed under section 3105 of this
title), to the heads of agencies in the executive branch and other
agencies employing persons in the competitive service;
except that the Director may not delegate authority for competitive
examinations with respect to positions that have requirements which


59


Sec. 1104








are common to agencies in the Federal Government, other than in
exceptional cases in which the interests of economy and efficiency
require such delegation and in which such delegation will not weaken
the application of the merit system principles.
(b) (1) The Office shall establish standards which shall apply to
the activities of the Office or any other agency under authority dele-
gated uider subsection (a) of this section.
(2) The Office shall establish and maintain an oversight program
to ensure that activities under any authority delegated under subsec-
tion (a) of this section are in accordance with the merit system
principles and the standards established under paragraph (1) of
this subsection.
(3) Nothing in subsection (a) of this section shall be construed
as affecting the responsibility of the Director to prescribe regula-
tions and to ensure compliance with the civil service laws, rules, and
regulations.
(c) If the Office makes a written finding, on the basis of information
obtained under the program established under subsection (b) (2)
of this section or otherwise, that any action taken by an agency
pursuant to authority delegated under subsection (a) (2) of this
section is contrary to any law, rule, or regulation, or is contrary to
any standard established under subsection (b)(1) of this section,
the agency involved shall take any corrective action the Office may
require. (Pub. L. 95-454, Oct. 13, 1978, 92 Stat. 1120.)
1105. Administrative procedure
Subject to section 1103(b) of this title, in the exercise of the func-
tions assigned under this chapter, the Director shall be subject to sub-
sections (b), (c), and (d) of section 553 of this title, notwithstand-
ing subsection (a) of such section 553. (Pub. L. 95-454, 201 (a), Oct.
13,1978,92 Stat. 1121.)


Sec. 1105


60 I






Sec. 1201


CHAPTER 12-MERIT SYSTEMS PROTECTION BOARD
AND SPECIAL COUNSEL
SEC.
1201. Appointment of members of the Merit Systems Protection Board.
1202. Term of office; filling vacancies; removal.
1203. Chairman; Vice Chairman.
1204. Special counsel: appointment and removal.
1205. Powers and functions of the Merit Systems Protection Board and Special
Counsel.
12)06. Authority and responsibilities of the Special Counsel.
1207. Hearings and decisions on coInlilaints filed by the Special Counsel.
1208. Stays of certain personnel actions.
1209. Information.
1201. Appointment of members of the Merit Systems Protection
Board
The Merit Systems Protection Board is composed of 3 members
appointed by the President, by and with the advice and consent of
the Senate, not more than 2 of whom may be adherents of the same
political party. The Chairman and members of the Board shall be
individuals who, by demonstrated ability, background, training, or
experience are especially qualified to carry out the functions of the
Board. No member of the Board may hold another office or position
in the Government of the United States. except as otherwise provided
by law or at the direction of the President. The Board shall have an
official seal which shall be judicially noticed. The Board shall have
its principal office in the District of Columbia and may have field
offices in other appropriate locations. (Pub. L. 95-454, Oct. 13, 1978,
92 Stat. 1122.)
1202. Term of office, filling vacancies; removal
(a) The term of office of each member of the Merit Systems Pro-
tection Board is 7 years.
(b) A member appointed to fill a vacancy occurring before the end
of a term of office of his predecessor serves for the remainder of that
term. Any appointment to fill a vacancy is subject to the requirements
of section 1201 of this title.
(c) Any member appointed for a 7-year term may not be reap-
pointed to any following term but may continue to serve beyond the
expiration of the term until a successor is appointed and has qualified,
except that such member may not continue to serve for more than one
year after the date on which the term of the member would otherwise
expire under this section.


35-550 0 79 6






Sec. 1203


(d) Any member may be removed by the President only for
inefficiency, neglect of duty, or malfeasance in office. (Pub. L. 95-454, a
Oct. 13, 1978,92 Stat. 1122.) o
1203. Chairman; Vice Chairman
(a) The President shall from time to time, appoint, by and with
the advice and consent of the Senate, one of the members of the Merit
Systems Protection Board as the Chairman of the Board. The Chair-
man is the chief executive and administrative officer of the Board.
(b) The President shall from time to time designate one of the
members of the Board as Vice Chairman of the Board. During the
absence or disability of the Chairman, or when the office of Chairman
is vacant, the Vice Chairman shall perform the functions vested in the
Chairman.
(c) During the absence or disability of both the Chairman and
Vice Chairman, or when the offices of Chairman and Vice Chairman
are vacant, the remaining Boafd member shall perform the functions
vested in the Chairman. (Pub. L. 95-454, Oct. 13, 1978, 92 Stat. 1122.)
1204. Special Counsel; appointment and removal
The Special Counsel of the Merit Systems Protection Board shall
be appointed by the President from attorneys, by and with the advice
and consent of the Senate, for a term of 5 years. A Special Counsel a
appointed to fill a vacancy occurring before the end of a term of office 0
of his predecessor serves for the remainder of the term. The Special
Counsel may be removed by the President only for inefficiency, neglect
of duty, or malfeasance in office. (Pub. L. 95-454, Oct, 13, 1978, 92
Stat. 1122.)
1205. Powers and functions of the Merit Systems Protection
Board and Special Counsel
(a) The Merit Systems Protection Board shall-
(1) hear, adjudicate, or provide for the hearing or adjudica-
tion, of all matters within the jurisdiction of the Board under this
title, sert ion 2023 of title 38, or any other law, rule, or regulation,
and, subject to otherwise applicable provisions of law, take final
action on any such matter;
(2) order any Federal agency or employee to comply with
any order or decision is-isued by the Board under the authority
granted under paragraph (1) of this subsection and enforce corn-
pliance with any such order;
(3) conduct, from time to time, special studies relating to the
civil service, and to other merit systems in the executive 'branch,
and report to the President and to the Congress as to whether
the public interest in a civil service free of prohibited personnel
practices is being adequately protected; and
(4) review, as provided in subsection (e) of this section, rules
and regulations of the Office of Personnel Management.
(b) (1) Any ntnember of the Merit, Systems Protection Board, the
Slpvial Counsel, any ailininistrantive law judge appointed by the Board1
under section 3105 of this title, and any employee of the Board desig-
nat.d, by the Bonrd may administer oathlls, examine witnesses, take dep-
osit ions, and receive evidence.








(2) Any member of the Board, the Special Counsel, and any
administrative law judge appointed by the Board under section 3105
of this title may-
(A) issue subpenas requiring the attendance and testimony
of witnesses and the production of documentary or other evidence
from any place in the United States or any territory or possession
thereof, the Commonwealth of Puerto Rico, or the District of
Columbia; and
(B) order the taking of depositions and order responses to
written interrogatories.
(3) Witnesses (whether appearing voluntarily or under subpoena)
shall be paid the same fee and mileage allowances which are paid
subpenaed witnesses in the courts of the United States.
(c) In the case, of contumacy or failure to obey a subpoena issued
under subsection (b) (2) of this section, the United States district
court for the judicial district in which the person to whom the subpoena
is addressed resides or is served may issue an order requiring such
person to appear at any designated place to testify or to produce
documentary or other evidence. Any failure to obey the. order of the
court may be punished by the court as a contempt thereof.
(d) (1) In any proceeding under subsection (a) (1) of this section.
any member of the Board may request from the Director of the Office
of Personnel Management an advisory opinion concerning the inter-
pretation of any rule, regulation, or other policy directive promul-
gated by the Office of Personnel Management.
(2) In enforcing compliance with any order under subsection (a)
(2) of this section, the Board may order that any employee charged
with complying with such order, other than an employee appointed
by the President by and with the advice and consent of the Senate,
shall not be entitled to receive payment for service as an employee
during any period that the order has not been complied with. The
Board shall certify to the Comptroller General of the United States
that such an order has been issued and no payment shall be made out
of the Treasury of the United States for any service specified in such
order.
(3) In carrying out any study under subsection (a) (3) of this
section, the Board shall make such inquiries as may be necessary and,
unless otherwise prohibited -by law, shall have access to personnel
records or information collected by the Office and may require addi-
tional reports from other agencies as needed.
(e) (1) At any time after the effective date of any rule or regula-
tion issued by the Director in carrying out functions under section
1103 of this title, the Board shall review any provision of such rule
or regulation-
(A) on its own motion;
(B) on the granting by the Board, in its sole discretion, of
any petition for such review filed with the Board by any interested
person, after consideration of the petition by the Board; or
(C) on the filing of a written complaint by the Special Coun-
sel requesting such review.
(2) In reviewing any provision of any rule or regulation pursuant
to this subsection the Board shall declare such provision-


63


Sec. 1205






Sec. 1205 64

(A) invalid on its face, if the Board determines that such I
provision would, if implemented by any agency, on its face, i
require any employee to violate section 2302 (b) of this title; or
(B) invalidly implemented by any agency, if the Board deter-
mines that such provision, as it has been implemented by the
agency through any personnel action taken by the agency or
through any policy adopted by the agency in conformity with
such provision, has required any employee to violate section 2302
(b) of this title.
(3) (A) The Director of the Office of Personnel Management, and
the head of any agency implementing any provision of any rule or reg-
ulation under review pursuant to this subsection, shall have the right a
to participate in such review.
(B) Any review conducted by the Board pursuant to this sub-
section shall be limited to determining-
(i) the validity on its face of the provision under review; and
(ii) whether the provision under review has been validly
implemented.
(C) The Board shall require any agency- P
(i) to cease compliance with any provisions of any rule or
regulation which the Board declares under this subsection to be
invalid on its face; and
(ii) to correct any invalid implementation by the agency of
any provision of any rule or regulation which the Board declares
under this subsection to have been invalidly implemented by the
agency.
(f) The Board may delegate the performance of any of its admin-
istrative functions under this title to any employee of the Board.
(g) The Board shall have the authority to prescribe such regula-
tions as may be necessary for the performance of its functions. The
Board shall not issue advisory opinions. All regulations of the Board
shall be published in the Federal Register.
(h) Except as provided in section 518 of title 28, relating to litiga-
tion before the Supreme Court, attorneys designated by the Chairman
of the Board may appear for the Board, and represent the Board, in
any civil action brought in connection with any function carried out
by the Board pursuant to this title or as otherwise authorized by law.
(i) The Chairman of the Board may appoint such personnel as
may be necessary to perform the functions of the Board. Any appoint-
iment, made under this siub)section shall comply with the provisions of
this title, except, thliat such appointment shall not be subject to the
approval or sul)pervision of the Office of Personnel Management or the
Executive Office of the President (other than approval required under I
sect ion 324 or subchapter VIII of chapter 33 of this title).
(j) The Board shall prepare and submiit to the President, and, at
tlhe sanie time., to the appropriate committees of Congress, an annual
lbldlget of the expenses and otlier items relating to the Board which
slaill, as revised, l)bt inclliled as a separate item in the budget required
to l)e t ralnsllitted to the CoIIgress minder section 201 of the Budget and
'Accointing Act. 1921 (31 U.S.C. 11). l
(k) The Board shall submit to the President, and, at the same time,
to each House of the Congress, any legislative recommendations of'



iI








the Board relating to any of its functions under this title. (Pub. L.
95-454, Oct. 13,1978,92 Stat. 1124.)
1206. Authority and responsibilities of the Special Counsel
(a) (1) The Special Counsel shall receive any allegation of a pro-
hibited personnel practice and shall investigate the allegation to the
extent necessary to determine whether there are reasonable grounds to
believe that a prohibited personnel practice has occurred, exists, or is
to be taken.
(2) If the Special Counsel terminates any investigation under
paragraph (1) of this subsection, the Special Counsel shall prepare
and transmit to any person on whose allegation the investigation was
initiated a written statement notifying the person of the termination
of the investigation and the reasons therefore.
(3) In addition to authority granted under paragraph (1) of this
subsection, the Special Counsel may, in the absence of an allegation,
conduct an investigation for the purpose of determining whether
there are reasonable grounds to believe that a prohibited personnel
practice has occurred, exists, or is to be taken.
(b) (1) In any case involving-
(A) any disclosure of information by an employee or appli-
cant for employment which the employee or applicant reasonably
believes evidences-
(i) a violation of any law, rule, or regulation; or
(ii) mismanagement, a gross waste of funds, an abuse
of authority, or a substantial and specific danger to public
health or safety;
if the disclosure is not specifically prohibited by law and if the
information is not specifically required by Executive order to be
kept secret in the interest of national defense or the conduct of
foreign affairs; or
(B) a disclosure by an employee or applicant for employ-
ment to the Special Counsel of the Merit Systems Protection
Board, or to the Inspector General of an agency or another
employee designated by the head of the agency to receive such
disclosures of information which the employee or applicant rea-
sonably believes evidences-
(i) a violation of any law, rule, or regulation; or
(ii) mismanagement, a gross waste of funds, an abuse of
authority, or a substantial and specific danger to public health
or safety;
the identify of the employee or applicant may not be disclosed without
the consent of the employee or applicant during any investigation
under subsection (a) of this section or under paragraph (3) of this
subsection, unless the Special Counsel determines that the disclosure
of the identity of the employee or applicant is necessary in order to
carry out the functions of the Special Counsel.
(2) Whenever the Special Counsel receives information of the type
described in paragraph (1) of this subsection, the Special Counsel
shall promptly transmit such information to the appropriate agency
head.
(3) (A) In the case of information received by the Special Counsel
under paragraph (1) of this section, if, after such review as the Spe-


Sec. 1206


65








cial Counsel determines practicable (but not later than 15 days after
the receipt of the information), the Special Counsel determines that
there is a substantial likelihood that the information discloses a viola-
tion of any law, rule, or regulation, or mismanagement, gross waste
of funds, abuse of authority, or substantial and specific danger to the
public health or safety, the Special Counsel may, to the extent pro-
vided in subparagraph (B) of this paragraph, require the head of
the agency to-
(i) conduct an investigation of the information and any
related matters transmitted by the Special Counsel to the head
of the agency; and
(ii) submit a written report setting forth the findings of the
head of the agency within 60 days after the date on which the
information is transmitted to the head of the agency or within s
any longer period of time agreed to in writing by the Special t
Counsel.
(B) The Special Counsel may require an agency head to conduct
an investigation and submit a written report under subparagraph (A)
of this paragraph only if the information was transmitted to the Spe-
cial Counsel by-
(i) any employee or former employee or applicant for employ-
ment in the agency which the information concerns; or
(ii) any employee who obtained the information in connection
with the performance of the employee's duties and responsibilities.
(4) Any report required under paragraph (3) (A) of this sub-
section shall be reviewed and signed by the head of the agency and
shall include-
(A) a summary of the information with respect to which the
investigation was initiated;
(B) a description of the conduct of the investigation; F
(C) a summary of any evidence, obtained from the investiga-
tion;
(D) a listing of any violation or apparent violation of any
law, rule, or regulation; aind
(E) a description of any corrective action taken'or planned as
a result of the investigation, such as-
(i) changes in agency rules, regulations, or practices;
(ii) the restoration of any aggrieved employee;
(iii) disciplinary action against any employee; and
(iv) referral to the Attorney General of any evidence of ,
a criminal violation.
(5) (A) Any such report shall be submitted to the Congress, to the
President, and to the Special Counsel for transmittal to the complain- B
ant. Whenever the Special Counsel does not receive the report of the
agency head within the time prescribed in paragraph (3)(A)(ii)
of this subsection, the Special Counsel may transmit a copy of the
information which was transmitted to the agency head to the Presi-
dent and to the Congress together with a statement noting the failure
of the head of the agency to file the required report.
(B) In any case in which evidence of a criminal violation obtained
by an agency in an investigation under paragraph (3) of this sub-
section is referred to the Attorney General--
(i) the report shall not be transmitted to the complainant;
and


Sec. 1206


66






67 Sec. 1206

(ii) the agency shall notify the Office of Personnel Manage-
MaNarin %n of eferral.
ment and the Office of management and Budget of the referral.
(6) Upon receipt of any report of the head of any agency required
under paragraph (3) (A) (ii) of this subsection, the Special Counsel
shall review the report and determine whether-
(A) the findings of the head of the agency appear reasonable;
and
(B) the agency's report under paragraph (3) (A) (ii) of this
subsection contains the information required under paragraph
(4) of this subsection.
(7) Whenever the Special Counsel transmits any information to
the head of the agency under paragraph (2) of this sublsection but
does not require an investigation under paragraph (3) of this sub-
section, the head of the agency shall, within a reasonable time after
the information was transmitted, inform the Special Counsel, in writ-
ing, of what action has been or is to be taken and when such action
will be completed. The Special Counsel shall inform the complainant
of the report of the agency head.
(8) Except as specifically authorized under this sub-ection, the
provisions of this subsection shall not be considered to authorize dis-
closure of any information by any agency or any person which is-
(A) specifically prohibited from disclo.-ure by any other pro-
vision of law; or
(B) specifically required by Executive order to be kept secret
in the interest of national defense or the conduct of foreign affairs.
(9) In any case under subsection (b) (1) (B) of this section involv-
ing foreign intelligence or counterintelligence information the dis-
closure of which is specifically prohibited by law or by Executive
order, the Special Counsel shall transmit such information to the
Permanent Select Committee on Intelligence of the House of Repre-
sentatives and the Select Committee on Intelligence of the Senate.
(c) (1) (A) If, in connection with any investigation under this
section, the Special Counsel determines that tliere are reasonable
grounds to believe that a prohibited personnel practice has occurred,
exists, or is to be taken which requires corrective action, the Special
Counsel shall report the determination together with any findings or
recommendations to the Board, the agency involved, and to the Office,
and may report the determination, findings, and recommendations to
the President. The Special Counsel may include in the report recoim-
mendations as to what corrective action should be taken.
(B) If, after a reasonable period, the agency lhas not taken the
corrective action recommended, the Special Counsel may request tlhe
Board to consider the matter. The Board may order such corrective
action as the Board considers appropriate, after opportunity for
comment by the agency concerned and the Office of Personnel
Management.
(2) (A) If, in connection with any investigation under this sec-
tion, the Special Counsel determines that there is reasonable cause to
believe that a criminal violation by an employee has occurred, the
Special Counsel shall report the determination to the Attorney Gen-
eral and to the head of the agency involved, and shall submit a copy
of the report to the Director of the Office of Personnel Management
and the Director of the Office of Managrement and Budget.









(B) In any case in which the Special Counsel determines that
there are reasonable grounds to believe that a prohibited personnel
practice has occurred, exists, or is to be taken, the Special Counsel
may proceed with any investigation or proceeding instituted under
this section notwithstanding that the alleged violation has been re- P
ported to the Attorney General. P
(3) If, in connection with any investigation under this section, the
Special Counsel determines that there is reasonable cause to believe
that any violation of any law, rule, or regulation has occurred which is i
not referred to in paragraph (1) or (2) of this subsection, the violation
shall be reported to the head of the agency involved. The Special
Counsel shall require, within 30 days of the receipt of the report by the
agency, a certification by the head of the agency which states-
(A) that the head of the agency has personally reviewed the
report; and
(B) what action has been, or is to be, taken, and when the action e
will be completed.
(d) The Special Counsel shall maintain and make available to the
public a list of noncriminal matters referred to heads of agencies under
subsections (b) (3) (A) and (c) (3) of this section, together with-
(1) reports by the heads of agencies under subsection (b) (3) P
(A) of this section, in the case of matters referred under subsec- P
tion (b); and t
(2) certifications by heads of agencies under subsection (c) (3), w
in the case of matters referred under subsection (c). t
The Special Counsel shall take steps to ensure that any such public list
does not contain any information the disclosure of which is prohibited
by law or by Executive order requiring that information be kept secret
in the interest of national defense or the conduct of foreign affairs.
(e) (1) In addition to the authority otherwise provided in this sec- t
tion, the Special Counsel shall, except as provided in paragraph (2) of 8
this subsection, conduct an investigation of any allegation concerning- P
(A) political activity prohibited under subchapter III of chap-
ter 73 of this title, relating to political activities by Federal
employees;
(B) political activity prohibited under chapter 15 of this title,
relating to political activities by certain State and local officers f
and employees;
(C) arbitrary or capricious withholding of information pro-
hibited under section 552 of this title, except that the Special
Counsel shliall nako no investigation under this subsection of any
witllhholding of foreign intelligence or counterintelligence infor-
mation the disclosure of which is specifically prohibited by law or
b)yy lxecuctive order;
(D) activities prohibited by any civil service law, rule, or regu- -
lation, including any activity relating to political intrusion in '
personnel decisonmaking; and
(E) involvement by any employee in any prohibited discrimi-
nation found by any court or appropriate administrative author- i
ity to hliave occurred in the course of any personnel action.
(2) The Special Counsel shall make no investigation of any allega-
tion of any prohibited activity referred to in paragraph (1)(D) or

:i.


Sec. 1206


68







69 Sec. 1206

(1) (E) of this subsection if the Special Counsel determines that the
allegation may be resolved more appropriately under an administra-
tive appeals procedure.
(f) During any investigation initiated under this section, no disci-
plinary action shall be taken against any employee for any alleged
prohibited activity under investigation or for any related activity
without the approval of the Special Counsel.
(g) (1) Except as provided in paragraph (2) of this subsection, if
the Special Counsel determines that disciplinary action should be
taken against any employee-
(A) after any investigation under this section, or
(B) on the basis of any knowing and willful refusal or failure
by an employee to comply with an order of the Merit Systems
Protection Board,
the Special Counsel shall prepare a written complaint against the
employee containing his determination, together with a statement of
supporting facts, and present the complaint and statement to the
employee and the Merit Systems Protection Board in accordance with
section 1207 of this title.
(2) In the case of an employee in a confidential, policy-making,
policy-determining, or policy-advocating position appointed by the
President, by and with the advice and consent of the Senate (other
than an individual in the Foreign Service of the United States), the
complaint and statement 'referred to in paragraph (1) of this subsec-
tion, together with any response by the employee, shall be presented to
the President for appropriate action in lieu of being presented under
section 1207 of this title.
(h) If the Special Counsel lxieves there is a pattern of prohibited
personnel practices and suchli practices involve matters which are not
otherwise appealable to the Board under section 7701 of this title, the
Special Counsel may seek corrective action by filing a written com-
plaint with the Board against the agency or employee involved and
the Board shall order such corrective action as the Board determines
necessary.
(i) The Special Counsel may as a matter of right intervene or other-
wise participate in any proceeding before the Merit Systems Protec-
tion Board, except that the Special Counsel shall comply with the rules
of the Board and the Special Coun.sel shall not have any right of ju-
dicial review in connection with such intervention.
(j) (1) The Special Counsel may appoint the legal, administrative,
and support personnel necessary to perform the functions of the Spe-
cial Counsel.
(2) Any appointment made under this subsection shall comply with
the provisions of this title, except that such appointment shall not be
subject to the approval or supervision of the Office of Personnel Man-
agement or the Executive Office of the President (other than approval
required under section 3324 or subchapter VIII of chapter 33 of this
title).
(k) The Special Counsel may prescribe regulations relating to the
receipt and investigation of matters under the jurisdiction of the
Special Counsel. Such regulations shall be published in the Federal
Register.









(1) The Special Counsel shall not issue any advisory opinion con-
cerning any law, rule, or regulation (other than an advisory opinion
concerning chapter 15 or subchapter III of chapter 73 of this title).
(m) The Special Counsel shall submit an annual report to the Con-
gress on the activities of the Special Counsel, including the number,
types, and disposition of allegations of prohibited personnel practices
filed with it, investigations conducted by it, and actions initiated by
it before the Board, as well as a description of the recommendations
and reports made by it to other agencies 'pursuant to this section, and
the actions taken by the agencies as a result of the reports or recom-
mendations. Tihe report, required by this subsection shall include what-
ever recommendations for legislation or other action by Congress the
Special Counsel may deem appropriate. (Pub. L. 95-454, Oct. 13,1978,
92 Stat. 1125.)
1207. Hearings and decisions on complaints filed by the Special
Counsel
(a) Any employee against, whom a complaint has been presented:
to the Merit Systems Protection Board under section 1206(g) of this
title is entitled to-
(1) a reasonable time to answer orally and in writing and to
furnish affidavits and other documentary evidence in support of
the answer;
(2) be represented by an attorney or other representative;
(3) a hearing before the Board or an administrative law judge
appointed under section 3105 of this title and designated by the
Board;
(4) have a transcript kept of any hearing under paragraph (3)
of this subsection; and
(5) a written decision and reasons therefore at the earliest prac-
ticable date, including a copy of any final order imposing discipli-
nary action.
(b) A final order of the Board may impose disciplinary action con-
sisting of removal, reduction in grade, debarment from Federal
employment for a period not to exceed 5 years, suspension, reprimand,
or an assessment of a civil penalty not to exceed $1,000.
(c) There may be no administrative appeal from an order of the'
Board. An employee subject to a final order imposing disciplinary
action under this section may obtain judicial review of the order in
the United States court of appeals for the judicial circuit in which the
employee resides or is employed at the time of the action.
(d) In the case of any State or local officer or employee under chap-i
ter 15 of this title, tli Board shall consider the case in accordance with
the provisions of such chapter. (Pub. L. 95-454, Oct. 13, 1978, 92 Stat.,
1130.)
1208. Stays of certain personnel actions
(a) (1) Thie S"pecial Counsel may request any member of the Merit
Systems Protection Board to order a stay of any personnel action foir
15 calendar days if the Special Counsel determines that there are rea-,
sonable grounds to believe that the personnel action was taken, or is tcl
be taken, as a result of a prohibited personnel practice, .


Sec. 1207


70






Sec. 1209


(2) Any member of the Board requested by the Special Counsel to
order a stay under paragraph (1) of this subsection shall order such
stay unless the member determines that, under the facts and circum-
stances involved, such a stay would not be appropriate.
(3) Unless denied under paragraph (2) of this subsection, any stay
under this subsection shall be granted within 3 calendar days (exclud-
ing Saturdays, Sundays, and legal holidays) after the date of the
request for the stay by the Special Counsel.
(b) Any member of the Board may, on the request of the Special
Counsel, extend the period of any stay ordered under subsection (a) of
this section for a period of not more than 30 calendar days.
(c) The Board may extend the period of any stay granted under
subsection (a) of this section for any period which the Board considers
appropriate, but only if the Board concurs in the determination of the
Special Counsel under such subsection, after an opportunity is pro-
vided for oral or written comment by the Special Counsel and the
agency involved. (Pub. L. 95-454, Oct. 13, 1978, 92 Stat. 1130.)
1209. Information
(a) Notwithstanding any other provision of law or any rule, regu-
lation or policy directive, any member of the Board, or any employee
of the Board designated by the Board, may transmit to the Congress on
the request of any committee or subcommittee thereof, by report, testi-
mony, or otherwise, information and views on functions, responsibili-
ties, or other matters relating to the Board, without review, clearance.
or approval by any other administrative authority.
(b) The Board shall submit an annual report to the President and
the Congress on its activities, which shall include a description of sig-
nificant actions taken by the Board to carry out its functions under this
title. The report shall also review the significant actions of the Office
of Personnel Management, including an analysis of whether the
actions of the Office of Personnel Management are in accord with merit
system principles and free from prohibited personnel practices.
(Pub. L. 95-454, 202(a), Oct. 13,1978,92 Stat. 1131.)







Sec. 1301 72 1i

.1





CHAPTER 13-SPECIAL AUTHORITY 01
SEC.
1301. Rules.
1302. Regulations.
1303. Investigations; reports.
1304. Loyalty investigations; reports; revolving fund.
1305. Administrative law judges.
1306. Oaths to witnesses.
1307. Minutes.
1308. Annual reports. de
1301. Rules
The Office of Personnel Management shall aid the President, as he Bi
may request, in preparing the rules he prescribes under this title for the
administration of the competitive service. (Pub. L. 89-554, Sept. 6, i
1966, 80 Stat. 401; amended Pub. L. 95-454, Oct. 13, 1978, 92 Stat.
1224.)
1302. Regulations
(a) The Office of Personnel Management, subject to the rules pre-
scribed by the President under this title for the administration of the
competitive service, shall prescribe regulations for, control, supervise, th
and preserve the records of, examinations for the competitive service.
(b) The Office shall prescribe and enforce regulations for the admin-
istration of the provisions of this title, and Executive orders issued in i
furtherance thereof, that implement the Congressional policy that' ho
preference shall be given to preference eligibles in certification for Ib
appointment, and in appointment, reinstatement, reemployment, and T(
retention, in the competitive service in Executive agencies, permanent hy
or temporary, and in the government of the District of Columbia. o
(c) The Office shall prescribe regulations for the administration of co
the provisions of this title that implement the Congressional policy 6
that preference shall be given to preference eligibles in certification
for appointment, and in appointment, reinstatement, reemployment,,
and retention, in the excepted service in Executive agencies, permanent
or temporary, and in tihe government of the District of Columbia. !
(1) The ()Office mllay prescribe reasonable l)rocedure and regulations
for time administration of its finictions under chapter 15 of this title.'
(Pub. IL. 89-554, Sept. (6, 19 80, S) Stat. 401 ; amended Pub. L. 95-454.1
Oct. 13., 197s, 92 St at. 1224.
OrtLUO Stalt. 1 o24.) .!
1303. Investigations; reports
''lw Office of Personnel Management, Merit Systems Protectionf!
Board, and Special Couinsel may investigate and report on matterE:
('onceNrI'ling-
(1) tlie enforcement and effect of the rules prescribed by thu
lPresident under this title for the administration of the competi-

Ii









tive service and the regulations prescribed by the Office of Person-
nel Management under section 1302 (a) of this title; and
(2) the action of an examiner, a board of examiners, and other
employees concerning the execution of the provisions of this title
that relate to the administration of the competitive service.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 401; amended Pub. L. 95-454,
Oct. 13,1978,92 Stat. 1224.)
1304. Loyalty investigations; reports; revolving fund
(a) The Office of Personnel Management shall conduct the investi-
gations and issue the reports required by the following statutes--
(1) sections 272b, 281b(e), 209a, and 1434 of title 22;
(2) section 1874(c) of title42; and
(3) section 1203 (e) of title 6, District of Columbia Code.
(b) When an investigation under subsection (a) of this section
develops data indicating that the loyalty of the individual being inves-
tigated is questionable, the Office shall refer the matter to the Federal
Bureau of Investigation for a full field investigation, a report of which
shall be furnished to the Office for its information and appropriate
action.
(c) When the President considers it in the national interest, he
may have the investigations of a group or class, which are required
by subsection (a) of this section, made by the Federal Bureau of
Investigation rather than the Office.
(d) The investigation and report required by subsection (a) of this
section shall be made by the Federal Bureau of Investigation rather
than the Office for those specific positions which the Secretary of State
certifies are of a high degree of importance or sensitivity.
(e) (1) A revolving fund is available, to tlhe Office without fiscal year
limitation, for financing investigations, training and such other func-
tions as the Office is authorized or required to perform on a reimburs-
able basis. However, the functions which may be financed in any fiscal
year by the fund are restricted to those functions which are covered
by the budget estimates submitted to the Congress for that fiscal year.
To the maximum extent feasible, each individual activity shall be
conducted generally on an actual cost basis over a reasonable period of
time.
(2) The capital of the fund consists of the aggregate of-
(A) appropriations made to provide capital for the fund, which
appropriations are hereby authorized; and
(B) the sum of the fair and reasonable value of such supplies,
equipment, and other assets as the Office from time to time trans-
fers to the fund (including the amount of the unexpended balances
of appropriations or funds relating to activities the financing of
which is transferred to the fund) less the amount of related liabili-
ties, the amount of unpaid obligations, and the value of accrued
annual leave of employees, which are attributable to the activities
the financing of which is transferred to the fund.
(3) The fund shall be credited with-
(A) advances and reimbursements from available funds of the
Office or other agencies, or from other sources, for those services
and supplies provided at rates estimated by the Office as adequate


S73


Sec. 1304






Sec. 1305 74

to recover expenses of operation (including provision for accrued j
annual leave of employees and depreciation of equipment); and
(B) receipts from sales or exchanges of property, and payments
for loss of or damage to property, accounted for under the fund.
(4) Any unobligated and unexpended balances in the fund which
the Office. determines to be in excess of amounts needed for activities
financed by the fund shall be deposited in the Treasury of the United
States as miscellaneous receipts.
(5) The Office shall prepare-a business-type budget providing full
disclosure of the results of operations for each of the functions per-
formed by the Office and financed by the fund, and such budget shall be
transmitted to the Congress and considered, in the manner prescribed
by law for wholly owned Government corporations.
(6) The Comptroller General of the United States shall, as a result
of his periodic reviews of the activities financed by the fund, report and
make such recommendations as he deems appropriate to the Com-
mittees on Post Office and Civil Service of the Senate and House of
Representatives at least once every three years.
(f) An agency may use available appropriations to reimburse the
Office or the Federal Bureau of Investigation for the cost of investiga-
tions, training, and functions performed for them under this section,
or to make advances toward their cost. These advances and reimburse-
minents shall be credited directly to the applicable appropriations of
the Office or the Federal Bureau of Investigation.
(g) This section does not affect the responsibility of the Federal
Bureau of Investigation to investigate espionage, sabotage, or sub-
versive acts. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 401, amended
Pub. L. 91-189, Dec. 30, 1969, 83 Stat. 851; Pub. L. 91-648, 510,
Jan. 5, 1971, 84 Stat. 1928; amended Pub. L. 95-454, Oct. 13, 1978, 92
Stat. 1224.)
1305. Administrative law judges
For the purpose of sections 3105, 3344,'4301(2) (D), and 5372 of
this title and the provisions of section 5335(a) (B) of this title that '!
relate to administrative law judges, the Office of Personnel Manage-,
ment may, and for the purpose of section 7521 of this title, the Merit
Systems Protection Board may investigate, require reports by agen-
cies, issue reports, including an annual report to Congress, prescribe 0i
regulations, appoint advisory committees as necessary, recommend
legislation, subpoena witnesses and records, and pay witness fees as
established for the courts of the United States. (Pub. L. 89-554,1
Sept. 6, 1966, 80 Stat. 402, amended Pub. L. 90-83, 1(3), Sept. 11,
1967, 81 Stat. 196; Pub. L. 95-251, Mar. 27,1978, 92 Stat. 183; Pub. L. :
95-454, Oct. 13, 1978, 92 Stat.. 1225.)
1306. Oaths to witnesses
The Director of the Office of Personnel Management and authorized!
representatives of the Director may administer oaths to witnesses in
matters pending before the Office (Pub. L. 95-454, Oct. 13, 1978, 921
Stat. 1226.)
1307. Minutes
The Office of Personnel Management shall keep minutes of its
proceedings. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 402; amended
Pub. L. 95-454, Oct. 13, 1978, 92 Stat. 1224.)






Sec. 1308


1308. Annual reports
(a) The Office of Personnel Management shall make an annual re-
port to the President for transmittal to Congress. The report shall
include-
(1) a statement of the Office's actions in the administration of
the competitive service, the rules and regulations and exceptions
thereto in force, the reasons for exceptions to the rules, the prac-
tical effects of the rules and regulations, and any recommenda-
tions for the more effectual accomplishment of the purposes of
the provisions of this title that relate to the administration of
the competitive service;
(2) the results of the incentive awards program authorized by
chapter 45 of this title with related recommendations;
(3) at the end of each fiscal year, the names, addresses, and
nature of employment of the individuals on whom the Office
has imposed a penalty for prohibited political activity under
section 7325 of this title with a statement of the facts on which
action was taken, and the penalty imposed; and
(4) a statement, in the form determined by the Office with the
approval of the President, on the training of employees under
chapter 41 of this title, including-
(A) a summary of information concerning the operation
and results of the training programs and plans of the
agencies;
(B) a summary of information received by the Office
from the agencies under section 4113(b) of this title; and
(C) the recommendations and other matters considered
appropriate by the President or the Office or required by
Congress.
(b) The Office shall annually provide an analysis to Congress of
the administration and operation of chapter 41 of this title.
(c) The Office shall publish an anuual report on the operation of
subchapter III of chapter 83 of this title, including a statement con-
cerning the status of the Civil Service Retirement and Disability
Fund.
(d) The Office shall report annually to Congriss on the operation
of chapter 87 of this title.
(e) The Office shall report annually to Congress on the operation
of chapter 89 of this title. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat.
402, amended Pub. L. 91-93, 104, Oct. 20, 1969, 81 Stat. 138; Pub. L.
93-156, Nov. 21, 1973, 87 Stat. 623; Pub. L. 95-454, Oct. 13, 1978,
92 Stat. 1224.)







Sec. 1501 76







CHAPTER 15-POLITICAL ACTIVITY OF CERTAIN
STATE AND LOCAL EMPLOYEES
Sec.
1501. Definitions.
1502. Influencing elections; taking part in political campaigns; prohibitions;
exceptions.
1503. Nonpartisan candidacies permitted.
1504. Investigations; notice of hearing.
1505. Hearings; adjudications; notice of determinations.
1506. Orders; withholding loans or grants; limitations.
1507. Subpenas and depositions.
1508. Judicial review.
1501. Definitions
For the purpose of this chapter-
(1) "State" means a State or territory or possession of the
United States;
(2) "State or local agency" means the executive branch of a
State, municipality, or other political subdivision of a State, or
an agency or department thereof;
(3) "Federal agency" means an Executive agency or other
agency of the United States, but does not include a member bank
of the Federal Reserve System; and
(4) "State or local officer or employee" means an individual
employed by a State or local agency whose principal employment
is in connection with an activity which is financed in whole or in
part by loans or grants made by the United States or a Federal
agency, but does not include-
(A) an individual who exercises no functions in connection
with that activity; or
(B) an individual employed by an educational or research
institution, establishment, agency, or system which is sup-
ported in whole or in part by a State or political subdivision
thereof, or by a recognized religious, philanthropic, or cul-
tural organization.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 403, amended Pub. L. 93-443,
401 (c), Oct. 15,1974,88 Stat. 1290.)
1502. Influencing elections; taking part in political campaigns;
prohibitions; exceptions
(a) A State or local officer or employee may not-
(1) use his official authority or influence for the purpose of
interfering with or affecting the result. of an election or a nomina-
tion for office;
(2) directly or indirectly coerce, attempt to coerce, command,
or advise a State or local officer or employee to pay, lend, or con-
tribute anything of value to a party, committee, organization,
agency, or person for political purposes; or
(3) be a candidate for elective office.








(b) A State or local officer or employee retains the right to vote as
he chooses and to express his opinions on political subjects and candi-
dates.
(c) Subsection (a) (3) of this section does not apply to-
(1) the Governor or Lieutenant Governor of a State or an
individual authorized by law to act as Governor;
(2) the mayor of a city;
(3) a duly elected head of an executive department of a State
or municipality who is not classified under a State or municipal
merit or civil service system; or
(4) an individual holding elective office.
(Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 404, amended Pub. L. 93-443,
401 (a), Oct. 15,1974,88 Stat. 1290.)
1503. Nonpartisan candidacies permitted
Section 1502 (a) (3) of this title does not prohibit any State or local
officer or employee from being a candidate in any election if none
of the candidates is to be nominated or elected at such election as
representing a party any of whose candidates for Presidential elector
received votes in the last preceding election at which Presidential
electors were selected. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 404,
amended Pub. L. 93-443, 401(b), Oct. 15, 1974, 88 Stat. 1290.)
1504. Investigations; notice of hearing
When a Federal agency charged with the duty of making a loan or
grant of funds of the United States for use in an activity by a State or
local officer or employee has reason to believe that the officer or em-
ployee has violated section 1502 of this title, it shall report the matter
to the Special Counsel. On receipt of the report or on receipt of other
information which seems to the Special Counsel to warrant an investi-
gation, the Special Counsel shall investigate the report and such other
information and present his findings and any charges based on such
findings to the Merit Systems Protection Board, which shall-
(1) fix a time and place for a hearing; and
(2) send, by registered or certified mail, to the officer or em-
ployee charged with the violation and to the State or local agency
employing him a notice setting forth a summary of the alleged
violation and giving the time and place of the hearing.
The hearing may not be held earlier than 10 days after the mailing
of the notice. (Pub. L. 89-554, Sept. 6, 1966, 80 Stat. 405; amended
Pub. L. 95-454, Oct. 13,1978,92 Stat. 1225.)
1505. Hearings; adjudications; notice of determinations
Either the State or local officer or employee or the State or local
agency employing him, or both, are entitled to appear with counsel at
the hearing under section 1504 of this title, and be heard. After this
hearing, the Merit Systems Protection Board shall-
(1) determine whether a violation of section 1502 of this title
has occurred;
(2) determine whether the violation warrants the removal of
the officer or employee from his office or employment; and
(3) notify the officer or employee and the agency of the deter-
mination by registered or certified mail.


35-550 0 79 7


Sec. 1503


77







Sec. 1506 78

(Pub. L. 89-554. Sept. 6,1966, 80 Stat. 405; amended Pub. L. 95-454,
Oct. 13,1978,92 Stat. 1225.)
1506. Orders; withholding loans or grants; limitations
(a) When the Merit Systems Protection Board finds-
(1) that a State or local officer or employee has not been re-
moved from his office or employment within 30 days after notice
of a determination by the Board that he has violated section
1502 of this title and that the violation warrants removal; or
(2) that the State or local officer or employee has been removed
and has been appointed within 18 months after his removal to an
office or employment in the same State in a State or local agency
which does not receive loans or grants from a Federal agency;
the Board shall make and certify to the appropriate Federal agency
an order requiring that agency to withhold from its loans or grants to
the State or local agency to which notice was given an amount equal to
2 years' pay at the rate the officer or employee was receiving at the
time of the violation. When the State or local agency to which ap-
pointment within 18 months after removal has been made is one that
receives loans or grants from a Federal agency, the Board order shall
direct that the withholding be made from that State or local agency.
(b) Notice of the order shall be sent by registered or certified mail to
the State or local agency from which the amount is ordered to be with-
held. After the order becomes final, the Federal agency to which the
order is certified shall withhold the amount in accordance with the
terms of the order. Except as provided by section 1508 of this title, a
determination or order of the Board becomes final at the end of 30 days
after mailing the notice of the determination or order.
(c) The Board may not require an amount to be withheld from a
loan or grant pledged by a State or local agency as security for its
bonds or notes if the withholding of that amount would jeopardize
the payment of the principal or interest on the bonds or notes. (Pub. L.
89-554, Sept. 6, 1966, 80 Stat. 405; amended Pub. L. 95-454, Oct. 13,
1978,92 Stat. 1225.)
1507. Subpenas and depositions
(a) The Merit Systems Protection Board may require by subpoena
the attendance and testimony of witnesses and the production of docu-
inentary evidence relating to any matter before it as a result of this
chapter. Any member of the Board may sign subpenas, and members
of the Board and its examiners when authorized by the Board may ad-
minister oaths, examine witnesses, and receive evidence. The attendance
of witnesses and the production of documentary evidence may be re-
quired from any place in the United States at tihe designated place of
hearing. In case of (lisol)edience to a subpoena the Board may invoke the
aid of a court of the United States in requiring the attendance and
testimony of witnesses and the production of documentary evidence. In
case of contumacy or refusal to obey a subpena issued to a person, the'
United States District Court within whose jurisdiction the inquiry isj
carried on may issue an order requiring him to appear before the Board,
or to produce the documentary evidence if so ordered, or to give evi-il
dence, concerning the matter in question; and any failure to obey theS
order of the court may be punished by the court as a contempt thereof.i

r:
,i