05 USC 6. Responsibilities of the President; report to Congress;
annual report to Congress; exclusion
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) The President may delegate responsibility for evaluating and
taking action, where appropriate, with respect to all public
recommendations made to him by Presidential advisory committees.
(b) Within one year after a Presidential advisory committee has
submitted a public report to the President, the President or his
delegate shall make a report to the Congress stating either his
proposals for action or his reasons for inaction, with respect to the
recommendations contained in the public report.
(c) The President shall, not later than December 31 of each year,
make an annual report to the Congress on the activities, status, and
changes in the composition of advisory committees in existence during
the preceding fiscal year. The report shall contain the name of every
advisory committee, the date of and authority for its creation, its
termination date or the date it is to make a report, its functions, a
reference to the reports it has submitted, a statement of whether it is
an ad hoc or continuing body, the dates of its meetings, the names and
occupations of its current members, and the total estimated annual cost
to the United States to fund, service, supply, and maintain such
committee. Such report shall include a list of those advisory
committees abolished by the President, and in the case of advisory
committees established by statute, a list of those advisory committees
which the President recommends be abolished together with his reasons
therefor. The President shall exclude from this report any information
which, in his judgment, should be withheld for reasons of national
security, and he shall include in such report a statement that such
information is excluded.
(Pub. L. 92-463, 6, Oct. 6, 1972, 86 Stat. 772; Pub. L. 97-375,
title II, 201(c), Dec. 21, 1982, 96 Stat. 1822.)
1982 -- Subsec. (c). Pub. L. 97-375 substituted provision that the
President shall, not later than Dec. 31 of each year, make an annual
report to Congress on the activities, status, and changes in the
composition of advisory committees in existence during the preceding
fiscal year, for provision the President, not later than March 31 of
each calendar year after 1972, make an annual report to Congress on the
activities, status, and changes in the composition of advisory
committees in existence during the preceding calendar year.
Section 210(c) of Pub. L. 97-375 provided that the amendment made by
that section is effective July 1, 1983.
05 USC 7. Responsibilities of the Administrator of General Services;
Committee Management Secretariat, establishment; review;
recommendations to President and Congress; agency cooperation;
performance guidelines; uniform pay guidelines; travel expenses;
expense recommendations
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) The Administrator shall establish and maintain within the General
Services Administration a Committee Management Secretariat, which shall
be responsible for all matters relating to advisory committees.
(b) The Administrator shall, immediately after October 6, 1972,
institute a comprehensive review of the activities and responsibilities
of each advisory committee to determine --
(1) whether such committee is carrying out its purpose;
(2) whether, consistent with the provisions of applicable statutes,
the responsibilities assigned to it should be revised;
(3) whether it should be merged with other advisory committees; or
(4) whether it should be abolished.
The Administrator may from time to time request such information as
he deems necessary to carry out his functions under this subsection.
Upon the completion of the Administrator's review he shall make
recommendations to the President and to either the agency head or the
Congress with respect to action he believes should be taken.
Thereafter, the Administrator shall carry out a similar review annually.
Agency heads shall cooperate with the Administrator in making the
reviews required by this subsection.
(c) The Administrator shall prescribe administrative guidelines and
management controls applicable to advisory committees, and, to the
maximum extent feasible, provide advice, assistance, and guidance to
advisory committees to improve their performance. In carrying out his
functions under this subsection, the Administrator shall consider the
recommendations of each agency head with respect to means of improving
the performance of advisory committees whose duties are related to such
agency.
(d)(1) The Administrator, after study and consultation with the
Director of the Office of Personnel Management, shall establish
guidelines with respect to uniform fair rates of pay for comparable
services of members, staffs, and consultants of advisory committees in a
manner which gives appropriate recognition to the responsibilities and
qualifications required and other relevant factors. Such regulations
shall provide that --
(A) no member of any advisory committee or of the staff of any
advisory committee shall receive compensation at a rate in excess of the
rate specified for GS-18 of the General Schedule under section 5332 of
title 5, United States Code;
(B) such members, while engaged in the performance of their duties
away from their homes or regular places of business, may be allowed
travel expenses, including per diem in lieu of subsistence, as
authorized by section 5703 of title 5, United States Code, for persons
employed intermittently in the Government service; and
(C) such members --
(i) who are blind or deaf or who otherwise qualify as handicapped
individuals (within the meaning of section 501 of the Rehabilitation Act
of 1973 (29 U.S.C. 794)), and
(ii) who do not otherwise qualify for assistance under section 3102
of title 5, United States Code, by reason of being an employee of an
agency (within the meaning of section 3102(a)(1) of such title 5),
may be provided services pursuant to section 3102 of such title 5
while in performance of their advisory committee duties.
(2) Nothing in this subsection shall prevent --
(A) an individual who (without regard to his service with an advisory
committee) is a full-time employee of the United States, or
(B) an individual who immediately before his service with an advisory
committee was such an employee,
from receiving compensation at the rate at which he otherwise would
be compensated (or was compensated) as a full-time employee of the
United States.
(e) The Administrator shall include in budget recommendations a
summary of the amounts he deems necessary for the expenses of advisory
committees, including the expenses for publication of reports where
appropriate.
(Pub. L. 92-463, 7, Oct. 6, 1972, 86 Stat. 772; 1977 Reorg. Plan
No. 1, 5F, eff. Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634; 1978
Reorg. Plan No. 2, 102, eff. Jan. 1, 1979, 43 F.R. 36067, 92 Stat.
3783; Pub. L. 96-523, 2, Dec. 12, 1980, 94 Stat. 3040.)
Section 501 of the Rehabilitation Act of 1973, referred to in subsec.
(d)(1)(C)(i), is classified to section 791 of Title 29, Labor, rather
than to section 794 of Title 29 as shown in text.
1980 -- Subsec. (d)(1)(C). Pub. L. 96-523 added subpar. (C).
Amendment by Pub. L. 96-523 effective sixty days after Dec. 12,
1980, see section 3 of Pub. L. 96-523, set out as a note under section
3102 of this title.
''Director of the Office of Personnel Management'' substituted for
''Civil Service Commission'' in subsec. (d) pursuant to Reorg. Plan
No. 2 of 1978, 102, 43 F.R. 36037, 92 Stat. 3783, set out under
section 1101 of this title, which transferred functions vested by
statute in United States Civil Service Commission to Director of Office
of Personnel Management (except as otherwise specified), effective Jan.
1, 1979, as provided by section 1-102 of Ex. Ord. No. 12107, Dec. 28,
1978, 44 F.R. 1055, set out under section 1101 of this title.
''Administrator'', ''Administrator's'', ''Administrator of General
Services'', and ''General Services Administration'' substituted for
''Director'', ''Director's'', ''Director, Office of Management and
Budget'', and ''Office of Management and Budget'' in text pursuant to
Reorg. Plan No. 1 of 1977, 5F, 42 F.R. 56101, 91 Stat. 1634, set out
in this Appendix, which transferred functions of Office of Management
and Budget and Director thereof relating to Committee Management
Secretariat to Administrator of General Services, effective Nov. 20,
1977, as provided by section 1 of Ex. Ord. No. 12024, Dec. 1, 1977, 42
F.R. 61445, set out under section 2 of this Act in this Appendix.
References in laws to the rates of pay for GS-16, 17, or 18, or to
maximum rates of pay under the General Schedule, to be considered
references to rates payable under specified sections of this title, see
section 529 (title I, 101(c)(1)) of Pub. L. 101-509, set out in a note
under section 5376 of this title.
title 7 section 5005.
05 USC 8. Responsibilities of agency heads; Advisory Committee
Management Officer, designation
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) Each agency head shall establish uniform administrative
guidelines and management controls for advisory committees established
by that agency, which shall be consistent with directives of the
Administrator under section 7 and section 10. Each agency shall
maintain systematic information on the nature, functions, and operations
of each advisory committee within its jurisdiction.
(b) The head of each agency which has an advisory committee shall
designate an Advisory Committee Management Officer who shall --
(1) exercise control and supervision over the establishment,
procedures, and accomplishments of advisory committees established by
that agency;
(2) assemble and maintain the reports, records, and other papers of
any such committee during its existence; and
(3) carry out, on behalf of that agency, the provisions of section
552 of title 5, United States Code, with respect to such reports,
records, and other papers.
(Pub. L. 92-463, 8, Oct. 6, 1972, 86 Stat. 773; 1977 Reorg. Plan
No. 1, 5F, eff. Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634.)
''Administrator'', meaning Administrator of General Services,
substituted for ''Director'', meaning Director of Office of Management
and Budget, in subsec. (a) pursuant to Reorg. Plan No. 1 of 1977,
5F, 42 F.R. 56101, 91 Stat. 1634, set out in this Appendix, which
transferred functions of Office of Management and Budget and Director
thereof relating to Committee Management Secretariat to Administrator of
General Services, effective Nov. 20, 1977, as provided by section 1 of
Ex. Ord. No. 12024, Dec. 1, 1977, 42 F.R. 61445, set out under section
2 of this Act in this Appendix.
05 USC 9. Establishment and purpose of advisory committees;
publication in Federal Register; charter: filing, contents, copy
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) No advisory committee shall be established unless such
establishment is --
(1) specifically authorized by statute or by the President; or
(2) determined as a matter of formal record, by the head of the
agency involved after consultation with the Administrator, with timely
notice published in the Federal Register, to be in the public interest
in connection with the performance of duties imposed on that agency by
law.
(b) Unless otherwise specifically provided by statute or Presidential
directive, advisory committees shall be utilized solely for advisory
functions. Determinations of action to be taken and policy to be
expressed with respect to matters upon which an advisory committee
reports or makes recommendations shall be made solely by the President
or an officer of the Federal Government.
(c) No advisory committee shall meet or take any action until an
advisory committee charter has been filed with (1) the Administrator, in
the case of Presidential advisory committees, or (2) with the head of
the agency to whom any advisory committee reports and with the standing
committees of the Senate and of the House of Representatives having
legislative jurisdiction of such agency. Such charter shall contain the
following information:
(A) the committee's official designation;
(B) the committee's objectives and the scope of its activity;
(C) the period of time necessary for the committee to carry out its
purposes;
(D) the agency or official to whom the committee reports;
(E) the agency responsible for providing the necessary support for
the committee;
(F) a description of the duties for which the committee is
responsible, and, if such duties are not solely advisory, a
specification of the authority for such functions;
(G) the estimated annual operating costs in dollars and man-years for
such committee;
(H) the estimated number and frequency of committee meetings;
(I) the committee's termination date, if less than two years from the
date of the committee's establishment; and
(J) the date the charter is filed.
A copy of any such charter shall also be furnished to the Library of
Congress.
(Pub. L. 92-463, 9, Oct. 6, 1972, 86 Stat. 773; 1977 Reorg. Plan
No. 1, 5F, eff. Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634.)
''Administrator'', meaning Administrator of General Services,
substituted for ''Director'', meaning Director of Office of Management
and Budget, in subsecs. (a)(2) and (c) pursuant to Reorg. Plan No. 1
of 1977, 5F, 42 F.R. 56101, 91 Stat. 1634, set out in this Appendix,
which transferred functions of Office of Management and Budget and
Director thereof relating to Committee Management Secretariat to
Administrator of General Services, effective Nov. 20, 1977, as provided
by section 1 of Ex. Ord. No. 12024, Dec. 1, 1977, 42 F.R. 61445, set
out under section 2 of this Act in this Appendix.
05 USC 10. Advisory committee procedures; meetings; notice,
publication in Federal Register; regulations; minutes; certification;
annual report; Federal officer or employee, attendance
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a)(1) Each advisory committee meeting shall be open to the public.
(2) Except when the President determines otherwise for reasons of
national security, timely notice of each such meeting shall be published
in the Federal Register, and the Administrator shall prescribe
regulations to provide for other types of public notice to insure that
all interested persons are notified of such meeting prior thereto.
(3) Interested persons shall be permitted to attend, appear before,
or file statements with any advisory committee, subject to such
reasonable rules or regulations as the Administrator may prescribe.
(b) Subject to section 552 of title 5, United States Code, the
records, reports, transcripts, minutes, appendixes, working papers,
drafts, studies, agenda, or other documents which were made available to
or prepared for or by each advisory committee shall be available for
public inspection and copying at a single location in the offices of the
advisory committee or the agency to which the advisory committee reports
until the advisory committee ceases to exist.
(c) Detailed minutes of each meeting of each advisory committee shall
be kept and shall contain a record of the persons present, a complete
and accurate description of matters discussed and conclusions reached,
and copies of all reports received, issued, or approved by the advisory
committee. The accuracy of all minutes shall be certified to by the
chairman of the advisory committee.
(d) Subsections (a)(1) and (a)(3) of this section shall not apply to
any portion of an advisory committee meeting where the President, or the
head of the agency to which the advisory committee reports, determines
that such portion of such meeting may be closed to the public in
accordance with subsection (c) of section 552b of title 5, United States
Code. Any such determination shall be in writing and shall contain the
reasons for such determination. If such a determination is made, the
advisory committee shall issue a report at least annually setting forth
a summary of its activities and such related matters as would be
informative to the public consistent with the policy of section 552(b)
of title 5, United States Code.
(e) There shall be designated an officer or employee of the Federal
Government to chair or attend each meeting of each advisory committee.
The officer or employee so designated is authorized, whenever he
determines it to be in the public interest, to adjourn any such meeting.
No advisory committee shall conduct any meeting in the absence of that
officer or employee.
(f) Advisory committees shall not hold any meetings except at the
call of, or with the advance approval of, a designated officer or
employee of the Federal Government, and in the case of advisory
committees (other than Presidential advisory committees), with an agenda
approved by such officer or employee.
(Pub. L. 92-463, 10, Oct. 6, 1972, 86 Stat. 774; Pub. L. 94-409,
5(c), Sept. 13, 1976, 90 Stat. 1247; 1977 Reorg. Plan No. 1, 5F, eff.
Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634.)
1976 -- Subsec. (d). Pub. L. 94-409 inserted ''portion of an'' after
''to any'' and substituted provisions relating to determinations for
closing to the public such portion of the meeting in accordance with
section 552b(c) of title 5, for provisions relating to determinations of
matters listed in section 552(b) of title 5.
Amendment by Pub. L. 94-409 effective 180 days after Sept. 13,
1976, see section 6 of Pub. L. 94-409, set out as an Effective Date
note under section 552b of this title.
''Administrator'', meaning Administrator of General Services,
substituted for ''Director'', meaning Director of Office of Management
and Budget, in subsec. (a)(2), (3) pursuant to Reorg. Plan No. 1 of
1977, 5F, 42 F.R. 56101, 91 Stat. 1634, set out in this Appendix,
which transferred functions of Office of Management and Budget and
Director thereof relating to Committee Management Secretariat to
Administrator of General Services, effective Nov. 20, 1977, as provided
by section 1 of Ex. Ord. No. 12024, Dec. 1, 1977, 42 F.R. 61445, set
out under section 2 of this Act in this Appendix.
title 7 section 5005; title 19
sections 2155, 2605;
title 20 section 1233h; title 30 section 1229; title
42 sections 1395ww, 6273; title 46 section 4508.
05 USC 11. Availability of transcripts; ''agency proceeding''
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) Except where prohibited by contractual agreements entered into
prior to the effective date of this Act, agencies and advisory
committees shall make available to any person, at actual cost of
duplication, copies of transcripts of agency proceedings or advisory
committee meetings.
(b) As used in this section ''agency proceeding'' means any
proceeding as defined in section 551(12) of title 5, United States Code.
(Pub. L. 92-463, 11, Oct. 6, 1972, 86 Stat. 775.)
Effective date of this Act, referred to in subsec. (a), as meaning
effective upon expiration of ninety days following enactment of Pub. L.
92-463 on Oct. 6, 1972, see section 15 of Pub. L. 92-463.
05 USC 12. Fiscal and administrative provisions; record-keeping;
audit; agency support services
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a) Each agency shall keep records as will fully disclose the
disposition of any funds which may be at the disposal of its advisory
committees and the nature and extent of their activities. The General
Services Administration, or such other agency as the President may
designate, shall maintain financial records with respect to Presidential
advisory committees. The Comptroller General of the United States, or
any of his authorized representatives, shall have access, for the
purpose of audit and examination, to any such records.
(b) Each agency shall be responsible for providing support services
for each advisory committee established by or reporting to it unless the
establishing authority provides otherwise. Where any such advisory
committee reports to more than one agency, only one agency shall be
responsible for support services at any one time. In the case of
Presidential advisory committees, such services may be provided by the
General Services Administration.
(Pub. L. 92-463, 12, Oct. 6, 1972, 86 Stat. 775.)
05 USC 13. Responsibilities of Library of Congress; reports and
background papers; depository
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
Subject to section 552 of title 5, United States Code, the
Administrator shall provide for the filing with the Library of Congress
of at least eight copies of each report made by every advisory committee
and, where appropriate, background papers prepared by consultants. The
Librarian of Congress shall establish a depository for such reports and
papers where they shall be available to public inspection and use.
(Pub. L. 92-463, 13, Oct. 6, 1972, 86 Stat. 775; 1977 Reorg. Plan
No. 1, 5F, eff. Nov. 20, 1977, 42 F.R. 56101, 91 Stat. 1634.)
''Administrator'', meaning Administrator of General Services,
substituted in text for ''Director'', meaning Director of Office of
Management and Budget, pursuant to Reorg. Plan No. 1 of 1977, 5F, 42
F.R. 56101, 91 Stat. 1634, set out in this Appendix, which transferred
functions of Office of Management and Budget and Director thereof
relating to Committee Management Secretariat to Administrator of General
Services, effective Nov. 20, 1977, as provided by section 1 of Ex.
Ord. No. 12024, Dec. 1, 1977, 42 F.R. 61445, set out under section 2 of
this Act in this Appendix.
05 USC 14. Termination of advisory committees; renewal; continuation
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
(a)(1) Each advisory committee which is in existence on the effective
date of this Act shall terminate not later than the expiration of the
two-year period following such effective date unless --
(A) in the case of an advisory committee established by the President
or an officer of the Federal Government, such advisory committee is
renewed by the President or that officer by appropriate action prior to
the expiration of such two-year period; or
(B) in the case of an advisory committee established by an Act of
Congress, its duration is otherwise provided for by law.
(2) Each advisory committee established after such effective date
shall terminate not later than the expiration of the two-year period
beginning on the date of its establishment unless --
(A) in the case of an advisory committee established by the President
or an officer of the Federal Government such advisory committee is
renewed by the President or such officer by appropriate action prior to
the end of such period; or
(B) in the case of an advisory committee established by an Act of
Congress, its duration is otherwise provided for by law.
(b)(1) Upon the renewal of any advisory committee, such advisory
committee shall file a charter in accordance with section 9(c).
(2) Any advisory committee established by an Act of Congress shall
file a charter in accordance with such section upon the expiration of
each successive two-year period following the date of enactment of the
Act establishing such advisory committee.
(3) No advisory committee required under this subsection to file a
charter shall take any action (other than preparation and filing of such
charter) prior to the date on which such charter is filed.
(c) Any advisory committee which is renewed by the President or any
officer of the Federal Government may be continued only for successive
two-year periods by appropriate action taken by the President or such
officer prior to the date on which such advisory committee would
otherwise terminate.
(Pub. L. 92-463, 14, Oct. 6, 1972, 86 Stat. 776.)
Effective date of this Act, referred to in subsec. (a)(1), as
meaning effective upon expiration of ninety days following enactment of
Pub. L. 92-463 on Oct. 6, 1972, see section 15 of Pub. L. 92-463.
Ex. Ord. No. 11827, Jan. 4, 1975, 40 F.R. 1217, as amended by Ex.
Ord. No. 11915, May 10, 1976, 41 F.R. 19195, which provided for the
continuance of certain federal advisory committees, was superseded by
Ex. Ord. No. 11948, Dec. 20, 1976, 41 F.R. 55705, formerly set out as
a note under this section.
Ex. Ord. No. 11948, Dec. 20, 1976, 41 F.R. 55705, as amended by Ex.
Ord. No. 12007, Aug. 22, 1977, 42 F.R. 42839; Ex. Ord. No. 12029,
Dec. 14, 1977, 42 F.R. 63631, which provided for the continuance of
certain federal advisory committees, was superseded by Ex. Ord. No.
12110, Dec. 28, 1978, 44 F.R. 1069, formerly set out as a note under
this section.
Ex. Ord. No. 12007, Aug. 22, 1977, 42 F.R. 42839, provided:
By virtue of the authority vested in me by the Constitution and
statutes of the United States of America, and as President of the United
States of America, in order to terminate certain advisory committees in
accordance with the provisions of the Federal Advisory Committee Act (5
U.S.C. App.), it is hereby ordered as follows:
Section 1. (a) The Citizens' Advisory Council on the Status of Women
is terminated.
(b) Executive Order No. 11126 of November 1, 1963, as amended by
Executive Order No. 11221 of May 6, 1965 (set out as a note under 42
U.S.C. 2000e), is further amended as follows:
(1) Subsection (5) of Section 102 is revoked.
(2) Section 103, in order to delete a reference to the Council, is
amended to read as follows:
''Annually the Committee shall transmit a report to the President
concerning the status of women.''
(3) Part II is revoked.
(4) The second sentence of Section 301, in order to delete references
to the Council, is amended to read as follows:
''To the extent practical and to the extent permitted by law (1) all
Executive agencies shall cooperate with the Committee and furnish it
such information and assistance as may be necessary for the performance
of its functions, and (2) the Secretary of Labor shall furnish staff,
office space, office facilities and supplies, and other necessary
assistance, facilities, and services for the Committee.''
Sec. 2. (a) The Citizens' Advisory Committee on Environmental Quality
is terminated.
(b) Part II of Executive Order No. 11472 of May 29, 1969, as amended
by paragraphs (7) and (8) of Section 4 of Executive Order No. 11514 of
March 5, 1970, is revoked.
Sec. 3. (a) The Advisory Council for Minority Enterprise is
terminated.
(b) Section 2 of Executive Order No. 11625 of October 13, 1971, is
revoked.
Sec. 4. (a) The Consumer Advisory Council is terminated.
(b) Executive Order No. 11583 of February 24, 1971 (set out as a
note under 20 U.S.C. 2982), is amended as follows:
(1) The second sentence of subsection (b)(1) of Section 2 is amended
by deleting ''(including the Consumer Advisory Council established in
section 5 of this order)''.
(2) Section 5 is revoked.
Sec. 5. (a) The President's Advisory Board on International
Investment is terminated.
(b) Executive Order No. 11962 of January 19, 1977, is revoked.
Sec. 6. Subsections (a), (g), (i), and (j) of Section 1 of Executive
Order No. 11948 of December 20, 1976 (formerly set out as a note under
this section), which extended the above advisory committees until
December 31, 1978, is superseded.
Jimmy Carter.
Ex. Ord. No. 12029, Dec. 14, 1977, 42 F.R. 63631, provided:
By virtue of the authority vested in me by the Constitution and
statutes of the United States of America, and as President of the United
States of America, in order to terminate an advisory committee in
accordance with the provisions of the Federal Advisory Committee Act (5
U.S.C. App.), it is hereby ordered as follows:
Section 1. (a) The Quetico-Superior Committee is terminated.
(b) Executive Order No. 11342, as amended, is revoked.
Sec. 2. Subsection (e) of Section 1 of Executive Order No. 11948 of
December 20, 1976 (formerly set out as a note under this section), which
extended the above advisory committee until December 31, 1978, is
superseded.
Jimmy Carter.
Ex. Ord. No. 12110, Dec. 28, 1978, 44 F.R. 1069, which provided for
the continuance of certain federal advisory committees, was superseded
by Ex. Ord. No. 12258, Dec. 31, 198, 46 F.R. 1251, as amended,
formerly set out as a note under this section.
Ex. Ord. No. 12258, Dec. 31, 1980, 46 F.R. 1251, as amended by Ex.
Ord. No. 12271, Jan. 15, 1981, 46 F.R. 4677; Ex. Ord. No. 12299, Mar.
17, 1981, 46 F.R. 17751; Ex. Ord. No. 12305, May 5, 1981, 46 F.R.
25421; Ex. Ord. No. 12336, Dec. 21, 1981, 46 F.R. 62239, which
provided for the continuance of certain Federal advisory committees, was
superseded by Ex. Ord. No. 12399, Dec. 31, 1982, 48 F.R. 379, formerly
set out as a note under this section.
Ex. Ord. No. 12305, May 5, 1981, 46 F.R. 25421, provided:
By the authority vested in me as President by the Constitution of the
United States of America, and in accordance with the provisions of the
Federal Advisory Committee Act, as amended (5 U.S.C. App.), the
following Executive Orders, establishing advisory committees, are hereby
revoked and the committees terminated:
(a) Executive Order No. 12059 of May 11, 1978, as amended,
establishing the United States Circuit Judge Nominating Commission;
(b) Executive Order No. 11992 of May 24, 1977, establishing the
Committee on Selection of Federal Judicial Officers;
(c) Executive Order No. 12084 of September 27, 1978, as amended by
Executive Order 12097 of November 8, 1978, establishing the Judicial
Nominating Commission for the District of Puerto Rico; and
(d) Executive Order No. 12064 of June 5, 1978, establishing the
United States Tax Court Nominating Commission.
Subsections (g), (i), (j) and (k) of Section 1-101 of Executive Order
No. 12258 (formerly set out as a note under this section), extending
these committees, are also revoked.
Ronald Reagan.
Ex. Ord. No. 12379, Aug. 17, 1982, 47 F.R. 36099, provided:
By the authority vested in me as President by the Constitution and
statutes of the United States of America, and to terminate the
establishing authorities for committees that are inactive or no longer
necessary, it is hereby ordered as follows:
Section 1. Executive Order No. 12071, as amended (set out as a note
under 29 U.S.C. 1001), establishing the President's Commission on
Pension Policy, is revoked.
Sec. 2. Executive Order No. 12042, creating a Board of Inquiry to
Report on Labor Disputes Affecting the Bituminous Coal Industry in the
United States, is revoked.
Sec. 3. Executive Order No. 12085, creating an Emergency Board to
Investigate a Dispute Between the Norfolk and Western Railway Company
and Certain of Its Employees, is revoked.
Sec. 4. Executive Order No. 12132, creating an Emergency Board to
Investigate a Dispute Between the National Railway Labor Conference and
Certain of Its Employees, is revoked.
Sec. 5. Executive Order No. 12095, creating an Emergency Board to
Investigate a Dispute Between Wien Air Alaska, Inc., and Certain
Individuals, is revoked.
Sec. 6. Executive Order No. 12159, creating an Emergency Board to
Investigate Disputes Between the Chicago, Rock Island, Pacific Railroad
and Peoria Terminal Company and Brotherhood of Railway, Airline and
Steamship Clerks, Freight Handlers, Express and Station Employees; and
the United Transportation Union, is revoked.
Sec. 7. Executive Order No. 12182, creating an Emergency Board to
Investigate a Dispute Between the Long Island Rail Road and Certain of
Its Employees, is revoked.
Sec. 8. Executive Order No. 12207, creating an Emergency Board to
Investigate a Dispute Between the Port Authority Trans-Hudson
Corporation and Certain of Its Employees, is revoked.
Sec. 9. Executive Order No. 12262 (set out as a note under 29 U.S.C.
1001), establishing an Interagency Employee Benefit Council, is revoked.
Sec. 10. Executive Order No. 12275 (set out as a note under 20
U.S.C. 951), establishing the Design Liaison Council, is revoked.
Sec. 11. Executive Order No. 11829, as amended (set out as a note
under 25 U.S.C. 640d), establishing the Hopi-Navajo Land Settlement
Interagency Committee, is revoked.
Sec. 12. Executive Order No. 11022, as amended (set out as a note
under 42 U.S.C. 3001), establishing the President's Council on Aging, is
revoked.
Sec. 13. Executive Order No. 12192 (set out as a note under 42
U.S.C. 2221), establishing the State Planing (Planning) Council on
Radioactive Waste Management, is revoked.
Sec. 14. Executive Order No. 12075, as amended (set out as a note
under 42 U.S.C. 1450), establishing the Interagency Coordinating
Council, is revoked.
Sec. 15. Executive Order No. 11782 (set out as a note under 12
U.S.C. 2281), establishing the Federal Financing Bank Advisory Council,
is revoked.
Sec. 16. Executive Order No. 12089, as amended (set out as a note
under 15 U.S.C. 2401), establishing the National Productivity Council,
is revoked.
Sec. 17. Executive Order No. 11330, as amended (set out as a note
preceding 42 U.S.C. 2711), establishing the President's Council on Youth
Opportunity, is revoked.
Sec. 18. Executive Order No. 11256, establishing the President's
Committee on Food and Fiber and establishing the National Advisory
Commission on Food and Fiber, is revoked.
Sec. 19. Executive Order No. 11654 (set out as a note under 15
U.S.C. 278f), continuing the Federal Fire Council, is revoked.
Sec. 20. Executive Order No. 12083, as amended (set out as a note
under 42 U.S.C. 7101), establishing the Energy Coordinating Committee,
is revoked.
Sec. 21. Executive Order No. 12285, as amended and ratified (set out
as a note under 50 U.S.C. 1701), establishing the President's Commission
on Hostage Compensation, is revoked.
Sec. 22. Executive Order No. 12202, as amended (set out as a note
under 42 U.S.C. 5848), establishing the Nuclear Safety Oversight
Committee, is revoked.
Sec. 23. Executive Order No. 12194 (set out as a note under 42
U.S.C. 1321), establishing the Radiation Policy Council, is revoked.
Sec. 24. The Veterans' Federal Coordinating Committee (Weekly
Compilation of Presidential Documents, volume 14, number 41, page 1743)
is terminated.
Sec. 25. The President's Council on Energy Efficiency (Weekly
Compilation of Presidential Documents, volume 16, numbers 18 and 30,
pages 790 and 1404) is terminated.
Ronald Reagan.
Ex. Ord. No. 12399, Dec. 31, 1982, 48 F.R. 379, which provided for
the continuance of certain Federal advisory committees, was superseded
by Ex. Ord. No. 12534, Sept. 30, 1985, 50 F.R. 40319, formerly set out
as a note under this section.
Ex. Ord. No. 12489, Sept. 28, 1984, 49 F.R. 38927, which provided
for the continuance of certain Federal advisory committees, was
superseded by Ex. Ord. No. 12534, Sept. 30, 1985, 50 F.R. 40319,
formerly set out as a note under this section.
Ex. Ord. No. 12534, Sept. 30, 1985, 50 F.R. 40319, which provided
for the continuance of certain Federal advisory committees, was
superseded by Ex. Ord. No. 12610, Sept. 30, 1987, 52 F.R. 36901,
formerly set out as a note under this section.
Ex. Ord. No. 12610, Sept. 30, 1987, 52 F.R. 36901, which provided
for the continuance of certain Federal advisory committees, was
superseded by Ex. Ord. No. 12692, Sept. 29, 1989, 54 F.R. 40627,
formerly set out as a note under this section.
Ex. Ord. No. 12692, Sept. 29, 1989, 54 F.R. 40627, as amended by Ex.
Ord. No. 12704, Feb. 26, 1990, 55 F.R. 6969, which provided for the
continuance of certain Federal advisory committees, was superseded by
Ex. Ord. No. 12774, 4, Sept. 27, 1991, 56 F.R. 49836, set out below.
Ex. Ord. No. 12774, Sept. 27, 1991, 56 F.R. 49835, provided:
By the authority vested in me as President by the Constitution and
the laws of the United States of America, and in accordance with the
provisions of the Federal Advisory Committee Act, as amended (5 U.S.C.
App.), it is hereby ordered as follows:
Section 1. Each advisory committee listed below is continued until
September 30, 1993.
(a) Committee for the Preservation of the White House; Executive
Order No. 11145, as amended (Department of the Interior) (3 U.S.C. 110
note).
(b) Federal Advisory Council on Occupational Safety and Health;
Executive Order No. 12196, as amended (Department of Labor) (5 U.S.C.
7902 note).
(c) President's Commission on White House Fellowships; Executive
Order No. 11183, as amended (Office of Personnel Management).
(d) President's Committee on the Arts and the Humanities; Executive
Order No. 12367, as amended (National Endowment for the Arts).
(e) President's Committee on the International Labor Organization;
Executive Order No. 12216 (Department of Labor) (22 U.S.C. 271 note).
(f) President's Committee on Mental Retardation; Executive Order No.
11776 (Department of Health and Human Services) (42 U.S.C. note prec.
6000).
(g) President's Committee on the National Medal of Science;
Executive Order No. 11287, as amended (National Science Foundation) (42
U.S.C. 1881 note).
(h) President's Council on Physical Fitness and Sports; Executive
Order No. 12345, as amended (Department of Health and Human Services)
(42 U.S.C. 300u-5 note).
(i) President's Export Council; Executive Order No. 12131, as
amended (Department of Commerce) (50 App. U.S.C. 2401 note).
(j) President's National Security Telecommunications Advisory
Committee; Executive Order No. 12382, as amended (Department of
Defense).
Sec. 2. Notwithstanding the provisions of any other Executive order,
the functions of the President under the Federal Advisory Committee Act
that are applicable to the committees listed in Section 1 of this order,
except that of reporting annually to the Congress, shall be performed by
the head of the department or agency designated after each committee, in
accordance with the guidelines and procedures established by the
Administrator of General Services.
Sec. 3. The following Executive orders or sections thereof, which
established committees that have been terminated or whose work has been
completed, are revoked:
(a) Section 3-401 of Executive Order No. 12661 (19 U.S.C. 2901
note), as amended by Executive Order No. 12716, establishing the
National Commission on Superconductivity;
(b) Executive Order No. 12686, as amended by Executive Order No.
12705, establishing the President's Commission on Aviation Security and
Terrorism; and
(c) Executive Order No. 12658, as amended by Executive Order No.
12665 (42 U.S.C. 2210 note), establishing the President's Commission on
Catastrophic Nuclear Accidents.
Sec. 4. Executive Order No. 12692 is superseded.
Sec. 5. This order shall be effective September 30, 1991.
George Bush.
Ex. Ord. No. 12838, Feb. 10, 1993, 58 F.R. 8207, provided:
By the authority vested in me as President by the Constitution and
the laws of the United States of America, including the Federal Advisory
Committee Act (''FACA''), as amended (5 U.S.C. App.), it is hereby
ordered as follows:
Section 1. Each executive department and agency shall terminate not
less than one-third of the advisory committees subject to FACA (and not
required by statute) that are sponsored by the department or agency by
no later than the end of fiscal year 1993.
Sec. 2. Within 90 days, the head of each executive department and
agency shall submit to the Director of the Office of Management and
Budget, for each advisory committee subject to FACA sponsored by that
department or agency: (a) a detailed justification for the continued
existence, or a brief description in support of the termination, of any
advisory committee not required by statute; and (b) a detailed
recommendation for submission to the Congress to continue or to
terminate any advisory committee required by statute. The Administrator
of General Services shall prepare such justifications and
recommendations for each advisory committee subject to FACA and not
sponsored by a department or agency.
Sec. 3. Effective immediately, executive departments and agencies
shall not create or sponsor a new advisory committee subject to FACA
unless the committee is required by statute or the agency head (a) finds
that compelling considerations necessitate creation of such a committee,
and (b) receives the approval of the Director of the Office of
Management and Budget. Such approval shall be granted only sparingly
and only if compelled by considerations of national security, health or
safety, or similar national interests. These requirements shall apply
in addition to the notice and other approval requirements of FACA.
Sec. 4. The Director of the Office of Management and Budget shall
issue detailed instructions regarding the implementation of this order,
including exemptions necessary for the delivery of essential services
and compliance with applicable law.
Sec. 5. All independent regulatory commissions and agencies are
requested to comply with the provisions of this order.
William J. Clinton.
section 4603; title 16 sections 410nn-3, 410oo-5,
410qq-2, 410tt-4, 410ww-21, 430g-8, 460ww-5, 463,
1274; title 20 section 5508; title 29 section 1142;
title 33 section 2251; title 42 sections 218, 254j,
2b, 299c, 299c-1, 300d-1, 300j-5,
300v-3, 2471a, 12653l; title 44 section 2701; title
49 App. section 1353.
05 USC 15. Effective date
TITLE 5, APPENDIX -- FEDERAL ADVISORY COMMITTEE ACT
Except as provided in section 7(b), this Act shall become effective
upon the expiration of ninety days following October 6, 1972.
(Pub. L. 92-463, 15, Oct. 6, 1972, 86 Stat. 776.)
05 USC
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
05 USC INSPECTOR GENERAL ACT OF 1978
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
Pub. L. 95-452, Oct. 12, 1978, 92 Stat. 1101, as amended by Pub.
L. 96-88, title V, 508(n), Oct. 17, 1979, 93 Stat. 694; Pub. L.
97-113, title VII, 705(a)(1)-(3), Dec. 29, 1981, 95 Stat. 1544; Pub.
L. 97-252, title XI, 1117(a)-(c), Sept. 8, 1982, 96 Stat. 750-752;
Pub. L. 99-93, title I, 150(a), Aug. 16, 1985, 99 Stat. 427; Pub. L.
99-399, title IV, 412(a), Aug. 27, 1986, 100 Stat. 867; Pub. L.
100-504, title I, 102(a)-(d), (f), (g), 104(a), 105-107, 109, 110,
Oct. 18, 1988, 102 Stat. 2515-2529; Pub. L. 100-527, 13(h), Oct.
25, 1988, 102 Stat. 2643; Pub. L. 101-73, title V, 501(b)(1), title
VII, 702(c), Aug. 9, 1989, 103 Stat. 393, 415; Pub. L. 102-233,
title III, 315(a), Dec. 12, 1991, 105 Stat. 1772
05 USC 1. Short title
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
This Act be cited as the ''Inspector General Act of 1978''.
(Pub. L. 95-452, 1, Oct. 12, 1978, 92 Stat. 1101.)
Pub. L. 100-504, title I, 101, Oct. 18, 1988, 102 Stat. 2515,
provided that: ''This title (enacting sections 8B-8F of Pub. L.
95-452, set out in this Appendix, amending sections 2, 4-6, 8, 9, and 11
of Pub. L. 95-452, set out in this Appendix, sections 5315 and 5316 of
this title, sections 405 and 1105 of Title 31, Money and Finance, and
section 410 of Title 39, Postal Service, repealing sections 3521-3527
and 7138 of Title 42, The Public Health and Welfare, and section 231v of
Title 45, Railroads, and enacting provisions set out as notes under
sections 1, 5, 8D, 8E, and 9 of Pub. L. 95-452, set out in this
Appendix) may be cited as the 'Inspector General Act Amendments of
1988'.''
Pub. L. 100-504, title I, 112, Oct. 18, 1988, 102 Stat. 2530,
provided that: ''Any authority to make payments under this title (see
Short Title of 1988 Amendment note above) shall be effective only to
such extent as provided in appropriations Acts.''
20 sections 1082, 3412, 3422; title 22 sections 2593,
2877, 4861; title 29 section 1574; title 31 sections
902, 3521, 3801, 3808, 9105; title 38 sections 312,
7366; title 41 section 422; title 42 section 9651;
title 48 sections 1422d, 1599, 1668, 1681b.
05 USC 2. Purpose and establishment of Offices of Inspector General;
departments and agencies involved
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
In order to create independent and objective units --
(1) to conduct and supervise audits and investigations relating to
the programs and operations of the establishments listed in section
11(2);
(2) to provide leadership and coordination and recommend policies for
activities designed (A) to promote economy, efficiency, and
effectiveness in the administration of, and (B) to prevent and detect
fraud and abuse in, such programs and operations; and
(3) to provide a means for keeping the head of the establishment and
the Congress fully and currently informed about problems and
deficiencies relating to the administration of such programs and
operations and the necessity for and progress of corrective action;
there is hereby established in each of such establishments an office
of Inspector General.
(Pub. L. 95-452, 2, Oct. 12, 1978, 92 Stat. 1101; Pub. L. 96-88,
title V, 508(n)(1), Oct. 17, 1979, 93 Stat. 694; Pub. L. 97-113, title
VII, 705(a)(1), Dec. 29, 1981, 95 Stat. 1544; Pub. L. 97-252, title
XI, 1117(a)(1), Sept. 8, 1982, 96 Stat. 750; Pub. L. 99-93, title I,
150(a)(1), Aug. 16, 1985, 99 Stat. 427; Pub. L. 99-399, title IV,
412(a)(1), Aug. 27, 1986, 100 Stat. 867; Pub. L. 100-504, title I,
102(a), (b), Oct. 18, 1988, 102 Stat. 2515; Pub. L. 100-527,
13(h)(1), Oct. 25, 1988, 102 Stat. 2643.)
Amendment by Pub. L. 100-527 amended section as it existed prior to
amendment by Pub. L. 100-504, see Effective Date of 1988 Amendments
note below.
1988 -- Pub. L. 100-504 substituted ''there'' for ''thereby'' in
concluding provisions and amended par. (1) generally. Prior to
amendment, par. (1), as amended by Pub. L. 100-527, read as follows:
''to conduct and supervise audits and investigations relating to
programs and operations of the Department of Agriculture, the Department
of Commerce, the Department of Defense, the Department of Education, the
Department of Housing and Urban Development, the Department of the
Interior, the Department of Labor, the Department of Transportation, the
Department of Veterans Affairs, the Agency for International
Development, the Community Services Administration, the Environmental
Protection Agency, the General Services Administration, the National
Aeronautics and Space Administration, the Small Business Administration,
the United States Information Agency, and the Department of State;''.
Par. (1). Pub. L. 100-527 inserted ''the Department of Veterans
Affairs,'' and struck out ''the Veterans' Administration,'' after
''United States Information Agency,''. See Codification note above.
1986 -- Par. (1). Pub. L. 99-399 inserted ''the United States
Information Agency,''.
1985 -- Par. (1). Pub. L. 99-93 inserted reference to the Department
of State.
1982 -- Par. (1). Pub. L. 97-252, 1117(a)(1), inserted ''the
Department of Defense,''.
1981 -- Par. (1). Pub. L. 97-113 inserted ''the Agency for
International Development,''.
1979 -- Par. (1). Pub. L. 96-44 inserted ''the Department of
Education,''.
Amendment by Pub. L. 100-527 effective Mar. 15, 1989, see section
18(a) of Pub. L. 100-527, set out as a Department of Veterans Affairs
Act note under section 301 of Title 38, Veterans' Benefits.
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
Amendment by Pub. L. 96-88 effective May 4, 1980, with specified
exceptions, see section 601 of Pub. L. 96-88, set out as an Effective
Date note under section 3401 of Title 20, Education.
05 USC 3. Appointment of Inspector General; supervision; removal;
political activities; appointment of Assistant Inspector General for
Auditing and Assistant Inspector General for Investigations
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) There shall be at the head of each Office an Inspector General
who shall be appointed by the President, by and with the advice and
consent of the Senate, without regard to political affiliation and
solely on the basis of integrity and demonstrated ability in accounting,
auditing, financial analysis, law, management analysis, public
administration, or investigations. Each Inspector General shall report
to and be under the general supervision of the head of the establishment
involved or, to the extent such authority is delegated, the officer next
in rank below such head, but shall not report to, or be subject to
supervision by, any other officer of such establishment. Neither the
head of the establishment nor the officer next in rank below such head
shall prevent or prohibit the Inspector General from initiating,
carrying out, or completing any audit or investigation, or from issuing
any subpena during the course of any audit or investigation.
(b) An Inspector General may be removed from office by the President.
The President shall communicate the reasons for any such removal to
both Houses of Congress.
(c) For the purposes of section 7324 of title 5, United States Code,
no Inspector General shall be considered to be an employee who
determines policies to be pursued by the United States in the nationwide
administration of Federal laws.
(d) Each Inspector General shall, in accordance with applicable laws
and regulations governing the civil service --
(1) appoint an Assistant Inspector General for Auditing who shall
have the responsibility for supervising the performance of auditing
activities relating to programs and operations of the establishment, and
(2) appoint an Assistant Inspector General for Investigations who
shall have the responsibility for supervising the performance of
investigative activities relating to such programs and operations.
(Pub. L. 95-452, 3, Oct. 12, 1978, 92 Stat. 1101.)
05 USC 4. Duties and responsibilities; report of criminal violations
to Attorney General
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) It shall be the duty and responsibility of each Inspector
General, with respect to the establishment within which his Office is
established --
(1) to provide policy direction for and to conduct, supervise, and
coordinate audits and investigations relating to the programs and
operations of such establishment;
(2) to review existing and proposed legislation and regulations
relating to programs and operations of such establishment and to make
recommendations in the semiannual reports required by section 5(a)
concerning the impact of such legislation or regulations on the economy
and efficiency in the administration of programs and operations
administered or financed by such establishment or the prevention and
detection of fraud and abuse in such programs and operations;
(3) to recommend policies for, and to conduct, supervise, or
coordinate other activities carried out or financed by such
establishment for the purpose of promoting economy and efficiency in the
administration of, or preventing and detecting fraud and abuse in, its
programs and operations;
(4) to recommend policies for, and to conduct, supervise, or
coordinate relationships between such establishment and other Federal
agencies, State and local governmental agencies, and nongovernmental
entities with respect to (A) all matters relating to the promotion of
economy and efficiency in the administration of, or the prevention and
detection of fraud and abuse in, programs and operations administered or
financed by such establishment, or (B) the identification and
prosecution of participants in such fraud or abuse; and
(5) to keep the head of such establishment and the Congress fully and
currently informed, by means of the reports required by section 5 and
otherwise, concerning fraud and other serious problems, abuses, and
deficiencies relating to the administration of programs and operations
administered or financed by such establishment, to recommend corrective
action concerning such problems, abuses, and deficiencies, and to report
on the progress made in implementing such corrective action.
(b)(1) In carrying out the responsibilities specified in subsection
(a)(1), each Inspector General shall --
(A) comply with standards established by the Comptroller General of
the United States for audits of Federal establishments, organizations,
programs, activities, and functions;
(B) establish guidelines for determining when it shall be appropriate
to use non-Federal auditors; and
(C) take appropriate steps to assure that any work performed by
non-Federal auditors complies with the standards established by the
Comptroller General as described in paragraph (1).
(2) For purposes of determining compliance with paragraph (1)(A) with
respect to whether internal quality controls are in place and operating
and whether established audit standards, policies, and procedures are
being followed by Offices of Inspector General of establishments defined
under section 11(2), Offices of Inspector General of designated Federal
entities defined under section 8E(a)(2), and any audit office
established within a Federal entity defined under section 8E(a)(1),
reviews shall be performed exclusively by an audit entity in the Federal
Government, including the General Accounting Office or the Office of
Inspector General of each establishment defined under section 11(2), or
the Office of Inspector General of each designated Federal entity
defined under section 8E(a)(2).
(c) In carrying out the duties and responsibilities established under
this Act, each Inspector General shall give particular regard to the
activities of the Comptroller General of the United States with a view
toward avoiding duplication and insuring effective coordination and
cooperation.
(d) In carrying out the duties and responsibilities established under
this Act, each Inspector General shall report expeditiously to the
Attorney General whenever the Inspector General has reasonable grounds
to believe there has been a violation of Federal criminal law.
(Pub. L. 95-452, 4, Oct. 12, 1978, 92 Stat. 1102; Pub. L. 100-504,
title I, 109, Oct. 18, 1988, 102 Stat. 2529.)
1988 -- Subsec. (b). Pub. L. 100-504 designated existing provisions
as par. (1), redesignated pars. (1) to (3) as subpars. (A) to (C),
respectively, and added par. (2).
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
05 USC 5. Semiannual reports; transmittal to Congress; availability
to public; immediate report on serious or flagrant problems;
disclosure of information; definitions
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) Each Inspector General shall, not later than April 30 and October
31 of each year, prepare semiannual reports summarizing the activities
of the Office during the immediately preceding six-month periods ending
March 31 and September 30. Such reports shall include, but need not be
limited to --
(1) a description of significant problems, abuses, and deficiencies
relating to the administration of programs and operations of such
establishment disclosed by such activities during the reporting period;
(2) a description of the recommendations for corrective action made
by the Office during the reporting period with respect to significant
problems, abuses, or deficiencies identified pursuant to paragraph (1);
(3) an identification of each significant recommendation described in
previous semiannual reports on which corrective action has not been
completed;
(4) a summary of matters referred to prosecutive authorities and the
prosecutions and convictions which have resulted;
(5) a summary of each report made to the head of the establishment
under section 6(b)(2) during the reporting period;
(6) a listing, subdivided according to subject matter, of each audit
report issued by the Office during the reporting period and for each
audit report, where applicable, the total dollar value of questioned
costs (including a separate category for the dollar value of unsupported
costs) and the dollar value of recommendations that funds be put to
better use;
(7) a summary of each particularly significant report;
(8) statistical tables showing the total number of audit reports and
the total dollar value of questioned costs (including a separate
category for the dollar value of unsupported costs), for audit reports
--
(A) for which no management decision had been made by the
commencement of the reporting period;
(B) which were issued during the reporting period;
(C) for which a management decision was made during the reporting
period, including --
(i) the dollar value of disallowed costs; and
(ii) the dollar value of costs not disallowed; and
(D) for which no management decision has been made by the end of the
reporting period;
(9) statistical tables showing the total number of audit reports and
the dollar value of recommendations that funds be put to better use by
management, for audit reports --
(A) for which no management decision had been made by the
commencement of the reporting period;
(B) which were issued during the reporting period;
(C) for which a management decision was made during the reporting
period, including --
(i) the dollar value of recommendations that were agreed to by
management; and
(ii) the dollar value of recommendations that were not agreed to by
management; and
(D) for which no management decision has been made by the end of the
reporting period;
(10) a summary of each audit report issued before the commencement of
the reporting period for which no management decision has been made by
the end of the reporting period (including the date and title of each
such report), an explanation of the reasons such management decision has
not been made, and a statement concerning the desired timetable for
achieving a management decision on each such report;
(11) a description and explanation of the reasons for any significant
revised management decision made during the reporting period; and
(12) information concerning any significant management decision with
which the Inspector General is in disagreement.
(b) Semiannual reports of each Inspector General shall be furnished
to the head of the establishment involved not later than April 30 and
October 31 of each year and shall be transmitted by such head to the
appropriate committees or subcommittees of the Congress within thirty
days after receipt of the report, together with a report by the head of
the establishment containing --
(1) any comments such head determines appropriate;
(2) statistical tables showing the total number of audit reports and
the dollar value of disallowed costs, for audit reports --
(A) for which final action had not been taken by the commencement of
the reporting period;
(B) on which management decisions were made during the reporting
period;
(C) for which final action was taken during the reporting period,
including --
(i) the dollar value of disallowed costs that were recovered by
management through collection, offset, property in lieu of cash, or
otherwise; and
(ii) the dollar value of disallowed costs that were written off by
management; and
(D) for which no final action has been taken by the end of the
reporting period;
(3) statistical tables showing the total number of audit reports and
the dollar value of recommendations that funds be put to better use by
management agreed to in a management decision, for audit reports --
(A) for which final action had not been taken by the commencement of
the reporting period;
(B) on which management decisions were made during the reporting
period;
(C) for which final action was taken during the reporting period,
including --
(i) the dollar value of recommendations that were actually completed;
and
(ii) the dollar value of recommendations that management has
subsequently concluded should not or could not be implemented or
completed; and
(D) for which no final action has been taken by the end of the
reporting period; and
(4) a statement with respect to audit reports on which management
decisions have been made but final action has not been taken, other than
audit reports on which a management decision was made within the
preceding year, containing --
(A) a list of such audit reports and the date each such report was
issued;
(B) the dollar value of disallowed costs for each report;
(C) the dollar value of recommendations that funds be put to better
use agreed to by management for each report; and
(D) an explanation of the reasons final action has not been taken
with respect to each such audit report,
except that such statement may exclude such audit reports that are
under formal administrative or judicial appeal or upon which management
of an establishment has agreed to pursue a legislative solution, but
shall identify the number of reports in each category so excluded.
(c) Within sixty days of the transmission of the semiannual reports
of each Inspector General to the Congress, the head of each
establishment shall make copies of such report available to the public
upon request and at a reasonable cost. Within 60 days after the
transmission of the semiannual reports of each establishment head to the
Congress, the head of each establishment shall make copies of such
report available to the public upon request and at a reasonable cost.
(d) Each Inspector General shall report immediately to the head of
the establishment involved whenever the Inspector General becomes aware
of particularly serious or flagrant problems, abuses, or deficiencies
relating to the administration of programs and operations of such
establishment. The head of the establishment shall transmit any such
report to the appropriate committees or subcommittees of Congress within
seven calendar days, together with a report by the head of the
establishment containing any comments such head deems appropriate.
(e)(1) Nothing in this section shall be construed to authorize the
public disclosure of information which is --
(A) specifically prohibited from disclosure by any other provision of
law;
(B) specifically required by Executive order to be protected from
disclosure in the interest of national defense or national security or
in the conduct of foreign affairs; or
(C) a part of an ongoing criminal investigation.
(2) Notwithstanding paragraph (1)(C), any report under this section
may be disclosed to the public in a form which includes information with
respect to a part of an ongoing criminal investigation if such
information has been included in a public record.
(3) Except to the extent and in the manner provided under section
6103(f) of the Internal Revenue Code of 1986 (26 U.S.C. 6103(f)),
nothing in this section or in any other provision of this Act shall be
construed to authorize or permit the withholding of information from the
Congress, or from any committee or subcommittee thereof.
(f) As used in this section --
(1) the term ''questioned cost'' means a cost that is questioned by
the Office because of --
(A) an alleged violation of a provision of a law, regulation,
contract, grant, cooperative agreement, or other agreement or document
governing the expenditure of funds;
(B) a finding that, at the time of the audit, such cost is not
supported by adequate documentation; or
(C) a finding that the expenditure of funds for the intended purpose
is unnecessary or unreasonable;
(2) the term ''unsupported cost'' means a cost that is questioned by
the Office because the Office found that, at the time of the audit, such
cost is not supported by adequate documentation;
(3) the term ''disallowed cost'' means a questioned cost that
management, in a management decision, has sustained or agreed should not
be charged to the Government;
(4) the term ''recommendation that funds be put to better use'' means
a recommendation by the Office that funds could be used more efficiently
if management of an establishment took actions to implement and complete
the recommendation, including --
(A) reductions in outlays;
(B) deobligation of funds from programs or operations;
(C) withdrawal of interest subsidy costs on loans or loan guarantees,
insurance, or bonds;
(D) costs not incurred by implementing recommended improvements
related to the operations of the establishment, a contractor or grantee;
(E) avoidance of unnecessary expenditures noted in preaward reviews
of contract or grant agreements; or
(F) any other savings which are specifically identified;
(5) the term ''management decision'' means the evaluation by the
management of an establishment of the findings and recommendations
included in an audit report and the issuance of a final decision by
management concerning its response to such findings and recommendations,
including actions concluded to be necessary; and
(6) the term ''final action'' means --
(A) the completion of all actions that the management of an
establishment has concluded, in its management decision, are necessary
with respect to the findings and recommendations included in an audit
report; and
(B) in the event that the management of an establishment concludes no
action is necessary, final action occurs when a management decision has
been made.
(Pub. L. 95-452, 5, Oct. 12, 1978, 92 Stat. 1103; Pub. L. 97-252,
title XI, 1117(c), Sept. 8, 1982, 96 Stat. 752; Pub. L. 100-504,
title I, 102(g), 106, Oct. 18, 1988, 102 Stat. 2521, 2525.)
1988 -- Subsec. (a)(6) to (12). Pub. L. 100-504, 106(a), added
pars. (6) to (12), and struck out former par. (6) which read as
follows: ''a listing of each audit report completed by the Office
during the reporting period.''
Subsec. (b). Pub. L. 100-504, 106(b), substituted ''head of the
establishment containing -- '' and pars. (1) to (4) for ''head of the
establishment containing any comments such head deems appropriate.''
Subsec. (c). Pub. L. 100-504, 106(c), inserted at end ''Within 60
days after the transmission of the semiannual reports of each
establishment head to the Congress, the head of each establishment shall
make copies of such report available to the public upon request and at a
reasonable cost.''
Subsec. (e)(3). Pub. L. 100-504, 102(g), substituted ''Except to the
extent and in the manner provided under section 6103(f) of the Internal
Revenue Code of 1986, nothing'' for ''Nothing''.
Subsec. (f). Pub. L. 100-504, 106(d), added subsec. (f).
1982 -- Subsec. (e). Pub. L. 97-252 added subsec. (e).
Section 113 of title I of Pub. L. 100-504 provided that: ''This
title and the amendments made by this title (enacting sections 8B-8F of
Pub. L. 95-452, set out in this Appendix, amending sections 2, 4-6, 8,
9, and 11 of Pub. L. 95-452, set out in this Appendix, sections 5315 and
5316 of this title, sections 405 and 1105 of Title 31, Money and
Finance, and section 410 of Title 39, Postal Service, repealing sections
3521-3527 and 7138 of Title 42, The Public Health and Welfare, and
section 231v of Title 45, Railroads, and enacting provisions set out as
notes under sections 1, 8D, 8E, and 9 of Pub. L. 95-452, set out in
this Appendix) shall take effect 180 days after the date of the
enactment of this title (Oct. 18, 1988), except that section 5(a)(6)
through (12) of the Inspector General Act of 1978 (as amended by section
106(a) of this title) and section 5(b)(1) through (4) of the Inspector
General Act of 1978 (as amended by section 106(b) of this title) shall
take effect 1 year after the date of the enactment of this title.''
05 USC 6. Authority of Inspector General; information and assistance
from Federal agencies; unreasonable refusal; office space and
equipment
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) In addition to the authority otherwise provided by this Act, each
Inspector General, in carrying out the provisions of this Act, is
authorized --
(1) to have access to all records, reports, audits, reviews,
documents, papers, recommendations, or other material available to the
applicable establishment which relate to programs and operations with
respect to which that Inspector General has responsibilities under this
Act;
(2) to make such investigations and reports relating to the
administration of the programs and operations of the applicable
establishment as are, in the judgment of the Inspector General,
necessary or desirable;
(3) to request such information or assistance as may be necessary for
carrying out the duties and responsibilities provided by this Act from
any Federal, State, or local governmental agency or unit thereof;
(4) to require by subpena the production of all information,
documents, reports, answers, records, accounts, papers, and other data
and documentary evidence necessary in the performance of the functions
assigned by this Act, which subpena, in the case of contumacy or refusal
to obey, shall be enforceable by order of any appropriate United States
district court: Provided, That procedures other than subpenas shall be
used by the Inspector General to obtain documents and information from
Federal agencies;
(5) to administer to or take from any person an oath, affirmation, or
affidavit, whenever necessary in the performance of the functions
assigned by this Act, which oath, affirmation, or affidavit when
administered or taken by or before an employee of an Office of Inspector
General designated by the Inspector General shall have the same force
and effect as if administered or taken by or before an officer having a
seal;
(6) to have direct and prompt access to the head of the establishment
involved when necessary for any purpose pertaining to the performance of
functions and responsibilities under this Act;
(7) to select, appoint, and employ such officers and employees as may
be necessary for carrying out the functions, powers, and duties of the
Office subject to the provisions of title 5, United States Code,
governing appointments in the competitive service, and the provisions of
chapter 51 and subchapter III of chapter 53 of such title relating to
classification and General Schedule pay rates;
(8) to obtain services as authorized by section 3109 of title 5,
United States Code, at daily rates not to exceed the equivalent rate
prescribed for grade GS-18 of the General Schedule by section 5332 of
title 5, United States Code; and
(9) to the extent and in such amounts as may be provided in advance
by appropriations Acts, to enter into contracts and other arrangements
for audits, studies, analyses, and other services with public agencies
and with private persons, and to make such payments as may be necessary
to carry out the provisions of this Act.
(b)(1) Upon request of an Inspector General for information or
assistance under subsection (a)(3), the head of any Federal agency
involved shall, insofar as is practicable and not in contravention of
any existing statutory restriction or regulation of the Federal agency
from which the information is requested, furnish to such Inspector
General, or to an authorized designee, such information or assistance.
(2) Whenever information or assistance requested under subsection
(a)(1) or (a)(3) is, in the judgment of an Inspector General,
unreasonably refused or not provided, the Inspector General shall report
the circumstances to the head of the establishment involved without
delay.
(c) Each head of an establishment shall provide the Office within
such establishment with appropriate and adequate office space at central
and field office locations of such establishment, together with such
equipment, office supplies, and communications facilities and services
as may be necessary for the operation of such offices, and shall provide
necessary maintenance services for such offices and the equipment and
facilities located therein.
(d) For purposes of the provisions of title 5, United States Code,
governing the Senior Executive Service, any reference in such provisions
to the ''appointing authority'' for a member of the Senior Executive
Service or for a Senior Executive Service position shall, if such member
or position is or would be within the Office of an Inspector General, be
deemed to be a reference to such Inspector General.
(Pub. L. 95-452, 6, Oct. 12, 1978, 92 Stat. 1104; Pub. L. 100-504,
title I, 107, 110(a), Oct. 18, 1988, 102 Stat. 2528, 2529.)
1988 -- Subsec. (a)(5) to (9). Pub. L. 100-504, 107, added par.
(5) and redesignated former pars. (5) to (8) as (6) to (9),
respectively.
Subsec. (d). Pub. L. 100-504, 110(a), added subsec. (d).
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
References in laws to the rates of pay for GS-16, 17, or 18, or to
maximum rates of pay under the General Schedule, to be considered
references to rates payable under specified sections of this title, see
section 529 (title I, 101(c)(1)) of Pub. L. 101-509, set out in a note
under section 5376 of this title.
44 section 3903.
05 USC 7. Complaints by employees; disclosure of identity; reprisals
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) The Inspector General may receive and investigate complaints or
information from an employee of the establishment concerning the
possible existence of an activity constituting a violation of law,
rules, or regulations, or mismanagement, gross waste of funds, abuse of
authority or a substantial and specific danger to the public health and
safety.
(b) The Inspector General shall not, after receipt of a complaint or
information from an employee, disclose the identity of the employee
without the consent of the employee, unless the Inspector General
determines such disclosure is unavoidable during the course of the
investigation.
(c) Any employee who has authority to take, direct others to take,
recommend, or approve any personnel action, shall not, with respect to
such authority, take or threaten to take any action against any employee
as a reprisal for making a complaint or disclosing information to an
Inspector General, unless the complaint was made or the information
disclosed with the knowledge that it was false or with willful disregard
for its truth or falsity.
(Pub. L. 95-452, 7, Oct. 12, 1978, 92 Stat. 1105.)
05 USC 8. Additional provisions with respect to the Inspector General
of the Department of Defense
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) No member of the Armed Forces, active or reserve, shall be
appointed Inspector General of the Department of Defense.
(b)(1) Notwithstanding the last two sentences of section 3(a), the
Inspector General shall be under the authority, direction, and control
of the Secretary of Defense with respect to audits or investigations, or
the issuance of subpoenas, which require access to information
concerning --
(A) sensitive operational plans;
(B) intelligence matters;
(C) counterintelligence matters;
(D) ongoing criminal investigations by other administrative units of
the Department of Defense related to national security; or
(E) other matters the disclosure of which would constitute a serious
threat to national security.
(2) With respect to the information described in paragraph (1) the
Secretary of Defense may prohibit the Inspector General from initiating,
carrying out, or completing any audit or investigation, or from issuing
any subpoena, after the Inspector General has decided to initiate, carry
out or complete such audit or investigation or to issue such subpoena,
if the Secretary determines that such prohibition is necessary to
preserve the national security interests of the United States.
(3) If the Secretary of Defense exercises any power under paragraph
(1) or (2), the Inspector General shall submit a statement concerning
such exercise within thirty days to the Committees on Armed Services and
Governmental Affairs of the Senate and the Committees on Armed Services
and Government Operations of the House of Representatives and to other
appropriate committees or subcommittees of the Congress.
(4) The Secretary shall, within thirty days after submission of a
statement under paragraph (3), transmit a statement of the reasons for
the exercise of power under paragraph (1) or (2) to the Committees on
Armed Services and Governmental Affairs of the Senate and the Committees
on Armed Services and Government Operations of the House of
Representatives and to other appropriate committees or subcommittees.
(c) In addition to the other duties and responsibilities specified in
this Act, the Inspector General of the Department of Defense shall --
(1) be the principal adviser to the Secretary of Defense for matters
relating to the prevention and detection of fraud, waste, and abuse in
the programs and operations of the Department;
(2) initiate, conduct, and supervise such audits and investigations
in the Department of Defense (including the military departments) as the
Inspector General considers appropriate;
(3) provide policy direction for audits and investigations relating
to fraud, waste, and abuse and program effectiveness;
(4) investigate fraud, waste, and abuse uncovered as a result of
other contract and internal audits, as the Inspector General considers
appropriate;
(5) develop policy, monitor and evaluate program performance, and
provide guidance with respect to all Department activities relating to
criminal investigation programs;
(6) monitor and evaluate the adherence of Department auditors to
internal audit, contract audit, and internal review principles,
policies, and procedures;
(7) develop policy, evaluate program performance, and monitor actions
taken by all components of the Department in response to contract
audits, internal audits, internal review reports, and audits conducted
by the Comptroller General of the United States;
(8) request assistance as needed from other audit, inspection, and
investigative units of the Department of Defense (including military
departments); and
(9) give particular regard to the activities of the internal audit,
inspection, and investigative units of the military departments with a
view toward avoiding duplication and insuring effective coordination and
cooperation.
(d) Notwithstanding section 4(d), the Inspector General of the
Department of Defense shall expeditiously report suspected or alleged
violations of chapter 47 of title 10, United States Code (Uniform Code
of Military Justice), to the Secretary of the military department
concerned or the Secretary of Defense.
(e) For the purposes of section 7, a member of the Armed Forces shall
be deemed to be an employee of the Department of Defense, except that,
when the Coast Guard operates as a service of another department or
agency of the Federal Government, a member of the Coast Guard shall be
deemed to be an employee of such department or agency.
(f)(1) Each semiannual report prepared by the Inspector General of
the Department of Defense under section 5(a) shall include information
concerning the numbers and types of contract audits conducted by the
Department during the reporting period. Each such report shall be
transmitted by the Secretary of Defense to the Committees on Armed
Services and Governmental Affairs of the Senate and the Committees on
Armed Services and Government Operations of the House of Representatives
and to other appropriate committees or subcommittees of the Congress.
(2) Any report required to be transmitted by the Secretary of Defense
to the appropriate committees or subcommittees of the Congress under
section 5(d) shall also be transmitted, within the seven-day period
specified in such section, to the Committees on Armed Services and
Governmental Affairs of the Senate and the Committees on Armed Services
and Government Operations of the House of Representatives.
(g) The provisions of section 1385 of title 18, United States Code,
shall not apply to audits and investigations conducted by, under the
direction of, or at the request of the Inspector General of the
Department of Defense to carry out the purposes of this Act.
(Pub. L. 95-452, 8, Oct. 12, 1978, 92 Stat. 1105; Pub. L. 97-252,
title XI, 1117(b), Sept. 8, 1982, 96 Stat. 751; Pub. L. 100-504,
title I, 110(b), Oct. 18, 1988, 102 Stat. 2529.)
1988 -- Subsec. (e). Pub. L. 100-504 inserted provision at end that
when Coast Guard operates as service of another department or agency of
Federal Government, member of Coast Guard shall be deemed employee of
such department or agency.
1982 -- Pub. L. 97-252 amended section generally, substituting
additional provisions relating to the Inspector General of the
Department of Defense for provisions relating to semiannual reports of
Secretary of Defense on audit, investigative, and inspection units of
Defense Department, availability of such reports to the public,
exclusion of national security material, delegation of the Secretary's
duties, submittal of proposed legislation, the establishment of a task
force to study operation of audit, investigative and inspection units,
membership in the task force, and the submission of a comprehensive
report by the task force to the Secretary of Defense and Director of
Office of Management and Budget, who were to submit a final report to
Congress not later than April 1, 1980.
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
05 USC 8A. Special provisions relating to the Agency for International
Development
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) In addition to the other duties and responsibilities specified in
this Act, the Inspector General of the Agency for International
Development --
(1) shall supervise, direct, and control all security activities
relating to the programs and operations of that Agency, subject to the
supervision of the Administrator of that Agency; and
(2) to the extent requested by the Director of the United States
International Development Cooperation Agency (after consultation with
the Administrator of the Agency for International Development), shall
supervise, direct, and control all audit, investigative, and security
activities relating to programs and operations within the United States
International Development Cooperation Agency.
(b) In addition to the Assistant Inspector Generals provided for in
section 3(d) of this Act, the Inspector General of the Agency for
International Development shall, in accordance with applicable laws and
regulations governing the civil service, appoint an Assistant Inspector
General for Security who shall have the responsibility for supervising
the performance of security activities relating to programs and
operations of the Agency for International Development.
(c) The semiannual reports required to be submitted to the
Administrator of the Agency for International Development pursuant to
section 5(b) of this Act shall also be submitted to the Director of the
United States International Development Cooperation Agency.
(d) In addition to the officers and employees provided for in section
6(a)(6) of this Act, members of the Foreign Service may, at the request
of the Inspector General of the Agency for International Development, be
assigned as employees of the Inspector General. Members of the Foreign
Service so assigned shall be responsible solely to the Inspector
General, and the Inspector General (or his or her designee) shall
prepare the performance evaluation reports for such members.
(e) In establishing and staffing field offices pursuant to section
6(c) of this Act, the Administrator of the Agency for International
Development shall not be bound by overseas personnel ceilings
established under the Monitoring Overseas Direct Employment policy.
(f) The reference in section 7(a) of this Act to an employee of the
establishment shall, with respect to the Inspector General of the Agency
for International Development, be construed to include an employee of or
under the United States International Development Cooperation Agency.
(g) The Inspector General of the Agency for International Development
shall be in addition to the officers provided for in section 624(a) of
the Foreign Assistance Act of 1961 (22 U.S.C. 2384(a)).
(h) As used in this Act, the term ''Agency for International
Development'' includes any successor agency primarily responsible for
administering part I of the Foreign Assistance Act of 1961 (22 U.S.C.
2151 et seq.).
(Pub. L. 95-452, 8A, as added Pub. L. 97-113, title VII, 705(a)(3),
Dec. 29, 1981, 95 Stat. 1544.)
The Foreign Assistance Act of 1961, referred to in subsec. (h), is
Pub. L. 87-195, Sept. 4, 1961, 75 Stat. 424, as amended. Part I of
the Foreign Assistance Act of 1961 is classified generally to subchapter
I ( 2151 et seq.) of chapter 32 of Title 22, Foreign Relations and
Intercourse. For complete classification of this Act to the Code, see
Short Title note set out under section 2151 of Title 22 and Tables.
05 USC 8B. Special provisions concerning the Nuclear Regulatory
Commission
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) The Chairman of the Commission may delegate the authority
specified in the second sentence of section 3(a) to another member of
the Nuclear Regulatory Commission, but shall not delegate such authority
to any other officer or employee of the Commission.
(b) Notwithstanding sections 6(a)(7) and (8), the Inspector General
of the Nuclear Regulatory Commission is authorized to select, appoint,
and employ such officers and employees as may be necessary for carrying
out the functions, powers and duties of the Office of Inspector General
and to obtain the temporary or intermittent services of experts or
consultants or an organization thereof, subject to the applicable laws
and regulations that govern such selections, appointments and
employment, and the obtaining of such services, within the Nuclear
Regulatory Commission.
(Pub. L. 95-452, 8B, as added Pub. L. 100-504, title I, 102(f),
Oct. 18, 1988, 102 Stat. 2517.)
Section effective 180 days after Oct. 18, 1988, see section 113 of
Pub. L. 100-504, set out as an Effective Date of 1988 Amendment note
under section 5 of Pub. L. 95-452 in this Appendix.
05 USC 8C. Special provisions concerning the Department of the
Treasury
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a)(1) Notwithstanding the last two sentences of section 3(a), the
Inspector General shall be under the authority, direction, and control
of the Secretary of the Treasury with respect to audits or
investigations, or the issuance of subpenas, which require access to
sensitive information concerning --
(A) ongoing criminal investigations or proceedings;
(B) undercover operations;
(C) the identity of confidential sources, including protected
witnesses;
(D) deliberations and decisions on policy matters, including
documented information used as a basis for making policy decisions, the
disclosure of which could reasonably be expected to have a significant
influence on the economy or market behavior;
(E) intelligence or counterintelligence matters; or
(F) other matters the disclosure of which would constitute a serious
threat to national security or to the protection of any person or
property authorized protection by section 3056 of title 18, United
States Code, section 202 of title 3, United States Code, or any
provision of the Presidential Protection Assistance Act of 1976 (18
U.S.C. 3056 note; Public Law 94-524).
(2) With respect to the information described under paragraph (1),
the Secretary of the Treasury may prohibit the Inspector General from
carrying out or completing any audit or investigation, or from issuing
any subpena, after such Inspector General has decided to initiate, carry
out, or complete such audit or investigation or to issue such subpena,
if the Secretary determines that such prohibition is necessary to
prevent the disclosure of any information described under paragraph (1)
or to prevent significant impairment to the national interests of the
United States.
(3) If the Secretary of the Treasury exercises any power under
paragraph (1) or (2), the Secretary of the Treasury shall notify the
Inspector General in writing stating the reasons for such exercise.
Within 30 days after receipt of any such notice, the Inspector General
shall transmit a copy of such notice to the Committees on Governmental
Affairs and Finance of the Senate and the Committees on Government
Operations and Ways and Means of the House of Representatives, and to
other appropriate committees or subcommittees of the Congress.
(b) In carrying out the duties and responsibilities specified in this
Act, the Inspector General of the Department of the Treasury shall have
oversight responsibility for the internal investigations performed by
the Office of Internal Affairs of the Bureau of Alcohol, Tobacco and
Firearms, the Office of Internal Affairs of the United States Customs
Service, and the Office of Inspections of the United States Secret
Service, and the internal audits and internal investigations performed
by the Office of Assistant Commissioner (Inspection) of the Internal
Revenue Service. The head of each such office shall promptly report to
the Inspector General the significant activities being carried out by
such office.
(c) Notwithstanding subsection (b), the Inspector General may
initiate, conduct and supervise such audits and investigations in the
Department of the Treasury (including the bureaus and services referred
to in subsection (b)) as the Inspector General considers appropriate.
(d) If the Inspector General initiates an audit or investigation
under subsection (c) concerning a bureau or service referred to in
subsection (b), the Inspector General may provide the head of the office
of such bureau or service referred to in subsection (b) with written
notice that the Inspector General has initiated such an audit or
investigation. If the Inspector General issues a notice under the
preceding sentence, no other audit or investigation shall be initiated
into the matter under audit or investigation by the Inspector General
and any other audit or investigation of such matter shall cease.
(e)(1) The Inspector General shall have access to returns and return
information, as defined in section 6103(b) of the Internal Revenue Code
of 1986 (26 U.S.C. 6103(b)), only in accordance with the provisions of
section 6103 of such Code (26 U.S.C. 6103) and this Act.
(2) Access by the Inspector General to returns and return information
under section 6103(h)(1) of such Code (26 U.S.C. 6103(h)(1)) shall be
subject to the following additional requirements:
(A) In order to maintain internal controls over access to returns and
return information, the Inspector General, or in the absence of the
Inspector General, the Acting Inspector General, the Deputy Inspector
General, the Assistant Inspector General for Audits, or the Assistant
Inspector General for Investigations, shall provide to the Assistant
Commissioner (Inspection) of the Internal Revenue Service written notice
of the Inspector General's intent to access returns and return
information. If the Inspector General determines that the Inspection
Service of the Internal Revenue Service should not be made aware of a
notice of access to returns and return information, such notice shall be
provided to the Senior Deputy Commissioner of Internal Revenue.
(B) Such notice shall clearly indicate the specific returns or return
information being accessed, contain a certification by the Inspector
General, or in the absence of the Inspector General, the Acting
Inspector General, the Deputy Inspector General, the Assistant Inspector
General for Audits, or the Assistant Inspector General for
Investigations, that the returns or return information being accessed
are needed for a purpose described under section 6103(h)(1) of the
Internal Revenue Code of 1986 (26 U.S.C. 6103(h)(1)), and identify those
employees of the Office of Inspector General of the Department of the
Treasury who may receive such returns or return information.
(C) The Internal Revenue Service shall maintain the same system of
standardized records or accountings of all requests from the Inspector
General for inspection or disclosure of returns and return information
(including the reasons for and dates of such requests), and of returns
and return information inspected or disclosed pursuant to such requests,
as described under section 6103(p)(3)(A) of the Internal Revenue Code of
1986 (26 U.S.C. 6103(p)(3)(A)). Such system of standardized records or
accountings shall also be available for examination in the same manner
as provided under section 6103(p)(3) of the Internal Revenue Code of
1986.
(D) The Inspector General shall be subject to the same safeguards and
conditions for receiving returns and return information as are described
under section 6103(p)(4) of the Internal Revenue Code of 1986 (26 U.S.C.
6103(p)(4)).
(f) An audit or investigation conducted by the Inspector General
shall not affect a final decision of the Secretary of the Treasury or
his delegate under section 6406 of the Internal Revenue Code of 1986 (26
U.S.C. 6406).
(g) Notwithstanding section 4(d), in matters involving chapter 75 of
the Internal Revenue Code of 1986 (26 U.S.C. 7201 et seq.), the
Inspector General shall report expeditiously to the Attorney General
only offenses under section 7214 of such Code (26 U.S.C. 7214), unless
the Inspector General obtains the consent of the Commissioner of
Internal Revenue to exercise additional reporting authority with respect
to such chapter.
(h) Any report required to be transmitted by the Secretary of the
Treasury to the appropriate committees or subcommittees of the Congress
under section 5(d) shall also be transmitted, within the seven-day
period specified under such section, to the Committees on Governmental
Affairs and Finance of the Senate and the Committees on Government
Operations and Ways and Means of the House of Representatives.
(Pub. L. 95-452, 8C, as added Pub. L. 100-504, title I, 102(f),
Oct. 18, 1988, 102 Stat. 2518.)
The Presidential Protection Assistance Act of 1976, referred to in
subsec. (a)(1)(F), is Pub. L. 94-524, Oct. 17, 1976, 90 Stat. 2475,
which enacted and amended notes set out under section 3056 of Title 18,
Crimes and Criminal Procedure. For complete classification of this Act
to the Code, see Tables.
Section effective 180 days after Oct. 18, 1988, see section 113 of
Pub. L. 100-504, set out as an Effective Date of 1988 Amendment note
under section 5 of Pub. L. 95-452 in this Appendix.
05 USC 8D. Special provisions concerning the Department of Justice
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a)(1) Notwithstanding the last two sentences of section 3(a), the
Inspector General shall be under the authority, direction, and control
of the Attorney General with respect to audits or investigations, or the
issuance of subpenas, which require access to sensitive information
concerning --
(A) ongoing civil or criminal investigations or proceedings;
(B) undercover operations;
(C) the identity of confidential sources, including protected
witnesses;
(D) intelligence or counterintelligence matters; or
(E) other matters the disclosure of which would constitute a serious
threat to national security.
(2) With respect to the information described under paragraph (1),
the Attorney General may prohibit the Inspector General from carrying
out or completing any audit or investigation, or from issuing any
subpena, after such Inspector General has decided to initiate, carry
out, or complete such audit or investigation or to issue such subpena,
if the Attorney General determines that such prohibition is necessary to
prevent the disclosure of any information described under paragraph (1)
or to prevent the significant impairment to the national interests of
the United States.
(3) If the Attorney General exercises any power under paragraph (1)
or (2), the Attorney General shall notify the Inspector General in
writing stating the reasons for such exercise. Within 30 days after
receipt of any such notice, the Inspector General shall transmit a copy
of such notice to the Committees on Governmental Affairs and Judiciary
of the Senate and the Committees on Government Operations and Judiciary
of the House of Representatives, and to other appropriate committees or
subcommittees of the Congress.
(b) In carrying out the duties and responsibilities specified in this
Act, the Inspector General of the Department of Justice --
(1) may initiate, conduct and supervise such audits and
investigations in the Department of Justice as the Inspector General
considers appropriate;
(2) shall give particular regard to the activities of the Counsel,
Office of Professional Responsibility of the Department and the audit,
internal investigative, and inspection units outside the Office of
Inspector General with a view toward avoiding duplication and insuring
effective coordination and cooperation; and
(3) shall refer to the Counsel, Office of Professional Responsibility
of the Department for investigation, information or allegations relating
to the conduct of an officer or employee of the Department of Justice
employed in an attorney, criminal investigative, or law enforcement
position that is or may be a violation of law, regulation, or order of
the Department or any other applicable standard of conduct, except that
no such referral shall be made if the officer or employee is employed in
the Office of Professional Responsibility of the Department.
(c) Any report required to be transmitted by the Attorney General to
the appropriate committees or subcommittees of the Congress under
section 5(d) shall also be transmitted, within the seven-day period
specified under such section, to the Committees on the Judiciary and
Governmental Affairs of the Senate and the Committees on the Judiciary
and Government Operations of the House of Representatives.
(Pub. L. 95-452, 8D, as added Pub. L. 100-504, title I, 102(f),
Oct. 18, 1988, 102 Stat. 2520.)
Section effective 180 days after Oct. 18, 1988, see section 113 of
Pub. L. 100-504, set out as an Effective Date of 1988 Amendment note
under section 5 of Pub. L. 95-452 in this Appendix.
Section 102(h) of Pub. L. 100-504 provided that: ''No later than 90
days after the date of appointment of the Inspector General of the
Department of Justice, the Inspector General shall designate 20
full-time investigation positions which the Attorney General may
transfer from the Office of Inspector General of the Department of
Justice to the Office of Professional Responsibility of the Department
of Justice for the performance of functions described under section
8D(b)(3) of the Inspector General Act of 1978 (subsec. (b)(3) of this
section). Any personnel who are transferred pursuant to this
subsection, and who, at the time of being so transferred, are protected
from reduction in classification or compensation under section 9(c) of
such Act (section 9(c) of Pub. L. 95-452, set out in this Appendix),
shall continue to be so protected for 1 year after the date of transfer
pursuant to this subsection.''
05 USC 8E. Requirements for Federal entities and designated Federal
entities
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) Notwithstanding section 11 of this Act, as used in this section
--
(1) the term ''Federal entity'' means any Government corporation
(within the meaning of section 103(1) of title 5, United States Code),
any Government controlled corporation (within the meaning of section
103(2) of such title), or any other entity in the Executive branch of
the Government, or any independent regulatory agency, but does not
include --
(A) an establishment (as defined under section 11(2) of this Act) or
part of an establishment;
(B) a designated Federal entity (as defined under paragraph (2) of
this subsection) or part of a designated Federal entity;
(C) the Executive Office of the President;
(D) the Central Intelligence Agency;
(E) the General Accounting Office; or
(F) any entity in the judicial or legislative branches of the
Government, including the Administrative Office of the United States
Courts and the Architect of the Capitol and any activities under the
direction of the Architect of the Capitol;
(2) the term ''designated Federal entity'' means ACTION, Amtrak, the
Appalachian Regional Commission, the Board of Governors of the Federal
Reserve System, the Board for International Broadcasting, the Commodity
Futures Trading Commission, the Consumer Product Safety Commission, the
Corporation for Public Broadcasting, the Equal Employment Opportunity
Commission, the Farm Credit Administration, the Federal Communications
Commission, the Federal Deposit Insurance Corporation, the Federal
Election Commission, the Federal Housing Finance Board, the Federal
Labor Relations Authority, the Federal Maritime Commission, the Federal
Trade Commission, the Interstate Commerce Commission, the Legal Services
Corporation, the National Archives and Records Administration, the
National Credit Union Administration, the National Endowment for the
Arts, the National Endowment for the Humanities, the National Labor
Relations Board, the National Science Foundation, the Panama Canal
Commission, the Peace Corps, the Pension Benefit Guaranty Corporation,
the Securities and Exchange Commission, the Smithsonian Institution, the
Tennessee Valley Authority, the United States International Trade
Commission, and the United States Postal Service;
(3) the term ''head of the Federal entity'' means any person or
persons designated by statute as the head of a Federal entity, and if no
such designation exists, the chief policymaking officer or board of a
Federal entity as identified in the list published pursuant to
subsection (h)(1) of this section;
(4) the term ''head of the designated Federal entity'' means any
person or persons designated by statute as the head of a designated
Federal entity and if no such designation exists, the chief policymaking
officer or board of a designated Federal entity as identified in the
list published pursuant to subsection (h)(1) of this section, except
that with respect to the National Science Foundation, such term means
the National Science Board;
(5) the term ''Office of Inspector General'' means an Office of
Inspector General of a designated Federal entity; and
(6) the term ''Inspector General'' means an Inspector General of a
designated Federal entity.
(b) No later than 180 days after the date of the enactment of this
section (Oct. 18, 1988), there shall be established and maintained in
each designated Federal entity an Office of Inspector General. The head
of the designated Federal entity shall transfer to such office the
offices, units, or other components, and the functions, powers, or
duties thereof, that such head determines are properly related to the
functions of the Office of Inspector General and would, if so
transferred, further the purposes of this section. There shall not be
transferred to such office any program operating responsibilities.
(c) Except as provided under subsection (f) of this section, the
Inspector General shall be appointed by the head of the designated
Federal entity in accordance with the applicable laws and regulations
governing appointments within the designated Federal entity.
(d) Each Inspector General shall report to and be under the general
supervision of the head of the designated Federal entity, but shall not
report to, or be subject to supervision by, any other officer or
employee of such designated Federal entity. The head of the designated
Federal entity shall not prevent or prohibit the Inspector General from
initiating, carrying out, or completing any audit or investigation, or
from issuing any subpena during the course of any audit or
investigation.
(e) If an Inspector General is removed from office or is transferred
to another position or location within a designated Federal entity, the
head of the designated Federal entity shall promptly communicate in
writing the reasons for any such removal or transfer to both Houses of
the Congress.
(f)(1) The Chief Postal Inspector of the United States Postal Service
shall also hold the position of Inspector General of the United States
Postal Service, and for purposes of this section, shall report to, and
be under the general supervision of, the Postmaster General of the
United States Postal Service. The Postmaster General, in consultation
with the Governors of the United States Postal Service, shall appoint
the Chief Postal Inspector. The Postmaster General, with the
concurrence of the Governors of the United States Postal Service, shall
have power to remove the Chief Postal Inspector or transfer the Chief
Postal Inspector to another position or location within the United
States Postal Service. If the Chief Postal Inspector is removed or
transferred in accordance with this subsection, the Postmaster General
shall promptly notify both Houses of the Congress in writing of the
reasons for such removal or transfer.
(2) For purposes of paragraph (1), the term ''Governors'' has the
same meaning as such term is defined under section 102(3) of title 39,
United States Code.
(g)(1) Sections 4, 5, 6 (other than subsections (a)(7) and (a)(8)
thereof), and 7 of this Act shall apply to each Inspector General and
Office of Inspector General of a designated Federal entity and such
sections shall be applied to each designated Federal entity and head of
the designated Federal entity (as defined under subsection (a)) by
substituting --
(A) ''designated Federal entity'' for ''establishment''; and
(B) ''head of the designated Federal entity'' for ''head of the
establishment''.
(2) In addition to the other authorities specified in this Act, an
Inspector General is authorized to select, appoint, and employ such
officers and employees as may be necessary for carrying out the
functions, powers, and duties of the Office of Inspector General and to
obtain the temporary or intermittent services of experts or consultants
or an organization thereof, subject to the applicable laws and
regulations that govern such selections, appointments, and employment,
and the obtaining of such services, within the designated Federal
entity.
(3) Notwithstanding the last sentence of subsection (d) of this
section, the provisions of subsection (a) of section 8C (other than the
provisions of subparagraphs (A), (B), (C), and (E) of subsection (a)(1))
shall apply to the Inspector General of the Board of Governors of the
Federal Reserve System and the Chairman of the Board of Governors of the
Federal Reserve System in the same manner as such provisions apply to
the Inspector General of the Department of the Treasury and the
Secretary of the Treasury, respectively.
(h)(1) No later than April 30, 1989, and annually thereafter, the
Director of the Office of Management and Budget, after consultation with
the Comptroller General of the United States, shall publish in the
Federal Register a list of the Federal entities and designated Federal
entities and the head of each such entity (as defined under subsection
(a) of this section).
(2) Beginning on October 31, 1989, and on October 31 of each
succeeding calendar year, the head of each Federal entity (as defined
under subsection (a) of this section) shall prepare and transmit to the
Director of the Office of Management and Budget and to each House of the
Congress a report which --
(A) states whether there has been established in the Federal entity
an office that meets the requirements of this section;
(B) specifies the actions taken by the Federal entity otherwise to
ensure that audits are conducted of its programs and operations in
accordance with the standards for audit of governmental organizations,
programs, activities, and functions issued by the Comptroller General of
the United States, and includes a list of each audit report completed by
a Federal or non-Federal auditor during the reporting period and a
summary of any particularly significant findings; and
(C) summarizes any matters relating to the personnel, programs, and
operations of the Federal entity referred to prosecutive authorities,
including a summary description of any preliminary investigation
conducted by or at the request of the Federal entity concerning these
matters, and the prosecutions and convictions which have resulted.
(Pub. L. 95-452, 8E, as added Pub. L. 100-504, title I, 104(a),
Oct. 18, 1988, 102 Stat. 2522; amended Pub. L. 101-73, title VII,
702(c), Aug. 9, 1989, 103 Stat. 415.)
1989 -- Subsec. (a)(2). Pub. L. 101-73 substituted ''Federal Housing
Finance Board'' for ''Federal Home Loan Bank Board''.
Section effective 180 days after Oct. 18, 1988, see section 113 of
Pub. L. 100-504, set out as an Effective Date of 1988 Amendment note
under section 5 of Pub. L. 95-452 in this Appendix.
Section 111 of Pub. L. 100-504 provided that: ''On October 31,
1989, the head of each designated Federal entity (as defined under
section 8E(a)(2) of the Inspector General Act of 1978 (subsec. (a)(2) of
this section)) shall submit to the Director of the Office of Management
and Budget and to each House of the Congress a report on the status of
the implementation by that designated Federal entity of the requirements
of section 8E of such Act. Such report shall identify any area in which
implementation is not complete and state the reasons for that failure.''
05 USC 8F. Rule of construction of special provisions
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
The special provisions under section 8, 8A, 8B, 8C, or 8D of this Act
relate only to the establishment named in such section and no inference
shall be drawn from the presence or absence of a provision in any such
section with respect to an establishment not named in such section or
with respect to a designated Federal entity as defined under section
8E(a).
(Pub. L. 95-452, 8F, as added Pub. L. 100-504, title I, 105, Oct.
18, 1988, 102 Stat. 2525.)
Section effective 180 days after Oct. 18, 1988, see section 113 of
Pub. L. 100-504, set out as an Effective Date of 1988 Amendment note
under section 5 of Pub. L. 95-452 in this Appendix.
05 USC 9. Transfer of functions
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(a) There shall be transferred --
(1) to the Office of Inspector General --
(A) of the Department of Agriculture, the offices of that department
referred to as the ''Office of Investigation'' and the ''Office of
Audit'';
(B) of the Department of Commerce, the offices of that department
referred to as the ''Office of Audits'' and the ''Investigations and
Inspections Staff'' and that portion of the office referred to as the
''Office of Investigations and Security'' which has responsibility for
investigation of alleged criminal violations and program abuse;
(C) of the Department of Defense, the offices of that department
referred to as the ''Defense Audit Service'' and the ''Office of
Inspector General, Defense Logistics Agency'', and that portion of the
office of that department referred to as the ''Defense Investigative
Service'' which has responsibility for the investigation of alleged
criminal violations;
(D) of the Department of Education, all functions of the Inspector
General of Health, Education, and Welfare or of the Office of Inspector
General of Health, Education, and Welfare relating to functions
transferred by section 301 of the Department of Education Organization
Act (20 U.S.C. 3441);
(E) of the Department of Energy, the Office of Inspector General (as
established by section 208 of the Department of Energy Organization
Act);
(F) of the Department of Health and Human Services, the Office of
Inspector General (as established by title II of Public Law 94-505);
(G) of the Department of Housing and Urban Development, the office of
that department referred to as the ''Office of Inspector General'';
(H) of the Department of the Interior, the office of that department
referred to as the ''Office of Audit and Investigation'';
(I) of the Department of Justice, the offices of that Department
referred to as (i) the ''Audit Staff, Justice Management Division'',
(ii) the ''Policy and Procedures Branch, Office of the Comptroller,
Immigration and Naturalization Service'', the ''Office of Professional
Responsibility, Immigration and Naturalization Service'', and the
''Office of Program Inspections, Immigration and Naturalization
Service'', (iii) the ''Office of Internal Inspection, United States
Marshals Service'', (iv) the ''Financial Audit Section, Office of
Financial Management, Bureau of Prisons'' and the ''Office of
Inspections, Bureau of Prisons'', and (v) from the Drug Enforcement
Administration, that portion of the ''Office of Inspections'' which is
engaged in internal audit activities, and that portion of the ''Office
of Planning and Evaluation'' which is engaged in program review
activities;
(J) of the Department of Labor, the office of that department
referred to as the ''Office of Special Investigations'';
(K) of the Department of Transportation, the offices of that
department referred to as the ''Office of Investigations and Security''
and the ''Office of Audit'' of the Department, the ''Offices of
Investigations and Security, Federal Aviation Administration'', and
''External Audit Divisions, Federal Aviation Administration'', the
''Investigations Division and the External Audit Division of the Office
of Program Review and Investigation, Federal Highway Administration'',
and the ''Office of Program Audits, Urban Mass Transportation
Administration'';
(L) of the Department of the Treasury, the office of that department
referred to as the ''Office of Inspector General'', and, notwithstanding
any other provision of law, that portion of each of the offices of that
department referred to as the ''Office of Internal Affairs, Bureau of
Alcohol, Tobacco, and Firearms'', the ''Office of Internal Affairs,
United States Customs Service'', and the ''Office of Inspections, United
States Secret Service'' which is engaged in internal audit activities;
(M) of the Environmental Protection Agency, the offices of that
agency referred to as the ''Office of Audit'' and the ''Security and
Inspection Division'';
(N) of the Federal Emergency Management Agency, the office of that
agency referred to as the ''Office of Inspector General'';
(O) of the General Services Administration, the offices of that
agency referred to as the ''Office of Audits'' and the ''Office of
Investigations'';
(P) of the National Aeronautics and Space Administration, the offices
of that agency referred to as the ''Management Audit Office'' and the
''Office of Inspections and Security'';
(Q) of the Nuclear Regulatory Commission, the office of that
commission referred to as the ''Office of Inspector and Auditor'';
(R) of the Office of Personnel Management, the offices of that agency
referred to as the ''Office of Inspector General'', the ''Insurance
Audits Division, Retirement and Insurance Group'', and the ''Analysis
and Evaluation Division, Administration Group'';
(S) of the Railroad Retirement Board, the Office of Inspector General
(as established by section 23 of the Railroad Retirement Act of 1974);
(T) of the Small Business Administration, the office of that agency
referred to as the ''Office of Audits and Investigations''; and
(U) of the Veterans' Administration, the offices of that agency
referred to as the ''Office of Audits'' and the ''Office of
Investigations''; and
(2) such other offices or agencies, or functions, powers, or duties
thereof, as the head of the establishment involved may determine are
properly related to the functions of the Office and would, if so
transferred, further the purposes of this Act,
except that there shall not be transferred to an Inspector General
under paragraph (2) program operating responsibilities.
(b) The personnel, assets, liabilities, contracts, property, records,
and unexpended balances of appropriations, authorizations, allocations,
and other funds employed, held, used, arising from, available or to be
made available, of any office or agency the functions, powers, and
duties of which are transferred under subsection (a) are hereby
transferred to the applicable Office of Inspector General.
(c) Personnel transferred pursuant to subsection (b) shall be
transferred in accordance with applicable laws and regulations relating
to the transfer of functions except that the classification and
compensation of such personnel shall not be reduced for one year after
such transfer.
(d) In any case where all the functions, powers, and duties of any
office or agency are transferred pursuant to this subsection, such
office or agency shall lapse. Any person who, on the effective date of
this Act (Oct. 1, 1978), held a position compensated in accordance with
the General Schedule, and who, without a break in service, is appointed
in an Office of Inspector General to a position having duties comparable
to those performed immediately preceding such appointment shall continue
to be compensated in the new position at not less than the rate provided
for the previous position, for the duration of service in the new
position.
(Pub. L. 95-452, 9, Oct. 12, 1978, 92 Stat. 1107; Pub. L. 96-88,
title V, 508(n)(2), Oct. 17, 1979, 93 Stat. 694; Pub. L. 97-252, title
XI, 1117(a)(2), (3), Sept. 8, 1982, 96 Stat. 750; Pub. L. 100-504,
title I, 102(d), Oct. 18, 1988, 102 Stat. 2516.)
Section 208 of the Department of Energy Organization Act, referred to
in subsec. (a)(1)(E), is section 208 of Pub. L. 95-91, title II, Aug.
4, 1977, 91 Stat. 575, as amended, which was classified to section 7138
of Title 42, The Public Health and Welfare, and was repealed by Pub. L.
100-504, title I, 102(e)(1)(A), Oct. 18, 1988, 102 Stat. 2517.
Title II of Public Law 94-505, referred to in subsec. (a)(1)(F), is
title II of Pub. L. 94-505, Oct. 15, 1976, 90 Stat. 2429, which was
classified generally to sections 3521 to 3527 of Title 42, and was
repealed by Pub. L. 100-504, title I, 102(e)(2), Oct. 18, 1988, 102
Stat. 2517.
Section 23 of the Railroad Retirement Act of 1974, referred to in
subsec. (a)(1)(S), is section 23 of act Aug. 29, 1935, ch. 812, as
added, which was classified to section 231v of Title 45, Railroads, and
was repealed by Pub. L. 100-504, title I, 102(e)(3), Oct. 18, 1988,
102 Stat. 2517.
1988 -- Subsec. (a)(1)(E), (F). Pub. L. 100-504, 102(d)(7), added
subpars. (E) and (F). Former subpars. (E) and (F) redesignated (G)
and (H), respectively.
Subsec. (a)(1)(G), (H). Pub. L. 100-504, 102(d)(2), redesignated
subpars. (E) and (F) as (G) and (H), respectively. Former subpars.
(G) and (H) redesignated (J) and (K), respectively.
Subsec. (a)(1)(I). Pub. L. 100-504, 102(d)(1), (8), added subpar.
(I) and struck out former subpar. (I) which provided for transfer to
Office of Inspector General of Community Services Administration,
offices of that agency referred to as ''Inspections Division'',
''External Audit Division'', and ''Internal Audit Division''.
Subsec. (a)(1)(J), (K). Pub. L. 100-504, 102(d)(3), redesignated
subpars. (G) and (H) as (J) and (K), respectively. Former subpars.
(J) and (K) redesignated (M) and (O), respectively.
Subsec. (a)(1)(L). Pub. L. 100-504, 102(d)(9), added subpar. (L).
Former subpar. (L) redesignated (P).
Subsec. (a)(1)(M). Pub. L. 100-504, 102(d)(4), redesignated subpar.
(J) as (M). Former subpar. (M) redesignated (T).
Subsec. (a)(1)(N). Pub. L. 100-504, 102(d)(10), added subpar. (N).
Former subpar. (N) redesignated (U).
Subsec. (a)(1)(O), (P). Pub. L. 100-504, 102(d)(5), redesignated
subpars. (K) and (L) as (O) and (P), respectively.
Subsec. (a)(1)(Q) to (S). Pub. L. 100-504, 102(d)(11), added
subpars. (Q) to (S).
Subsec. (a)(1)(T), (U). Pub. L. 100-504, 102(d)(6), redesignated
subpars. (M) and (N) as (T) and (U), respectively.
1982 -- Subsec. (a)(1). Pub. L. 97-252 added subpar. (C) and
redesignated former subpars. (C) to (M) as (D) to (N), respectively.
1979 -- Subsec. (a)(1). Pub. L. 96-88 added subpar. (C) and
redesignated former subpars. (C) to (L) as (D) to (M), respectively.
Reference to Urban Mass Transportation Administration deemed to refer
to Federal Transit Administration pursuant to section 3004(b) of Pub.
L. 102-240, set out as a note under section 107 of Title 49,
Transportation.
Reference to Veterans' Administration deemed to refer to Department
of Veterans Affairs pursuant to section 10 of Pub. L. 100-527, set out
as a Department of Veterans Affairs Act note under section 301 of Title
38, Veterans' Benefits.
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
Amendment by Pub. L. 96-88 effective May 4, 1980, with specified
exceptions, see section 601 of Pub. L. 96-88, set out as an Effective
Date note under section 3401 of Title 20, Education.
Section 102(e)(4) of Pub. L. 100-504 provided that: ''Any
individual who, on the date of enactment of this Act (Oct. 18, 1988), is
serving as the Inspector General of the Department of Energy, the
Department of Health and Human Services, or the Railroad Retirement
Board, shall continue to serve in such position until such individual
dies, resigns, or is removed from office in accordance with section 3(b)
of the Inspector General Act of 1978 (section 3(b) of Pub. L. 95-452,
set out in this Appendix).''
Section 1117(e) of Pub. L. 97-252 provided that: ''In addition to
the positions transferred to the Office of the Inspector General of the
Department of Defense, pursuant to the amendments made by subsection (a)
of this section (amending sections 2(1), 9(a)(1), and 11(1) of this
Act), the Secretary of Defense shall transfer to the Office of Inspector
General of the Department of Defense not less than one hundred
additional audit positions. The Inspector General of the Department of
Defense shall fill such positions with persons trained to perform
contract audits.''
05 USC 10. Conforming and technical amendments
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
(Section amended sections 5315 and 5316 of Title 5, Government
Organization and Employees, and section 3522 of Title 42, The Public
Health and Welfare, which amendments have been executed to text.)
05 USC 11. Definitions
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
As used in this Act --
(1) the term ''head of the establishment'' means the Secretary of
Agriculture, Commerce, Defense, Education, Energy, Health and Human
Services, Housing and Urban Development, the Interior, Labor, State,
Transportation, or the Treasury; the Attorney General; the
Administrator of the Agency for International Development, Environmental
Protection, General Services, National Aeronautics and Space, Small
Business, or Veterans' Affairs; the Director of the Federal Emergency
Management Agency, the Office of Personnel Management or the United
States Information Agency; the Chairman of the Nuclear Regulatory
Commission or the Railroad Retirement Board; the Chairperson of the
Thrift Depositor Protection Oversight Board and the chief executive
officer of the Resolution Trust Corporation; as the case may be;
(2) the term ''establishment'' means the Department of Agriculture,
Commerce, Defense, Education, Energy, Health and Human Services, Housing
and Urban Development, the Interior, Justice, Labor, State,
Transportation, or the Treasury; the Agency for International
Development, the Environmental Protection Agency, the Federal Emergency
Management Agency, the General Services Administration, the National
Aeronautics and Space Administration, the Nuclear Regulatory Commission,
the Office of Personnel Management, the Railroad Retirement Board, the
Resolution Trust Corporation, the Small Business Administration, the
United States Information Agency, or the Veterans' Administration; as
the case may be;
(3) the term ''Inspector General'' means the Inspector General of an
establishment;
(4) the term ''Office'' means the Office of Inspector General of an
establishment; and
(5) the term ''Federal agency'' means an agency as defined in section
552(e) of title 5 (including an establishment as defined in paragraph
(2)), United States Code, but shall not be construed to include the
General Accounting Office.
(Pub. L. 95-452, 11, Oct. 12, 1978, 92 Stat. 1109; Pub. L. 96-88,
title V, 509(n)(3), (4), Oct. 17, 1979, 93 Stat. 695; Pub. L. 97-113,
title VII, 705(a)(2), Dec. 29, 1981, 95 Stat. 1544; Pub. L. 97-252,
title XI, 1117(a)(4), (5), Sept. 8, 1982, 96 Stat. 750; Pub. L.
99-93, title I, 150(a)(2), Aug. 16, 1985, 99 Stat. 427; Pub. L.
99-399, title IV, 412(a)(2), Aug. 27, 1986, 100 Stat. 867; Pub. L.
100-504, title I, 102(c), Oct. 18, 1988, 102 Stat. 2515; Pub. L.
100-527, 13(h)(2), (3), Oct. 5, 1988, 102 Stat. 2643; Pub. L. 101-73,
title V, 501(b)(1), Aug. 9, 1989, 103 Stat. 393; Pub. L. 102-233,
title III, 315(a), Dec. 12, 1991, 105 Stat. 1772.)
Amendment by Pub. L. 100-527 amended section as it existed prior to
amendment by Pub. L. 100-504, see Effective Date of 1988 Amendments
note below.
1991 -- Par. (1). Pub. L. 102-233 substituted ''; the Chairperson
of the Thrift Depositor Protection Oversight Board and the chief
executive officer of the Resolution Trust Corporation'' for ''the
Oversight Board and the Board of Directors of the Resolution Trust
Corporation''.
1989 -- Par. (1). Pub. L. 101-73, 501(b)(1)(A), which directed the
amendment of par. (1) by inserting ''the Oversight Board and the Board
of Directors of the Resolution Trust Corporation'' before ''; as the
case may be,'', was executed by making the insertion before ''; as the
case may be;'' as the probable intent of Congress.
Par. (2). Pub. L. 101-73, 501(b)(1)(B), inserted ''the Resolution
Trust Corporation,'' after ''the Railroad Retirement Board,''.
1988 -- Pars. (1), (2). Pub. L. 100-527, 13(h)(2), (3),
substituted ''Transportation, or Veterans' Affairs,'' for ''or
Transportation'' and ''or Small Business'' for ''Small Business, or
Veterans' Affairs'' in par. (1), and substituted ''Transportation, or
Veterans Affairs,'' for ''or Transportation'' and ''or the United States
Information Agency'' for ''the United States Information Agency or the
Veterans' Administration'' in par. (2). See Codification note above.
Pub. L. 100-504 added pars. (1) and (2) and struck out former pars.
(1) and (2), as amended by Pub. L. 100-527, which read as follows:
''(1) the term 'head of the establishment' means the Secretary of
Agriculture, Commerce, Defense, Education, Housing and Urban
Development, the Interior, Labor, State, Transportation, or Veterans'
Affairs, or the Administrator of the Agency for International
Development, Community Services, Environmental Protection, General
Services, National Aeronautics and Space, or Small Business, or the
Director of the United States Information Agency as the case may be;
''(2) the term 'establishment' means the Department of Agriculture,
Commerce, Defense, Education, Housing and Urban Development, the
Interior, Labor, State, Transportation, or Veterans Affairs, or the
Agency for International Development, the Community Services
Administration, the Environmental Protection Agency, the General
Services Administration, the National Aeronautics and Space
Administration, the Small Business Administration, or the United States
Information Agency, as the case may be;''.
1986 -- Pars. (1), (2). Pub. L. 99-399 inserted ''or the Director
of the United States Information Agency'' in par. (1) and ''the United
States Information Agency'' in par. (2).
1985 -- Pars. (1), (2). Pub. L. 99-93 inserted ''State,'' after
''Labor,''.
1982 -- Pars. (1), (2). Pub. L. 97-252 inserted ''Defense,'' after
''Commerce,''.
1981 -- Pars. (1), (2). Pub. L. 97-113 inserted ''the Agency for
International Development,'' after ''Administrator of'' in par. (1),
and inserted ''the Agency for International Development,'' after
''Transportation or'' in par. (2).
1979 -- Pars. (1), (2). Pub. L. 96-88 inserted ''Education,'' after
''Commerce,''.
References to Administrator of Veterans' Affairs and to Veterans'
Administration deemed to refer to Secretary of Veterans Affairs and to
Department of Veterans Affairs, respectively, pursuant to section 10 of
Pub. L. 100-527, set out as a Department of Veterans Affairs Act note
under section 301 of Title 38, Veterans' Benefits.
Amendment by Pub. L. 102-233 effective Feb. 1, 1992, see section
318 of Pub. L. 102-233, set out as a note under section 1441 of Title
12, Banks and Banking.
Amendment by Pub. L. 100-527 effective Mar. 15, 1989, see section
18(a) of Pub. L. 100-527, set out as a Department of Veterans Affairs
Act note under section 301 of Title 38, Veterans' Benefits.
Amendment by Pub. L. 100-504 effective 180 days after Oct. 18,
1988, see section 113 of Pub. L. 100-504, set out as a note under
section 5 of Pub. L. 95-452 in this Appendix.
Amendment by Pub. L. 96-88 effective May 4, 1980, with specified
exceptions, see section 601 of Pub. L. 96-88, set out as an Effective
Date note under section 3401 of Title 20, Education.
The Community Services Administration, which was established by
section 601 of the Economic Opportunity Act of 1964, as amended (42
U.S.C. 2941), was terminated when the Economic Opportunity Act of 1964,
Pub. L. 88-452, Aug. 20, 1964, 78 Stat. 508, as amended, was
repealed, except for titles VIII and X, effective Oct. 1, 1981, by
section 683(a) of Pub. L. 97-35, title VI, Aug. 13, 1981, 95 Stat.
519, which is classified to 42 U.S.C. 9912(a). An Office of Community
Services, headed by a Director, was established in the Department of
Health and Human Services by section 676 of Pub. L. 97-35, which is
classified to 42 U.S.C. 9905.
Section 501(b)(2)(B) of Pub. L. 101-73 provided that: ''There is
hereby authorized to be appropriated such sums as may be necessary for
the operation of the Office of Inspector General established by the
amendment made by paragraph (1) of this subsection (amending this
section).''
05 USC 12. Effective date
TITLE 5, APPENDIX -- INSPECTOR GENERAL ACT OF 1978
The provisions of this Act and the amendments made by this Act (see
section 10 of this Act) shall take effect October 1, 1978.
(Pub. L. 95-452, 12, Oct. 12, 1978, 92 Stat. 1109.)
05 USC
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
05 USC ETHICS IN GOVERNMENT ACT OF 1978
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
Pub. L. 95-521, titles I-V, Oct. 26, 1978, 92 Stat. 1824-1867, as
amended Pub. L. 96-19, 2-9, June 13, 1979, 93 Stat. 37-44; Pub. L.
96-417, title VI, 601(9), Oct. 10, 1980, 94 Stat. 1744; Pub. L.
96-579, 12(c), Dec. 23, 1980, 94 Stat. 3369; Pub. L. 97-51,
130(b), Oct. 1, 1981, 95 Stat. 966; Pub. L. 97-164, title I,
163(a)(6), Apr. 2, 1982, 96 Stat. 49; Pub. L. 98-150, 2, 3(a)-(c),
4-12, Nov. 11, 1983, 97 Stat. 959-963; Pub. L. 99-190, 148(b), Dec.
19, 1985, 99 Stat. 1325; Pub. L. 99-514, 2, Oct. 22, 1986, 100 Stat.
2095; Pub. L. 99-573, 6, Oct. 28, 1986, 100 Stat. 3231; Pub. L.
100-191, 3(b), Dec. 15, 1987, 101 Stat. 1306; Pub. L. 100-598,
2-9, Nov. 3, 1988, 102 Stat. 3031-3035; Pub. L. 101-194, title II,
201, 202, title VI, 601(a), Nov. 30, 1989, 103 Stat. 1724-1744, 1760,
1761; Pub. L. 101-280, 3(1)-(10)(A), (C), 7(a)-(c), May 4, 1990, 104
Stat. 152-157, 161; Pub. L. 101-334, July 16, 1990, 104 Stat. 318;
Pub. L. 101-650, title III, 319, title IV, 405, Dec. 1, 1990, 104
Stat. 5117, 5124; Pub. L. 102-25, title VI, 605(a), Apr. 6, 1991,
105 Stat. 110; Pub. L. 102-90, title I, 6(b), title III, 313,
314(a), (b), Aug. 14, 1991, 105 Stat. 450, 469; Pub. L. 102-198, 6,
Dec. 9, 1991, 105 Stat. 1624; Pub. L. 102-378, 4(a), (b), Oct. 2,
1992, 106 Stat. 1356, 1357; Pub. L. 102-506, 2, Oct. 24, 1992, 106
Stat. 3280; Pub. L. 102-572, title IX, 902(b)(2), Oct. 29, 1992, 106
Stat. 4516
Sec.
101. Persons required to file.
102. Contents of reports.
103. Filing of reports.
104. Failure to file or filing false reports.
105. Custody of and public access to reports.
106. Review of reports.
107. Confidential reports and other additional requirements.
108. Authority of Comptroller General.
109. Definitions.
110. Notice of actions taken to comply with ethics agreements.
111. Administration of provisions.
401. Establishment in Office of Personnel Management; appointment
of Director.
402. Authority and functions.
403. Administrative provisions.
404. Rules and regulations.
405. Authorization of appropriations.
406. Annual pay.
407. Annual pay of Director.
408. Reports to Congress.
501. Outside earned income limitation.
502. Limitations on outside employment.
503. Administration.
504. Civil Penalties.
505. Definitions.
05 USC TITLE I -- FINANCIAL DISCLOSURE REQUIREMENTS OF FEDERAL PERSONNEL
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
Title I of Pub. L. 95-521 was classified to chapter 18 ( 701 et
seq.) of Title 2, The Congress, prior to general amendment of title I by
Pub. L. 101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1724.
of this title; title 10 section 2904.
05 USC 101. Persons required to file
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Within thirty days of assuming the position of an officer or
employee described in subsection (f), an individual shall file a report
containing the information described in section 102(b) unless the
individual has left another position described in subsection (f) within
thirty days prior to assuming such new position or has already filed a
report under this title with respect to nomination for the new position
or as a candidate for the position.
(b)(1) Within five days of the transmittal by the President to the
Senate of the nomination of an individual (other than an individual
nominated for appointment to a position as a Foreign Service Officer or
a grade or rank in the uniformed services for which the pay grade
prescribed by section 201 of title 37, United States Code, is O-6 or
below) to a position, appointment to which requires the advice and
consent of the Senate, such individual shall file a report containing
the information described in section 102(b). Such individual shall, not
later than the date of the first hearing to consider the nomination of
such individual, make current the report filed pursuant to this
paragraph by filing the information required by section 102(a)(1)(A)
with respect to income and honoraria received as of the date which
occurs five days before the date of such hearing. Nothing in this Act
shall prevent any Congressional committee from requesting, as a
condition of confirmation, any additional financial information from any
Presidential nominee whose nomination has been referred to that
committee.
(2) An individual whom the President or the President-elect has
publicly announced he intends to nominate to a position may file the
report required by paragraph (1) at any time after that public
announcement, but not later than is required under the first sentence of
such paragraph.
(c) Within thirty days of becoming a candidate as defined in section
301 of the Federal Campaign Act of 1971, in a calendar year for
nomination or election to the office of President, Vice President, or
Member of Congress, or on or before May 15 of that calendar year,
whichever is later, but in no event later than 30 days before the
election, and on or before May 15 of each successive year an individual
continues to be a candidate, an individual other than an incumbent
President, Vice President, or Member of Congress shall file a report
containing the information described in section 102(b). Notwithstanding
the preceding sentence, in any calendar year in which an individual
continues to be a candidate for any office but all elections for such
office relating to such candidacy were held in prior calendar years,
such individual need not file a report unless he becomes a candidate for
another vacancy in that office or another office during that year.
(d) Any individual who is an officer or employee described in
subsection (f) during any calendar year and performs the duties of his
position or office for a period in excess of sixty days in that calendar
year shall file on or before May 15 of the succeeding year a report
containing the information described in section 102(a).
(e) Any individual who occupies a position described in subsection
(f) shall, on or before the thirtieth day after termination of
employment in such position, file a report containing the information
described in section 102(a) covering the preceding calendar year if the
report required by subsection (d) has not been filed and covering the
portion of the calendar year in which such termination occurs up to the
date the individual left such office or position, unless such individual
has accepted employment in another position described in subsection (f).
(f) The officers and employees referred to in subsections (a), (d),
and (e) are --
(1) the President;
(2) the Vice President;
(3) each officer or employee in the executive branch, including a
special Government employee as defined in section 202 of title 18,
United States Code, who occupies a position classified above GS-15 of
the General Schedule or, in the case of positions not under the General
Schedule, for which the rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule; each member of a uniformed service whose pay grade is
at or in excess of O-7 under section 201 of title 37, United States
Code; and each officer or employee in any other position determined by
the Director of the Office of Government Ethics to be of equal
classification;
(4) each employee appointed pursuant to section 3105 of title 5,
United States Code;
(5) any employee not described in paragraph (3) who is in a position
in the executive branch which is excepted from the competitive service
by reason of being of a confidential or policymaking character, except
that the Director of the Office of Government Ethics may, by regulation,
exclude from the application of this paragraph any individual, or group
of individuals, who are in such positions, but only in cases in which
the Director determines such exclusion would not affect adversely the
integrity of the Government or the public's confidence in the integrity
of the Government;
(6) the Postmaster General, the Deputy Postmaster General, each
Governor of the Board of Governors of the United States Postal Service
and each officer or employee of the United States Postal Service or
Postal Rate Commission who occupies a position for which the rate of
basic pay is equal to or greater than 120 percent of the minimum rate of
basic pay payable for GS-15 of the General Schedule;
(7) the Director of the Office of Government Ethics and each
designated agency ethics official;
(8) any civilian employee not described in paragraph (3), employed in
the Executive Office of the President (other than a special government
/1/ employee) who holds a commission of appointment from the President;
(9) a Member of Congress as defined under section 109(12);
(10) an officer or employee of the Congress as defined under section
109(13);
(11) a judicial officer as defined under section 109(10); and
(12) a judicial employee as defined under section 109(8).
(g)(1) Reasonable extensions of time for filing any report may be
granted under procedures prescribed by the supervising ethics office for
each branch, but the total of such extensions shall not exceed ninety
days.
(2)(A) In the case of an individual who is serving in the Armed
Forces, or serving in support of the Armed Forces, in an area while that
area is designated by the President by Executive order as a combat zone
for purposes of section 112 of the Internal Revenue Code of 1986, the
date for the filing of any report shall be extended so that the date is
180 days after the later of --
(i) the last day of the individual's service in such area during such
designated period; or
(ii) the last day of the individual's hospitalization as a result of
injury received or disease contracted while serving in such area.
(B) The Office of Government Ethics, in consultation with the
Secretary of Defense, may prescribe procedures under this paragraph.
(h) The provisions of subsections (a), (b), and (e) shall not apply
to an individual who, as determined by the designated agency ethics
official or Secretary concerned (or in the case of a Presidential
appointee under subsection (b), the Director of the Office of Government
Ethics), the congressional ethics committees, or the Judicial
Conference, is not reasonably expected to perform the duties of his
office or position for more than sixty days in a calendar year, except
that if such individual performs the duties of his office or position
for more than sixty days in a calendar year --
(1) the report required by subsections (a) and (b) shall be filed
within fifteen days of the sixtieth day, and
(2) the report required by subsection (e) shall be filed as provided
in such subsection.
(i) The supervising ethics office for each branch may grant a
publicly available request for a waiver of any reporting requirement
under this section for an individual who is expected to perform or has
performed the duties of his office or position less than one hundred and
thirty days in a calendar year, but only if the supervising ethics
office determines that --
(1) such individual is not a full-time employee of the Government,
(2) such individual is able to provide services specially needed by
the Government,
(3) it is unlikely that the individual's outside employment or
financial interests will create a conflict of interest, and
(4) public financial disclosure by such individual is not necessary
in the circumstances.
(Pub. L. 95-521, title I, 101, Oct. 26, 1978, 92 Stat. 1824; Pub.
L. 96-19, 2(a)(1), (b), (c)(1), 4(b)(1), (d)-(f), 5, June 13, 1979, 93
Stat. 37, 38, 40; Pub. L. 101-194, title II, 202, Nov. 30, 1989, 103
Stat. 1725; Pub. L. 101-280, 3(1), (2), May 4, 1990, 104 Stat. 152;
Pub. L. 102-25, title VI, 605(a), Apr. 6, 1991, 105 Stat. 110; Pub.
L. 102-378, 4(a)(1), Oct. 2, 1992, 106 Stat. 1356.)
This Act, referred to in subsec. (b)(1), is Pub. L. 95-521, Oct.
26, 1978, 92 Stat. 1824, as amended, known as the Ethics in Government
Act of 1978. For complete classification of this Act to the Code, see
Short Title note set out below and Tables.
Section 301 of the Federal Campaign Act of 1971, referred to in
subsec. (c), probably means section 301 of the Federal Election
Campaign Act of 1971, Pub. L. 92-225, which is classified to section
431 of Title 2, The Congress.
The General Schedule, referred to in subsec. (f)(3), (6), is set out
under section 5332 of this title.
Section 112 of the Internal Revenue Code of 1986, referred to in
subsec. (g)(2), is classified to section 112 of Title 26, Internal
Revenue Code.
Section was formerly classified to section 701 of Title 2, The
Congress.
1992 -- Subsec. (f)(3). Pub. L. 102-378, 4(a)(1)(A), substituted
''who occupies a position classified above GS-15 of the General Schedule
or, in the case of positions not under the General Schedule, for which
the rate of basic pay is equal to or greater than 120 percent of the
minimum rate of basic pay payable for GS-15 of the General Schedule''
for ''whose position is classified at GS-16 or above of the General
Schedule prescribed by section 5332 of title 5, United States Code, or
the rate of basic pay for which is fixed (other than under the General
Schedule) at a rate equal to or greater than the minimum rate of basic
pay fixed for GS-16''.
Subsec. (f)(6). Pub. L. 102-378, 4(a)(1)(B), substituted ''who
occupies a position for which the rate of basic pay is equal to or
greater than 120 percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule'' for ''whose basic rate of pay is equal
to or greater than the minimum rate of basic pay fixed for GS-16''.
1991 -- Subsec. (g). Pub. L. 102-25 designated existing provisions
as par. (1) and added par. (2).
1990 -- Subsec. (e). Pub. L. 101-280, 3(2), struck out ''the later
of May 15 or'' after ''shall, on or before''.
Subsec. (h). Pub. L. 101-280, 3(1), struck out ''of the United
States'' after ''Judicial Conference''.
1989 -- Pub. L. 101-194 substituted ''Persons required to file'' for
''Legislative personnel financial disclosure'' as section catchline and
amended text generally, substituting subsecs. (a) to (i) relating to
filing of financial disclosure reports by Federal personnel for former
subsecs. (a) to (h) relating to filing of financial disclosure reports
by legislative personnel.
1979 -- Subsec. (b). Pub. L. 96-19, 2(b), 4(d), (e), designated
existing provisions as par. (1), substituted ''described in subsection
(e)'' for ''designated in subsection (e)'' and ''information described
in section 102(a) if such individual is or will be such an officer or
employee on such May 15'' for ''information as described in section
102(a)'', and added par. (2).
Subsec. (c). Pub. L. 96-19, 2(a)(1), 4(d), (f), inserted provisions
relating to an individual who is not reasonably expected to perform the
duties of his office or position for more than sixty days in a calendar
year and substituted ''described'' for ''designated'' and '', other than
an individual who was employed in the legislative branch immediately
before he assumed such position,'' for ''other than an individual
employed in the legislative branch upon assuming such position''.
Subsec. (d). Pub. L. 96-19, 5, inserted provision that in any
calendar year in which an individual continues to be a candidate for any
office but all elections for such office relating to that candidacy were
held in prior calendar years, that individual need not file a report
unless he becomes a candidate for another vacancy in that office or
another office during that year.
Subsec. (e). Pub. L. 96-19, 4(b)(1), inserted reference to the
National Commission on Air Quality.
Subsec. (h). Pub. L. 96-19, 2(c)(1), added subsec. (h).
Section 605(b) of Pub. L. 102-25 provided that: ''The amendments
made by subsection (a) (amending this section) shall apply with respect
to reports required to be filed after January 17, 1991.''
Section 11 of Pub. L. 101-280 provided that: ''Except as otherwise
provided in this joint resolution, this Act and the amendments made by
this joint resolution (amending sections 101 to 106, 109 to 111, former
section 202, and sections 501 to 503 of Pub. L. 95-521, set out in this
Appendix, sections 3393, 7351, 7353, and 7701 of this title, sections
31-1, 31-2, and 441i of Title 2, The Congress, sections 1601 and 2397a
of Title 10, Armed Forces, sections 202, 203, 205, 207, 208, and 216 of
Title 18, Crimes and Criminal Procedure, section 3945 of Title 22,
Foreign Relations and Intercourse, section 1043 of Title 26, Internal
Revenue Code, and sections 1353 and 3730 of Title 31, Money and Finance,
renumbering section 1352 of Title 31 as section 1353, repealing section
112 of Pub. L. 95-521, set out in this Appendix, enacting provisions set
out as notes under sections 101 and 105 of Pub. L. 95-521, set out in
this Appendix, section 2397a of Title 10, and section 1043 of Title 26,
and amending provisions set out as notes under section 207 and 208 of
Title 18 and section 1344 of Title 31) take effect on the date of the
enactment of this joint resolution (May 4, 1990).''
Section 204 of title II of Pub. L. 101-194, as added by Pub. L.
101-280, 3(10)(B), May 4, 1990, 104 Stat. 157, provided that: ''The
amendments made by this title (enacting sections 110 to 112 of Pub. L.
95-521, set out in this Appendix amending sections 101 to 109 of Pub.
L. 95-521, set out in this Appendix, but formerly classified to sections
701 to 709 of Title 2, The Congress) and the repeal made by section 201
(repealing sections 201 to 212 of Pub. L. 95-521, formerly set out under
the heading Executive Personnel Financial Disclosure Requirements in
this Appendix, and sections 301 to 309 of Pub. L. 95-521, formerly set
out under the heading Judicial Personnel Financial Disclosure
Requirements in the Appendix to Title 28, Judiciary and Judicial
Procedure) shall take effect on January 1, 1991, except that the
provisions of section 102(f)(4)(B) of the Ethics in Government Act of
1978 (section 102(f)(4)(B) of Pub. L. 95-521, set out in this Appendix),
as amended by this title, shall be effective as of January 1, 1990.''
Section 3(10)(C), (D) of Pub. L. 101-280 provided that:
''(C) The provisions of titles I (formerly classified to section 701
et seq. of Title 2, The Congress), II (formerly set out under the
heading Executive Personnel Financial Disclosure Requirements in this
Appendix), and III (formerly set out under the heading Judicial
Personnel Financial Disclosure Requirements in the Appendix to Title 28,
Judiciary and Judicial Procedure) of the Ethics in Government Act of
1978 (Pub. L. 95-521), as in effect on the day before the date of the
enactment of the Ethics Reform Act of 1989 (Nov. 30, 1989), shall be
effective for the period beginning on November 30, 1989, and ending on
January 1, 1991, as if the Ethics Reform Act of 1989 (Pub. L. 101-194)
had not been enacted, except that the provisions of section 202(f)(4)(B)
of the Ethics in Government Act of 1978 (section 202(f)(4)(B) of Pub. L.
95-521) shall be repealed as of January 1, 1990.
''(D) Nothing in title II of the Ethics Reform Act of 1989 or the
amendments made by such title (title II of Pub. L. 101-194, amending
title I of Pub. L. 95-521, set out in this Appendix, but formerly
classified to sections 701 to 709 of Title 2, and repealing title II of
Pub. L. 95-521, formerly set out in this Appendix, and title III of Pub.
L. 95-521, formerly set out in the Appendix to Title 28) shall be
construed to prevent the prosecution of civil actions against
individuals for violations of the Ethics in Government Act of 1978 (Pub.
L. 95-521) before January 1, 1991.''
Pub. L. 102-506, 1, Oct. 24, 1992, 106 Stat. 3280, provided that:
''This Act (amending section 405 of Pub. L. 95-521 set out in this
Appendix) may be cited as the 'Office of Government Ethics Amendment of
1992'.''
Pub. L. 101-334, 1, July 16, 1990, 104 Stat. 318, provided that:
''This Act (amending section 405 of Pub. L. 95-521 set out in this
Appendix) may be cited as the 'Ethics in Government Act Amendment of
1990'.''
Section 1 of Pub. L. 101-194 provided that: ''This Act (see Tables
for classification) may be cited as the 'Ethics Reform Act of 1989'.''
Section 1 of Pub. L. 95-521 provided: ''That this Act (enacting
provisions set out in this Appendix, sections 118a, 288 to 288m of Title
2, The Congress, sections 49, 528, 529, 591 to 598, 1364 of Title 28,
Judiciary and Judicial Procedure, amending section 5316 of Title 5,
Government Organization and Employees, section 207 of Title 18, Crimes
and Criminal Procedure, and sections 3210, 3216, and 3219 of Title 39,
Postal Service, and enacting provisions set out as notes under section
288 of Title 2, section 207 of Title 18, and section 591 of Title 28)
may be cited as the 'Ethics in Government Act of 1978'.''
Section 1 of Pub. L. 101-280 provided that: ''It is the purpose of
this joint resolution to make technical corrections in the Ethics Reform
Act of 1989 (Pub. L. 101-194, see Tables for classification).''
Pub. L. 102-90, title III, 314(f), Aug. 14, 1991, 105 Stat. 470,
provided that: ''The provisions of this section (amending sections 102
and 505 of Pub. L. 95-521, set out in this Appendix, section 31-2 of
Title 2, The Congress, and section 7701 of Title 26, Internal Revenue
Code, and enacting provisions set out as a note under section 31-2 of
Title 2) that are applicable to Members, officers, or employees of the
legislative branch are enacted by the Congress --
''(1) as an exercise of the rulemaking power of the House of
Representatives and the Senate, respectively, and as such they shall be
considered as part of the rules of each House, respectively, or of that
House to which they specifically apply, and such rules shall 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 such rules (so far as relating to such House) at any
time, in the same manner, and to the same extent as in the case of any
other rule of such House.''
Section 1001 of Pub. L. 101-194 provided that: ''The provisions of
this Act (see Short Title of 1989 Amendment note above) that are
applicable to Members, officers, or employees of the legislative branch
are enacted by the Congress --
''(1) as an exercise of the rulemaking power of the House of
Representatives and the Senate, respectively, and as such they shall be
considered as part of the rules of each House, respectively, or of that
House to which they specifically apply, and such rules shall 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 such rules (so far as relating to such House) at any
time, in the same manner, and to the same extent as in the case of any
other rule of such House.''
22 section 3622; title 42 section 290b.
3730.
/1/ So in original. Probably should be capitalized.
05 USC 102. Contents of reports
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Each report filed pursuant to section 101(d) and (e) shall
include a full and complete statement with respect to the following:
(1)(A) The source, type, and amount or value of income (other than
income referred to in subparagraph (B)) from any source (other than from
current employment by the United States Government), and the source,
date, and amount of honoraria from any source, received during the
preceding calendar year, aggregating $200 or more in value and,
effective January 1, 1991, the source, date, and amount of payments made
to charitable organizations in lieu of honoraria, and the reporting
individual shall simultaneously file with the applicable supervising
ethics office, on a confidential basis, a corresponding list of
recipients of all such payments, together with the dates and amounts of
such payments.
(B) The source and type of income which consists of dividends, rents,
interest, and capital gains, received during the preceding calendar year
which exceeds $200 in amount or value, and an indication of which of the
following categories the amount or value of such item of income is
within:
(i) not more than $1,000,
(ii) greater than $1,000 but not more than $2,500,
(iii) greater than $2,500 but not more than $5,000,
(iv) greater than $5,000 but not more than $15,000,
(v) greater than $15,000 but not more than $50,000,
(vi) greater than $50,000 but not more than $100,000,
(vii) greater than $100,000 but not more than $1,000,000, or
(viii) greater than $1,000,000.
(2)(A) The identity of the source, a brief description, and the value
of all gifts aggregating more than the minimal value as established by
section 7342(a)(5) of title 5, United States Code, or $250, whichever is
greater, received from any source other than a relative of the reporting
individual during the preceding calendar year, except that any food,
lodging, or entertainment received as personal hospitality of an
individual need not be reported, and any gift with a fair market value
of $100 or less, as adjusted at the same time and by the same percentage
as the minimal value is adjusted, need not be aggregated for purposes of
this subparagraph.
(B) The identity of the source and a brief description (including a
travel itinerary, dates, and nature of expenses provided) of
reimbursements received from any source aggregating more than the
minimal value as established by section 7342(a)(5) of title 5, United
States Code, or $250, whichever is greater and received during the
preceding calendar year.
(C) In an unusual case, a gift need not be aggregated under
subparagraph (A) if a publicly available request for a waiver is
granted.
(3) The identity and category of value of any interest in property
held during the preceding calendar year in a trade or business, or for
investment or the production of income, which has a fair market value
which exceeds $1,000 as of the close of the preceding calendar year,
excluding any personal liability owed to the reporting individual by a
spouse,, /1/ or by a parent, brother, sister, or child of the reporting
individual or of the reporting individual's spouse, or any deposits
aggregating $5,000 or less in a personal savings account. For purposes
of this paragraph, a personal savings account shall include any
certificate of deposit or any other form of deposit in a bank, savings
and loan association, credit union, or similar financial institution.
(4) The identity and category of value of the total liabilities owed
to any creditor other than a spouse, or a parent, brother, sister, or
child of the reporting individual or of the reporting individual's
spouse which exceed $10,000 at any time during the preceding calendar
year, excluding --
(A) any mortgage secured by real property which is a personal
residence of the reporting individual or his spouse; and
(B) any loan secured by a personal motor vehicle, household
furniture, or appliances, which loan does not exceed the purchase price
of the item which secures it.
With respect to revolving charge accounts, only those with an
outstanding liability which exceeds $10,000 as of the close of the
preceding calendar year need be reported under this paragraph.
(5) Except as provided in this paragraph, a brief description, the
date, and category of value of any purchase, sale or exchange during the
preceding calendar year which exceeds $1,000 --
(A) in real property, other than property used solely as a personal
residence of the reporting individual or his spouse; or
(B) in stocks, bonds, commodities futures, and other forms of
securities.
Reporting is not required under this paragraph of any transaction
solely by and between the reporting individual, his spouse, or dependent
children.
(6)(A) The identity of all positions held on or before the date of
filing during the current calendar year (and, for the first report filed
by an individual, during the two-year period preceding such calendar
year) as an officer, director, trustee, partner, proprietor,
representative, employee, or consultant of any corporation, company,
firm, partnership, or other business enterprise, any nonprofit
organization, any labor organization, or any educational or other
institution other than the United States. This subparagraph shall not
require the reporting of positions held in any religious, social,
fraternal, or political entity and positions solely of an honorary
nature.
(B) If any person, other than the United States Government, paid a
nonelected reporting individual compensation in excess of $5,000 in any
of the two calendar years prior to the calendar year during which the
individual files his first report under this title, the individual shall
include in the report --
(i) the identity of each source of such compensation; and
(ii) a brief description of the nature of the duties performed or
services rendered by the reporting individual for each such source.
The preceding sentence shall not require any individual to include in
such report any information which is considered confidential as a result
of a privileged relationship, established by law, between such
individual and any person nor shall it require an individual to report
any information with respect to any person for whom services were
provided by any firm or association of which such individual was a
member, partner, or employee unless such individual was directly
involved in the provision of such services.
(7) A description of the date, parties to, and terms of any agreement
or arrangement with respect to (A) future employment; (B) a leave of
absence during the period of the reporting individual's Government
service; (C) continuation of payments by a former employer other than
the United States Government; and (D) continuing participation in an
employee welfare or benefit plan maintained by a former employer.
(b)(1) Each report filed pursuant to subsections (a), (b), and (c) of
section 101 shall include a full and complete statement with respect to
the information required by --
(A) paragraph (1) of subsection (a) for the year of filing and the
preceding calendar year,
(B) paragraphs (3) and (4) of subsection (a) as of the date specified
in the report but which is less than thirty-one days before the filing
date, and
(C) paragraphs (6) and (7) of subsection (a) as of the filing date
but for periods described in such paragraphs.
(2)(A) In lieu of filling out one or more schedules of a financial
disclosure form, an individual may supply the required information in an
alternative format, pursuant to either rules adopted by the supervising
ethics office for the branch in which such individual serves or pursuant
to a specific written determination by such office for a reporting
individual.
(B) In lieu of indicating the category of amount or value of any item
contained in any report filed under this title, a reporting individual
may indicate the exact dollar amount of such item.
(c) In the case of any individual described in section 101(e), any
reference to the preceding calendar year shall be considered also to
include that part of the calendar year of filing up to the date of the
termination of employment.
(d)(1) The categories for reporting the amount or value of the items
covered in paragraphs (3), (4), and (5) of subsection (a) are as
follows:
(A) not more than $15,000;
(B) greater than $15,000 but not more than $50,000;
(C) greater than $50,000 but not more than $100,000;
(D) greater than $100,000 but not more than $250,000;
(E) greater than $250,000 but not more than $500,000;
(F) greater than $500,000 but not more than $1,000,000; and
(G) greater than $1,000,000.
(2) For the purposes of paragraph (3) of subsection (a) if the
current value of an interest in real property (or an interest in a real
estate partnership) is not ascertainable without an appraisal, an
individual may list (A) the date of purchase and the purchase price of
the interest in the real property, or (B) the assessed value of the real
property for tax purposes, adjusted to reflect the market value of the
property used for the assessment if the assessed value is computed at
less than 100 percent of such market value, but such individual shall
include in his report a full and complete description of the method used
to determine such assessed value, instead of specifying a category of
value pursuant to paragraph (1) of this subsection. If the current
value of any other item required to be reported under paragraph (3) of
subsection (a) is not ascertainable without an appraisal, such
individual may list the book value of a corporation whose stock is not
publicly traded, the net worth of a business partnership, the equity
value of an individually owned business, or with respect to other
holdings, any recognized indication of value, but such individual shall
include in his report a full and complete description of the method used
in determining such value. In lieu of any value referred to in the
preceding sentence, an individual may list the assessed value of the
item for tax purposes, adjusted to reflect the market value of the item
used for the assessment if the assessed value is computed at less than
100 percent of such market value, but a full and complete description of
the method used in determining such assessed value shall be included in
the report.
(e)(1) Except as provided in the last sentence of this paragraph,
each report required by section 101 shall also contain information
listed in paragraphs (1) through (5) of subsection (a) of this section
respecting the spouse or dependent child of the reporting individual as
follows:
(A) The source of items of earned income earned by a spouse from any
person which exceed $1,000 and the source and amount of any honoraria
received by a spouse, except that, with respect to earned income (other
than honoraria), if the spouse is self-employed in business or a
profession, only the nature of such business or profession need be
reported.
(B) All information required to be reported in subsection (a)(1)(B)
with respect to income derived by a spouse or dependent child from any
asset held by the spouse or dependent child and reported pursuant to
subsection (a)(3).
(C) In the case of any gifts received by a spouse or dependent child
which are not received totally independent of the relationship of the
spouse or dependent child to the reporting individual, the identity of
the source and a brief description of gifts of transportation, lodging,
food, or entertainment and a brief description and the value of other
gifts.
(D) In the case of any reimbursements received by a spouse or
dependent child which are not received totally independent of the
relationship of the spouse or dependent child to the reporting
individual, the identity of the source and a brief description of each
such reimbursement.
(E) In the case of items described in paragraphs (3) through (5) of
subsection (a), all information required to be reported under these
paragraphs other than items (i) which the reporting individual certifies
represent the spouse's or dependent child's sole financial interest or
responsibility and which the reporting individual has no knowledge of,
(ii) which are not in any way, past or present, derived from the income,
assets, or activities of the reporting individual, and (iii) from which
the reporting individual neither derives, nor expects to derive, any
financial or economic benefit.
Reports required by subsections (a), (b), and (c) of section 101
shall, with respect to the spouse and dependent child of the reporting
individual, only contain information listed in paragraphs (1), (3), and
(4) of subsection (a), as specified in this paragraph.
(2) No report shall be required with respect to a spouse living
separate and apart from the reporting individual with the intention of
terminating the marriage or providing for permanent separation; or with
respect to any income or obligations of an individual arising from the
dissolution of his marriage or the permanent separation from his spouse.
(f)(1) Except as provided in paragraph (2), each reporting individual
shall report the information required to be reported pursuant to
subsections (a), (b), and (c) of this section with respect to the
holdings of and the income from a trust or other financial arrangement
from which income is received by, or with respect to which a beneficial
interest in principal or income is held by, such individual, his spouse,
or any dependent child.
(2) A reporting individual need not report the holdings of or the
source of income from any of the holdings of --
(A) any qualified blind trust (as defined in paragraph (3));
(B) a trust --
(i) which was not created directly by such individual, his spouse, or
any dependent child, and
(ii) the holdings or sources of income of which such individual, his
spouse, and any dependent child have no knowledge of; or
(C) an entity described under the provisions of paragraph (8),
but such individual shall report the category of the amount of income
received by him, his spouse, or any dependent child from the trust or
other entity under subsection (a)(1)(B) of this section.
(3) For purposes of this subsection, the term ''qualified blind
trust'' includes any trust in which a reporting individual, his spouse,
or any minor or dependent child has a beneficial interest in the
principal or income, and which meets the following requirements:
(A)(i) The trustee of the trust and any other entity designated in
the trust instrument to perform fiduciary duties is a financial
institution, an attorney, a certified public accountant, a broker, or an
investment advisor who --
(I) is independent of and not associated with any interested party so
that the trustee or other person cannot be controlled or influenced in
the administration of the trust by any interested party; and
(II) is not and has not been an employee of or affiliated with any
interested party and is not a partner of, or involved in any joint
venture or other investment with, any interested party; and
(III) is not a relative of any interested party.
(ii) Any officer or employee of a trustee or other entity who is
involved in the management or control of the trust --
(I) is independent of and not associated with any interested party so
that such officer or employee cannot be controlled or influenced in the
administration of the trust by any interested party;
(II) is not a partner of, or involved in any joint venture or other
investment with, any interested party; and
(III) is not a relative of any interested party.
(B) Any asset transferred to the trust by an interested party is free
of any restriction with respect to its transfer or sale unless such
restriction is expressly approved by the supervising ethics office of
the reporting individual.
(C) The trust instrument which establishes the trust provides that --
(i) except to the extent provided in subparagraph (B) of this
paragraph, the trustee in the exercise of his authority and discretion
to manage and control the assets of the trust shall not consult or
notify any interested party;
(ii) the trust shall not contain any asset the holding of which by an
interested party is prohibited by any law or regulation;
(iii) the trustee shall promptly notify the reporting individual and
his supervising ethics office when the holdings of any particular asset
transferred to the trust by any interested party are disposed of or when
the value of such holding is less than $1,000;
(iv) the trust tax return shall be prepared by the trustee or his
designee, and such return and any information relating thereto (other
than the trust income summarized in appropriate categories necessary to
complete an interested party's tax return), shall not be disclosed to
any interested party;
(v) an interested party shall not receive any report on the holdings
and sources of income of the trust, except a report at the end of each
calendar quarter with respect to the total cash value of the interest of
the interested party in the trust or the net income or loss of the trust
or any reports necessary to enable the interested party to complete an
individual tax return required by law or to provide the information
required by subsection (a)(1) of this section, but such report shall not
identify any asset or holding;
(vi) except for communications which solely consist of requests for
distributions of cash or other unspecified assets of the trust, there
shall be no direct or indirect communication between the trustee and an
interested party with respect to the trust unless such communication is
in writing and unless it relates only (I) to the general financial
interest and needs of the interested party (including, but not limited
to, an interest in maximizing income or long-term capital gain), (II) to
the notification of the trustee of a law or regulation subsequently
applicable to the reporting individual which prohibits the interested
party from holding an asset, which notification directs that the asset
not be held by the trust, or (III) to directions to the trustee to sell
all of an asset initially placed in the trust by an interested party
which in the determination of the reporting individual creates a
conflict of interest or the appearance thereof due to the subsequent
assumption of duties by the reporting individual (but nothing herein
shall require any such direction); and
(vii) the interested parties shall make no effort to obtain
information with respect to the holdings of the trust, including
obtaining a copy of any trust tax return filed or any information
relating thereto except as otherwise provided in this subsection.
(D) The proposed trust instrument and the proposed trustee is
approved by the reporting individual's supervising ethics office.
(E) For purposes of this subsection, ''interested party'' means a
reporting individual, his spouse, and any minor or dependent child;
''broker'' has the meaning set forth in section 3(a)(4) of the
Securities and Exchange Act of 1934 (15 U.S.C. 78c(a)(4)); and
''investment adviser'' includes any investment adviser who, as
determined under regulations prescribed by the supervising ethics
office, is generally involved in his role as such an adviser in the
management or control of trusts.
(F) Any trust qualified by a supervising ethics office before the
effective date of title II of the Ethics Reform Act of 1989 shall
continue to be governed by the law and regulations in effect immediately
before such effective date.
(4)(A) An asset placed in a trust by an interested party shall be
considered a financial interest of the reporting individual, for the
purposes of any applicable conflict of interest statutes, regulations,
or rules of the Federal Government (including section 208 of title 18,
United States Code), until such time as the reporting individual is
notified by the trustee that such asset has been disposed of, or has a
value of less than $1,000.
(B)(i) The provisions of subparagraph (A) shall not apply with
respect to a trust created for the benefit of a reporting individual, or
the spouse, dependent child, or minor child of such a person, if the
supervising ethics office for such reporting individual finds that --
(I) the assets placed in the trust consist of a well-diversified
portfolio of readily marketable securities;
(II) none of the assets consist of securities of entities having
substantial activities in the area of the reporting individual's primary
area of responsibility;
(III) the trust instrument prohibits the trustee, notwithstanding the
provisions of paragraphs (3)(C)(iii) and (iv) of this subsection, from
making public or informing any interested party of the sale of any
securities;
(IV) the trustee is given power of attorney, notwithstanding the
provisions of paragraph (3)(C)(v) of this subsection, to prepare on
behalf of any interested party the personal income tax returns and
similar returns which may contain information relating to the trust;
and
(V) except as otherwise provided in this paragraph, the trust
instrument provides (or in the case of a trust established prior to the
effective date of this Act which by its terms does not permit amendment,
the trustee, the reporting individual, and any other interested party
agree in writing) that the trust shall be administered in accordance
with the requirements of this subsection and the trustee of such trust
meets the requirements of paragraph (3)(A).
(ii) In any instance covered by subparagraph (B) in which the
reporting individual is an individual whose nomination is being
considered by a congressional committee, the reporting individual shall
inform the congressional committee considering his nomination before or
during the period of such individual's confirmation hearing of his
intention to comply with this paragraph.
(5)(A) The reporting individual shall, within thirty days after a
qualified blind trust is approved by his supervising ethics office, file
with such office a copy of --
(i) the executed trust instrument of such trust (other than those
provisions which relate to the testamentary disposition of the trust
assets), and
(ii) a list of the assets which were transferred to such trust,
including the category of value of each asset as determined under
subsection (d) of this section.
This subparagraph shall not apply with respect to a trust meeting the
requirements for being considered a qualified blind trust under
paragraph (7) of this subsection.
(B) The reporting individual shall, within thirty days of
transferring an asset (other than cash) to a previously established
qualified blind trust, notify his supervising ethics office of the
identity of each such asset and the category of value of each asset as
determined under subsection (d) of this section.
(C) Within thirty days of the dissolution of a qualified blind trust,
a reporting individual shall --
(i) notify his supervising ethics office of such dissolution, and
(ii) file with such office a copy of a list of the assets of the
trust at the time of such dissolution and the category of value under
subsection (d) of this section of each such asset.
(D) Documents filed under subparagraphs (A), (B), and (C) of this
paragraph and the lists provided by the trustee of assets placed in the
trust by an interested party which have been sold shall be made
available to the public in the same manner as a report is made available
under section 105 and the provisions of that section shall apply with
respect to such documents and lists.
(E) A copy of each written communication with respect to the trust
under paragraph (3)(C)(vi) shall be filed by the person initiating the
communication with the reporting individual's supervising ethics office
within five days of the date of the communication.
(6)(A) A trustee of a qualified blind trust shall not knowingly and
willfully, or negligently, (i) disclose any information to an interested
party with respect to such trust that may not be disclosed under
paragraph (3) of this subsection; (ii) acquire any holding the
ownership of which is prohibited by the trust instrument; (iii) solicit
advice from any interested party with respect to such trust, which
solicitation is prohibited by paragraph (3) of this subsection or the
trust agreement; or (iv) fail to file any document required by this
subsection.
(B) A reporting individual shall not knowingly and willfully, or
negligently, (i) solicit or receive any information with respect to a
qualified blind trust of which he is an interested party that may not be
disclosed under paragraph (3)(C) of this subsection or (ii) fail to file
any document required by this subsection.
(C)(i) The Attorney General may bring a civil action in any
appropriate United States district court against any individual who
knowingly and willfully violates the provisions of subparagraph (A) or
(B) of this paragraph. The court in which such action is brought may
assess against such individual a civil penalty in any amount not to
exceed $10,000.
(ii) The Attorney General may bring a civil action in any appropriate
United States district court against any individual who negligently
violates the provisions of subparagraph (A) or (B) of this paragraph.
The court in which such action is brought may assess against such
individual a civil penalty in any amount not to exceed $5,000.
(7) Any trust may be considered to be a qualified blind trust if --
(A) the trust instrument is amended to comply with the requirements
of paragraph (3) or, in the case of a trust instrument which does not by
its terms permit amendment, the trustee, the reporting individual, and
any other interested party agree in writing that the trust shall be
administered in accordance with the requirements of this subsection and
the trustee of such trust meets the requirements of paragraph (3)(A);
except that in the case of any interested party who is a dependent
child, a parent or guardian of such child may execute the agreement
referred to in this subparagraph;
(B) a copy of the trust instrument (except testamentary provisions)
and a copy of the agreement referred to in subparagraph (A), and a list
of the assets held by the trust at the time of approval by the
supervising ethics office, including the category of value of each asset
as determined under subsection (d) of this section, are filed with such
office and made available to the public as provided under paragraph
(5)(D) of this subsection; and
(C) the supervising ethics office determines that approval of the
trust arrangement as a qualified blind trust is in the particular case
appropriate to assure compliance with applicable laws and regulations.
(8) A reporting individual shall not be required to report the
financial interests held by a widely held investment fund (whether such
fund is a mutual fund, regulated investment company, pension or deferred
compensation plan, or other investment fund), if --
(A)(i) the fund is publicly traded; or
(ii) the assets of the fund are widely diversified; and
(B) the reporting individual neither exercises control over nor has
the ability to exercise control over the financial interests held by the
fund.
(g) Political campaign funds, including campaign receipts and
expenditures, need not be included in any report filed pursuant to this
title.
(h) A report filed pursuant to subsection (a), (d), or (e) of section
101 need not contain the information described in subparagraphs (A),
(B), and (C) of subsection (a)(2) with respect to gifts and
reimbursements received in a period when the reporting individual was
not an officer or employee of the Federal Government.
(i) A reporting individual shall not be required under this title to
report --
(1) financial interests in or income derived from --
(A) any retirement system under title 5, United States Code
(including the Thrift Savings Plan under subchapter III of chapter 84 of
such title); or
(B) any other retirement system maintained by the United States for
officers or employees of the United States, including the President, or
for members of the uniformed services; or
(2) benefits received under the Social Security Act (42 U.S.C. 301 et
seq.).
(Pub. L. 95-521, title I, 102, Oct. 26, 1978, 92 Stat. 1825; Pub.
L. 96-19, 3(a)(1), (b), 6(a), 7(a)-(d)(1), (f), 9(b), (c)(1), (j),
June 13, 1979, 93 Stat. 39-43; Pub. L. 97-51, 130(b), Oct. 1, 1981, 95
Stat. 966; Pub. L. 98-150, 10, Nov. 11, 1983, 97 Stat. 962; Pub. L.
101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1727; Pub. L.
101-280, 3(3), May 4, 1990, 104 Stat. 152; Pub. L. 102-90, title III,
314(a), Aug. 14, 1991, 105 Stat. 469.)
The effective date of title II of the Ethics Reform Act of 1989,
referred to in subsec. (f)(3)(F), is Jan. 1, 1991. See section 204 of
Pub. L. 101-194, set out as a note under section 101 of this Appendix.
The effective date of this Act, referred to in subsec.
(f)(4)(B)(i)(V), probably means the effective date of title II of the
Ethics Reform Act of 1989, which amended this title generally and is
effective Jan. 1, 1991. See section 204 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 101 of this
Appendix.
The Social Security Act, referred to in subsec. (i)(2), is act Aug.
14, 1935, ch. 531, 49 Stat. 620, as amended, which is classified
generally to chapter 7 ( 301 et seq.) of Title 42, The Public Health and
Welfare. For complete classification of this Act to the Code, see
section 1305 of Title 42 and Tables.
Section was formerly classified to section 702 of Title 2, The
Congress.
1991 -- Subsec. (a)(2)(A). Pub. L. 102-90, 314(a)(3), amended
subpar. (A) generally. Prior to amendment, subpar. (A) read as
follows: ''The identity of the source, a brief description, and the
value of all gifts other than transportation, lodging, food, or
entertainment aggregating $100 or more in value received from any source
other than a relative of the reporting individual during the preceding
calendar year, except that any gift with a fair market value of $75 or
less need not be aggregated for purposes of this subparagraph.''
Pub. L. 102-90, 314(a)(1), (2), redesignated subpar. (B) as (A) and
struck out former subpar. (A) which read as follows: ''The identity of
the source and a brief description (including a travel itinerary, dates,
and nature of expenses provided) of any gifts of transportation,
lodging, food, or entertainment aggregating $250 or more in value
received from any source other than a relative of the reporting
individual during the preceding calendar year, except that any food,
lodging, or entertainment received as personal hospitality of any
individual need not be reported, and any gift with a fair market value
of $75 or less need not be aggregated for purposes of this
subparagraph.''
Subsec. (a)(2)(B). Pub. L. 102-90, 314(a)(2), (4), redesignated
subpar. (C) as (B) and substituted ''more than the minimal value as
established by section 7342(a)(5) of title 5, United States Code, or
$250, whichever is greater'' for ''$250 or more in value''. Former
subpar. (B) redesignated (A).
Subsec. (a)(2)(C), (D). Pub. L. 102-90, 314(a)(2), (5),
redesignated subpar. (D) as (C) and struck out ''or (B)'' after
''(A)''. Former subpar. (C) redesignated (B).
1990 -- Subsec. (a)(1)(A). Pub. L. 101-280, 3(3)(A)(i), substituted
''the reporting individual'' for ''such individuals''.
Subsec. (a)(3). Pub. L. 101-280, 3(3)(A)(ii), substituted '', or by
a parent, brother, sister, or child of the reporting individual or of
the reporting individual's spouse,'' for ''parent, brother, sister, or
child''.
Subsec. (a)(4). Pub. L. 101-280, 3(3)(A)(iii), substituted ''spouse,
or a parent, brother, sister, or child of the reporting individual or of
the reporting individual's spouse'' for ''relative''.
Subsec. (e)(1)(E). Pub. L. 101-280, 3(3)(B), inserted ''of
subsection (a)'' after ''(3) through (5)''.
Subsec. (f)(3)(A)(i)(II). Pub. L. 101-280, 3(3)(C)(i)(I), struck out
comma after ''involved in''.
Subsec. (f)(3)(A)(ii)(II). Pub. L. 101-280, 3(3)(C)(i)(II), amended
subcl. (II) generally. Prior to amendment, subcl. (II) read as
follows: ''is not or has not been a partner of any interested party and
is not a partner of, or involved in any joint venture or other
investment with any interested party; and''.
Subsec. (f)(3)(F). Pub. L. 101-280, 3(3)(C)(i)(III), substituted
''title II of the Ethics Reform Act of 1989'' for ''this section''.
Subsec. (f)(6)(A), (B). Pub. L. 101-280, 3(3)(C)(ii), substituted
''and willfully, or negligently,'' for ''or negligently''.
Subsec. (i). Pub. L. 101-280, 3(3)(D), added subsec. (i).
1989 -- Pub. L. 101-194 amended section generally, substituting
subsecs. (a) to (h) for former subsecs. (a) to (g) which related,
respectively, to Members of Congress, legislative officers and
employees, non-legislative personnel and Congressional candidates,
categories of value; interests in real property and other items needing
appraisals, information respecting spouses and dependent children,
trusts or other financial arrangements including qualified blind trusts,
political campaign funds, and gifts and reimbursements.
1983 -- Subsec. (e)(5)(A). Pub. L. 98-150, 10(b), inserted
provision that this subparagraph shall not apply with respect to a trust
meeting the requirements for being considered a qualified blind trust
under paragraph (7) of this subsection.
Subsec. (e)(7). Pub. L. 98-150, 10(a), amended par. (7) generally.
Prior to amendment, par. (7) read as follows: ''Any trust which is in
existence prior to the date of the enactment of this Act shall be
considered a qualified blind trust if --
''(A) the supervising ethics office determines that the trust was a
good faith effort to establish a blind trust;
''(B) the previous trust instrument is amended or, if such trust
instrument does not by its terms permit amendment, all parties to the
trust instrument, including the reporting individual and the trustee,
agree in writing that the trust shall be administered in accordance with
the requirements of paragraph (3)(C) and a trustee is (or has been)
appointed who meets the requirements of paragraph (3); and
''(C) a copy of the trust instrument (except testamentary
provisions), a list of the assets previously transferred to the trust by
an interested party and the category of value of each such asset at the
time it was placed in the trust, and a list of assets previously placed
in the trust by an interested party which have been sold are filed and
made available to the public as provided under paragraph (5) of this
subsection.''
1981 -- Subsec. (a)(1)(A). Pub. L. 97-51 inserted ''including
speeches, appearances, articles, or other publications'' after
''honoraria from any source''.
1979 -- Subsec. (a)(2)(B). Pub. L. 96-19, 3(b)(2), struck out
provision that a gift need not be aggregated if, in an unusual case, a
publicly available request for a waiver is granted.
Subsec. (a)(2)(D). Pub. L. 96-19, 3(b)(1), added subpar. (D).
Subsec. (a)(6). Pub. L. 96-19, 9(b), substituted ''The identity of
all positions held'' for ''The identity of all positions''.
Subsec. (a)(7). Pub. L. 96-19, 9(j), struck out a colon following
''arrangement with respect to''.
Subsec. (b). Pub. L. 96-19, 9(c)(1), substituted provisions that the
information required by pars. (3) and (4) of subsec. (a) be as of the
date specified in the report but which is less than thirty-one days
before the filing date and that the information required by par. (6)
and, in the case of reports filed under section 101(c), par. (7) of
subsec. (a) be as of the filing date but for periods described in such
paragraphs for provisions that required that the information covered by
pars. (3), (4), (6), and, in the case of reports filed pursuant to
section 101(c), par. (7) of subsec. (a) be as of a date specified in
such report, which could not be more than thirty-one days prior to the
date of filing.
Subsec. (d)(1)(B). Pub. L. 96-19, 6(a)(1), (2), substituted ''any
gifts received by a spouse which are'' for ''any gift which is'' and
''and a brief description'' for ''or a brief description''.
Subsec. (d)(1)(C). Pub. L. 96-19, 6(a)(3), (4), substituted
''reimbursements received by a spouse which are'' for ''reimbursement
which is'' and ''description of each such reimbursement'' for
''description of the reimbursement''.
Subsec. (d)(1)(D). Pub. L. 96-19, 6(a)(5), substituted ''represent
the spouse's or dependent child's sole financial interest'' for
''represent the spouse or dependent child's sole financial interest''.
Subsec. (e)(3). Pub. L. 96-19, 7(a)-(d)(1), substituted ''a broker,
or an investment adviser'' for ''or a broker'' in subpar. (A) preceding
cl. (i), substituted ''is not or has not been'' for ''is or has not
been'' in cl. (ii) of subpar. (A), and, in provisions following
subpar. (D), substituted ''section 78c(a)(4) of title 15'' for
''section 78 of title 15'', substituted ''the reports'' for ''their
reports'', and inserted definition of ''investment adviser''.
Subsec. (e)(5)(D). Pub. L. 96-19, 7(f), substituted ''shall apply
with respect to such documents and lists'' for ''shall apply''.
Subsec. (g). Pub. L. 96-19, 3(a)(1), added subsec. (g).
Amendment by Pub. L. 102-90 effective Jan. 1, 1993, see section
314(g)(2) of Pub. L. 102-90, as amended, set out as a note under
section 31-2 of Title 2, The Congress.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, except that
subsec. (f)(4)(B) of this section, as amended by Pub. L. 101-194, is
effective Jan. 1, 1990, see section 204 of Pub. L. 101-194, set out as
a note under section 101 of this Appendix.
Section 13 of Pub. L. 98-150 provided that: ''The amendments made
by this Act (enacting sections 211 and 407 of Pub. L. 95-521, set out in
this Appendix, amending sections 102, 201-203, 210, 302, and 401-405 of
Pub. L. 95-521, set out in this Appendix, and enacting provisions set
out as a note under section 402 of this Appendix) shall take effect on
October 1, 1983.''
/1/ So in original.
05 USC 103. Filing of reports
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Except as otherwise provided in this section, the reports
required under this title shall be filed by the reporting individual
with the designated agency ethics official at the agency by which he is
employed (or in the case of an individual described in section 101(e),
was employed) or in which he will serve. The date any report is
received (and the date of receipt of any supplemental report) shall be
noted on such report by such official.
(b) The President, the Vice President, and independent counsel and
persons appointed by independent counsel under chapter 40 of title 28,
United States Code, shall file reports required under this title with
the Director of the Office of Government Ethics.
(c) Copies of the reports required to be filed under this title by
the Postmaster General, the Deputy Postmaster General, the Governors of
the Board of Governors of the United States Postal Service, designated
agency ethics officials, employees described in section 105(a)(2)(A) or
(B), 106(a)(1)(A) or (B), or 107(a)(1)(A) or (b)(1)(A)(i), of title 3,
United States Code, candidates for the office of President or Vice
President and officers and employees in (and nominees to) offices or
positions which require confirmation by the Senate or by both Houses of
Congress other than individuals nominated to be judicial officers and
those referred to in subsection (f) shall be transmitted to the Director
of the Office of Government Ethics. The Director shall forward a copy
of the report of each nominee to the congressional committee considering
the nomination.
(d) Reports required to be filed under this title by the Director of
the Office of Government Ethics shall be filed in the Office of
Government Ethics and, immediately after being filed, shall be made
available to the public in accordance with this title.
(e) Each individual identified in section 101(c) who is a candidate
for nomination or election to the Office of President or Vice President
shall file the reports required by this title with the Federal Election
Commission.
(f) Reports required of members of the uniformed services shall be
filed with the Secretary concerned.
(g) Each supervising ethics office shall develop and make available
forms for reporting the information required by this title.
(h)(1) The reports required under this title shall be filed by a
reporting individual with --
(A)(i)(I) the Clerk of the House of Representatives, in the case of a
Representative in Congress, a Delegate to Congress, the Resident
Commissioner from Puerto Rico, an officer or employee of the Congress
whose compensation is disbursed by the Clerk of the House of
Representatives, an officer or employee of the Architect of the Capitol,
the United States Botanic Garden, the Congressional Budget Office, the
Government Printing Office, the Library of Congress, or the Copyright
Royalty Tribunal (including any individual terminating service, under
section 101(e), in any office or position referred to in this
subclause), or an individual described in section 101(c) who is a
candidate for nomination or election as a Representative in Congress, a
Delegate to Congress, or the Resident Commissioner from Puerto Rico;
and
(II) the Secretary of the Senate, in the case of a Senator, an
officer or employee of the Congress whose compensation is disbursed by
the Secretary of the Senate, an officer or employee of the General
Accounting Office, the Office of Technology Assessment, or the Office of
the Attending Physician (including any individual terminating service,
under section 101(e), in any office or position referred to in this
subclause), or an individual described in section 101(c) who is a
candidate for nomination or election as a Senator; and
(ii) in the case of an officer or employee of the Congress as
described under section 101(f)(10) who is employed by an agency or
commission established in the legislative branch after the date of the
enactment of the Ethics Reform Act of 1989 --
(I) the Secretary of the Senate or the Clerk of the House of
Representatives, as the case may be, as designated in the statute
establishing such agency or commission; or
(II) if such statute does not designate such committee, the Secretary
of the Senate for agencies and commissions established in even numbered
calendar years, and the Clerk of the House of Representatives for
agencies and commissions established in odd numbered calendar years;
and
(B) the Judicial Conference with regard to a judicial officer or
employee described under paragraphs (11) and (12) of section 101(f)
(including individuals terminating service in such office or position
under section 101(e) or immediately preceding service in such office or
position).
(2) The date any report is received (and the date of receipt of any
supplemental report) shall be noted on such report by such committee.
(i) A copy of each report filed under this title by a Member or an
individual who is a candidate for the office of Member shall be sent by
the Clerk of the House of Representatives or Secretary of the Senate, as
the case may be, to the appropriate State officer designated under
section 316(a) /1/ of the Federal Election Campaign Act of 1971 of the
State represented by the Member or in which the individual is a
candidate, as the case may be, within the 30-day period beginning on the
day the report is filed with the Clerk or Secretary.
(j)(1) A copy of each report filed under this title with the Clerk of
the House of Representatives shall be sent by the Clerk to the Committee
on Standards of Official Conduct of the House of Representatives within
the 7-day period beginning on the day the report is filed.
(2) A copy of each report filed under this title with the Secretary
of the Senate shall be sent by the Secretary to the Select Committee on
Ethics of the Senate within the 7-day period beginning on the day the
report is filed.
(k) In carrying out their responsibilities under this title with
respect to candidates for office, the Clerk of the House of
Representatives and the Secretary of the Senate shall avail themselves
of the assistance of the Federal Election Commission. The Commission
shall make available to the Clerk and the Secretary on a regular basis a
complete list of names and addresses of all candidates registered with
the Commission, and shall cooperate and coordinate its candidate
information and notification program with the Clerk and the Secretary to
the greatest extent possible.
(Pub. L. 95-521, title I, 103, Oct. 26, 1978, 92 Stat. 1831; Pub.
L. 96-19, 4(b)(2), 9(a), June 13, 1979, 93 Stat. 40, 42; Pub. L.
101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1736; Pub. L.
101-280, 3(1), (4), May 4, 1990, 104 Stat. 152, 153; Pub. L. 102-90,
title III, 313(1), Aug. 14, 1991, 105 Stat. 469.)
The date of the enactment of the Ethics Reform Act of 1989, referred
to in subsec. (h)(1)(A)(ii), is the date of enactment of Pub. L.
101-194, which was approved Nov. 30, 1989.
Section 316(a) of the Federal Election Campaign Act of 1971, referred
to in subsec. (i), was probably intended to be a reference to section
312(a) of Federal Election Campaign Act of 1971, Pub. L. 92-225, which
is classified to section 439(a) of Title 2, The Congress, and which
directs the chief executive officer of each State to designate a State
officer to receive reports and statements filed by persons under the
Federal Election Campaign Act of 1971.
Section was formerly classified to section 703 of Title 2, The
Congress.
1991 -- Subsec. (i). Pub. L. 102-90 substituted ''30-day'' for
''7-day''.
1990 -- Subsec. (c). Pub. L. 101-280, 3(4)(A), inserted
''individuals nominated to be judicial officers and'' after ''Houses of
Congress other than''.
Subsec. (d). Pub. L. 101-280, 3(4)(B), inserted ''of the Office of
Government Ethics'' after ''Director''.
Subsec. (e). Pub. L. 101-280, 3(4)(C), inserted ''who is a candidate
for nomination or election to the Office of President or Vice
President'' after ''section 101(c)'' and substituted ''Election'' for
''Elections''.
Subsec. (g). Pub. L. 101-280, 3(4)(D), substituted ''Each
supervising ethics office'' for ''The Office of Government Ethics''.
Subsec. (h)(1)(A)(i). Pub. L. 101-280, 3(4)(E), amended cl. (i)
generally. Prior to amendment, cl. (i) read as follows: ''the
appropriate congressional ethics committee with regard to a Member of
Congress, officer or employee of the Congress described under paragraphs
(9) and (10) of section 101(f) (including individuals terminating
service in such office or position under section 101(e) or immediately
preceding service in such office or position); and''.
Subsec. (h)(1)(A)(ii)(I). Pub. L. 101-280, 3(4)(F)(i), substituted
''Secretary of the Senate or the Clerk of the House of Representatives,
as the case may be, as'' for ''congressional ethics committee''.
Subsec. (h)(1)(A)(ii)(II). Pub. L. 101-280, 3(4)(F)(ii), substituted
''Secretary of the Senate'' for ''Senate Select Committee on Ethics''
and ''Clerk'' for ''Committee on Standards of Official Conduct''.
Subsec. (h)(1)(B). Pub. L. 101-280, 3(1), struck out ''of the United
States'' after ''Judicial Conference''.
Subsecs. (i) to (k). Pub. L. 101-280, 3(4)(G), added subsecs. (i)
to (k).
1989 -- Pub. L. 101-194 amended section generally, substituting
subsecs. (a) to (h) for former subsecs. (a) to (f) which related,
respectively, to persons filing with the clerk, persons filing with the
Secretary, State copies, Committee copies, Federal Election Commission
assistance, and reporting forms, rules and regulations.
1979 -- Subsec. (b). Pub. L. 96-19, 4(b)(2), inserted reference to
the National Commission on Air Quality.
Subsec. (f). Pub. L. 96-19, 9(a), substituted ''the designated
committee of the House of Representatives'' for ''the Clerk shall, after
consultation with the designated committee of the House of
Representatives''.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
/1/ See References in Text note below.
05 USC 104. Failure to file or filing false reports
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) The Attorney General may bring a civil action in any appropriate
United States district court against any individual who knowingly and
willfully falsifies or who knowingly and willfully fails to file or
report any information that such individual is required to report
pursuant to section 102. The court in which such action is brought may
assess against such individual a civil penalty in any amount, not to
exceed $10,000.
(b) The head of each agency, each Secretary concerned, the Director
of the Office of Government Ethics, each congressional ethics committee,
or the Judicial Conference, as the case may be, shall refer to the
Attorney General the name of any individual which such official or
committee has reasonable cause to believe has willfully failed to file a
report or has willfully falsified or willfully failed to file
information required to be reported. Whenever the Judicial Conference
refers a name to the Attorney General under this subsection, the
Judicial Conference also shall notify the judicial council of the
circuit in which the named individual serves of the referral.
(c) The President, the Vice President, the Secretary concerned, the
head of each agency, the Office of Personnel Management, a congressional
ethics committee, and the Judicial Conference, may take any appropriate
personnel or other action in accordance with applicable law or
regulation against any individual failing to file a report or falsifying
or failing to report information required to be reported.
(d)(1) Any individual who files a report required to be filed under
this title more than 30 days after the later of --
(A) the date such report is required to be filed pursuant to the
provisions of this title and the rules and regulations promulgated
thereunder; or
(B) if a filing extension is granted to such individual under section
101(g), the last day of the filing extension period,
shall, at the direction of and pursuant to regulations issued by the
supervising ethics office, pay a filing fee of $200. All such fees
shall be deposited in the miscellaneous receipts of the Treasury. The
authority under this paragraph to direct the payment of a filing fee may
be delegated by the supervising ethics office in the executive branch to
other agencies in the executive branch.. /1/
(2) The supervising ethics office may waive the filing fee under this
subsection in extraordinary circumstances.
(Pub. L. 95-521, title I, 104, Oct. 26, 1978, 92 Stat. 1832; Pub.
L. 96-19, 8(a), June 13, 1979, 93 Stat. 41; Pub. L. 101-194, title II,
202, Nov. 30, 1989, 103 Stat. 1737; Pub. L. 101-280, 3(1), (5), May
4, 1990, 104 Stat. 152, 154; Pub. L. 101-650, title IV, 405, Dec. 1,
1990, 104 Stat. 5124.)
Section was formerly classified to section 704 of Title 2, The
Congress.
1990 -- Subsec. (b). Pub. L. 101-650 inserted at end ''Whenever the
Judicial Conference refers a name to the Attorney General under this
subsection, the Judicial Conference also shall notify the judicial
council of the circuit in which the named individual serves of the
referral.''
Pub. L. 101-280, 3(5)(A), substituted ''Judicial Conference'' for
''Chairman of the Judicial Conference''.
Pub. L. 101-280, 3(1), struck out ''of the United States'' after
''Judicial Conference''.
Subsec. (c). Pub. L. 101-280, 3(1), struck out ''of the United
States'' after ''Judicial Conference''.
Subsec. (d)(1). Pub. L. 101-280, 3(5)(B), substituted closing
provisions for former closing provisions which read ''shall pay a filing
fee of $200 to the miscellaneous receipts of the General Treasury''.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions relating to failure to file or filing false reports for
provisions relating to accessibility of reports. See section 105 of
this Appendix.
1979 -- Subsec. (c). Pub. L. 96-19 designated existing provisions as
par. (2) and added par. (1).
Amendment by Pub. L. 101-650 effective 90 days after Dec. 1, 1990,
see section 407 of Pub. L. 101-650, set out as a note under section 332
of Title 28, Judiciary and Judicial Procedure.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
/1/ So in original.
05 USC 105. Custody of and public access to reports
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Each agency, each supervising ethics office in the executive or
judicial branch, the Clerk of the House of Representatives, and the
Secretary of the Senate shall make available to the public, in
accordance with subsection (b), each report filed under this title with
such agency or office or with the Clerk or the Secretary of the Senate,
except that --
(1) this section does not require public availability of a report
filed by any individual in the Central Intelligence Agency, the Defense
Intelligence Agency, or the National Security Agency, or any individual
engaged in intelligence activities in any agency of the United States,
if the President finds or has found that, due to the nature of the
office or position occupied by such individual, public disclosure of
such report would, be /1/ revealing the identity of the individual or
other sensitive information, compromise the national interest of the
United States; and such individuals may be authorized, notwithstanding
section 104(a), to file such additional reports as are necessary to
protect their identity from public disclosure if the President first
finds or has found that such filing is necessary in the national
interest; and
(2) any report filed by an independent counsel whose identity has not
been disclosed by the division of the court under chapter 40 of title
28, United States Code, and any report filed by any person appointed by
that independent counsel under such chapter, shall not be made available
to the public under this title.
(b)(1) Except as provided in the second sentence of this subsection,
each agency, each supervising ethics office in the executive or judicial
branch, the Clerk of the House of Representatives, and the Secretary of
the Senate shall, within thirty days after any report is received under
this title by such agency or office or by the Clerk or the Secretary of
the Senate, as the case may be,, /2/ permit inspection of such report by
or furnish a copy of such report to any person requesting such
inspection or copy. With respect to any report required to be filed by
May 15 of any year, such report shall be made available for public
inspection within 30 calendar days after May 15 of such year or within
30 days of the date of filing of such a report for which an extension is
granted pursuant to section 101(g). The agency, office, Clerk, or
Secretary of the Senate, as the case may be /3/ may require a reasonable
fee to be paid in any amount which is found necessary to recover the
cost of reproduction or mailing of such report excluding any salary of
any employee involved in such reproduction or mailing. A copy of such
report may be furnished without charge or at a reduced charge if it is
determined that waiver or reduction of the fee is in the public
interest.
(2) Notwithstanding paragraph (1), a report may not be made available
under this section to any person nor may any copy thereof be provided
under this section to any person except upon a written application by
such person stating --
(A) that person's name, occupation and address;
(B) the name and address of any other person or organization on whose
behalf the inspection or copy is requested; and
(C) that such person is aware of the prohibitions on the obtaining or
use of the report.
Any such application shall be made available to the public throughout
the period during which the report is made available to the public.
(c)(1) It shall be unlawful for any person to obtain or use a report
--
(A) for any unlawful purpose;
(B) for any commercial purpose, other than by news and communications
media for dissemination to the general public;
(C) for determining or establishing the credit rating of any
individual; or
(D) for use, directly or indirectly, in the solicitation of money for
any political, charitable, or other purpose.
(2) The Attorney General may bring a civil action against any person
who obtains or uses a report for any purpose prohibited in paragraph (1)
of this subsection. The court in which such action is brought may
assess against such person a penalty in any amount not to exceed
$10,000. Such remedy shall be in addition to any other remedy available
under statutory or common law.
(d) Any report filed with or transmitted to an agency or supervising
ethics office or to the Clerk of the House of Representatives or the
Secretary of the Senate pursuant to this title shall be retained by such
agency or office or by the Clerk or the Secretary of the Senate, as the
case may be. Such report shall be made available to the public for a
period of six years after receipt of the report. After such six-year
period the report shall be destroyed unless needed in an ongoing
investigation, except that in the case of an individual who filed the
report pursuant to section 101(b) and was not subsequently confirmed by
the Senate, or who filed the report pursuant to section 101(c) and was
not subsequently elected, such reports shall be destroyed one year after
the individual either is no longer under consideration by the Senate or
is no longer a candidate for nomination or election to the Office of
President, Vice President, or as a Member of Congress, unless needed in
an ongoing investigation.
(Pub. L. 95-521, title I, 105, Oct. 26, 1978, 92 Stat. 1833; Pub.
L. 101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1737; Pub. L.
101-280, 3(6), May 4, 1990, 104 Stat. 154; Pub. L. 102-90, title III,
313(2), Aug. 14, 1991, 105 Stat. 469.)
Section was formerly classified to section 705 of Title 2, The
Congress.
1991 -- Subsec. (b)(1). Pub. L. 102-90 substituted ''Except as
provided in the second sentence of this subsection, each agency'' for
''Each agency'' and inserted after first sentence ''With respect to any
report required to be filed by May 15 of any year, such report shall be
made available for public inspection within 30 calendar days after May
15 of such year or within 30 days of the date of filing of such a report
for which an extension is granted pursuant to section 101(g).''
1990 -- Subsec. (a). Pub. L. 101-280, 3(6)(A), amended subsec. (a)
generally. Prior to amendment, subsec. (a) read as follows: ''Each
agency and each supervisory ethics office shall make each report filed
with it under this title available to the public in accordance with the
provisions of subsection (b) of this section, except that this section
does not require public availability of a report filed by --
''(1) any individual in the Central Intelligence Agency, the Defense
Intelligence Agency, or the National Security Agency, or any individual
engaged in intelligence activities in any agency of the United States,
if the President finds that, due to the nature of the office or position
occupied by such individual, public disclosure of such report would, by
revealing the identity of the individual or other sensitive information,
compromise the national interest of the United States. In addition,
such individuals may be authorized, notwithstanding section 104(a), to
file such additional reports as are necessary to protect their identity
from public disclosure if the President first finds that such filing is
necessary in the national interest; or
''(2) an independent counsel or person appointed by independent
counsel under chapter 40 of title 28, United States Code, whose identity
has not otherwise been disclosed.''
Subsec. (b)(1). Pub. L. 101-280, 3(6)(B)(i)(I), substituted '', each
supervising ethics office in the executive or judicial branch, the Clerk
of the House of Representatives, and the Secretary of the Senate'' for
''and each supervising ethics office''.
Pub. L. 101-280, 3(6)(B)(i)(II), substituted ''under this title by
such agency or office or by the Clerk or the Secretary of the Senate, as
the case may be,'' for ''by such agency or office under this title''.
Pub. L. 101-280, 3(6)(B)(ii), substituted '', office, Clerk, or
Secretary of the Senate, as the case may be'' for ''or office''.
Subsec. (d). Pub. L. 101-280, 3(6)(C), inserted ''or to the Clerk of
the House of Representatives or the Secretary of the Senate'' after
''ethics office'' and ''or by the Clerk or the Secretary of the Senate''
after ''or office''.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions relating to custody of and public access to reports for
provisions relating to review and compliance procedures. See section
106 of this Appendix.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
Certain functions of Clerk of House of Representatives transferred to
Director of Non-legislative and Financial Services by section 7 of House
Resolution No. 423, One Hundred Second Congress, Apr. 9, 1992.
Section 9 of Pub. L. 101-280 provided that: ''Those reports filed
under title I (formerly classified to section 701 et seq. of Title 2,
The Congress), II (formerly set out under the heading Executive
Personnel Financial Disclosure Requirements in this Appendix), or III
(formerly set out under the heading Judicial Personnel Financial
Disclosure Requirements in the Appendix to Title 28, Judiciary and
Judicial Procedure) of the Ethics in Government Act of 1978 (Pub. L.
95-521), as in effect before January 1, 1991, shall be made available to
the public on or after such date in accordance with section 105 of that
Act (this section), as amended by the Ethics Reform Act of 1989 (Pub. L.
101-194), and the provisions of such section shall apply with respect to
those reports.''
/1/ So in original. Probably should be ''by''.
/2/ So in original.
/3/ So in original. Probably should be followed by a comma.
05 USC 106. Review of reports
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a)(1) Each designated agency ethics official or Secretary concerned
shall make provisions to ensure that each report filed with him under
this title is reviewed within sixty days after the date of such filing,
except that the Director of the Office of Government Ethics shall review
only those reports required to be transmitted to him under this title
within sixty days after the date of transmittal.
(2) Each congressional ethics committee and the Judicial Conference
shall make provisions to ensure that each report filed under this title
is reviewed within sixty days after the date of such filing.
(b)(1) If after reviewing any report under subsection (a), the
Director of the Office of Government Ethics, the Secretary concerned,
the designated agency ethics official, a person designated by the
congressional ethics committee, or a person designated by the Judicial
Conference, as the case may be, is of the opinion that on the basis of
information contained in such report the individual submitting such
report is in compliance with applicable laws and regulations, he shall
state such opinion on the report, and shall sign such report.
(2) If the Director of the Office of Government Ethics, the Secretary
concerned, the designated agency ethics official, a person designated by
the congressional ethics committee, or a person designated by the
Judicial Conference, after reviewing any report under subsection (a) --
(A) believes additional information is required to be submitted, he
shall notify the individual submitting such report what additional
information is required and the time by which it must be submitted, or
(B) is of the opinion, on the basis of information submitted, that
the individual is not in compliance with applicable laws and
regulations, he shall notify the individual, afford a reasonable
opportunity for a written or oral response, and after consideration of
such response, reach an opinion as to whether or not, on the basis of
information submitted, the individual is in compliance with such laws
and regulations.
(3) If the Director of the Office of Government Ethics, the Secretary
concerned, the designated agency ethics official, a person designated by
a congressional ethics committee, or a person designated by the Judicial
Conference, reaches an opinion under paragraph (2)(B) that an individual
is not in compliance with applicable laws and regulations, the official
or committee shall notify the individual of that opinion and, after an
opportunity for personal consultation (if practicable), determine and
notify the individual of which steps, if any, would in the opinion of
such official or committee be appropriate for assuring compliance with
such laws and regulations and the date by which such steps should be
taken. Such steps may include, as appropriate --
(A) divestiture,
(B) restitution,
(C) the establishment of a blind trust,
(D) request for an exemption under section 208(b) of title 18, United
States Code, or
(E) voluntary request for transfer, reassignment, limitation of
duties, or resignation.
The use of any such steps shall be in accordance with such rules or
regulations as the supervising ethics office may prescribe.
(4) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by an
individual in a position in the executive branch (other than in the
Foreign Service or the uniformed services), appointment to which
requires the advice and consent of the Senate, the matter shall be
referred to the President for appropriate action.
(5) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by a
member of the Foreign Service or the uniformed services, the Secretary
concerned shall take appropriate action.
(6) If steps for assuring compliance with applicable laws and
regulations are not taken by the date set under paragraph (3) by any
other officer or employee, the matter shall be referred to the head of
the appropriate agency, the congressional ethics committee, or the
Judicial Conference, for appropriate action; except that in the case of
the Postmaster General or Deputy Postmaster General, the Director of the
Office of Government Ethics shall recommend to the Governors of the
Board of Governors of the United States Postal Service the action to be
taken.
(7) Each supervising ethics office may render advisory opinions
interpreting this title within its respective jurisdiction.
Notwithstanding any other provision of law, the individual to whom a
public advisory opinion is rendered in accordance with this paragraph,
and any other individual covered by this title who is involved in a fact
situation which is indistinguishable in all material aspects, and who
acts in good faith in accordance with the provisions and findings of
such advisory opinion shall not, as a result of such act, be subject to
any penalty or sanction provided by this title.
(Pub. L. 95-521, title I, 106, Oct. 26, 1978, 92 Stat. 1833; Pub.
L. 101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1739; Pub. L.
101-280, 3(1), (7), May 4, 1990, 104 Stat. 152, 155.)
Section was formerly classified to section 706 of Title 2, The
Congress.
1990 -- Subsec. (a)(2). Pub. L. 101-280, 3(1), struck out ''of the
United States'' after ''Judicial Conference''.
Subsec. (b)(1). Pub. L. 101-280, 3(7)(B), substituted ''the
Secretary concerned, the designated agency ethics official,'' for
''Secretary concerned, designated agency ethics official, or''.
Pub. L. 101-280, 3(7)(A), substituted ''a person designated by the
Judicial Conference'' for ''the Chairman of the Judicial Conference''.
Pub. L. 101-280, 3(1), struck out ''of the United States'' after
''Judicial Conference''.
Subsec. (b)(2). Pub. L. 101-280, 3(7)(C), substituted ''the
Secretary concerned, the designated agency ethics official,'' for
''Secretary concerned, designated agency ethics official or''.
Pub. L. 101-280, 3(7)(A), substituted ''a person designated by the
Judicial Conference'' for ''the Chairman of the Judicial Conference''.
Pub. L. 101-280, 3(1), struck out ''of the United States'' after
''Judicial Conference''.
Subsec. (b)(3). Pub. L. 101-280, 3(7)(D), substituted ''the
Secretary concerned, the designated agency ethics official, a person
designated by a congressional ethics committee, or a person designated
by the'' for ''Secretary concerned, designated agency ethics official, a
congressional ethics committee, or the''.
Pub. L. 101-280, 3(1), struck out ''of the United States'' after
''Judicial Conference''.
Subsec. (b)(4). Pub. L. 101-280, 3(7)(E), inserted ''in the
executive branch'' after ''position'' and substituted ''Foreign
Service'' for ''foreign service''.
Subsec. (b)(5). Pub. L. 101-280, 3(7)(F), substituted ''Foreign
Service'' for ''foreign service''.
Subsec. (b)(6). Pub. L. 101-280, 3(1), struck out ''of the United
States'' after ''Judicial Conference''.
Pub. L. 101-280, 3(7)(G), substituted ''employee,'' for
''employee''.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions relating to review of reports for provisions relating to
failure to file or filing false reports. See section 104(a) of this
Appendix.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
05 USC 107. Confidential reports and other additional requirements
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a)(1) Each supervising ethics office may require officers and
employees under its jurisdiction (including special Government employees
as defined in section 202 of title 18, United States Code) to file
confidential financial disclosure reports, in such form as the
supervising ethics office may prescribe. The information required to be
reported under this subsection by the officers and employees of any
department or agency shall be set forth in rules or regulations
prescribed by the supervising ethics office, and may be less extensive
than otherwise required by this title, or more extensive when determined
by the supervising ethics office to be necessary and appropriate in
light of sections 202 through 209 of title 18, United States Code,
regulations promulgated thereunder, or the authorized activities of such
officers or employees. Any individual required to file a report
pursuant to section 101 shall not be required to file a confidential
report pursuant to this subsection, except with respect to information
which is more extensive than information otherwise required by this
title. Subsections (a), (b), and (d) of section 105 shall not apply
with respect to any such report.
(2) Any information required to be provided by an individual under
this subsection shall be confidential and shall not be disclosed to the
public.
(3) Nothing in this subsection exempts any individual otherwise
covered by the requirement to file a public financial disclosure report
under this title from such requirement.
(b) The provisions of this title requiring the reporting of
information shall supersede any general requirement under any other
provision of law or regulation with respect to the reporting of
information required for purposes of preventing conflicts of interest or
apparent conflicts of interest. Such provisions of this title shall not
supersede the requirements of section 7342 of title 5, United States
Code.
(c) Nothing in this Act requiring reporting of information shall be
deemed to authorize the receipt of income, gifts, or reimbursements;
the holding of assets, liabilities, or positions; or the participation
in transactions that are prohibited by law, Executive order, rule, or
regulation.
(Pub. L. 95-521, title I, 107, Oct. 26, 1978, 92 Stat. 1834; Pub.
L. 96-19, 9(d), (g), June 13, 1979, 93 Stat. 42, 43; Pub. L. 101-194,
title II, 202, Nov. 30, 1989, 103 Stat. 1740.)
This Act, referred to in subsec. (c), is Pub. L. 95-521, Oct. 26,
1978, 92 Stat. 1824, as amended, known as the Ethics in Government Act
of 1978. For complete classification of this Act to the Code, see Short
Title note set out under section 101 of this Appendix and Tables.
Section was formerly classified to section 707 of Title 2, The
Congress.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions relating to confidential reports and other additional
requirements for provisions setting forth definitions for purposes of
title I of Pub. L. 95-521. See section 109 of this Appendix.
1979 -- Par. (1). Pub. L. 96-19, 9(d), substituted ''gross income
derived from business (and net income if the individual elects to
include it)'' for ''net and gross income derived from business''.
Par. (16). Pub. L. 96-19, 9(g), inserted quotation marks after
''designated committee of the House of Representatives'' and before
''designated committee of the Senate''.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
05 USC 108. Authority of Comptroller General
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) The Comptroller General shall have access to financial disclosure
reports filed under this title for the purposes of carrying out his
statutory responsibilities.
(b) No later than December 31, 1992, and regularly thereafter, the
Comptroller General shall conduct a study to determine whether the
provisions of this title are being carried out effectively.
(Pub. L. 95-521, title I, 108, Oct. 26, 1978, 92 Stat. 1835; Pub.
L. 96-19, 9(t), June 13, 1979, 93 Stat. 44; Pub. L. 101-194, title II,
202, Nov. 30, 1989, 103 Stat. 1741.)
Section was formerly classified to section 708 of Title 2, The
Congress.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions relating to authority of Comptroller General for provision
relating to preemption of State laws.
1979 -- Pub. L. 96-19 inserted ''holding the office of Member or''
after ''financial disclosure by reason of''.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
05 USC 109. Definitions
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
For the purposes of this title, the term --
(1) ''congressional ethics committees'' means the Select Committee on
Ethics of the Senate and the Committee on Standards of Official Conduct
of the House of Representatives;
(2) ''dependent child'' means, when used with respect to any
reporting individual, any individual who is a son, daughter, stepson, or
stepdaughter and who --
(A) is unmarried and under age 21 and is living in the household of
such reporting individual; or
(B) is a dependent of such reporting individual within the meaning of
section 152 of the Internal Revenue Code of 1986 (26 U.S.C. 152);
(3) ''designated agency ethics official'' means an officer or
employee who is designated to administer the provisions of this title
within an agency;
(4) ''executive branch'' includes each Executive agency (as defined
in section 105 of title 5, United States Code), other than the General
Accounting Office, and any other entity or administrative unit in the
executive branch;
(5) ''gift'' means a payment, advance, forbearance, rendering, or
deposit of money, or any thing of value, unless consideration of equal
or greater value is received by the donor, but does not include --
(A) bequest and other forms of inheritance;
(B) suitable mementos of a function honoring the reporting
individual;
(C) food, lodging, transportation, and entertainment provided by a
foreign government within a foreign country or by the United States
Government, the District of Columbia, or a State or local government or
political subdivision thereof;
(D) food and beverages which are not consumed in connection with a
gift of overnight lodging;
(E) communications to the offices of a reporting individual,
including subscriptions to newspapers and periodicals; or
(F) consumable products provided by home-State businesses to the
offices of a reporting individual who is an elected official, if those
products are intended for consumption by persons other than such
reporting individual;
(6) ''honoraria'' has the meaning given such term in section 505 of
this Act;
(7) ''income'' means all income from whatever source derived,
including but not limited to the following items: compensation for
services, including fees, commissions, and similar items; gross income
derived from business (and net income if the individual elects to
include it); gains derived from dealings in property; interest;
rents; royalties; dividends; annuities; income from life insurance
and endowment contracts; pensions; income from discharge of
indebtedness; distributive share of partnership income; and income
from an interest in an estate or trust;
(8) ''judicial employee'' means any employee of the judicial branch
of the Government, of the United States Sentencing Commission, of the
Tax Court, of the Court of Federal Claims, of the Court of Veterans
Appeals, or of the United States Court of Military Appeals, who is not a
judicial officer and who is authorized to perform adjudicatory functions
with respect to proceedings in the judicial branch, or who occupies a
position for which the rate of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule;
(9) ''Judicial Conference'' means the Judicial Conference of the
United States;
(10) ''judicial officer'' means the Chief Justice of the United
States, the Associate Justices of the Supreme Court, and the judges of
the United States courts of appeals, United States district courts,
including the district courts in Guam, the Northern Mariana Islands, and
the Virgin Islands, Court of Appeals for the Federal Circuit, Court of
International Trade, Tax Court, Court of Federal Claims, Court of
Veterans Appeals, United States Court of Military Appeals, and any court
created by Act of Congress, the judges of which are entitled to hold
office during good behavior;
(11) ''legislative branch'' includes --
(A) the Architect of the Capitol;
(B) the Botanic Gardens;
(C) the Congressional Budget Office;
(D) the General Accounting Office;
(E) the Government Printing Office;
(F) the Library of Congress;
(G) the United States Capitol Police;
(H) the Office of Technology Assessment; and
(I) any other agency, entity, office, or commission established in
the legislative branch;
(12) ''Member of Congress'' means a United States Senator, a
Representative in Congress, a Delegate to Congress, or the Resident
Commissioner from Puerto Rico;
(13) ''officer or employee of the Congress'' means --
(A) any individual described under subparagraph (B), other than a
Member of Congress or the Vice President, whose compensation is
disbursed by the Secretary of the Senate or the Clerk of the House of
Representatives;
(B)(i) each officer or employee of the legislative branch who, for at
least 60 days, occupies a position for which the rate of basic pay is
equal to or greater than 120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule; and
(ii) at least one principal assistant designated for purposes of this
paragraph by each Member who does not have an employee who occupies a
position for which the rate of basic pay is equal to or greater than 120
percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule;
(14) ''personal hospitality of any individual'' means hospitality
extended for a nonbusiness purpose by an individual, not a corporation
or organization, at the personal residence of that individual or his
family or on property or facilities owned by that individual or his
family;
(15) ''reimbursement'' means any payment or other thing of value
received by the reporting individual, other than gifts, to cover
travel-related expenses of such individual other than those which are --
(A) provided by the United States Government, the District of
Columbia, or a State or local government or political subdivision
thereof;
(B) required to be reported by the reporting individual under section
7342 of title 5, United States Code; or
(C) required to be reported under section 304 of the Federal Election
Campaign Act of 1971 (2 U.S.C. 434);
(16) ''relative'' means an individual who is related to the reporting
individual, as father, mother, son, daughter, brother, sister, uncle,
aunt, great aunt, great uncle, first cousin, nephew, niece, husband,
wife, grandfather, grandmother, grandson, granddaughter, father-in-law,
mother-in-law, son-in-law, daughter-in-law, brother-in-law,
sister-in-law, stepfather, stepmother, stepson, stepdaughter,
stepbrother, stepsister, half brother, half sister, or who is the
grandfather or grandmother of the spouse of the reporting individual,
and shall be deemed to include the fiance or fiancee of the reporting
individual;
(17) ''Secretary concerned'' has the meaning set forth in section
101(8) /1/ of title 10, United States Code, and, in addition, means --
(A) the Secretary of Commerce, with respect to matters concerning the
National Oceanic and Atmospheric Administration;
(B) the Secretary of Health and Human Services, with respect to
matters concerning the Public Health Service; and
(C) the Secretary of State, with respect to matters concerning the
Foreign Service;
(18) ''supervising ethics office'' means --
(A) the Select Committee on Ethics of the Senate, for Senators,
officers and employees of the Senate, and other officers or employees of
the legislative branch required to file financial disclosure reports
with the Secretary of the Senate pursuant to section 103(h) of this
title;
(B) the Committee on Standards of Official Conduct of the House of
Representatives, for Members, officers and employees of the House of
Representatives and other officers or employees of the legislative
branch required to file financial disclosure reports with the Clerk of
the House of Representatives pursuant to section 103(h) of this title;
(C) the Judicial Conference for judicial officers and judicial
employees; and
(D) the Office of Government Ethics for all executive branch officers
and employees; and
(19) ''value'' means a good faith estimate of the dollar value if the
exact value is neither known nor easily obtainable by the reporting
individual.
(Pub. L. 95-521, title I, 109, Oct. 26, 1978, 92 Stat. 1836; Pub.
L. 101-194, title II, 202, Nov. 30, 1989, 103 Stat. 1741; Pub. L.
101-280, 3(1), (8), May 4, 1990, 104 Stat. 152, 155; Pub. L. 102-378,
4(a)(2), Oct. 2, 1992, 106 Stat. 1357; Pub. L. 102-572, title IX,
902(b)(2), Oct. 29, 1992, 106 Stat. 4516.)
The General Schedule, referred to in pars. (8) and (13)(B), is set
out under section 5332 of this title.
Section 101 of title 10, referred to in par. (17), was subsequently
amended, and section 101(8) no longer defines the term ''Secretary
concerned''. However, such term is defined elsewhere in that section.
Section was formerly classified to section 709 of Title 2, The
Congress.
1992 -- Par. (8). Pub. L. 102-572 substituted ''Court of Federal
Claims'' for ''Claims Court''.
Pub. L. 102-378, 4(a)(2)(A), substituted ''who occupies a position
for which the rate of basic pay is equal to or greater than 120 percent
of the minimum rate of basic pay payable for GS-15 of the General
Schedule'' for ''who is paid at a rate of basic pay equal to or greater
than the minimum rate of basic pay in effect for grade GS-16 of the
General Schedule''.
Par. (10). Pub. L. 102-572 substituted ''Court of Federal Claims''
for ''Claims Court''.
Par. (13)(B)(i). Pub. L. 102-378, 4(a)(2)(B), substituted ''who, for
at least 60 days, occupies a position for which the rate of basic pay is
equal to or greater than 120 percent of the minimum rate of basic pay
payable for GS-15 of the General Schedule'' for ''who is compensated for
at least 60 days at a rate of basic pay equal to or greater than the
annual rate of basic pay in effect for grade GS-16 of the General
Schedule''.
Par. (13)(B)(ii). Pub. L. 102-378, 4(a)(2)(C), substituted ''who
occupies a position for which the rate of basic pay is equal to or
greater than 120 percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule'' for ''compensated at a rate equal to or
in excess of the annual rate of basic pay in effect for grade GS-16 of
the General Schedule''.
1990 -- Par. (1). Pub. L. 101-280, 3(8)(A), substituted ''Select
Committee on Ethics of the Senate'' for ''Senate Select Committee on
Ethics''.
Par. (4). Pub. L. 101-280, 3(8)(B), inserted '', other than the
General Accounting Office,'' after ''Code)''.
Par. (5)(C). Pub. L. 101-280, 3(8)(C)(i), inserted '', the District
of Columbia, or a State or local government or political subdivision
thereof'' after ''United States Government''.
Par. (5)(D). Pub. L. 101-280, 3(8)(C)(ii), amended subpar. (D)
generally. Prior to amendment, subpar. (D) read as follows: ''food
and beverages consumed at banquets, receptions, or similar events;
or''.
Par. (5)(E). Pub. L. 101-280, 3(8)(C)(iii), substituted
''individual,'' for ''individual'' and inserted ''or'' after semicolon
at end.
Par. (5)(F). Pub. L. 101-280, 3(8)(C)(iv), added subpar. (F).
Par. (8). Pub. L. 101-280, 3(8)(D), substituted ''United States
Sentencing Commission, of the Tax Court, of the Claims Court,'' for
''Tax Court,'' and ''who is paid at a rate of basic pay equal to or
greater than the minimum rate of basic pay in effect for grade GS-16 of
the General Schedule'' for ''who receives compensation at a rate at or
in excess of the minimum rate prescribed for grade 16 of the General
Schedule under section 5332 of title 5, United States Code;''.
Par. (10). Pub. L. 101-280, 3(8)(E), substituted ''Guam, the
Northern Mariana Islands,'' for ''the Canal Zone, Guam,'' struck out
''Court of Claims,'' after ''Virgin Islands,'' and inserted ''Claims
Court, Court of Veterans Appeals,'' after ''Tax Court,''.
Par. (13)(B)(i). Pub. L. 101-280, 3(8)(F), substituted ''at least
60'' for ''60 consecutive'' and ''of basic pay equal to or greater
than'' for ''equal to or in excess of''.
Par. (15)(A). Pub. L. 101-280, 3(8)(G), inserted '', the District of
Columbia, or a State or local government or political subdivision
thereof'' after ''Government''.
Par. (17)(C). Pub. L. 101-280, 3(8)(H), added subpar. (C).
Par. (18)(A). Pub. L. 101-280, 3(8)(I)(i), substituted ''the
Secretary of the Senate'' for ''such committee''.
Par. (18)(B). Pub. L. 101-280, 3(8)(I)(ii), substituted ''the Clerk
of the House of Representatives'' for ''such committee''.
Par. (18)(C). Pub. L. 101-280, 3(1), struck out ''of the United
States'' after ''Judicial Conference''.
Par. (18)(D). Pub. L. 101-280, 3(8)(I)(iii), inserted ''officers
and'' after ''branch''.
1989 -- Pub. L. 101-194 amended section generally, substituting
provisions setting forth definitions for purposes of title I of Pub. L.
95-521 for provisions relating to a study by the Comptroller General.
Amendment by Pub. L. 102-572 effective Jan. 1, 1993, see section
1101(a) of Pub. L. 102-572, set out as a note under section 905 of
Title 2, The Congress.
Amendment by Pub. L. 101-194 effective Jan. 1, 1991, see section
204 of Pub. L. 101-194, set out as a note under section 101 of this
Appendix.
Certain functions of Clerk of House of Representatives transferred to
Director of Non-legislative and Financial Services by section 7 of House
Resolution No. 423, One Hundred Second Congress, Apr. 9, 1992.
423.
/1/ See References in Text note below.
05 USC 110. Notice of actions taken to comply with ethics agreements
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) In any case in which an individual agrees with that individual's
designated agency ethics official, the Office of Government Ethics, a
Senate confirmation committee, a congressional ethics committee, or the
Judicial Conference, to take any action to comply with this Act or any
other law or regulation governing conflicts of interest of, or
establishing standards of conduct applicable with respect to, officers
or employees of the Government, that individual shall notify in writing
the designated agency ethics official, the Office of Government Ethics,
the appropriate committee of the Senate, the congressional ethics
committee, or the Judicial Conference, as the case may be, of any action
taken by the individual pursuant to that agreement. Such notification
shall be made not later than the date specified in the agreement by
which action by the individual must be taken, or not later than three
months after the date of the agreement, if no date for action is so
specified.
(b) If an agreement described in subsection (a) requires that the
individual recuse himself or herself from particular categories of
agency or other official action, the individual shall reduce to writing
those subjects regarding which the recusal agreement will apply and the
process by which it will be determined whether the individual must
recuse himself or herself in a specific instance. An individual shall
be considered to have complied with the requirements of subsection (a)
with respect to such recusal agreement if such individual files a copy
of the document setting forth the information described in the preceding
sentence with such individual's designated agency ethics official or the
appropriate supervising ethics office within the time prescribed in the
last sentence of subsection (a).
(Pub. L. 95-521, title I, 110, as added Pub. L. 101-194, title II,
202, Nov. 30, 1989, 103 Stat. 1744; amended Pub. L. 101-280, 3(1), May
4, 1990, 104 Stat. 152.)
This Act, referred to in subsec. (a), is Pub. L. 95-521, Oct. 26,
1978, 92 Stat. 1824, as amended, known as the Ethics in Government Act
of 1978. For complete classification of this Act to the Code, see Short
Title note set out under section 101 of this Appendix and Tables.
1990 -- Subsec. (a). Pub. L. 101-280 struck out ''of the United
States'' after ''Judicial Conference'' wherever appearing.
Section effective Jan. 1, 1991, see section 204 of Pub. L.
101-194, set out as an Effective Date of 1989 Amendment note under
section 101 of this Appendix.
05 USC 111. Administration of provisions
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
The provisions of this title shall be administered by --
(1) the Director of the Office of Government Ethics, the designated
agency ethics official, or the Secretary concerned, as appropriate, with
regard to officers and employees described in paragraphs (1) through (8)
of section 101(f);
(2) the Select Committee on Ethics of the Senate and the Committee on
Standards of Official Conduct of the House of Representatives, as
appropriate, with regard to officers and employees described in
paragraphs (9) and (10) of section 101(f); and
(3) the Judicial Conference in the case of an officer or employee
described in paragraphs (11) and (12) of section 101(f).
The Judicial Conference may delegate any authority it has under this
title to an ethics committee established by the Judicial Conference.
(Pub. L. 95-521, title I, 111, as added Pub. L. 101-194, title II,
202, Nov. 30, 1989, 103 Stat. 1744; amended Pub. L. 101-280, 3(1),
(9), May 4, 1990, 104 Stat. 152, 157.)
1990 -- Pub. L. 101-280, 3(9)(C), inserted sentence at end
authorizing Judicial Conference to delegate its authority to an ethics
committee.
Par. (2). Pub. L. 101-280, 3(9)(A), substituted ''Select Committee
on Ethics of the Senate'' for ''Senate Select Committee on Ethics''.
Par. (3). Pub. L. 101-280, 3(9)(B), struck out ''and clerk of the
applicable court, as appropriate,'' before ''in the case of''.
Pub. L. 101-280, 3(1), struck out ''of the United States'' after
''Judicial Conference''.
Section effective Jan. 1, 1991, see section 204 of Pub. L.
101-194, set out as an Effective Date of 1989 Amendment note under
section 101 of this Appendix.
Section 902 of Pub. L. 101-194 provided that:
''(a) The Select Committee on Ethics shall transmit a copy of each
report filed with it under title I of the Ethics in Government Act of
1978 (sections 101 to 112 of Pub. L. 95-521, set out in this Appendix)
(other than a report filed by a Member of Congress) to the head of the
employing office of the individual filing the report.
''(b) For purposes of this section, the head of the employing office
shall be --
''(A) in the case of an employee of a Member, the Member by whom that
person is employed;
''(B) in the case of an employee of a Committee, the chairman and
ranking minority member of such Committee;
''(C) in the case of an employee on the leadership staff, the Member
of the leadership on whose staff such person serves; and
''(D) in the case of any other employee of the legislative branch,
the head of the office in which such individual serves.''
05 USC ( 112. Repealed. Pub. L. 101-280, 3(10)(A), May 4, 1990, 104
Stat. 157)
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
Section, Pub. L. 95-521, title I, 112, as added Pub. L. 101-194,
title II, 202, Nov. 30, 1989, 103 Stat. 1744, provided that the
provisions made by title I of Pub. L. 95-521 take effect on Jan. 1,
1990, and be applicable to reports filed under such title after Jan. 1,
1991. See section 3(10)(C) of Pub. L. 101-280 and section 204 of Pub.
L. 101-194, set out as an Effective Date of 1989 Amendment note under
section 101 of this Appendix.
Repeal effective May 4, 1990, see section 11 of Pub. L. 101-280, set
out as an Effective Date of 1990 Amendment note under section 101 of
this Appendix.
05 USC (TITLE II -- REPEALED)
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(Sections 201 to 212 of Pub. L. 95-521, title II, Oct. 26, 1978, 92
Stat. 1836, as amended by Pub. L. 96-19, 2(a)(2), (c)(2), 3(a)(2),
(b), 4(a), (d), (g), 5, 6, 7(a)-(c), (d)(2), (e), (f), 8(b), 9(c)(2),
(d), (f), (h)-(o), June 13, 1979, 93 Stat. 37-43; Pub. L. 98-150,
6-11, Nov. 11, 1983, 97 Stat. 960-962; Pub. L. 99-190, 148(b), Dec.
19, 1985, 99 Stat. 1325; Pub. L. 100-191, 3(b), Dec. 15, 1987, 101
Stat. 1306, which related to executive personnel financial disclosure
requirements, were repealed by Pub. L. 101-194, title II, 201, Nov. 30,
1989, 103 Stat. 1724.)
Repeal effective Jan. 1, 1991, see section 204 of Pub. L. 101-194,
set out as an Effective Date of 1989 Amendment note under section 101 of
this Appendix.
Provisions of title II of Pub. L. 95-521, as in effect prior to Nov.
30, 1989, effective until Jan. 1, 1991, as if Pub. L. 101-194 had not
been enacted, except that section 202(f)(4)(B) of Pub. L. 95-521
repealed effective Jan. 1, 1990, and nothing in title II of Pub. L.
101-194 to be construed to prevent prosecution of civil actions against
individuals for violations of title II of Pub. L. 95-521 before Jan.
1, 1991, see section 3(10)(C), (D) of Pub. L. 101-280, set out as an
Effective Date of 1989 Amendment note under section 101 of this
Appendix.
05 USC (TITLE III -- REPEALED)
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(Sections 301 to 309 of Pub. L. 95-521, title III, Oct. 26, 1978, 92
Stat. 1851, as amended by Pub. L. 96-19, 2(a)(3), (c)(3), 3(a)(3),
(b), 4(c), 6, 7(a)-(c), (d)(2), (e), (f), 8(c), 9(c)(3), (d), (j),
(p)-(r), June 13, 1979, 93 Stat. 37-43; Pub. L. 96-417, title VI,
601(9), Oct. 10, 1980, 94 Stat. 1744; Pub. L. 96-579, 12(c), Dec. 23,
1980, 94 Stat. 3369; Pub. L. 97-164, title I, 163(a)(6), Apr. 2, 1982,
96 Stat. 49; Pub. L. 98-150, 10, Nov. 11, 1983, 97 Stat. 962; Pub. L.
99-573, 6, Oct. 28, 1986, 100 Stat. 3231; Pub. L. 101-237, title VI,
602(a)(1), Dec. 18, 1989, 103 Stat. 2094, which related to judicial
personnel financial disclosure requirements, were repealed by Pub. L.
101-194, title II, 201, Nov. 30, 1989, 103 Stat. 1724.)
Repeal effective Jan. 1, 1991, see section 204 of Pub. L. 101-194,
set out as an Effective Date of 1989 Amendment note under section 101 of
this Appendix.
Provisions of title III of Pub. L. 95-521, as in effect prior to
Nov. 30, 1989, effective until Jan. 1, 1991, as if Pub. L. 101-194
had not been enacted, and nothing in title II of Pub. L. 101-194 to be
construed to prevent prosecution of civil actions against individuals
for violations of title III of Pub. L. 95-521 before Jan. 1, 1991, see
section 3(10)(C), (D) of Pub. L. 101-280, set out as an Effective Date
of 1989 Amendment note under section 101 of this Appendix.
05 USC TITLE IV -- OFFICE OF GOVERNMENT ETHICS
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
05 USC 401. Establishment in Office of Personnel Management;
appointment of Director
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) There is established an executive agency to be known as the
Office of Government Ethics.
(b) There shall be at the head of the Office of Government Ethics a
Director (hereinafter referred to as the ''Director''), who shall be
appointed by the President, by and with the advice and consent of the
Senate. Effective with respect to any individual appointed or
reappointed by the President as Director on or after October 1, 1983,
the term of service of the Director shall be five years.
(c) The Director may --
(1) appoint officers and employees, including attorneys, in
accordance with chapter 51 and subchapter III of chapter 53 of title 5,
United States Code; and
(2) contract for financial and administrative services (including
those related to budget and accounting, financial reporting, personnel,
and procurement) with the General Services Administration, or such other
Federal agency as the Director determines appropriate, for which payment
shall be made in advance, or by reimbursement, from funds of the Office
of Government Ethics in such amounts as may be agreed upon by the
Director and the head of the agency providing such services.
Contract authority under paragraph (2) shall be effective for any
fiscal year only to the extent that appropriations are available for
that purpose.
(Pub. L. 95-521, title IV, 401, Oct. 26, 1978, 92 Stat. 1862; Pub.
L. 98-150, 2, Nov. 11, 1983, 97 Stat. 959; Pub. L. 100-598, 3, Nov.
3, 1988, 102 Stat. 3031.)
1988 -- Subsec. (a). Pub. L. 100-598, 3(a), substituted ''an
executive agency to be known as'' for ''in the Office of Personnel
Management an office to be known as''.
Subsec. (c). Pub. L. 100-598, 3(b), added subsec. (c).
1983 -- Subsec. (b). Pub. L. 98-150 inserted provision that,
effective with respect to any individual appointed or reappointed by the
President as Director on or after Oct. 1, 1983, the term of service of
the Director shall be five years.
Section 10 of Pub. L. 100-598 provided that:
''(a) In General. -- Except as provided in subsection (b), the
amendments made by this Act (enacting section 408 of Pub. L. 95-521, set
out in this Appendix, and amending sections 401 to 403, 405, and 407 of
Pub. L. 95-521, set out in this Appendix, and sections 5314 and 5316 of
this title) shall take effect on the date of the enactment of this Act
(Nov. 3, 1988).
''(b) Exception. -- The amendments made by section 3 (amending
section 401 of Pub. L. 95-521, set out in this Appendix) shall take
effect on October 1, 1989.''
Amendment by Pub. L. 98-150 effective Oct. 1, 1983, see section 13
of Pub. L. 98-150 set out as a note under section 102 of this Appendix.
05 USC 402. Authority and functions
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) The Director shall provide, in consultation with the Office of
Personnel Management, overall direction of executive branch policies
related to preventing conflicts of interest on the part of officers and
employees of any executive agency, as defined in section 105 of title 5,
United States Code.
(b) The responsibilities of the Director shall include --
(1) developing, in consultation with the Attorney General and the
Office of Personnel Management, rules and regulations to be promulgated
by the President or the Director pertaining to conflicts of interest and
ethics in the executive branch, including rules and regulations
establishing procedures for the filing, review, and public availability
of financial statements filed by officers and employees in the executive
branch as required by title II of this Act;
(2) developing, in consultation with the Attorney General and the
Office of Personnel Management, rules and regulations to be promulgated
by the President or the Director pertaining to the identification and
resolution of conflicts of interest;
(3) monitoring and investigating compliance with the public financial
disclosure requirements of title II of this Act by officers and
employees of the executive branch and executive agency officials
responsible for receiving, reviewing, and making available financial
statements filed pursuant to such title;
(4) conducting a review of financial statements to determine whether
such statements reveal possible violations of applicable conflict of
interest laws or regulations and recommending appropriate action to
correct any conflict of interest or ethical problems revealed by such
review;
(5) monitoring and investigating individual and agency compliance
with any additional financial reporting and internal review requirements
established by law for the executive branch;
(6) interpreting rules and regulations issued by the President or the
Director governing conflict of interest and ethical problems and the
filing of financial statements;
(7) consulting, when requested, with agency ethics counselors and
other responsible officials regarding the resolution of conflict of
interest problems in individual cases;
(8) establishing a formal advisory opinion service whereby advisory
opinions are rendered on matters of general applicability or on
important matters of first impression after, to the extent practicable,
providing interested parties with an opportunity to transmit written
comments with respect to the request for such advisory opinion, and
whereby such advisory opinions are compiled, published, and made
available to agency ethics counselors and the public;
(9) ordering corrective action on the part of agencies and employees
which the Director deems necessary;
(10) requiring such reports from executive agencies as the Director
deems necessary;
(11) assisting the Attorney General in evaluating the effectiveness
of the conflict of interest laws and in recommending appropriate
amendments;
(12) evaluating, with the assistance of the Attorney General and the
Office of Personnel Management, the need for changes in rules and
regulations issued by the Director and the agencies regarding conflict
of interest and ethical problems, with a view toward making such rules
and regulations consistent with and an effective supplement to the
conflict of interest laws;
(13) cooperating with the Attorney General in developing an effective
system for reporting allegations of violations of the conflict of
interest laws to the Attorney General, as required by section 535 of
title 28, United States Code;
(14) providing information on and promoting understanding of ethical
standards in executive agencies; and
(15) developing, in consultation with the Office of Personnel
Management, and promulgating such rules and regulations as the Director
determines necessary or desirable with respect to the evaluation of any
item required to be reported by title II of this Act.
(c) In the development of policies, rules, regulations, procedures,
and forms to be recommended, authorized, or prescribed by him, the
Director shall consult when appropriate with the executive agencies
affected and with the Attorney General.
(d)(1) The Director shall, by the exercise of any authority otherwise
available to the Director under this title, ensure that each executive
agency has established written procedures relating to how the agency is
to collect, review, evaluate, and, if applicable, make publicly
available, financial disclosure statements filed by any of its officers
or employees.
(2) In carrying out paragraph (1), the Director shall ensure that
each agency's procedures are in conformance with all applicable
requirements, whether established by law, rule, regulation, or Executive
order.
(e) In carrying out subsection (b)(10), the Director shall prescribe
regulations under which --
(1) each executive agency shall be required to submit to the Office
an annual report containing --
(A) a description and evaluation of the agency's ethics program,
including any educational, counseling, or other services provided to
officers and employees, in effect during the period covered by the
report; and
(B) the position title and duties of --
(i) each official who was designated by the agency head to have
primary responsibility for the administration, coordination, and
management of the agency's ethics program during any portion of the
period covered by the report; and
(ii) each officer or employee who was designated to serve as an
alternate to the official having primary responsibility during any
portion of such period; and
(C) any other information that the Director may require in order to
carry out the responsibilities of the Director under this title; and
(2) each executive agency shall be required to inform the Director
upon referral of any alleged violation of Federal conflict of interest
law to the Attorney General pursuant to section 535 of title 28, United
States Code, except that nothing under this paragraph shall require any
notification or disclosure which would otherwise be prohibited by law.
(f)(1) In carrying out subsection (b)(9) with respect to executive
agencies, the Director --
(A) may --
(i) order specific corrective action on the part of an agency based
on the failure of such agency to establish a system for the collection,
filing, review, and, when applicable, public inspection of financial
disclosure statements, in accordance with applicable requirements, or to
modify an existing system in order to meet applicable requirements; or
(ii) order specific corrective action involving the establishment or
modification of an agency ethics program (other than with respect to any
matter under clause (i)) in accordance with applicable requirements;
and
(B) shall, if an agency has not complied with an order under
subparagraph (A) within a reasonable period of time, notify the
President and the Congress of the agency's noncompliance in writing
(including, with the notification, any written comments which the agency
may provide).
(2)(A) In carrying out subsection (b)(9) with respect to individual
officers and employees --
(i) the Director may make such recommendations and provide such
advice to such officers and employees as the Director considers
necessary to ensure compliance with rules, regulations, and Executive
orders relating to conflicts of interest or standards of conduct;
(ii) if the Director has reason to believe that an officer or
employee is violating, or has violated, any rule, regulation, or
Executive order relating to conflicts of interest or standards of
conduct, the Director --
(I) may recommend to the head of the officer's or employee's agency
that such agency head investigate the possible violation and, if the
agency head finds such a violation, that such agency head take any
appropriate disciplinary action (such as reprimand, suspension,
demotion, or dismissal) against the officer or employee, except that, if
the officer or employee involved is the agency head, any such
recommendation shall instead be submitted to the President; and
(II) shall notify the President in writing if the Director determines
that the head of an agency has not conducted an investigation pursuant
to subclause (I) within a reasonable time after the Director recommends
such action;
(iii) if the Director finds that an officer or employee is violating
any rule, regulation, or Executive order relating to conflicts of
interest or standards of conduct, the Director --
(I) may order the officer or employee to take specific action (such
as divestiture, recusal, or the establishment of a blind trust) to end
such violation; and
(II) shall, if the officer or employee has not complied with the
order under subclause (I) within a reasonable period of time, notify, in
writing, the head of the officer's or employee's agency of the officer's
or employee's noncompliance, except that, if the officer or employee
involved is the agency head, the notification shall instead be submitted
to the President; and
(iv) if the Director finds that an officer or employee is violating,
or has violated, any rule, regulation, or Executive order relating to
conflicts of interest or standards of conduct, the Director --
(I) may recommend to the head of the officer's or employee's agency
that appropriate disciplinary action (such as reprimand, suspension,
demotion, or dismissal) be brought against the officer or employee,
except that if the officer or employee involved is the agency head, any
such recommendations shall instead be submitted to the President; and
(II) may notify the President in writing if the Director determines
that the head of an agency has not taken appropriate disciplinary action
within a reasonable period of time after the Director recommends such
action.
(B)(i) In order to carry out the Director's duties and
responsibilities under subparagraph (A)(iii) or (iv) with respect to
individual officers and employees, the Director may conduct
investigations and make findings concerning possible violations of any
rule, regulation, or Executive order relating to conflicts of interest
or standards of conduct applicable to officers and employees of the
executive branch.
(ii)(I) Subject to clause (iv) of this subparagraph, before any
finding is made under subparagraphs (A)(iii) or (iv), the officer or
employee involved shall be afforded notification of the alleged
violation, and an opportunity to comment, either orally or in writing,
on the alleged violation.
(II) The Director shall, in accordance with section 553 of title 5,
United States Code, establish procedures for such notification and
comment.
(iii) Subject to clause (iv) of this subparagraph, before any action
is ordered under subparagraph (A)(iii), the officer or employee involved
shall be afforded an opportunity for a hearing, if requested by such
officer or employee, except that any such hearing shall be conducted on
the record.
(iv) The procedures described in clauses (ii) and (iii) of this
subparagraph do not apply to findings or orders for action made to
obtain compliance with the financial disclosure requirements in title 2
/1/ of this Act. For those findings and orders, the procedures in
section 206 of this Act shall apply.
(3) The Director shall send a copy of any order under paragraph
(2)(A)(iii) to --
(A) the officer or employee who is the subject of such order; and
(B) the head of officer's or employee's agency or, if such officer or
employee is the agency head, to the President.
(4) For purposes of paragraphs (2)(A)(ii), (iii), (iv), and (3)(B),
in the case of an officer or employee within an agency which is headed
by a board, committee, or other group of individuals (rather than by a
single individual), any notification, recommendation, or other matter
which would otherwise be sent to an agency head shall instead be sent to
the officer's or employee's appointing authority.
(5) Nothing in this title shall be considered to allow the Director
(or any designee) to make any finding that a provision of title 18,
United States Code, or any criminal law of the United States outside of
such title, has been or is being violated.
(6) Notwithstanding any other provision of law, no record developed
pursuant to the authority of this section concerning an investigation of
an individual for a violation of any rule, regulation, or Executive
order relating to a conflict of interest shall be made available
pursuant to section 552(a)(3) of title 5, United States Code, unless the
request for such information identifies the individual to whom such
records relate and the subject matter of any alleged violation to which
such records relate, except that nothing in this subsection shall affect
the application of the provisions of section 552(b) of title 5, United
States Code, to any record so identified.
(Pub. L. 95-521, title IV, 402, Oct. 26, 1978, 92 Stat. 1862; Pub.
L. 96-19, 9(e), (s), June 13, 1979, 93 Stat. 43, 44; Pub. L. 98-150,
3(a), (b), Nov. 11, 1983, 97 Stat. 959; Pub. L. 100-598, 5-7, Nov. 3,
1988, 102 Stat. 3032, 3033.)
Title II of this Act, referred to in subsec. (b)(1), (3), and (15),
and title 2 of this Act, referred to in subsec. (f)(2)(B)(iv), is title
II of Pub. L. 95-521, which was set out in this Appendix prior to
repeal by Pub. L. 101-194, title II, 201, Nov. 30, 1989, 103 Stat.
1724.
Section 206 of this Act, referred to in subsec. (f)(2)(B)(iv), is
section 206 of Pub. L. 95-521, which was set out in this Appendix prior
to repeal by Pub. L. 101-194, title II, 201, Nov. 30, 1989, 103 Stat.
1724.
1988 -- Subsecs. (d) to (f). Pub. L. 100-598 added subsecs. (d) to
(f).
1983 -- Subsec. (a). Pub. L. 98-150, 3(a), substituted ''in
consultation with'' for ''under the general supervision of''.
Subsec. (b)(1). Pub. L. 98-150, 3(b)(1), struck out ''and
recommending to the Office of Personnel Management'' after ''(1)
developing'', inserted ''and the Office of Personnel Management'' after
''Attorney General'', and substituted ''President or the Director'' for
''President or the Office of Personnel Management''.
Subsec. (b)(2). Pub. L. 98-150, 3(b)(2), struck out ''and
recommending to the Office of Personnel Management'' after ''(2)
developing'', inserted ''and the Office of Personnel Management'' after
''Attorney General'', and substituted ''President or the Director'' for
''President or the Office of Personnel Management''.
Subsec. (b)(6). Pub. L. 98-150, 3(b)(3), substituted ''Director''
for ''Office of Personnel Management''.
Subsec. (b)(12). Pub. L. 98-150, 3(b)(4), inserted ''and the Office
of Personnel Management'' after ''Attorney General'', and substituted
''Director'' for ''Office of Personnel Management''.
Subsec. (b)(15). Pub. L. 98-150, 3(b)(5), substituted '', in
consultation with the Office of Personnel Management, and promulgating''
for ''and recommending for promulgation by the Office of Personnel
Management''.
1979 -- Subsec. (b)(1). Pub. L. 96-19, 9(s), substituted
''consultation'' for ''consulation'' and struck out a comma after
''rules and regulations'' and ''President''.
Subsec. (b)(15). Pub. L. 96-19, 9(e)(2), added par. (15).
Subsec. (d). Pub. L. 96-19, 9(e)(1), repealed subsec. (d) which
required the promulgation of a regulation establishing a method of
readily determining, without expert appraisal, the fair market value of
assets required to be disclosed.
Amendment by Pub. L. 98-150 effective Oct. 1, 1983, see section 13
of Pub. L. 98-150 set out as a note under section 102 of this Appendix.
Section 3(d) of Pub. L. 98-150 provided that:
''(1) Any rules or regulations issued under section 402 of the Ethics
in Government Act of 1978 (this section) which are in effect immediately
before the effective date of the amendments made by this Act (Oct. 1,
1983) shall remain in effect according to their terms until modified,
superseded, set aside, or revoked on or after such effective date.
''(2) The responsibilities of the Director of the Office of
Government Ethics under paragraphs (6) and (12), respectively, of
section 402(b) of the Ethics in Government Act of 1978 (this section),
with respect to rules and regulations issued by the Office of Personnel
Management before the effective date of the amendments made by this Act
(Oct. 1, 1983) shall not be affected by this Act or any of the
amendments made by this Act (see Effective Date of 1983 Amendment note
set out under section 102 of this Appendix).''
/1/ So in original. Probably should be title ''II''.
05 USC 403. Administrative provisions
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
Upon the request of the Director, each executive agency is directed
to --
(1) make its services, personnel, and facilities available to the
Director to the greatest practicable extent for the performance of
functions under this Act; and
(2) except when prohibited by law, furnish to the Director all
information and records in its possession which the Director may
determine to be necessary for the performance of his duties.
The authority of the Director under this section includes the
authority to request assistance from the inspector general of an agency
in conducting investigations pursuant to the Office of Government Ethics
responsibilities under this Act. The head of any agency may detail such
personnel and furnish such services, with or without reimbursement, as
the Director may request to carry out the provisions of this Act /1/
(Pub. L. 95-521, title IV, 403, Oct. 26, 1978, 92 Stat. 1863; Pub.
L. 98-150, 5, Nov. 11, 1983, 97 Stat. 960; Pub. L. 100-598, 9, Nov.
3, 1988, 102 Stat. 3035.)
This Act, referred to in text, is Pub. L. 95-521, Oct. 26, 1978, 92
Stat. 1824, as amended, known as the Ethics in Government Act of 1978.
For complete classification of this Act to the Code, see Short Title
note set out under section 101 of this Appendix and Tables.
1988 -- Pub. L. 100-598 substituted ''pursuant to the Office of
Government Ethics responsibilities under this Act. The head of any
agency may detail such personnel and furnish such services, with or
without reimbursement, as the Director may request to carry out the
provisions of this Act'' for ''pursuant to subsections (b)(3) and (b)(4)
of section 402.'' in closing provisions.
1983 -- Pub. L. 98-150 inserted provision that the authority of the
Director under this section includes the authority to request assistance
from the inspector general of an agency in conducting the investigations
pursuant to subsections (b)(3) and (b)(4) of section 402.
Amendment by Pub. L. 98-150 effective Oct. 1, 1983, see section 13
of Pub. L. 98-150 set out as a note under section 102 of this Appendix.
/1/ So in original. Probably should be followed by a period.
05 USC 404. Rules and regulations
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
In promulgating rules and regulations pertaining to financial
disclosure, conflict of interest, and ethics in the executive branch,
the Director shall issue rules and regulations in accordance with
chapter 5 of title 5, United States Code. Any person may seek judicial
review of any such rule or regulation.
(Pub. L. 95-521, title IV, 404, Oct. 26, 1978, 92 Stat. 1863; Pub.
L. 98-150, 3(c), Nov. 11, 1983, 97 Stat. 960.)
1983 -- Pub. L. 98-150 substituted ''Director'' for ''Office of
Personnel Management''.
Amendment by Pub. L. 98-150 effective Oct. 1, 1983, see section 13
of Pub. L. 98-150 set out as a note under section 102 of this Appendix.
05 USC 405. Authorization of appropriations
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
There are authorized to be appropriated to carry out the provisions
of this title and for no other purpose --
(1) not to exceed $2,500,000 for the fiscal year ending September 30,
1989;
(2) not to exceed $5,000,000 for the fiscal year ending September 30,
1990; and
(3) such sums as may be necessary for each of the 4 fiscal years
thereafter.
(Pub. L. 95-521, title IV, 405, Oct. 26, 1978, 92 Stat. 1863; Pub.
L. 98-150, 12, Nov. 11, 1983, 97 Stat. 963; Pub. L. 100-598, 2, Nov.
3, 1988, 102 Stat. 3031; Pub. L. 101-334, 2, July 16, 1990, 104 Stat.
318; Pub. L. 102-506, 2, Oct. 24, 1992, 106 Stat. 3280.)
1992 -- Pub. L. 102-506 struck out ''and'' at end of par. (1),
substituted ''the fiscal year ending September 30, 1990; and'' for
''each of the 5 fiscal years thereafter.'' in par. (2), and added par.
(3).
1990 -- Par. (2). Pub. L. 101-334 substituted ''$5,000,000'' for
''$3,500,000''.
1988 -- Pub. L. 100-598 amended section generally. Prior to
amendment, section read as follows: ''There are authorized to be
appropriated to carry out the provisions of this title, and for no other
purpose --
''(1) not to exceed $2,000,000 for the fiscal year ending September
30, 1979; and
''(2) not to exceed $2,000,000 for each of the nine fiscal years
thereafter.''
1983 -- Par. (2). Pub. L. 98-150 substituted ''nine'' for ''four''.
Amendment by Pub. L. 98-150 effective Oct. 1, 1983, see section 13
of Pub. L. 98-150 set out as a note under section 102 of this Appendix.
05 USC 406. Annual pay
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(Section amended section 5316 of Title 5, Government Organization and
Employees.)
05 USC 407. Annual pay of Director
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(Section amended sections 5314 and 5316 of Title 5, Government
Organization and Employees.)
(Pub. L. 95-521, title IV, 407, as added Pub. L. 98-150, 4, Nov.
11, 1983, 97 Stat. 960; amended Pub. L. 100-598, 8, Nov. 3, 1988, 102
Stat. 3035.)
1988 -- Pub. L. 100-598 substituted ''Annual pay of Director'' for
''Submission of budget'' in section catchline and amended text
generally. Prior to amendment, text read as follows:
''(a) In the budget submitted to the Congress pursuant to section
1105(a) of title 31, United States Code, the President shall include
estimated expenditures and proposed appropriations the President decides
are necessary to support the Office of Government Ethics in the fiscal
year for which the budget is submitted and the four fiscal years after
that year.
''(b) In the statement of changes submitted to Congress with respect
to the budget pursuant to section 1106(b) of title 31, United States
Code, the President shall specify the effect of such changes on the
information submitted pursuant to subsection (a) of this section.''
Section effective Oct. 1, 1983, see section 13 of Pub. L. 98-150
set out as an Effective Date of 1983 Amendment note under section 102 of
this Appendix.
05 USC 408. Reports to Congress
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
The Director shall, no later than March 31 of each year in which the
second session of a Congress begins, submit to the Congress a report
containing --
(1) a summary of the actions taken by the Director during a 2-year
period ending on December 31 of the preceding year in order to carry out
the Director's functions and responsibilities under this title; and
(2) such other information as the Director may consider appropriate.
(Pub. L. 95-521, title IV, 408, as added Pub. L. 100-598, 4, Nov.
3, 1988, 102 Stat. 3031.)
05 USC TITLE V -- GOVERNMENT-WIDE LIMITATIONS ON OUTSIDE EARNED INCOME
AND EMPLOYMENT
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
05 USC 501. Outside earned income limitation
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Outside Earned Income Limitation. --
(1) Except as provided by paragraph (2), a Member or an officer or
employee who is a noncareer officer or employee and who occupies a
position classified above GS-15 of the General Schedule or, in the case
of positions not under the General Schedule, for which the rate of basic
pay is equal to or greater than 120 percent of the minimum rate of basic
pay payable for GS-15 of the General Schedule, may not in any calendar
year have outside earned income attributable to such calendar year which
exceeds 15 percent of the annual rate of basic pay for level II of the
Executive Schedule under section 5313 of title 5, United States Code, as
of January 1 of such calendar year.
(2) In the case of any individual who during a calendar year becomes
a Member or an officer or employee who is a noncareer officer or
employee and who occupies a position classified above GS-15 of the
General Schedule or, in the case of positions not under the General
Schedule, for which the rate of basic pay is equal to or greater than
120 percent of the minimum rate of basic pay payable for GS-15 of the
General Schedule, such individual may not have outside earned income
attributable to the portion of that calendar year which occurs after
such individual becomes a Member or such an officer or employee which
exceeds 15 percent of the annual rate of basic pay for level II of the
Executive Schedule under section 5313 of title 5, United States Code, as
of January 1 of such calendar year multiplied by a fraction the
numerator of which is the number of days such individual is a Member or
such officer or employee during such calendar year and the denominator
of which is 365.
(b) Honoraria Prohibition. -- An individual may not receive any
honorarium while that individual is a Member, officer or employee.
(c) Treatment of Charitable Contributions. -- Any honorarium which,
except for subsection (b), might be paid to a Member, officer or
employee, but which is paid instead on behalf of such Member, officer or
employee to a charitable organization, shall be deemed not to be
received by such Member, officer or employee. No such payment shall
exceed $2,000 or be made to a charitable organization from which such
individual or a parent, sibling, spouse, child, or dependent relative of
such individual derives any financial benefit.
(Pub. L. 95-521, title V, 501, as added Pub. L. 101-194, title VI,
601(a), Nov. 30, 1989, 103 Stat. 1760; amended Pub. L. 101-280, 7(a),
May 4, 1990, 104 Stat. 161; Pub. L. 102-378, 4(b)(1), (2), Oct. 2,
1992, 106 Stat. 1357.)
The General Schedule, referred to in subsec. (a), is set out under
section 5332 of this title.
A prior section 501 of Pub. L. 95-521, title V, Oct. 26, 1978, 92
Stat. 1864, amended section 207 of Title 18, Crimes and Criminal
Procedure, and the analysis of chapter 11 of Title 18.
1992 -- Subsec. (a)(1). Pub. L. 102-378, 4(b)(1), substituted ''who
occupies a position classified above GS-15 of the General Schedule or,
in the case of positions not under the General Schedule, for which the
rate of basic pay is equal to or greater than 120 percent of the minimum
rate of basic pay payable for GS-15 of the General Schedule,'' for
''whose rate of basic pay is equal to or greater than the annual rate of
basic pay in effect for grade GS-16 of the General Schedule under
section 5332 of title 5, United States Code,''.
Subsec. (a)(2). Pub. L. 102-378, 4(b)(2), substituted ''who during a
calendar year becomes a Member or an officer or employee who is a
noncareer officer or employee and who occupies a position classified
above GS-15 of the General Schedule or, in the case of positions not
under the General Schedule, for which the rate of basic pay is equal to
or greater than 120 percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule,'' for ''who becomes a Member or an
officer or employee who is a noncareer officer or employee and whose
rate of basic pay is equal to or greater than the annual rate of basic
pay in effect for grade GS-16 of the General Schedule during a calendar
year,''.
1990 -- Subsec. (a)(1). Pub. L. 101-280, 7(a)(1), substituted ''a
noncareer officer or employee'' for ''not a career civil servant''.
Subsec. (a)(2). Pub. L. 101-280, 7(a)(1), substituted ''a noncareer
officer or employee'' for ''not a career civil servant''.
Pub. L. 101-280, 7(a)(2), substituted ''Member or such an officer or
employee which'' for ''Member, officer or employee which'' and ''Member
or such officer or employee during'' for ''Member, officer or employee
during''.
Section effective Jan. 1, 1991, but shall cease to be effective if
the provisions of section 703 of Pub. L. 101-194, 5 U.S.C. 5318 note,
are subsequently repealed, see section 603 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 7701 of Title
26, Internal Revenue Code.
05 USC 502. Limitations on outside employment
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Limitations. -- A Member or an officer or employee who is a
noncareer officer or employee and who occupies a position classified
above GS-15 of the General Schedule or, in the case of positions not
under the General Schedule, for which the rate of basic pay is equal to
or greater than 120 percent of the minimum rate of basic pay payable for
GS-15 of the General Schedule shall not --
(1) receive compensation for affiliating with or being employed by a
firm, partnership, association, corporation, or other entity which
provides professional services involving a fiduciary relationship;
(2) permit that Member's, officer's, or employee's name to be used by
any such firm, partnership, association, corporation, or other entity;
(3) receive compensation for practicing a profession which involves a
fiduciary relationship;
(4) serve for compensation as an officer or member of the board of
any association, corporation, or other entity; or
(5) receive compensation for teaching, without the prior notification
and approval of the appropriate entity referred to in section 503.
(b) Teaching Compensation of Justices and Judges Retired From Regular
Active Service. -- For purposes of the limitation under section 501(a),
any compensation for teaching approved under subsection (a)(5) of this
section shall not be treated as outside earned income --
(1) when received by a justice of the United States retired from
regular active service under section 371(b) of title 28, United States
Code;
(2) when received by a judge of the United States retired from
regular active service under section 371(b) of title 28, United States
Code, for teaching performed during any calendar year for which such
judge has met the requirements of subsection (f) of section 371 of title
28, United States Code, as certified in accordance with such subsection;
or
(3) when received by a justice or judge of the United States retired
from regular active service under section 372(a) of title 28, United
States Code.
(Pub. L. 95-521, title V, 502, as added Pub. L. 101-194, title VI,
601(a), Nov. 30, 1989, 103 Stat. 1761; amended Pub. L. 101-280,
7(a)(1), (b), May 4, 1990, 104 Stat. 161; Pub. L. 101-650, title III,
319, Dec. 1, 1990, 104 Stat. 5117; Pub. L. 102-198, 6, Dec. 9, 1991,
105 Stat. 1624; Pub. L. 102-378, 4(b)(3), Oct. 2, 1992, 106 Stat.
1357.)
The General Schedule, referred to in subsec. (a), is set out under
section 5332 of this title.
A prior section 502 of Pub. L. 95-521, title V, Oct. 26, 1978, 92
Stat. 1867, is set out as a note under section 207 of Title 18, Crimes
and Criminal Procedure.
1992 -- Subsec. (a). Pub. L. 102-378, 4(b)(3), substituted ''who
occupies a position classified above GS-15 of the General Schedule or,
in the case of positions not under the General Schedule, for which the
rate of basic pay is equal to or greater than 120 percent of the minimum
rate of basic pay payable for GS-15 of the General Schedule'' for
''whose rate of basic pay is equal to or greater than the annual rate of
basic pay in effect for grade GS-16 of the General Schedule''.
1991 -- Subsec. (b). Pub. L. 102-198 substituted heading for one
which read ''Senior Judges Teaching Compensation'' and amended text
generally. Prior to amendment, text read as follows: ''Any
compensation for teaching received by a senior judge (as designated
under section 294(b) of title 28, United States Code) approved under
subsection (a)(5) of this section shall not be treated as outside earned
income for the purpose of the limitation under section 501(a).''
1990 -- Pub. L. 101-650 designated existing provisions as subsec.
(a), inserted heading, and added subsec. (b).
Pub. L. 101-280, 7(a)(1), in introductory provisions substituted ''a
noncareer officer or employee'' for ''not a career civil servant''.
Pub. L. 101-280, 7(b)(1), in par. (1) substituted ''receive
compensation for affiliating with or being'' for ''affiliate with or
be'' and ''which provides professional services involving'' for ''to
provide professional services which involves'', and struck out ''for
compensation'' after ''relationship''.
Pub. L. 101-280, 7(b)(2), in par. (3) substituted ''receive
compensation for practicing'' for ''practice'' and struck out ''for
compensation'' after ''relationship''.
Section effective Jan. 1, 1991, but shall cease to be effective if
the provisions of section 703 of Pub. L. 101-194, 5 U.S.C. 5318 note,
are subsequently repealed, see section 603 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 7701 of Title
26, Internal Revenue Code.
05 USC 503. Administration
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
This title shall be subject to the rules and regulations of --
(1) and administered by --
(A) the Committee on Standards of Official Conduct of the House of
Representatives, with respect to Members, officers, and employees of the
House of Representatives; and
(B) in the case of Senators and legislative branch officers and
employees other than those officers and employees specified in
subparagraph (A), the committee to which reports filed by such officers
and employees under title I are transmitted under such title, except
that the authority of this section may be delegated by such committee
with respect to such officers and employees;
(2) the Office of Government Ethics and administered by designated
agency ethics officials with respect to officers and employees of the
executive branch; and
(3) and administered by the Judicial Conference of the United States
(or such other agency as it may designate) with respect to officers and
employees of the judicial branch.
(Pub. L. 95-521, title V, 503, as added Pub. L. 101-194, title VI,
601(a), Nov. 30, 1989, 103 Stat. 1761; amended Pub. L. 101-280, 7(c),
May 4, 1990, 104 Stat. 161; Pub. L. 102-90, title I, 6(b)(1), Aug. 14,
1991, 105 Stat. 450.)
A prior section 503 of Pub. L. 95-521, title V, Oct. 26, 1978, 92
Stat. 1867, is set out as a note under section 207 of Title 18, Crimes
and Criminal Procedure.
1991 -- Par. (1)(B). Pub. L. 102-90 substituted ''Senators and
legislative branch officers and employees'' for ''legislative branch
officers and employees other than Senators, officers, and employees of
the Senate and''.
1990 -- Par. (1). Pub. L. 101-280 amended par. (1) generally.
Prior to amendment, par. (1) read as follows: ''and administered by
the committee of the House of Representatives assigned responsibility
for administering the reporting requirements of title I with respect to
Members, officers and employees of the House of Representatives;''.
Section 6(f)(1) of Pub. L. 102-90 provided that: ''Except for the
provisions of subsection (e)(1) (105 Stat. 451), the provisions of this
section (amending this section and section 505 of Pub. L. 95-521, set
out in this Appendix, repealing sections 31-1 and 441i of Title 2, The
Congress, enacting provisions set out as a note under section 5318 of
this title, and repealing provisions set out as notes under sections 31
and 358 of Title 2) shall take effect on the date of the enactment of
this Act (Aug. 14, 1991).''
Section effective Jan. 1, 1991, but shall cease to be effective if
the provisions of section 703 of Pub. L. 101-194, 5 U.S.C. 5318 note,
are subsequently repealed, see section 603 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 7701 of Title
26, Internal Revenue Code.
05 USC 504. Civil Penalties
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
(a) Civil Action. -- The Attorney General may bring a civil action in
any appropriate United States district court against any individual who
violates any provision of section 501 or 502. The court in which such
action is brought may assess against such individual a civil penalty of
not more than $10,000 or the amount of compensation, if any, which the
individual received for the prohibited conduct, whichever is greater.
(b) Advisory Opinions. -- Any entity described in section 503 may
render advisory opinions interpreting this title, in writing, to
individuals covered by this title. Any individual to whom such an
advisory opinion is rendered and any other individual covered by this
title who is involved in a fact situation which is indistinguishable in
all material aspects, and who, after the issuance of such advisory
opinion, acts in good faith in accordance with its provisions and
findings shall not, as a result of such actions, be subject to any
sanction under subsection (a).
(Pub. L. 95-521, title V, 504, as added Pub. L. 101-194, title VI,
601(a), Nov. 30, 1989, 103 Stat. 1761.)
Section effective Jan. 1, 1991, but shall cease to be effective if
the provisions of section 703 of Pub. L. 101-194, 5 U.S.C. 5318 note,
are subsequently repealed, see section 603 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 7701 of Title
26, Internal Revenue Code.
05 USC 505. Definitions
TITLE 5, APPENDIX -- ETHICS IN GOVERNMENT ACT OF 1978
For purposes of this title:
(1) The term ''Member'' means a Senator in, a Representative in, or a
Delegate or Resident Commissioner to, the Congress.
(2) The term ''officer or employee'' means any officer or employee of
the Government except any special Government employee (as defined in
section 202 of title 18, United States Code).
(3) The term ''honorarium'' means a payment of money or any thing of
value for an appearance, speech or article (including a series of
appearances, speeches, or articles if the subject matter is directly
related to the individual's official duties or the payment is made
because of the individual's status with the Government) by a Member,
officer or employee, excluding any actual and necessary travel expenses
incurred by such individual (and one relative) to the extent that such
expenses are paid or reimbursed by any other person, and the amount
otherwise determined shall be reduced by the amount of any such expenses
to the extent that such expenses are not paid or reimbursed.
(4) The term ''travel expenses'' means, with respect to a Member,
officer or employee, or a relative of any such individual, the cost of
transportation, and the cost of lodging and meals while away from his or
her residence or principal place of employment.
(5) The term ''charitable organization'' means an organization
described in section 170(c) of the Internal Revenue Code of 1986 (26
U.S.C. 170(c)).
(Pub. L. 95-521, title V, 505, as added Pub. L. 101-194, title VI,
601(a), Nov. 30, 1989, 103 Stat. 1761; amended Pub. L. 102-90, title I,
6(b)(2), (3), title III, 314(b), Aug. 14, 1991, 105 Stat. 450, 469.)
1991 -- Par. (1). Pub. L. 102-90, 6(b)(2), inserted ''a Senator
in,'' before ''a Representative''.
Par. (2). Pub. L. 102-90, 6(b)(3), struck out ''(A) any individual
(other than the Vice President) whose compensation is disbursed by the
Secretary of the Senate or (B)'' after ''except''.
Par. (3). Pub. L. 102-90, 314(b), inserted ''(including a series of
appearances, speeches, or articles if the subject matter is directly
related to the individual's official duties or the payment is made
because of the individual's status with the Government)'' before ''by a
Member''.
Amendment by section 314(b) of Pub. L. 102-90 effective Jan. 1,
1992, see section 314(g)(1) of Pub. L. 102-90, as amended, set out as a
note under section 31-2 of Title 2, The Congress.
Section effective Jan. 1, 1991, but shall cease to be effective if
the provisions of section 703 of Pub. L. 101-194, 5 U.S.C. 5318 note,
are subsequently repealed, see section 603 of Pub. L. 101-194, set out
as an Effective Date of 1989 Amendment note under section 7701 of Title
26, Internal Revenue Code.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
05 USC REORGANIZATION PLANS
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
corresponding prior provisions of law.
05 USC REORGANIZATION PLAN NO. I OF 1939
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
June 7, 1939, ch. 193, 53 Stat. 813, as amended
Sept. 13, 1982, Pub. L. 97-258, 5(b), 96 Stat.
1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 25, 1939, pursuant to
the provisions of the Reorganization Act of 1939, approved April 3,
1939.
05 USC Section 1. Bureau of the Budget
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred the Bureau of the Budget and its functions and
personnel from the Treasury Department to the Executive Office of the
President, and provided that the functions of the Bureau be administered
by the Director under the direction and supervision of the President.
See 31 U.S.C. 501 et seq.)
05 USC Sec. 2. Central Statistical Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred the Central Statistical Board and its
functions and personnel to the Bureau of the Budget, and provided that
the Chairman of the Board perform such administrative duties as the
Director of the Bureau shall prescribe.)
05 USC Sec. 3. Central Statistical Committee Abolished and Functions
Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section abolished the Board and transferred its functions to the
Director of the Bureau of the Budget.)
05 USC Sec. 4. National Resources Planning Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The functions of the National Resources Committee, established by
Executive Order No. 7065 of June 7, 1935, and its personnel (except the
members of the Committee) and all of the functions of the Federal
Employment Stabilization Office in the Department of Commerce and its
personnel are hereby transferred to the Executive Office of the
President. The functions transferred by this section are hereby
consolidated, and they shall be administered under the direction and
supervision of the President by the National Resources Planning Board
(hereafter referred to as the Board), which shall be composed of five
members to be appointed by the President. The President shall designate
one of the members of the Board as Chairman and another as Vice
Chairman. The Vice Chairman shall act as Chairman in the absence of the
Chairman or in the event of a vacancy in that office. The members of
the Board shall be compensated at the rate of $50 per day for time spent
in attending and traveling to and from meetings, or in otherwise
exercising the functions and duties of the Board, plus the actual cost
of transportation: Provided, That in no case shall a member be entitled
to receive compensation for more than thirty days' service in two
consecutive months. (Functions of Board were authorized to be carried
out until June 30, 1940, and provisions concerning composition of Board
were contained in Emergency Relief Appropriation Act of 1939.)
(b) The Board shall determine the rules of its own proceedings, and a
majority of its members in office shall constitute a quorum for the
transaction of business, but the Board may function notwithstanding
vacancies.
(c) The Board may appoint necessary officers and employees and may
delegate to such officers authority to perform such duties and make such
expenditures as may be necessary. (Board abolished August 31, 1943, by
act June 26, 1943, ch. 145, title I, 1, 57 Stat. 170, and records and
files were transferred to the National Archives.)
05 USC Sec. 5. National Resources Committee Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The National Resources Committee is hereby abolished, and its
outstanding affairs shall be wound up by the National Resources Planning
Board.
05 USC Sec. 6. Federal Employment Stabilization Office Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Federal Employment Stabilization Office is hereby abolished, and
the Secretary of Commerce shall promptly wind up its affairs.
05 USC Sec. 7. Transfer of Records and Property
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
All records and property (including office equipment) of the several
agencies transferred, or the functions of which are transferred, by this
part are hereby transferred to the Executive Office of the President for
use in the administration of the agencies and functions transferred by
this part.
05 USC Sec. 8. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
So much of the unexpended balances of appropriations, allocations, or
other funds available (including those available for the fiscal year
ending June 30, 1940) for the use of any agency in the exercise of any
functions transferred by this part, or for the use of the head of any
department or agency in the exercise of any functions so transferred, as
the Director of the Bureau of the Budget shall determine, shall be
transferred to the Executive Office of the President for use in
connection with the exercise of functions transferred by this part. In
determining the amount to be transferred the Director of the Bureau of
the Budget may include an amount to provide for the liquidation of
obligations incurred against such appropriations, allocations, or other
funds prior to the transfer: Provided, That the use of the unexpended
balances of appropriations, allocations, or other funds transferred by
this section shall be subject to the provisions of section 4(d)(3) and
section 9 of the Reorganization Act of 1939.
05 USC Sec. 9. Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
Any personnel transferred by this part found to be in excess of the
personnel necessary for the efficient administration of the functions
transferred by this part shall be retransferred under existing law to
other positions in the Government service, or separated from the service
subject to the provisions of section 10(a) of the Reorganization Act of
1939.
05 USC Sec. 201. Federal Security Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The United States Employment Service in the Department of Labor
and its functions and personnel are transferred from the Department of
Labor; the Office of Education in the Department of the Interior and
its functions and personnel (including the Commissioner of Education)
are transferred from the Department of the Interior; the Public Health
Service in the Department of the Treasury and its functions and
personnel (including the Surgeon General of the Public Health Service)
are transferred from the Department of the Treasury; the National Youth
Administration within the Works Progress Administration and its
functions and personnel (including its Administrator) are transferred
from the Works Progress Administration; and these agencies and their
functions, together with the Social Security Board and its functions,
and the Civilian Conservation Corps and its functions, are hereby
consolidated under one agency to be known as the Federal Security
Agency, with a Federal Security Administrator at the head thereof. The
Federal Security Administrator shall be appointed by the President, by
and with the advice and consent of the Senate, and shall receive a
salary at the rate of $12,000 per annum. He shall have general
direction and supervision over the administration of the several
agencies consolidated into the Federal Security Agency by this section
and shall be responsible for the coordination of their functions and
activities.
(b) The Federal Security Administrator shall appoint an Assistant
Federal Security Administrator, who shall receive a salary at the rate
of $9,000 per annum, and he may also appoint such other personnel and
make such expenditures as may be necessary.
(c) The Assistant Administrator shall act as Administrator during the
absence or disability of the Administrator or in the event of a vacancy
in that office and shall perform such other duties as the Administrator
shall direct.
(d) The several agencies and functions consolidated by this section
into the Federal Security Agency shall carry with them their personnel.
(Federal Security Agency abolished and functions transferred to
Department of Health, Education, and Welfare (Health and Human Services)
by Reorg. Plan No. 3 of 1953.)
05 USC Sec. 202. Social Security Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Social Security Board and its functions shall be administered as
a part of the Federal Security Agency under the direction and
supervision of the Federal Security Administrator. The Chairman of the
Social Security Board shall perform such administrative duties as the
Federal Security Administrator shall direct.
05 USC Sec. 203. United States Employment Service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The functions of the United States Employment Service shall be
consolidated with the unemployment compensation functions of the Social
Security Board and shall be administered in the Social Security Board in
connection with such unemployment compensation functions under the
direction and supervision of the Federal Security Administrator.
(b) The office of the Director of the United States Employment
Service is hereby abolished, and all of the functions of such office are
transferred to, and shall be exercised by, the Social Security Board.
(c) All functions of the Secretary of Labor relating to the
administration of the United States Employment Service are hereby
transferred to, and shall be exercised by, the Federal Security
Administrator.
05 USC Sec. 204. Office of Education
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The Office of Education and its functions shall be administered
by the Commissioner of Education under the direction and supervision of
the Federal Security Administrator.
(b) All functions of the Secretary of the Interior relating to the
administration of the Office of Education are hereby transferred to, and
shall be exercised by, the Federal Security Administrator.
05 USC Sec. 205. Public Health Service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The Public Health Service and its functions shall be administered
by the Surgeon General of the Public Health Service under the direction
and supervision of the Federal Security Administrator.
(b) All the functions of the Secretary of the Treasury relating to
the administration of the Public Health Service, except those functions
relating to the acceptance and investment of gifts as authorized by
sections 23(b) and 137(e), /1/ title 42, U.S. Code (see 42 U.S.C. 219,
286d), are hereby transferred to, and shall be exercised by, the Federal
Security Administrator.
/1/ So in original. Probably should be ''sections 23b and 137e,''.
05 USC Sec. 206. National Youth Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The National Youth Administration and its functions shall be
administered by the National Youth Administrator under the direction and
supervision of the Federal Security Administrator. (National Youth
Administration was extended until June 30, 1940, by Emergency Relief
Appropriation Act of 1939, 2(d) and until June 30, 1941, by
Labor-Federal Security Appropriation Act, 1941, title II), (National
Youth Administration was transferred to War Manpower Commission by Ex.
Ord. No. 9247.)
(Liquidation of the National Youth Administration was provided for by
acts July 12, 1943, ch. 221, title VII, 57 Stat. 518; June 28, 1944,
ch. 302, title II, 58 Stat. 564, and disposal of its property was
covered by acts July 12, 1943, ch. 229, title I, 57 Stat. 540; Dec. 23,
1943, ch. 380, title I, 57 Stat. 615.)
05 USC Sec. 207. Civilian Conservation Corps
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Civilian Conservation Corps and its functions shall be
administered by the Director of the Civilian Conservation Corps under
the direction and supervision of the Federal Security Administrator.
05 USC Sec. 208. Transfer of Records and Property
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
All records and property (including office equipment) of the several
agencies which, with their functions, are consolidated by section 201
into the Federal Security Agency are hereby transferred to the
jurisdiction and control of the Federal Security Agency for use in the
administration of the agencies and functions consolidated by that
section.
05 USC Sec. 209. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
So much of the unexpended balances of appropriations, allocations, or
other funds (including those available for the fiscal year ending June
30, 1940) available for the use of any agency in the exercise of any
functions transferred by this part, or for the use of the head of any
department or agency in the exercise of any functions so transferred, as
the Director of the Bureau of the Budget shall determine, shall be
transferred for use in connection with the exercise of the functions
transferred by this part. In determining the amount to be transferred
the Director of the Bureau of the Budget may include an amount to
provide for the liquidation of obligations incurred against such
appropriations, allocations, or other funds prior to the transfer:
Provided, That the use of the unexpended balances of appropriations,
allocations, or other funds transferred by this section shall be subject
to the provisions of section 4(d)(3) and section 9 of the Reorganization
Act of 1939.
05 USC Sec. 210. Administrative Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Director of the Bureau of the Budget shall allocate to the
Federal Security Agency, from appropriations, allocations, or other
funds available (including those available for the fiscal year ending
June 30, 1940) for the administrative expenses of the agencies and
functions consolidated by this part, such sums, and in such proportions,
as he may find necessary for the administrative expenses of the Federal
Security Agency.
05 USC Sec. 211. Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
Any personnel transferred by this part found to be in excess of the
personnel necessary for the efficient administration of the functions
transferred by this part shall be retransferred under existing law to
other positions in the Government service, or separated from the service
subject to the provisions of section 10(a) of the Reorganization Act of
1939.
05 USC Sec. 301. Federal Works Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The Bureau of Public Roads in the Department of Agriculture and
its functions and personnel (including the Chief thereof) are
transferred from the Department of Agriculture; the Public Buildings
Branch of the Procurement Division in the Treasury Department and its
functions and personnel are transferred from the Treasury Department;
the Branch of Buildings Management of the National Park Service in the
Department of the Interior and its functions and personnel (except those
relating to monuments and memorials), and the functions of the National
Park Service in the District of Columbia in connection with the general
assignment of space, the selection of sites for public buildings, and
the determination of the priority in which the construction or
enlargement of public buildings shall be undertaken, and the personnel
engaged exclusively in the administration of such functions, and the
United States Housing Authority in the Department of the Interior and
its functions and personnel (including the Administrator) are
transferred from the Department of the Interior; and all of these
agencies and functions, together with the Federal Emergency
Administration of Public Works and its functions, and all of the Works
Progress Administration and its functions (except the National Youth
Administration and its functions) are hereby consolidated into one
agency to be known as the Federal Works Agency, with a Federal Works
Administrator at the head thereof. The Federal Works Administrator
shall be appointed by the President, by and with the advice and consent
of the Senate, and shall receive a salary at the rate of $12,000 per
annum. He shall have general direction and supervision over the
administration of the several agencies consolidated into the Federal
Works Agency by this section and shall be responsible for the
coordination of their functions. (Federal Works Agency abolished and
functions transferred to General Services Administration by act June 30,
1949, ch. 288, title I, 103, 63 Stat. 380.)
(b) The Federal Works Administrator shall appoint an Assistant
Federal Works Administrator, who shall receive a salary at the rate of
$9,000 per annum, and he may also appoint such other personnel and make
such expenditures as may be necessary.
(c) The Assistant Administrator shall act as Administrator during the
absence or disability of the Administrator, or in the event of a vacancy
in that office, and shall perform such other duties as the Administrator
shall direct.
(d) The several agencies and functions consolidated by this section
in the Federal Works Agency shall carry with them their personnel.
05 USC Sec. 302. Public Roads Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The Bureau of Public Roads and its functions shall be
administered as the Public Roads Administration at the head of which
shall be the Chief of the Bureau of Public Roads whose title shall be
changed to Commissioner of Public Roads. Hereafter the Commissioner of
Public Roads shall be appointed by the Federal Works Administrator.
(b) All functions of the Secretary of Agriculture relating to the
administration of the Bureau of Public Roads are hereby transferred to,
and shall be exercised by, the Federal Works Administrator.
05 USC Sec. 303. Public Buildings Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The Public Buildings Branch of the Procurement Division and its
functions the Branch of Buildings Management of the National Park
Service and its functions (except those relating to monuments and
memorials) and the functions of the National Park Service in the
District of Columbia in connection with the general assignment of space,
the selection of sites for public buildings, and the determination of
the priority in which the construction or enlargement of public
buildings shall be undertaken, are hereby consolidated and shall be
administered as the Public Buildings Administration, with a Commissioner
of Public Buildings at the head thereof. The Commissioner of Public
Buildings shall be appointed by the Federal Works Administrator and
shall receive a salary at the rate of $9,000 per annum. The
Commissioner of Public Buildings shall act under the direction and
supervision of the Federal Works Administrator.
(b) All functions of the Secretary of the Treasury and the Director
of Procurement relating to the Administration of the Public Buildings
Branch of the Procurement Division and to the selection of location and
sites for public buildings, and all functions of the Secretary of the
Interior and the Director of the National Park Service relating to the
administration of the functions of the Branch of Buildings Management
and the functions of the National Park Service in the District of
Columbia in connection with the general assignment of space, the
selection of sites for public buildings, and the determination of the
priority in which the construction or enlargement of public buildings
shall be undertaken, are hereby transferred to, and shall be exercised
by, the Federal Works Administrator.
05 USC Sec. 304. United States Housing Authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) The United States Housing Authority and its functions shall be
administered by the United States Housing Administrator under the
direction and supervision of the Federal Works Administrator.
(b) All functions of the Secretary of the Interior relating to the
administration of the United States Housing Authority are hereby
transferred to, and shall be exercised by, the Federal Works
Administrator. (United States Housing Authority consolidated with other
agencies into National Housing Authority during World War II, see Ex.
Ord. No. 9070.) (Change of name of United States Housing Authority to
Public Housing Administration and transfer to Housing and Home Finance
Agency, see 1947 Reorg. Plan No. 3.) (Housing and Home Finance Agency
lapsed and functions were transferred to Secretary of Housing and Urban
Development, see section 9(c) of Pub. L. 89-174, Sept. 9, 1965, 79 Stat.
670, set out as a note under 42 U.S.C. 3531.)
05 USC Sec. 305. Public Works Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Federal Emergency Administration of Public Works and its
functions shall be administered as the Public Works Administration with
a Commissioner of Public Works at the head thereof. The Commissioner of
Public Works shall be appointed by the Federal Works Administrator and
shall receive a salary at the rate of $10,000 per annum. The
Commissioner of Public Works shall act under the direction and
supervision of the Federal Works Administrator.
(Appropriations for liquidation of the Public Works Administration
were authorized by the Second Deficiency Appropriation Act of 1944, act
June 28, 1944, ch. 304, title I, 58 Stat. 602, and First Deficiency
Appropriation Act, 1945, act Apr. 25, 1945, ch. 95, title I, 1, 59
Stat. 80.)
05 USC Sec. 306. Work Projects Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Works Progress Administration and its functions (except the
National Youth Administration and its functions) shall be administered
as the Work Projects Administration, with a Commissioner of Work
Projects at the head thereof. The Commissioner shall be appointed by
the Federal Works Administrator and shall receive a salary at the rate
of $10,000 per annum. The Commissioner shall act under the direction
and supervision of the Federal Works Administrator. (Functions were
authorized to be carried out until June 30, 1941, and provisions
concerning appointment of Commissioner were contained in Emergency
Relief Appropriation Act of 1939, 1(f and g) and Emergency Relief
Appropriation Act of 1941, 1(i and j), set out in note under chapter 16
of Title 15, Commerce and trade.) (Functions were authorized to be
carried out until June 30, 1941, and provisions concerning appointment
of Commissioner were contained in Emergency Relief Appropriation Act of
1939, 1(f and g) and Emergency Relief Appropriation Act of 1941, 1(i
and j).) (Functions, records, property, personnel and administration of
the Sample Surveys Section of Work Projects Administration transferred
to Bureau of Census, Dept. of Commerce, see Ex. Ord. No. 9232.)
(Liquidation of the Works Projects Administration was ordered by
President's letter of December 4, 1942, and appropriations for the
liquidation were authorized by act July 12, 1943, ch. 229, title I, 57
Stat. 540.)
05 USC Sec. 307. Transfer of Records and Property
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
All records and property (including office equipment) of the several
agencies which, with their functions, are consolidated by section 301
into the Federal Works Agency are hereby transferred to the jurisdiction
and control of the Federal Works Agency for use in the administration of
the agencies and functions consolidated by that section.
05 USC Sec. 308. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
(a) So much of the unexpended balances of appropriations,
allocations, or other funds available (including those available for the
fiscal year ending June 30, 1940) for the use of any agency (except the
United States Housing Authority) in the exercise of any functions
transferred by this part, or for the use of the head of any department
or agency in the exercise of any functions so transferred, and so much
of such balances available to the United States Housing Authority for
administrative expenses, as the Director of the Bureau of the Budget
shall determine, shall be transferred for use in connection with the
exercise of the functions transferred by this Part. In determining the
amount to be transferred the Director of the Bureau of the Budget may
include an amount to provide for the liquidation of obligations incurred
against such appropriations, allocations, or other funds prior to the
transfer: Provided, That the use of the unexpended balances of
appropriations, allocations, or other funds transferred by this section
shall be subject to the provisions of section 4(d)(3) and section 9 of
the Reorganization Act of 1939.
(b) All unexpended balances of appropriations, allocations, or other
funds available (including those available for the fiscal year ending
June 30, 1940) for the use of the United States Housing Authority, other
than those transferred by subsection (a) of this section, are hereby
transferred with the United States Housing Authority and shall remain
available to it for the exercise of its functions.
05 USC Sec. 309. Administrative Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Director of the Bureau of the Budget shall allocate to the
Federal Works Agency, from appropriations, allocations, or other funds
available (including those available for the fiscal year ending June 30,
1940) for the administrative expenses of the agencies and functions
consolidated by section 301, such sums, and in such proportions, as he
may find necessary for the administrative expenses of the Federal Works
Agency.
05 USC Sec. 310. Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
Any of the personnel transferred by this part found to be in excess
of the personnel necessary for the efficient administration of the
functions transferred by this part shall be retransferred under existing
law to other positions in the Government service, or separated from the
service subject to the provisions of section 10(a) of the Reorganization
Act of 1939.
05 USC Sec. 401. (a) Transfers to the Department of Agriculture
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Farm Credit Administration, the Federal Farm Mortgage
Corporation, and the Commodity Credit Corporation, and their functions
and activities, together with their respective personnel, records, and
property (including office equipment), are hereby transferred to the
Department of Agriculture and shall be administered in such Department
under the general direction and supervision of the Secretary of
Agriculture, who shall be responsible for the coordination of their
functions and activities.
05 USC (b) Transfer of Administrative Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
So much of the unexpended balances of appropriations, allocations, or
other funds available (including those available for the fiscal year
ending June 30, 1940) for the administrative expenses of any agency
transferred by this section, as the Director of the Bureau of the Budget
shall determine, shall be transferred to the Secretary of Agriculture
for such use; and the Director of the Bureau of the Budget shall
allocate to the Secretary of Agriculture from such funds, such sums, and
in such proportions, as he may find necessary for the administrative
expenses of the Secretary of Agriculture in connection with the agencies
and functions transferred by this section. In determining the amount to
be transferred, the Director of the Bureau of the Budget may include an
amount to provide for the liquidation of obligations incurred against
such appropriations, allocations, or other funds prior to the transfer.
The use of the unexpended balances of appropriations, allocations, or
other funds transferred by this subsection shall be subject to the
provision of section 4(d)(3) and section 9 of the Reorganization Act of
1939.
05 USC (c) Transfer of Other Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
All unexpended balances of appropriations, allocations, or other
funds, other than those mentioned in subsection (b) of this section,
available (including those available for the fiscal year ending June 30,
1940) for any agency transferred by subsection (a) of this section shall
be transferred with such agency and shall remain available to it for the
exercise of its functions. (Electric Home and Farm Authority was
terminated as a federal agency by Ex. Ord. No. 9256, Oct. 13, 1942.)
05 USC (d) Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
Any of the personnel transferred by this section to the Department of
Agriculture which the Secretary of Agriculture shall find to be in
excess of the personnel necessary for the administration of the
functions transferred by this section shall be retransferred under
existing law to other positions in the Government, or separated from the
service subject to the provisions of section 10(a) of the Reorganization
Act of 1939.
05 USC Sec. 402. (a) Federal Loan Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
There shall be at the seat of the Government a Federal Loan Agency,
with a Federal Loan Administrator at the head thereof. The Federal Loan
Administrator shall be appointed by the President by and with the advice
and consent of the Senate, and shall receive a salary at the rate of
$12,000 per annum.
05 USC (b) Assistant Federal Loan Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Federal Loan Administrator shall appoint an Assistant Federal
Loan Administrator, who shall receive a salary at the rate of $9,000 per
annum. The Assistant Administrator shall act as Administrator during
the absence or disability of the Administrator, or in the event of a
vacancy in that office, and shall perform such other duties as the
Administrator shall direct.
05 USC (c) Powers and Duties of Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Administrator shall supervise the administration, and shall be
responsible for the coordination of the functions and activities, of the
following agencies: Reconstruction Finance Corporation, Electric Home
and Farm Authority, R.F.C. Mortgage Company, Disaster Loan Corporation,
Federal National Mortgage Association, Federal Home Loan Bank Board,
Home Owners' Loan Corporation, Federal Savings and Loan Insurance
Corporation, Federal Housing Administration, and Export-Import Bank of
Washington. The Administrator may appoint such officers and employees
and make such expenditures as may be necessary. (For subsequent
history, see Codification note set out under 15 U.S.C. 1801 et seq.)
05 USC (d) Administrative Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
The Director of the Bureau of the Budget shall allocate to the
Federal Loan Agency, from appropriations, allocations, or other funds
available (including those available for the fiscal year ending June 30,
1940) for the administrative expenses of the agencies named in this
section, such sums, and in such proportion, as he may find necessary for
the administrative expenses of the Federal Loan Agency.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
To the Congress of the United States:
Pursuant to the provisions of the Reorganization Act of 1939 (Public,
No. 19, 76th Cong., 1st sess.), approved April 3, 1939, I herewith
transmit Reorganization Plan No. I, which, after investigation, I have
prepared in accordance with the provisions of section 4 of the act; and
I declare that with respect to each transfer, consolidation, or
abolition made in Reorganization Plan No. I, I have found that such
transfer, consolidation, or abolition is necessary to accomplish one or
more of the purposes of section 1(a) of the act.
In these days of ruthless attempts to destroy democratic government,
it is boldly asserted that democracies must always be weak in order to
be democratic at all; and that, therefore, it will be easy to crush all
free states out of existence.
Confident in our Republic's 150 years of successful resistance to all
subversive attempts upon it, whether from without or within,
nevertheless we must be constantly alert to the importance of keeping
the tools of American democracy up to date. It is our responsibility to
make sure that the people's government is in condition to carry out the
people's will, promptly, effectively, without waste or lost motion.
In 1883 under President Arthur we strengthened the machinery of
democracy by the Civil Service law; beginning in 1905 President
Roosevelt initiated important inquiries into Federal administration; in
1911 President Taft named the Economy and Efficiency Commission which
made very important recommendations; in 1921 under Presidents Wilson
and Harding we tightened up our budgetary procedure. Presidents
Theodore Roosevelt, Taft, Wilson, Harding, Coolidge, and Hoover in
succession strongly recommended the rearrangement of Federal
administrative activities. In 1937 I proposed, on the basis of an
inquiry authorized and appropriated for by the Congress, the
strengthening of the administrative management of the executive
establishment.
None of all this long series of suggestions, running over more than a
quarter of a century, was in any sense personal or partisan in design.
These measures have all had only one supreme purpose -- to make
democracy work -- to strengthen the arms of democracy in peace or war
and to ensure the solid blessings of free government to our people in
increasing measure.
We are not free if our administration is weak. But we are free if we
know, and others know, that we are strong; that we can be tough as well
as tender hearted; and that what the American people decide to do can
and will be done, capably and effectively, with the best national
equipment that modern organizing ability can supply in a country where
management and organization is so well understood in private affairs.
My whole purpose in submitting this plan is to improve the
administrative management of the Republic, and I feel confident that our
Nation is united in this central purpose, regardless of differences upon
details.
This plan is concerned with the practical necessity of reducing the
number of agencies which report directly to the President and also of
giving the President assistance in dealing with the entire executive
branch by modern means of administrative management.
Forty years ago in 1899 President McKinley could deal with the whole
machinery of the executive branch through his 8 cabinet secretaries and
the heads of 2 commissions; and there was but 1 commission of the
so-called quasi-judicial type in existence. He could keep in touch with
all the work through 8 or 10 persons.
Now, 40 years later, not only do some 30 major agencies (to say
nothing of the minor ones) report directly to the President, but there
are several quasi-judicial bodies which have enough administrative work
to require them also to see him on important executive matters.
It has become physically impossible for one man to see so many
persons, to receive reports directly from them, and to attempt to advise
them on their own problems which they submit. In addition the President
today has the task of trying to keep their programs in step with each
other or in line with the national policy laid down by the Congress.
And he must seek to prevent unnecessary duplication of effort.
The administrative assistants provided for the President in the
Reorganization Act cannot perform these functions of over-all management
and direction. Their task will be to help me get information, and
condense and summarize it -- they are not to become in any sense
Assistant Presidents nor are they to have any authority over anybody in
any department or agency.
The only way in which the President can be relieved of the physically
impossible task of directly dealing with 30 or 40 major agencies is by
reorganization -- by the regrouping of agencies according to their major
purposes under responsible heads who will report to the President, just
as is contemplated by the Reorganization Act of 1939.
This act says that the President shall investigate the organization
of all agencies of the Government and determine what changes are
necessary to accomplish any one or more of five definite purposes:
(1) To reduce expenditures;
(2) To increase efficiency;
(3) To consolidate agencies according to major purposes;
(4) To reduce the number of agencies by consolidating those having
similar functions and by abolishing such as may not be necessary;
(5) To eliminate overlapping and duplication of effort.
It being obviously impracticable to complete this task at one time,
but having due regard to the declaration of Congress that it should be
accomplished immediately and speedily, I have decided to undertake it
promptly in several steps.
The first step is to improve over-all management, that is, to do
those things which will accomplish the purposes set out in the law, and
which, at the same time, will reduce the difficulties of the President
in dealing with the multifarious agencies of the executive branch and
assist him in distributing his responsibilities as the chief
administrator of the Government by providing him with the necessary
organization and machinery for better administrative management.
The second step is to improve the allocation of departmental
activities, that is, to do those things which will accomplish the
purposes set out in the law and at the same time help that part of the
work of the executive branch which is carried on through executive
departments and agencies. In all this the responsibility to the people
is through the President.
The third step is to improve intradepartmental management, that is,
to do those things which will enable the heads of departments and
agencies the better to carry out their own duties and distribute their
own work among their several assistants and subordinates.
Each of these three steps may require from time to time the
submission of one or more plans involving one or more reorganizations,
but it is my purpose to fulfill the duty imposed upon me by the Congress
as expeditiously as practicable and to the fullest extent possible in
view of the exceptions and exemptions set out in the act.
The plan I now transmit is divided into four parts or sections which
I shall describe briefly as follows:
In my message to the Congress of January 12, 1937, in discussing the
problem of how to improve the administrative management of the executive
branch, I transmitted with my approval certain recommendations for
strengthening and developing the management arms of the President.
Those three management arms deal with (1) budget, and efficiency
research, (2) planning, and (3) personnel. My accumulated experience
during the 2 years since that time has deepened my conviction that it is
necessary for the President to have direct access to these managerial
agencies in order that he may have the machinery to enable him to carry
out his constitutional responsibility, and in order that he may be able
to control expenditures, to increase efficiency, to eliminate
overlapping and duplication of effort, and to be able to get the
information which will permit him the better to advise the Congress
concerning the state of the Union and the program of the Government.
Therefore, I find it necessary and desirable in carrying out the
purposes of the act to transfer the Bureau of the Budget to the
Executive Office of the President from the Treasury Department. It is
apparent from the legislative history of the Budget and Accounting Act
that it was the purpose in 1921 to set up an Executive Budget for which
the President would be primarily responsible to the Congress and to the
people, and that the Director of the Budget was to act under the
immediate direction and supervision of the President. While no serious
difficulties have been encountered because of the fact that the Bureau
of the Budget was placed in the Treasury Department so far as making
budgetary estimates has been concerned, it is apparent that its
coordinating activities and its research and investigational activities
recently provided for by the Congress, will be facilitated if the Bureau
is not a part of 1 of the 10 executive departments. Also, in order that
the Bureau of the Budget may the better carry out its work of
coordination and investigation, I find it desirable and necessary in
order to accomplish the purposes of the act to transfer to the Bureau of
the Budget the functions of the Central Statistical Board.
By these transfers to the Executive Office, the President will be
given immediate access to that managerial agency which is concerned with
the preparation and administration of the Budget, with the coordination
of the work of the governmental agencies, and with research and
investigation necessary to accomplish the five definite purposes of the
Reorganization Act of 1939.
I also find it necessary and desirable to transfer to the Executive
Office of the President the National Resources Committee, now an
independent establishment, and to consolidate with it by transfer from
the Department of Commerce the functions of the Federal Employment
Stabilization Office, the consolidated unit to be known as the National
Resources Planning Board. This Board would be made up as is the present
Advisory Board of the National Resources Committee of citizens giving
part-time services to the Government, who aided by their technical staff
would be able to advise the President, the Congress, and the people with
respect to plans and programs for the conservation of the national
resources, physical and human. By these transfers to the Executive
Office, the President will be given more direct access to and immediate
direction over that agency which is concerned with planning for the
utilization and conservation of the national resources, an indispensable
part of the equipment of the Chief Executive.
On previous occasions I have recommended and I hereby renew and
emphasize my recommendation that the work of this Board be placed upon a
permanent statutory basis.
Because of an exemption in the act, it is impossible to transfer to
the Executive Office the administration of the third managerial function
of the Government, that of personnel. However, I desire to inform the
Congress that it is my purpose to name one of the administrative
assistants to the President, authorized in the Reorganization Act of
1939, to serve as a liaison agent of the White House on personnel
management.
In this manner, the President will be given for the first time direct
access to the three principal necessary management agencies of the
Government. None of the three belongs in any existing department. With
their assistance, and with this reorganization, it will be possible for
the President to continue the task of making investigations of the
organization of the Government in order to control expenditures,
increase efficiency, and eliminate overlapping.
Studies heretofore made by me and researches made at my direction, as
well as recommendations submitted by me to the Congress, and especially
those contained in my message of January 12, 1937, indicate clearly that
to carry out the purposes of the Reorganization Act of 1939 to group,
coordinate, and consolidate agencies of the Government according to
major purposes and to reduce the number of agencies by consolidating
those having similar functions under a single head, would require the
provision of 3 general agencies in addition to the 10 executive
departments.
It is my objective, then, by transfer, consolidation, and abolition
to set up a Federal Security Agency, a Federal Works Agency, and a
Federal Loan Agency, and then to distribute among the 10 executive
departments and these 3 new agencies, the major independent
establishments in the Government (excepting those exempt from the
operations of the act) in order to minimize overlapping and duplication,
to increase efficiency and to reduce expenditures to the fullest extent
consistent with the efficient operation of the Government.
I find it necessary and desirable to group in a Federal Security
Agency those agencies of the Government, the major purposes of which are
to promote social and economic security, educational opportunity, and
the health of the citizens of the Nation.
The agencies to be grouped are the Social Security Board, now an
independent establishment, the United States Employment Service, now in
the Department of Labor, the Office of Education, now in the Department
of the Interior, the Public Health Service, now in the Treasury
Department, the National Youth Administration, now in the Works Progress
Administration, and the Civilian Conservation Corps, now an independent
agency.
The Social Security Board is placed under the Federal Security
Agency, and at the same time the United States Employment Service is
transferred from the Department of Labor and consolidated with the
unemployment compensation functions of the Social Security Board in
order that their similar and related functions of social and economic
security may be placed under a single head and their internal operations
simplified and integrated.
The unemployment compensation functions of the Social Security Board
and the employment service of the Department of Labor are concerned with
the same problem, that of the employment, or the unemployment, of the
individual worker.
Therefore, they deal necessarily with the same individual. These
particular services to the particular individual also are bound up with
the public-assistance activities of the Social Security Board. Not only
will these similar functions be more efficiently and economically
administered at the Federal level by such grouping and consolidation,
but this transfer and merger also will be to the advantage of the
administration of State social security programs and result in
considerable saving of money in the administrative costs of the
governments of the 48 States as well as those of the United States. In
addition to this saving of money there will be a considerable saving of
time and energy not only on the part of administrative officials
concerned with this program in both Federal and State Governments, but
also on the part of employers and workers, permitting through the
simplification of procedures a reduction in the number of reports
required and the elimination of unnecessary duplication in contacts with
workers and with employers.
Because of the relationship of the educational opportunities of the
country to the security of its individual citizens, the Office of
Education with all of its functions, including, of course, its
administration of Federal-State programs of vocational education, is
transferred from the Department of the Interior to the Federal Security
Agency. This transfer does not increase or extend the activities of the
Federal Government in respect to education, but does move the existing
activities into a grouping where the work may be carried on more
efficiently and expeditiously, and where coordination and the
elimination of overlapping may be better accomplished. The Office of
Education has no relationship to the other functions of the Department
of the Interior.
The Public Health Service is transferred from the Treasury Department
to the Federal Security Agency. It is obvious that the health
activities of the Federal Government may be better carried out when so
grouped than if they are left in the Treasury, which is primarily a
fiscal agency, and where the necessary relationships with other social
security, employment, and educational activities now must be carried on
by an elaborate scheme of interdepartmental committee work.
The National Youth Administration is transferred from the Works
Progress Administration to the Federal Security Agency since its major
purpose is to extend the educational opportunities of the youth of the
country and to bring them through the processes of training into the
possession of skills which enable them to find employment. Other
divisions of the Federal Security Agency will have the task of finding
jobs, providing for unemployment compensation, and other phases of
social security, while still other units of the new agency will be
concerned with the problem of primary and secondary education, as well
as vocational education and job training and retraining for employment.
While much of the work of the National Youth Administration has been
carried on through work projects, these have been merely the process
through which its major purpose was accomplished, and, therefore, this
agency under the terms of the act should be grouped with the other
security agencies rather than with the work agencies.
For similar reasons the Civilian Conservation Corps, now an
independent establishment, is placed under the Federal Security Agency
because of the fact that its major purpose is to promote the welfare and
further the training of the individuals who make up the corps, important
as may be the construction work which they have carried on so
successfully. The Civilian Conservation Corps is a small coordinating
agency which supervises work carried on with the cooperation of several
regular departments and independent units of the Government. This
transfer would not interfere with the plan of work heretofore carried on
but it would enable the Civilian Conservation Corps to coordinate its
policies, as well as its operations, with those other agencies of the
Government concerned with the educational and health activities and with
human security.
In order to carry out the purpose of the Reorganization Act of 1939 I
find it necessary and desirable to group and consolidate under a Federal
Works Agency those agencies of the Federal Government dealing with
public works not incidental to the normal work of other departments, and
which administer Federal grants or loans to State and local governments
or other agencies for the purposes of construction.
The agencies so to be grouped are: The Bureau of Public Roads, now
in the Department of Agriculture; the Public Buildings Branch of the
Procurement Division, now in the Treasury Department; and the Branch of
Building Management of the National Park Service (so far as it is
concerned with public buildings which it operates for other departments
or agencies) now in the Department of the Interior; the United States
Housing Authority, now in the Department of the Interior; the Federal
Emergency Administration of Public Works (familiarly known as P. W. A.);
and the Works Progress Administration (familiarly known as W. P. A.)
except the functions of the National Youth Administration.
The transfer of both the Public Works Administration and the Works
Progress Administration to the new Federal Works Agency would provide
for both principal types of public works that have been carried on by
the Federal Government directly or in cooperation with the State and
local governments. I find that it will be possible to reduce
administrative costs as well as to improve efficiency and to eliminate
overlapping by bringing these different programs of public works under a
common head. But, because of the differences that justified their
separate operation in the past and differences that will continue in the
future to distinguish certain phases of major public works from work
relief, I find it necessary to maintain them at least for the present as
separate subordinate units of the Federal Works Agency.
The present Federal Emergency Administration of Public Works is
placed under the Federal Works Agency under the shorter name of Public
Works Administration.
The name of the Works Progress Administration has been changed to
Works Projects Administration in order to make its title more
descriptive of its major purpose.
The Bureau of Public Roads is transferred from the Department of
Agriculture to the Federal Works Agency and as a separate unit under the
name of Public Roads Administration. This will bring the administration
of the Federal roads program with its grants-in-aid to the States into
coordination with other major public-works programs and other programs
of grants and loans to the States.
The construction and operation of many public buildings is now
carried on in two agencies which are consolidated under the new Federal
Works Agency, namely the Public Buildings Branch of the Procurement
Division of the Treasury Department (which is concerned with the
construction of Federal buildings and with the operation of many public
buildings outside the District of Columbia) and the Branch of Building
Management of the National Park Service, of the Department of the
Interior, which is concerned with the operation of public buildings in
the District of Columbia. These two separate activities are
consolidated in one unit to be known as the Public Buildings
Administration. Improved efficiency, coordination of effort, and
savings will result from this transfer and consolidation.
Then, also, there is transferred from the Department of the Interior
to the Federal Works Agency the United States Housing Authority. The
major purpose of the United States Housing Authority is to administer
grants-in-aid and loans to local public housing authorities in
accordance with its established standards of construction in that part
of the housing field which cannot be reached economically by private
enterprise. For these reasons, it should be grouped with those other
agencies which have to do with public works, with grants and loans to
State and local governments and with construction practices and
standards.
LENDING AGENCIES
In order to carry out the purposes of the Reorganization Act of 1939
I find it necessary and desirable to group under a Federal Loan Agency
those independent lending agencies of the Government which have been
established from time to time for the purpose of stimulating and
stabilizing the financial, commercial, and industrial enterprises of the
Nation.
The agencies to be grouped in the Federal Loan Agency are: The
Reconstruction Finance Corporation, the Electric Home and Farm
Authority, the Federal Home Loan Bank Board, the Federal Housing
Administration, and their associated agencies and boards, as well as the
Export-Import Bank of Washington.
Since 1916 the Congress has established from time to time agencies
for providing loans, directly or indirectly, for the stimulation and
stabilization of agriculture, and such agencies should in my opinion be
grouped with the other agricultural activities of the Government. For
that reason I find it necessary and desirable to accomplish the purposes
of the act to transfer the Farm Credit Administration, the Federal Farm
Mortgage Corporation, and the Commodity Credit Corporation and
associated agencies to the Department of Agriculture.
05 USC Economy and Efficiency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO I OF 1939
One of the five purposes of the Reorganization Act of 1939 is ''to
reduce expenditures to the fullest extent consistent with the efficient
operation of the Government.'' This purpose is important in each phase
of the plan here presented. The Reorganization Act prohibits abolishing
functions -- in other words basic services or activities performed.
Therefore the reduction in expenditures to be effected must necessarily
be brought about chiefly in the overhead administrative expenses of the
agencies set up to perform certain functions. The chance for economy
arises therefore not from stopping work, but from organizing the work
and the overhead more efficiently in combination with other similar
activities. Only the Congress can abolish or curtail functions now
provided by law.
The overhead administrative costs of all the agencies affected in
Reorganization Plan No. I is about $235,000,000. This does not include
the loans they make, the benefits they pay, the wages of the unemployed
who have been given jobs; it does not include the loans and grants to
States or, in short, the functional expense. It does include the
overhead expense of operating and administering all these agencies.
The reduction of administrative expenditures which it is probable
will be brought about by the taking effect of the reorganizations
specified in the plan is estimated as nearly as may be at between
$15,000,000 and $20,000,000 annually, a substantial lowering of the
existing overhead. Certain of these economies can be brought about
almost immediately, others will require a painstaking and gradual
readjustment in the machinery and business practices of the Government.
Any such estimate is incomplete, however, without reference to the
corresponding savings which will follow in the States and cities through
the recommended consolidation of the Federal services with which they
cooperate, and the improved efficiency and convenience which will be
felt by citizens all over the Nation -- many of whom will be able to
find in a single office many of the services now scattered in several
places. These economies will undoubtedly exceed the direct savings in
the Federal Budget.
It will not be necessary to ask the Congress for any additional
appropriations for the administrative expenses of the three consolidated
agencies set up in this plan, since their costs will be met from funds
now available for the administrative expenses of their component units.
Actually new expenses will be only a fractional part of the expected
savings.
Neither on this Reorganization Plan No. I nor on future
reorganization plans, covering interdepartmental changes and
intradepartmental changes, will every person agree on each and every
detail. It is true that out of the many groupings and regroupings
proposed in this message a few of the individual agencies could
conceivably be placed elsewhere.
Nevertheless, I have been seeking to consider the functional origin
and purpose of each agency as required by the reorganization bill
itself.
If in the future experience shows that one or two of them should be
regrouped, it will be wholly possible for the President and the Congress
to make the change.
The plan presented herewith represents 2 years of study. It is a
simple and easily understood plan. It conforms to methods of executive
administration used by large private enterprises which are engaged in
many lines of production. Finally, it will save a sum of money large in
comparison with the existing overhead of the agencies involved.
I trust, therefore, that the Congress will view the plan as a whole
and make it possible to take the first step in improving the executive
administration of the Government of the United States.
Franklin D. Roosevelt.
The White House, April 25, 1939.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
05 USC REORGANIZATION PLAN NO. II OF 1939
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
June 7, 1939, ch. 193, 53 Stat. 813, as amended Aug.
13, 1946, ch. 957, title XI,
1131(65), 60 Stat.
1040; Aug. 12, 1963, Pub. L. 88-94, 2(f), 77 Stat.
122; Sept. 13, 1982, Pub. L. 97-258, 5(b), 96 Stat.
1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 9, 1939, pursuant to the
provisions of the Reorganization Act of 1939, approved April 3, 1939.
05 USC Section 1. State Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Transfers and consolidations relating to the Department of State are
hereby effected as follows:
(a)-(c). (Repealed. August 13, 1946, ch. 957, title XI, 1131(65), 60
Stat. 1040. The act, Aug. 13, 1946 was repealed by Pub. L. 96-465, title
II, 2205(1), Oct. 17, 1980, 94 Stat. 2159. Subsecs. provided that
Foreign Commerce Service and Foreign Agricultural Service were
transferred to Department of State and consolidated with and
administered as part of Foreign Service under Secretary of State, and
that functions of Secretary of Commerce and Secretary of Agriculture
with respect thereto were transferred, with certain exceptions to
Secretary of State.)
05 USC (d) China Trade Act Registrar
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Such officer of the Foreign Service as the Secretary of State shall
make available for that purpose may be authorized by the Secretary of
Commerce to perform the duties of China Trade Act Registrar provided for
in the act of September 19, 1922, (42 Stat. 849) (15 U.S.C. 143), under
the direction of the Secretary of Commerce.
(e) (Repealed. Pub. L. 88-94, 2(f), Aug. 12, 1963, 77 Stat. 122.
Subsection transferred the Foreign Service Buildings Commission and its
functions to the Department of State. See 22 U.S.C. 295(d).)
05 USC Sec. 2. Treasury Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section made following transfers, consolidations, and abolitions
relating to the Treasury Department: (a) The Bureau of Lighthouses in
the Department of Commerce and its functions were transferred to and
consolidated with, and to be administered as a part of, the Coast Guard
in the Treasury Department; (b) The office of Director General of
Railroads was abolished and the functions and duties were transferred to
the Secretary of the Treasury; (c) The War Finance Corporation was
abolished, the remaining functions, property, and obligations were
transferred to the Treasury Department, and the Secretary was directed
to wind up its affairs and dispose of its assets.)
05 USC Sec. 3. Department of Justice
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Transfers, consolidations, and abolitions relating to the Department
of Justice are hereby effected as follows:
05 USC (a) Federal Prison Industries, Inc.
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Federal Prison Industries, Inc. (together with its Board of
Directors), and its functions are hereby transferred to the Department
of Justice and shall be administered under the general direction and
supervision of the Attorney General.
05 USC (b) National Training School for Boys
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The National Training School for Boys and its functions (including
the functions of its Board of Trustees) are hereby transferred to the
Department of Justice and shall be administered by the Director of the
Bureau of Prisons, under the direction and supervision of the Attorney
General.
05 USC (c) Board of Trustees of the National Training School for Boys
Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Board of Trustees of the National Training School for Boys
(including the consulting trustees) is hereby abolished.
05 USC Sec. 4. Department of the Interior
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Transfers, consolidations, and abolitions relating to the Department
of the Interior are hereby effected as follows:
05 USC (a) Functions of the National Bituminous Coal Commission
Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The functions of the National Bituminous Coal Commission (including
the functions of the members of the Commission) are hereby transferred
to the Secretary of the Interior to be administered under his direction
and supervision by such division, bureau, or office in the Department of
the Interior as the Secretary shall determine.
05 USC (b) National Bituminous Coal Commission Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The National Bituminous Coal Commission and the offices of the
members thereof are hereby abolished and the outstanding affairs of the
Commission shall be wound up by the Secretary of the Interior.
05 USC (c) Office of Consumers' Counsel Abolished and Functions
Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The office of Consumers' Counsel of the National Bituminous Coal
Commission is hereby abolished and its functions are transferred to, and
shall be administered in, the office of the Solicitor of the Department
of the Interior under the direction and supervision of the Secretary of
the Interior.
(Functions, records, property, and personnel of Consumer's Counsel of
the National Bituminous Coal Commission, which were transferred by this
Plan to office of Solicitor of Department of Interior, were
retransferred to Office of Bituminous Coal Consumer Counsel by 15 U.S.C.
852. Such Office terminated Aug. 24, 1943.)
05 USC (d) Bureau of Insular Affairs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Bureau of Insular Affairs of the War Department and its functions
are hereby transferred to the Department of the Interior and shall be
consolidated with the Division of Territories and Island Possessions in
the Department of the Interior and administered in such Division under
the direction and supervision of the Secretary of the Interior. The
office of the Chief of the Bureau and offices subordinate thereto
provided for in section 14 of the act of June 4, 1920 (41 Stat. 769) (48
U.S.C. 2, 3), are hereby abolished and all of the functions of such
offices are transferred to, and shall be exercised by, the Director of
the Division of Territories and Island Possessions.
05 USC (e) Bureau of Fisheries
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Bureau of Fisheries in the Department of Commerce and its
functions are hereby transferred to the Department of the Interior and
shall be administered in that Department under the direction and
supervision of the Secretary of the Interior. The functions of the
Secretary of Commerce relating to the protection of fur seals and other
fur-bearing animals, to the supervision of the Pribilof Islands and the
care of the natives thereof, and to the Whaling Treaty Act (16 U.S.C.
901-915), are hereby transferred to, and shall be exercised by, the
Secretary of the Interior.
05 USC (f) Bureau of Biological Survey
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Bureau of Biological Survey in the Department of Agriculture and
its functions are hereby transferred to the Department of the Interior
and shall be administered in that Department under the direction and
supervision of the Secretary of the Interior. The functions of the
Secretary of Agriculture relating to the conservation of wildlife, game,
and migratory birds are hereby transferred to, and shall be exercised
by, the Secretary of the Interior. The provisions of the act of May 18,
1934, (c. 299, 48 Stat. 780), as amended by the act of February 8, 1936
(c. 40, 49 Stat. 1105 (see 18 U.S.C. 111, 1114, 2231), insofar as they
relate to officers or employees of the Department of Agriculture
designated by the Secretary of Agriculture to enforce any act of
Congress for the protection, preservation, or restoration of game and
other wildlife and animals shall apply to officers and employees of the
Department of the Interior designated by the Secretary of the Interior
to exercise and discharge such duties.
05 USC (g) Officers of Biological Survey May Administer Oaths
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The provisions of the act of January 31, 1925 (c. 124, 43 Stat.
803), (former 5 U.S.C. 17, 7 U.S.C. 2217, 2218), shall be applicable to
such officers, agents, or employees of the Department of the Interior
performing functions of the Bureau of Biological Survey as are
designated by the Secretary of the Interior for the purposes named in
the act.
05 USC (h) Migratory Bird Conservation Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Secretary of the Interior shall be chairman of the Migratory Bird
Conservation Commission, and the Secretary of Agriculture shall be a
member thereof.
05 USC (i) Mount Rushmore National Memorial Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Mount Rushmore National Memorial Commission and its functions are
hereby transferred to the National Park Service in the Department of the
Interior. The functions vested in the Commission by sections 3 and 4(a)
of the act of June 15, 1938 (c. 402, 52 Stat. 694) shall continue to be
exercised by the Commission. All other functions of the Mount Rushmore
National Memorial Commission shall be administered by the National Park
Service under the direction and supervision of the Secretary of the
Interior.
05 USC Sec. 5. Department of Agriculture: Rural Electrification
Administration Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Rural Electrification Administration and its functions and
activities are hereby transferred to the Department of Agriculture and
shall be administered in that Department by the Administrator of the
Rural Electrification Administration under the general direction and
supervision of the Secretary of Agriculture.
05 USC Sec. 6. Department of Commerce: Transfer of Inland Waterways
Corporation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Inland Waterways Corporation and all of its functions and
obligations are hereby transferred to the Department of Commerce and
shall be administered in that Department under the supervision and
direction of the Secretary of Commerce. The capital stock of the
Corporation shall continue to be held for the United States by the
Secretary of the Treasury, but all other functions, rights, privileges,
and powers and all duties and liabilities of the Secretary of War
relating to the Inland Waterways Corporation are hereby transferred to,
and shall be exercised, performed, and discharged by, the Secretary of
Commerce. The Secretary of Commerce shall be substituted for the
Secretary of War, as and shall be deemed to be, the incorporator of the
Inland Waterways Corporation.
(Pub. L. 88-67, 2, July 19, 1963, 77 Stat. 81, provided for
liquidation of the affairs of the Inland Waterways Corporation.)
05 USC Sec. 201. Federal Security Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Transfers and consolidations relating to the Federal Security Agency
are hereby effected as follows:
05 USC (a) Radio Service and United States Film Service Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The functions of the Radio Division and the United States Film
Service of the National Emergency Council are hereby transferred to the
Federal Security Agency and shall be administered in the Office of
Education under the direction and supervision of the Federal Security
Administrator. (Functions of Radio Division were authorized to be
carried out until June 30, 1940, by Emergency Relief Appropriation Act
of 1939, 8.)
05 USC (b) American Printing House for the Blind
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The functions of the Secretary of the Treasury with respect to the
administration of the appropriations for the American Printing House for
the Blind (except the function relating to the perpetual trust fund) are
hereby transferred to the Federal Security Agency and shall be
administered under the direction and supervision of the Federal Security
Administrator. The annual report and vouchers required to be furnished
to the Secretary of the Treasury by the trustees of the American
Printing House for the Blind shall be furnished to the Federal Security
Administrator.
05 USC Sec. 202. National Archives
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Transfers, consolidations, and abolitions relating to the National
Archives are hereby effected as follows:
05 USC (a) Functions of Codification Board Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The functions of the Codification Board, established by the Act of
June 19, 1937 (50 Stat. 304) (44 U.S.C. 1510), are hereby transferred to
the National Archives and shall be consolidated in that agency with the
functions of the Division of the Federal Register and shall be
administered by such Division under the direction and supervision of the
Archivist.
05 USC (b) Codification Board Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The Codification Board is hereby abolished and its outstanding
affairs shall be wound up by the Archivist through the Division of the
Federal Register in the National Archives.
Sec. 301. Transfers and abolitions relating to the Executive Office
of the President are hereby effected as follows:
05 USC (a) Functions of National Emergency Council Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
All functions of the National Emergency Council other than those
relating to Radio Service and Film Service (transferred by Section
201(a) of this plan to the Federal Security Agency) are hereby
transferred to the Executive Office of the President and shall be
administered under the direction and supervision of the President.
(Functions of National Emergency Council transferred to Executive Office
of President were authorized to be carried out until June 30, 1940, by
Emergency Relief Appropriation Act of 1939, 8.)
05 USC (b) National Emergency Council Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
The National Emergency Council is hereby abolished and its
outstanding affairs shall be wound up under the direction and
supervision of the President.
05 USC Sec. 401. Transfer of Functions of Heads of Departments
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Except as otherwise provided in this plan, the functions of the head
of any Department relating to the administration of any agency or
function transferred from his Department by this plan, are hereby
transferred to, and shall be exercised by, the head of the department or
agency to which such transferred agency or function is transferred by
this plan.
05 USC Sec. 402. Transfer of Records, Property, and Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
All records and property (including office equipment) of the several
agencies, and all records and property used primarily in the
administration of any functions, transferred by this plan and, except as
otherwise provided, all the personnel used in the administration of such
agencies and functions (including officers whose chief duties relate to
such administration) are hereby transferred to the respective
departments or agencies concerned, for use in the administration of the
agencies and functions transferred by this plan: Provided, That any
personnel transferred to any department or agency by this section found
by the head of such department or agency to be in excess of the
personnel necessary for the administration of the functions transferred
to his department or agency shall be retransferred under existing law to
other positions in the Government service, or separated from the service
subject to the provisions of section 10(a) of the Reorganization Act of
1939.
05 USC Sec. 403. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
So much of the unexpended balances of appropriations, allocations, or
other funds available for the use of any agency in the exercise of any
function transferred by this plan, or for the use of the head of any
department or agency in the exercise of any function so transferred, as
the Director of the Bureau of the Budget with the approval of the
President shall determine, shall be transferred to the department or
agency concerned for use in connection with the exercise of the function
so transferred. In determining the amount to be transferred the
Director of the Bureau of the Budget may include an amount to provide
for the liquidation of obligations incurred against such appropriations,
allocations, or other funds prior to the transfer: Provided, That the
use of the unexpended balances of appropriations, allocations, or other
funds transferred by this section shall be subject to the provisions of
section 4(d)(3) and section 9 of the Reorganization Act of 1939.
05 USC Sec. 404. Transfer of Functions Relating to Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
Except as prohibited by the Reorganization Act of 1939, all functions
relating to the appointment, fixing of compensation, transfer,
promotion, demotion, suspension, or dismissal of persons to or from
offices and positions in any department vested by law in any officer of
such department other than the head thereof are hereby transferred to
the head of such department and shall be administered under his
direction and supervision by such division, bureau, office, or persons
as he shall determine.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO II OF 1939
To the Congress of the United States:
Pursuant to the provisions of the Reorganization Act of 1939 (Public,
No. 19, 76th Cong., 1st Sess.) approved April 3, 1939, I herewith
transmit Reorganization Plan No. II, which, after investigation, I have
prepared in accordance with the provisions of section 4 of the act; and
I declare that with respect to each transfer, consolidation, or
abolition made in Reorganization Plan No. II, I have found that such
transfer, consolidation, or abolition is necessary to accomplish one or
more of the purposes of section 1 (a) of the act.
In my message to the Congress on April 25, 1939, transmitting
Reorganization Plan No. I, I took occasion to say that, it being
obviously impracticable to complete the task of reorganization at one
time, I had decided, in view of the declaration of the Congress that it
should be accomplished immediately and speedily, to undertake it in
several steps.
Plan No. I, had to do with overall management. Plan No. II,
transmitted herewith, is designed to improve the work of the executive
branch for which, although carried on through executive departments and
agencies, the responsibility to the people is through the President. It
is concerned with the sole purpose of improving the administrative
management of the executive branch by a more logical grouping of
existing units and functions and by a further reduction in the number of
independent agencies.
I am transmitting Reorganization Plan No. II as the result of
studies that have been made for me and of my own experience over a
period of several years, as the best way in which to regroup the
agencies affected so as to fulfill the purposes of the act:
1. To reduce expenditures;
2. To increase efficiency;
3. To consolidate agencies according to major purposes;
4. To reduce the number of agencies by consolidating those having
similar functions and by abolishing such as may not be necessary; and
5. To eliminate overlapping and duplication of effort.
The plan I now transmit I shall describe briefly as follows:
I proposed to transfer the Foreign Commerce Service of the United
States and its functions now in the Bureau of Foreign and Domestic
Commerce of the Department of Commerce and the Foreign Agricultural
Service of the United States and its functions in the Department of
Agriculture to the Department of State, and to consolidate them with the
Foreign Service of the United States under the direction and supervision
of the Secretary of State.
By this transfer and consolidation, there will be a single Foreign
Service in the Department of State, but this does not mean that the
interests of the commercial and agricultural communities are to be
neglected, for it is a part of the Plan that representatives of the
Secretary of Agriculture and the Secretary of Commerce shall be placed
on the Board of Foreign Service Personnel and that specific
investigations relating to commerce and agriculture shall be initiated
directly by the Secretaries of these two Departments who will receive
directly the results of investigations in their own fields.
A much greater degree of coordination and effectiveness in our
foreign establishments can be achieved under the plan than has ever
before been possible. The needs of the different Departments and
Agencies of the Government will be met more efficiently and the
responsiveness of the foreign establishments to these needs will be
greatly improved.
The plan presupposes that it may be necessary from time to time for
various Departments and Agencies of the Government to send abroad
specialists and technicians for relatively temporary duty. While these
will not be in the Foreign Service, strictly speaking, they will be
given a suitable commission by the Department of State, on a temporary
basis, so that they may have the same obligations as other officers of
the Foreign Service while on duty abroad.
The plan also presupposes a special training period within the
Department of Commerce and the Department of Agriculture for Foreign
Service officers selected to specialize in commercial or agricultural
work and contemplates the fullest utilization of the experience gained
abroad by Foreign Service officers in the work of the Departments of
Commerce and Agriculture in this country. There will be stationed in
the Department of State a liaison officer of the Department of Commerce
and of the Department of Agriculture to make effective the proposed
cooperation.
The plan specifically leaves undisturbed the relationships of the
Department of Commerce and of the Department of Agriculture with the
commercial and agricultural communities. What it does do is to
consolidate the foreign services into one Foreign Service in the
Department of State, where it ought to be, with the resulting advantages
of economy, efficiency, better functional grouping, elimination of
overlapping and duplication of effort, and greater service to our
commercial and agricultural interests.
There is also transferred to the Department of State the Foreign
Service Buildings Commission and its functions. This Commission is
advisory to the administrative work of the Department of State and
should no longer have the status of an independent establishment.
The Bureau of Lighthouses now in the Department of Commerce is
transferred to the Treasury Department and consolidated with the Coast
Guard in that Department. The advantages of this consolidation are
obvious and fall clearly within the provision of the act requiring me to
consolidate agencies according to major purposes. This will save money
on equipment and administration and will permit the better use of
personnel.
The plan also includes the abolition of the Office of the Director
General of Railroads and of the War Finance Corporation and the transfer
of their functions to the Secretary of the Treasury to be wound up by
him as rapidly as may be. In the case of the War Finance Corporation,
it is directed that the final dissolution shall be accomplished not
later than December 31, 1939.
I further propose to transfer to the Department of Justice the
Federal Prison Industries, Inc., and the National Training School for
Boys, and at the same time to abolish the board of trustees of the
National Training School for Boys. Responsibility for the Federal penal
and correctional institutions is in the Department of Justice and these
two independent establishments should be consolidated therein. None of
the other Federal penal or correctional institutions has a board of
trustees and there is no need of further continuing the board of the
National Training School.
The plan also provides for the abolition of the Codification Board
established for the purpose of codifying existing administrative law and
the transfer of its functions to the Division of the Federal Register in
the National Archives. The work of this board has now progressed to the
point where a separate board is no longer necessary and the future work
of keeping the codification up to date can more efficiently and
economically be carried on by the editorial staff of the Federal
Register.
I find it necessary and desirable in order to accomplish the purposes
of the Reorganization Act to abolish the National Bituminous Coal
Commission and to transfer its functions to the Secretary of the
Interior. Thus the task of conserving the bituminous-coal resources of
the country may be carried on directly by the head of the Department
principally responsible for the conservation of fuel and other mineral
supplies. The Congress placed this Commission in the Department of the
Interior, but experience has shown that direct administration will be
cheaper, better, and more effective than through the cumbersome medium
of an unnecessary commission.
The transfer to the Department of the Interior of the Bureau of
Insular Affairs in the War Department and its consolidation with the
Division of Territories and Island Possessions in Interior is a
functional transfer of obvious desirability. Under the provisions of
existing law, however, I shall direct, where necessary, that certain
correspondence from the Governor General of the Philippines shall be
transmitted to the President through the Department of State.
The plan provides for the transfer to the Department of the Interior
of the Bureau of Fisheries from the Department of Commerce and of the
Bureau of Biological Survey from the Department of Agriculture. These
two Bureaus have to do with conservation and utilization of the wildlife
resources of the country, terrestrial and aquatic. Therefore, they
should be grouped under the same departmental administration, and in
that Department which, more than any other, is directly responsible for
the administration and conservation of the public domain. However, I
intend to direct that the facilities of the Department of Agriculture
shall continue to be used for research studies which have to do with the
protection of domestic animals from diseases of wildlife; and also
where most economical for the protection to farmers and stockmen against
predatory animals.
The plan also provides for the transfer of the Mount Rushmore
National Memorial Commission to the National Park Service in the
Department of the Interior in order that this great memorial may be
administered as a part of the similar work of the Park Service.
Included in the plan is a provision to transfer to the Department of
Agriculture the Rural Electrification Administration, now operated as an
independent establishment. The work of this administration in its
educational as well as its lending functions is clearly a part of the
rural life activities of the country and should, therefore, be
administered in coordination with the other agricultural activities of
the Government.
The Inland Waterways Corporation is transferred to the Department of
Commerce from the War Department. This corporation, which operates
inland waterways transportation facilities, should be coordinated with
the administration of other aids to commerce and industry.
I propose to transfer to the Federal Security Agency, for
administration in the Office of Education, the film and radio functions
of the National Emergency Council. These are clearly a part of the
educational activities of the Government and should be consolidated with
similar activities already carried on in the Office of Education.
Similarly, Government participation in the work of the American Printing
House for the Blind, except fiscal functions relating to trust funds, is
transferred from the Secretary of the Treasury to the Federal Security
Agency, in order that this work may be coordinated with the other work
for the blind now being carried on in the Social Security Board.
The plan provides for the abolition of the National Emergency Council
and the transfer to the Executive Office of the President of all its
functions with the exception of the film and radio activities which go
to the Office of Education. Subject to appropriations by the Congress,
these activities transferred to the White House would be administered in
the manner best designed to give the President the information he
requires from all parts of the country.
The National Emergency Council was established by Executive order in
1933 and is composed of the President, the Vice President, the Members
of the Cabinet, and the heads of some 23 independent establishments.
Its usefulness as an actual council, which met weekly under my
chairmanship, was very great in the period of the emergency which then
confronted the country, but, as time has gone on, it no longer operates
as a council but does continue to carry on important activities which
are indispensable to the President of the United States, as well as to
other branches of the Government, and the public. It maintains an
information service and a press intelligence service, it publishes the
United States Government Manual, and it carries on through State and
central staffs an important work of coordinating and reporting.
The information service makes available general information
concerning all phases of governmental activity and is provided for all
who submit questions or inquiries by mail, by telephone, or by personal
call. In one sense it may be called a post-office address -- ''Uncle
Sam, Post Office Box No. 1, Washington, D.C.'' -- to which persons who
want information about the Government but do not know the exact division
or agency of the Government to which to apply, may write with confidence
that their questions will be answered or else sent on to the proper
agency for direct reply.
The press intelligence service carried on in the Council is not a
service for giving intelligence to the press, but rather for making
available to responsible persons in the Government, both in the
executive and in the legislative branches, a clipping service, which
shows what the press of the country has printed. The partial
consolidation of clipping services in this unit -- a consolidation which
should go further -- already has resulted in economy and convenience. A
clipping service of this kind, on a smaller scale, was maintained for
many years in the White House but it was not then available to other
branches of the Government. Its return to the White House with the
additional feature of availability to all the rest of the Government
will promote efficiency without violating tradition.
The publication of the United States Government Manual makes
available to every citizen a simplified textbook of information as to
the organization and availability of the Federal agencies. Published in
loose-leaf form, it is sold by the Superintendent of Documents of the
Government Printing Office.
The coordinating and reporting functions of the Council have to do
with the presentation to the President of factual information,
independently gathered, as to the progress and effect of our
governmental activities. Through its State offices the Council has been
able to facilitate the various Federal programs particularly with
respect to State and local governments.
The plan also includes certain general provisions in order to
accomplish fully the purposes of the act. In addition to the transfer
of bureaus and other units, it is necessary also to transfer certain
functions of heads of departments; to transfer records, property, and
personnel; to transfer funds; and to provide that the power of
appointment occasionally, and sometimes apparently quite accidentally,
vested in a subordinate official of a department, shall be vested in the
head of the department. It is impossible to exercise the proper
direction and supervision over subordinate units unless the definite
power of appointment, fixing of compensation, transfer, and promotion or
dismissal of personnel is vested in the principal responsible head. In
no other way can the purpose of consolidating similar functions under a
single head as required by the act be accomplished in practice.
It is one of the five purposes of the Reorganization Act ''to reduce
expenditures to the fullest extent consistent with the efficient
operation of the Government.'' This is an important purpose in each
phase of the plan here presented. The Reorganization Act prohibits
abolishing functions -- in other words, basic services or activities
performed. Therefore, the reduction in expenditures must necessarily be
brought about chiefly in the overhead administrative expenses of the
agencies affected. In a great many cases the economies to be effected
by Reorganization Plan No. II will be the result of improved efficiency
which will, as the plan works out, require fewer persons to perform the
work or will require the employment of less temporary assistance.
In the case of the consolidation of the foreign services it is
estimated that the administration by a single administrative unit in the
Department of State will achieve a saving of $20,000 a year and that
consolidation of the three field forces will make it possible to drop
alien employees and, by a more effective use of personnel, to save an
additional $100,000 a year when the readjustments have been made.
The total administrative expense of all of the agencies affected by
this plan is about $25,000,000 per annum.
The reduction of such expenditures, which it is probable will be
brought about by the taking effect of the reorganizations specified in
the plan, is estimated at $1,250,000 per annum. Certain of these
economies can be brought about at once. Others will require a gradual
readjustment in machinery and business practices of the agencies
affected.
May I repeat what I said in my message transmitting Reorganization
Plan No. I, that in this as in future reorganization plans not every
person will agree on each and every detail. Out of the many groupings
and regroupings proposed, a few of the individual agencies conceivably
could be placed elsewhere, but I have been seeking to consider the
functional purpose of each agency as required by the Reorganization Act
itself and have made this plan with the sole purpose of improving the
service rendered by the Government to its citizens in accordance with
the purposes set out in the act.
In view of the fact that it is now May 9, and that any reorganization
plan must lie before the Congress for 60 calendar days, and because the
reorganization of an intradepartmental character requires a great deal
of research and careful painstaking detailed work, I do not propose to
send any further general reorganization plans to the Congress at this
session.
However, there are certain transfers, abolitions, and consolidations
of committees, commissions, and boards which I propose to do by means of
Executive and military orders under existing law as complementary to
Reorganization Plan No. II when it becomes effective.
Then, also, by mere administrative procedure, some small agencies
which have been listed in various publications as independent
establishments but whose independence has no basis in law or in formal
Executive or military orders, may be reassigned to an appropriate
placement by administrative procedure on the part of their respective
heads.
Not all of the interdepartmental transfers and consolidations that
are necessary and desirable have been accomplished in this
Reorganization Plan No. II. I am directing the Bureau of the Budget to
study these problems in order that they may be included in plans to be
transmitted to the Congress at its next session.
For example, in order to save money and to do the work more
efficiently there are some units which should be divided so that a part
of the work may be done by one agency and a part by another. Take, for
example, the business of mapping. It is obviously important that the
work of making surveys and accumulating data for maps should be done in
the various agencies which are concerned primarily with the purpose for
which the map is being drawn. On the other hand, the business of
manufacturing maps might very well be consolidated in order to save
money, and to manufacture better maps.
I have considered the desirability of transferring the jurisdiction
over deportable aliens from the Immigration and Naturalization Service
in the Department of Labor to the Department of Justice, but I find that
this matter will require further study, or perhaps legislation, and
therefore it is not included in this plan.
I have also considered the problem of certain public lands insofar as
they present overlapping jurisdiction between the Departments of the
Interior and Agriculture.
Insofar as crops, including tree crops, are involved there is
something to be said for their retention in the Department of
Agriculture. But where lands are to be kept for the primary purpose of
recreation and permanent public use and conservation they fall more
logically into the Department of the Interior.
I hope to offer a reorganization plan on this early in the next
session.
There are other types of work carried on in the Federal Government
where it may prove necessary and desirable to divide the functions now
being carried on by a particular unit so as the better to serve the
basic purpose for which the work was undertaken. Such problems I shall
continue to study with the view of sending other reorganization plans
involving both interdepartmental and intradepartmental reorganizations
to the Congress at its next session.
Franklin D. Roosevelt.
The White House, May 22, 1940.
Ex. Ord. No. 8357 Mar. 2, 1940, 5 F.R. 950, provided:
Under the authority vested in me by section 1(b) of Part I of
Reorganization Plan No. II (effective July 1, 1939, by Public
Resolution approved June 7, 1939, 53 Stat. 1431), and in effectuation of
the provisions of subdivisions (2), (3), and (4) of that section, I
hereby prescribe the following regulations pertaining to officers
designated by the Secretary of Commerce and the Secretary of Agriculture
under the said subdivisions:
1. Officers designated by the Secretary of Commerce and the Secretary
of Agriculture under subdivisions (2) and (3), respectively, of the said
section 1(b) of Part I of Reorganization Plan No. II may, when
acceptable to the Secretary of State, be sent abroad as specialists or
technicians for temporary service under the provisions of, and subject
to the conditions named in, section 5 of the act of March 3, 1927, 44
Stat. 1396 (former section 197d of Title 15), and section 2 of the act
of June 5, 1930, 46 Stat. 498 (former section 542 of Title 7), as
authorized by the said subdivisions (2) and (3), respectively.
2. The Secretary of State shall give suitable commissions to the
officers described in paragraph 1 hereof and shall assign them to such
offices as may be deemed necessary by him and the Secretary of the
department concerned. Such officers, during the active period of their
assignment, shall be considered a part of the organization of the
Foreign Service, shall assume the status directed by the Secretary of
State, and shall, in this respect, be subject to the jurisdiction of the
Secretary of State. With the approval of the chief of the office to
which they are attached, such officers may request reports from Foreign
Service officers upon matters falling within the jurisdiction of their
respective departments. The duties of such officers shall be restricted
to the accomplishment of the special missions within the scope of their
assignments.
3. The officers designated by the Secretary of Commerce and the
Secretary of Agriculture under subdivision (4) of the said section 1(b)
of Part I of Reorganization Plan No. II to serve in the Department of
State as liaison officers shall, when acceptable to the Secretary of
State, serve in matters of interest to their respective departments.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
05 USC REORGANIZATION PLAN NO. III OF 1940
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
June 4, 1940, ch. 231, 4, 54 Stat. 231, as amended
Aug. 23, 1958, Pub. L. 85-726, title XIV, 1401(c),
72 Stat. 806; Sept. 13, 1982, Pub. L. 97-258,
5(b), 96 Stat. 1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 2, 1940, pursuant to the
provisions of the Reorganization Act of 1939, approved April 3, 1939.
05 USC Section 1. Fiscal Service of the Treasury Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section established the Fiscal Service of the Treasury Department,
provided for the transfer of certain functions to the Fiscal Service and
of certain functions relating to accounting, and abolished an office of
Assistant Secretary of the Treasury. See 31 U.S.C. 306.)
05 USC Sec. 2. Federal Alcohol Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section abolished the Federal Alcohol Administration and provided
that the Secretary administer its functions through the Bureau of
Internal Revenue.)
05 USC Sec. 3. Fish and Wildlife Service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
The Bureau of Fisheries and the Bureau of Biological Survey in the
Department of the Interior with their respective functions are
consolidated into one agency in the Department of the Interior to be
known as the Fish and Wildlife Service. The functions of the
consolidated agency shall be administered under the direction and
supervision of the Secretary of the Interior by a Director and not more
than two Assistant Directors, who shall be appointed by the Secretary
and perform such duties as he shall prescribe. The offices of
Commissioner and Deputy Commissioner of Fisheries and the offices of
Chief and Associate Chief of the Bureau of Biological Survey are
abolished and their functions transferred to the consolidated agency.
05 USC Sec. 4. Recorder of General Land Office
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
The office of Recorder of the General Land Office is abolished. The
functions of the Recorder shall be exercised under the direction and
supervision of the Secretary of the Interior through such officers or
employees of the General Land Office as he may designate.
05 USC Sec. 5. Surplus Marketing Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
The Division of Marketing and Marketing Agreements of the
Agricultural Adjustment Administration of the Department of Agriculture
and its functions and the Federal Surplus Commodities Corporation as an
agency of the Department of Agriculture and its functions are
consolidated into an agency in the Department of Agriculture to be known
as the Surplus Marketing Administration. The Surplus Marketing
Administration shall be headed by an Administrator, who shall be
appointed by and be subject to the direction and supervision of the
Secretary of Agriculture.
05 USC Sec. 6. Offices in the Immigration and Naturalization Service
Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
The offices of commissioner of immigration of the several ports and
the offices of district commissioner of immigration and naturalization
in the Department of Labor are abolished, and their functions shall be
administered under the supervision of the Secretary of Labor by the
Commissioner of Immigration and Naturalization through such district
directors of immigration and naturalization as the Commissioner shall
designate.
05 USC Sec. 7. Functions of the Administrator Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
(Repealed. Pub. L. 85-726, title XIV, 1401(c), Aug. 23, 1958, 72
Stat. 806. Section transferred to Administrator of Civil Aeronautics
functions vested in Civil Aeronautics Authority by Civilian Pilot
Training Act of 1939, functions of aircraft registration and safety
regulation in titles V and VI of the Civil Aeronautics Act of 1938 with
certain exceptions, the function provided for by section 1101 of that
Act, and functions of appointing employees and authorizing necessary
expenditures and travel.)
05 USC Sec. 8. Transfer of Records, Property, and Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
All records and property (including office equipment) of the several
agencies, and all records and property used primarily in the
administration of any functions, transferred or consolidated by this
Plan and all the personnel used in the administration of such agencies
and functions (including officers whose chief duties relate to such
administration and whose offices are not abolished) are transferred or
consolidated, as the case may be, within the department or agency
concerned, for use in the administration of the agencies and functions
transferred or consolidated by this Plan: Provided, That any personnel
transferred or consolidated within any department or agency by this
section found by the head of such department or agency to be in excess
of the personnel necessary for the administration of the functions
transferred or consolidated shall be retransferred under existing law to
other positions in the Government service, or separated from the service
subject to the provisions of section 10(a) of the Reorganization Act of
1939.
05 USC Sec. 9. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
So much of the unexpended balances of appropriations, allocations, or
other funds available (including funds available for the fiscal year
ending June 30, 1941) for the use of any agency in the exercise of any
function transferred or consolidated by this Plan, or for the use of the
head of any department or agency in the exercise of any function so
transferred or consolidated, as the Director of the Bureau of the Budget
with the approval of the President shall determine, shall be transferred
within the department or agency concerned for use in connection with the
exercise of the function so transferred or consolidated. In determining
the amount to be transferred the Director of the Bureau of the Budget
may include an amount to provide for the liquidation of obligations
incurred against such appropriations, allocations, or other funds prior
to the transfer: Provided, That the use of the unexpended balances of
appropriations, allocations, or other funds transferred by this section
shall be subject to the provisions of sections 4(d)(3) and section 9 of
the Reorganization Act of 1939.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO III OF 1940
To the Congress of the United States:
When I submitted Reorganization Plans I and II at the last regular
session of Congress, I indicated that certain reorganizations of an
intradepartmental character were necessary but that detailed study would
be required for the preparation of specific plans. Since that time the
heads of the executive departments and my own office have continued to
study the internal organization of the several agencies of the
Government. I have considered recommendations made to me as a result of
these studies and have found it possible to make a number of needed
improvements of organization by administrative action. In other
instances, I can effect the necessary changes only under the procedure
set up in the Reorganization Act of 1939.
I am transmitting herewith Reorganization Plan III, which I have
prepared in accordance with the provisions of section 4 of the
Reorganization Act of 1939 (Public, No. 19, 76th Cong., 1st sess.)
approved April 3, 1939; and I declare that with respect to each
reorganization made in this plan, I have found that such reorganization
is necessary to accomplish one or more of the purposes of section 1(a)
of the act:
1. To reduce expenditures;
2. To increase efficiency;
3. To consolidate agencies according to major purposes;
4. To reduce the number of agencies by consolidating those having
similar functions and by abolishing such as may not be necessary; and
5. To eliminate overlapping and duplication of effort.
I am proposing two intradepartmental reorganizations relating to the
Treasury Department.
The first reorganization consolidates in a Fiscal Service, under the
direction of a permanent Fiscal Assistant Secretary, those functions of
the Treasury Department pertaining to financing and fiscal activities.
This Fiscal Service will bring together the Office of the Treasurer of
the United States, the Office of Commissioner of Accounts and Deposits,
and the Public Debt Service, including their various subdivisions and
certain other related functions.
Some adjustments are made in the assignment of functions of the units
which will comprise the Fiscal Service, and certain changes are made in
titles. The net effect of these adjustments is to establish within the
Fiscal Service the Office of Fiscal Assistant Secretary, the Office of
the Treasurer of the United States, and a Bureau of Accounts under a
Commissioner of Accounts, and a Bureau of Public Debt under the
Commissioner of Public Debt. In addition to responsibility for the
administration of these four segments of the Department's operations,
the Fiscal Assistant Secretary is vested with the financing functions of
the Under Secretary of the Treasury and of the Assistant Secretaries.
The functions brought together in the Fiscal Service are all closely
interrelated and are essential parts of the general functions of
financing and fiscal control. The internal organization of the Fiscal
Service conforms to accepted principles of financial management and
provides the framework for adequate internal controls. At the same
time, under the proposed plan these functions can be coordinated more
effectively, duplications eliminated, and a more efficient service
provided. To assure continued effective management of this highly
important and technical phase of the Treasury functions, I am placing
the Fiscal Service under the supervision of a career official. The
plan, therefore, provides that the Fiscal Assistant Secretary will be
appointed by the Secretary of the Treasury in accordance with
civil-service laws and will perform his duties under the general
direction of the Secretary. This is in accord with the policy of this
administration of bringing higher administrative positions within the
career service. The creation of the office of Fiscal Assistant
Secretary will not increase the number of Assistant Secretaries in the
Treasury Department since the plan expressly provides for the abolition
of one of the three existing offices of Assistant Secretary.
The second reorganization affecting the Treasury Department vests in
the Secretary of the Treasury full authority for the administration of
the Federal Alcohol Administration Act. At present the Federal Alcohol
Administration occupies an anomalous position. It is legally a part of
the Treasury Department, but actually it is clothed with almost complete
independence under existing statutory provisions. Under certain
conditions the Administration would by law become an independent agency,
whereas the interests of improved management require its integration
with allied activities in the Treasury Department.
I propose, therefore, that the functions of the Federal Alcohol
Administration be correlated with the activities of the Bureau of
Internal Revenue, particularly its Alcohol Tax Unit. The Bureau is
already performing a large part of the field enforcement work of the
Administration and could readily take over complete responsibility for
its work. The Bureau is daily making, for other purposes, a majority of
the contacts with units of the liquor industry which the Federal Alcohol
Administration should but cannot make without the establishment of a
large and duplicating field force. Under the provisions of this plan,
it will be possible more effectively to utilize the far-flung
organization of the Treasury Department, including its many
laboratories, in discharging the functions of the Federal Alcohol
Administration. Thus, I find the proposed consolidation will remedy
deficiencies in organization structure as well as afford a more
effective service at materially reduced costs.
Reorganization Plan II transferred the Bureau of Fisheries of the
Department of Commerce and the Bureau of Biological Survey of the
Department of Agriculture to the Department of the Interior and thus
concentrated in one department the two bureaus responsible for the
conservation and utilization of the wildlife resources of the Nation.
On the basis of experience gained since this transfer, I find it
necessary and desirable to consolidate these units into a single bureau
to be known as the Fish and Wildlife Service.
The Bureau of Biological Survey administers Federal laws relating to
birds, land mammals, and amphibians whereas the Bureau of Fisheries
deals with fishes, marine mammals, and other aquatic animals. The
natural areas of operation of these two bureaus frequently coincide, and
their activities are interrelated and similar in character.
Consolidation will eliminate duplication of work, facilitate
coordination of programs, and improve service to the public.
Another provision relating to the Department of the Interior is the
abolition of the statutory office of Recorder of the General Land
Office. This office is a relic of the quill-and-sand-box period in the
transcription of land records. Its duties can readily be absorbed by
the regular civil-service personnel of the Land Office.
I propose to consolidate the Division of Marketing and Marketing
Agreements of the Agricultural Adjustment Administration and the Federal
Surplus Commodities Corporation into a single agency to be known as the
Surplus Marketing Administration. This consolidation will facilitate
the work of the Department of Agriculture relating to the formulation
and administration of marketing agreements and the disposition of
agricultural surpluses.
Because the two programs require unified planning and direction, the
Secretary of Agriculture has found it desirable to designate the same
person as the head of both. In one capacity he reports directly to the
Secretary of Agriculture while in the other he is responsible by law to
the Administrator of the Agricultural Adjustment Administration.
Consolidation of the two units will assure unified management, eliminate
confusion in administration, and make for more efficient operation.
Furthermore, this reorganization will remove from the Agricultural
Adjustment Administration the legal responsibility for functions which
differ administratively from its major operations.
I propose to abolish the offices of commissioner of immigration and
the offices of district commissioner of immigration and naturalization.
The former have been vacant since 1933; the latter impose an
unnecessary level of supervision above that of district director of
immigration and naturalization in certain of our ports and should be
eliminated in the interests of economy and sound administration.
I propose to clarify the relations of the Administrator of the Civil
Aeronautics Authority and the five-member Board of the Civil Aeronautics
Authority. The Administrator is made the chief administrative officer
of the Authority with respect to all functions other than those relating
to economic regulation and certain other activities primarily of a
rule-making and adjudicative character which are entrusted to the Board.
This will eliminate the confusion of responsibilities existing under
the Civil Aeronautics Act and provide a more clear-cut and effective
plan of organization for the agency.
The principal advantage of the reorganizations proposed in this plan
will be increased effectiveness of operation of the agencies concerned.
In addition to improved service, some economies may be expected. I
estimate that immediate annual savings in administrative expense of
approximately $150,000 will result. This comparatively small amount in
no way measures the worth of the proposals. In fact, if they resulted
in no administrative savings at all, I should still consider them
worthwhile in view of the increased effectiveness of administration that
will result.
The management problems of a department or agency are complex and
dynamic and require much detailed analysis before findings can be made.
These problems cannot be resolved by any one reorganization plan, nor at
one time; their study must be a continuing process if our departmental
machinery is to keep pace with the changing requirements placed on the
Government. Accordingly, in conformity with the Budget and Accounting
Act, I have instructed the Director of the Bureau of the Budget to
continue studies in collaboration with the several departments and
agencies, looking to further improvements in the Government's
administrative structure.
Franklin D. Roosevelt.
The White House, April 2, 1940.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
05 USC REORGANIZATION PLAN NO. IV OF 1940
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
June 4, 1940, ch. 231, 4, 54 Stat. 231, as amended
Aug. 23, 1958, Pub. L. 85-726, title XIV, 1401(c),
72 Stat. 806; Sept. 13, 1982, Pub. L. 97-258,
5(b), 96 Stat. 1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 11, 1940, pursuant to
the provisions of the Reorganization Act of 1939, approved April 3,
1939.
05 USC Section 1. Transfer of Dominican Customs Receivership
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Division of Territories and Island Possessions
in the Department of the Interior relating to the Dominican Customs
Receivership are transferred to the Department of State and shall be
administered by the Secretary of State or under his direction and
supervision by such agency in the Department of State as he shall
designate.
05 USC Sec. 2. Approval of Compromises
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Attorney General relating to the approval of
compromises made in accordance with the provisions of section 7 of the
Federal Alcohol Administration Act (27 U.S.C. 207) are transferred to
the Secretary of the Treasury, to be exercised by him or under his
direction and supervision by such officer in the Department of the
Treasury as he shall designate: Provided, That exclusive jurisdiction
to compromise cases arising under the Federal Alcohol Administration Act
(27 U.S.C. 201 et seq.) which are pending before the courts or which
have been or may hereafter be referred to the Department of Justice for
action shall be vested in the Attorney General, and may be exercised by
him or by any officer in the Department of Justice designated by him.
05 USC Sec. 3. Disbursement Functions of United States Marshals
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred functions relating to disbursement by United
States Marshals to the Department of Justice to be exercised by United
States Marshals under the supervision of the Attorney General. See 31
U.S.C. 3321.)
05 USC Sec. 4. Functions of Postal Disbursements
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred functions relating to disbursement of all
postal revenues and all other funds under the jurisdiction of the Post
Office Department, the Postmaster General, and the Board of Trustees of
the Postal Savings System to the Board of Trustees as to postal savings
disbursements and to the Post Office Department as to all other
disbursements involved.)
05 USC Sec. 5. Transfer of Interbuilding Messenger Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
(a) Except as prohibited by section 3(b) of the Reorganization Act of
1939, the function of regular interbuilding messenger service (including
the transportation of mail) and the function of transportation of mail
between Government agencies and the city post office, now exercised in
the District of Columbia by agencies of the Government, are transferred
from such agencies to and consolidated in the Post Office Department and
shall be administered by the Postmaster General under such rules and
regulations as the President shall prescribe: Provided, That this
section shall not apply to the transportation of moneys and securities
by armored truck or by other special services, or to messenger service
between contiguous buildings.
(b) The Director of the Bureau of the Budget may waive the transfer
of any motor vehicle coming within the purview of section 14 of this
plan where he finds that the retention of such vehicle is essential to
the performance of functions other than those transferred by this
section.
05 USC Sec. 6. Certain Functions of the Soil Conservation Service
Transferred
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Soil Conservation Service in the Department of
Agriculture with respect to soil and moisture conservation operations
conducted on any lands under the jurisdiction of the Department of the
Interior are transferred to the Department of the Interior and shall be
administered under the direction and supervision of the Secretary of the
Interior through such agency or agencies in the Department of the
Interior as the Secretary shall designate.
05 USC Sec. 7. Transfer of Civil Aeronautics Authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
(Repealed. Pub. L. 85-726, title XIV, 1401(c), Aug. 23, 1958, 72
Stat. 806. Section transferred Civil Aeronautics Authority and Air
Safety Board to Department of Commerce, consolidated their functions
into Civil Aeronautics Board, and provided for exercise of rule-making,
adjudication and investigation functions of Board independent of
Secretary of Commerce.)
05 USC Sec. 8. Transfer of Weather Bureau
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The Weather Bureau in the Department of Agriculture and its functions
are transferred to the Department of Commerce and shall be administered
under the direction and supervision of the Secretary of Commerce:
Provided, That the Department of Agriculture may continue to make snow
surveys and to conduct research concerning: (a) relationships between
weather and crops, (b) long-range weather forecasting, and (c)
relationships between weather and soil erosion.
05 USC Sec. 9. Transfer of Certain Functions Relating to Enforcement of
Wage Payments on Public Construction
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Secretary of the Treasury and the Secretary of
the Interior under section 2 of the Act of June 13, 1934, entitled ''An
act to effectuate the purpose of certain statutes concerning rates of
pay for labor, by making it unlawful to prevent anyone from receiving
the compensation contracted for thereunder, and for other purposes'' (48
Stat. 948) (40 U.S.C. 276c), are transferred to the Secretary of Labor
and shall be administered by him or under his direction and supervision
by such agency in the Department of Labor as the Secretary shall
designate.
05 USC Sec. 10. Transfer of Nautical School Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Secretary of the Navy with respect to
furnishing, maintaining, and repairing vessels for the use of State
marine or nautical schools and with respect to administering grants of
funds for the support of such schools are transferred to and shall be
administered by the United States Maritime Commission. Jurisdiction
over vessels, apparel, charts, books, and instruments now loaned to
State marine or nautical schools is transferred from the Secretary of
the Navy to the United States Maritime Commission.
05 USC Sec. 11. Transfer of Certain Interior Department Institutions --
(a) Saint Elizabeths Hospital
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Saint Elizabeths Hospital in the Department of the Interior and its
functions are transferred to the Federal Security Agency and shall be
administered under the direction and supervision of the Federal Security
Administrator. The annual report required to be submitted to the
Congress by the superintendent of the Hospital shall be submitted
through the Federal Security Administrator. The annual report required
to be furnished to the Secretary of the Interior by the Board of
Visitors shall be furnished to the Federal Security Administrator.
05 USC (b) Freedmen's Hospital
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Freedmen's Hospital in the Department of the Interior and its
functions are transferred to the Federal Security Agency and shall be
administered under the direction and supervision of the Federal Security
Administrator.
05 USC (c) Howard University
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Department of the Interior relating to the
administration of Howard University are transferred to the Federal
Security Agency and shall be administered under the direction and
supervision of the Federal Security Administrator. The annual report
required to be furnished to the Secretary of the Interior by the
president and directors of the University shall be furnished to the
Federal Security Administrator. The Office of Education shall continue
to make its inspections of and reports on the affairs of Howard
University in accordance with the provisions of existing law.
05 USC (d) Columbia Institution for the Deaf
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions of the Department of the Interior relating to the
administration of the Columbia Institution for the Deaf are transferred
to the Federal Security Agency and shall be administered under the
direction and supervision of the Federal Security Administrator. The
annual report required to be furnished to the Secretary of the Interior
by the president and directors of the Institution shall be furnished to
the Federal Security Administrator, and the annual report of the
superintendent of the Institution to the Congress shall be submitted
through the Federal Security Administrator.
05 USC (e) Federal Security Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The functions transferred by this section shall be administered under
the direction and supervision of the Federal Security Administrator
through such officers or subdivisions of the Federal Security Agency as
the Administrator shall designate.
05 USC Sec. 12. Transfer of Food and Drug Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The Food and Drug Administration in the Department of Agriculture and
its functions, except those functions relating to the administration of
the Insecticide Act of 1910 and the Naval Stores Act (7 U.S.C. 91-99,
121-134), are transferred to the Federal Security Agency and shall be
administered under the direction and supervision of the Federal Security
Administrator. The Chief of the Food and Drug Administration shall
hereafter be known as the Commissioner of Food and Drugs.
05 USC Sec. 13. Transfer of Functions of Heads of Departments
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Except as otherwise provided in this Plan, the functions of the head
of any department relating to the administration of any agency or
function transferred from his department by this Plan are transferred
to, and shall be exercised by the head of the department or agency to
which such transferred agency or function is transferred by this Plan.
05 USC Sec. 14. Transfer of Records, Property, and Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Except as otherwise provided in this Plan, all records and property
(including office equipment) of the several agencies, and all records
and property used primarily in the administration of any functions
transferred by this Plan, and all personnel used in the administration
of such agencies and functions (including officers whose chief duties
relate to such administration and whose offices are not abolished) are
transferred to the respective agencies concerned, for use in the
administration of the agencies and functions transferred by this Plan:
Provided, That any personnel transferred to any agency by this section
found by the head of such agency to be in excess of the personnel
necessary for the administration of the functions transferred to his
agency shall be retransferred under existing law to other positions in
the Government service, or separated from the service subject to the
provisions of section 10(a) of the Reorganization Act of 1939.
05 USC Sec. 15. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
So much of the unexpended balances of appropriations, allocations, or
other funds available for the use of any agency in the exercise of any
function transferred by this Plan, or for the use of the head of any
agency in the exercise of any function so transferred, as the Director
of the Bureau of the Budget with the approval of the President shall
determine, shall be transferred to the agency concerned for use in
connection with the exercise of the function so transferred. In
determining the amount to be transferred the Director of the Bureau of
the Budget may include an amount to provide for the liquidation of
obligations incurred against such appropriations, allocations, or other
funds prior to the transfer: Provided, That the use of the unexpended
balances of appropriations, allocations, or other funds transferred by
this section shall be subject to the provisions of section 4(d)(3) and
section 9 of the Reorganization Act of 1939.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
To the Congress of the United States:
One year ago the Congress directed the President to investigate the
organization of the Executive establishment and to submit plans for such
transfers, consolidations, and abolitions of agencies as were found
necessary and desirable.
Shortly thereafter I submitted Reorganization Plan No. I which
improved the over-all management of the Executive branch. This was
followed by Reorganization Plan No. II which effected a better
allocation of certain agencies and activities among departments.
Although these two plans have been in effect less than a year, their
benefits have already been gratifying. I have found the task of
coordinating the work of the Executive branch less difficult. Many
improvements in service have occurred, and substantial economies have
resulted.
Reorganization Plan No. III, recently submitted, is a third step
which will improve intradepartmental management through internal
adjustment in certain agencies.
I am now proposing a fourth reorganization plan which provides for a
number of interdepartmental reorganizations. These changes are designed
to increase efficiency in the administration of Government services by a
more logical grouping of certain functions and by a further reduction in
the number of independent agencies reporting directly to the Chief
Executive.
Accordingly, I am transmitting herewith Reorganization Plan No. IV,
which, after investigation, I have prepared in pursuance of section 4 of
the Reorganization Act of 1939 (Public, No. 19, 76th Cong., 1st sess.)
approved April 3, 1939; and I declare with respect to each
reorganization made in this plan, that I have found such reorganization
necessary to accomplish one or more of the purposes of section 1 (a) of
the act:
1. To reduce expenditures;
2. To increase efficiency;
3. To consolidate agencies according to major purposes;
4. To reduce the number of agencies by consolidating those having
similar functions and by abolishing such as may not be necessary;
5. To eliminate overlapping and duplication of effort.
The plan I now transmit I shall describe briefly as follows:
05 USC Department of State
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The Dominican Customs Receivership is transferred to the Department
of State from the Division of Territories and Island Possessions in the
Department of the Interior. The State Department is the most
appropriate agency to supervise this activity which involves relations
with a foreign government.
05 USC Treasury Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The plan transfers to the Secretary of the Treasury the function of
the Attorney General of approving out-of-court settlements --
technically termed compromises -- of cases arising under the Federal
Alcohol Administration Act which have not, prior to compromise, been
referred to the Department of Justice for prosecution. The present
requirement that the Attorney General approve all compromises results in
a cumbersome, time-consuming procedure which the small amounts involved
do not warrant. The proposed handling will be simpler, less likely to
cause delay, and consistent with the procedure now followed in
compromises arising under other acts which the Treasury Department
administers.
05 USC Department of Justice
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Executive Order No. 6166, issued June 20, 1933, provided for the
centralization of the disbursement function in a Division of
Disbursement in the Treasury Department. The resulting increase in
efficiency has amply demonstrated the wisdom of centralizing
disbursement work. In effectuating the plan, however, I have found it
necessary to postpone its application to United States marshals because
of the unusual character of their disbursing work in serving the courts.
Experience indicates that this arrangement should be continued. I am
proposing, therefore, the permanent transfer of the disbursement
function of United States marshals from the Treasury Department to the
Department of Justice.
05 USC Post Office Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
It has also been found desirable to continue permanently in the Post
Office Department the disbursement of Post Office funds. The special
character of the work of this Department, involving disbursements in
thousands of post offices throughout the Nation, requires here, as well
as in the case of the United States marshals, a departure from the sound
theory of central disbursing. With its far-flung facilities, the Post
Office Department is better equipped to carry on this work than the
Division of Disbursement.
Another proposal affecting the Post Office Department relates to the
transportation of mail and other material between departments. In the
early colonial days, the interchange of correspondence and messages was
by the simple hand-to-hand method. Gradually a more systematic device
became necessary to transport messages, with the resultant evolution of
the postal service. Business and private citizens in general have made
use of that service, and today we have in our Post Office Department the
most efficient organization of its kind in the world. However, here in
the Capital City, the Federal Government, instead of utilizing fully the
resources of the Post Office Department to maintain its mail and
messenger service, has permitted a multiplicity of interdepartmental
messenger services, each serving its own department, bureau, or agency.
This duplication of services is uneconomical and results in a constant
crisscrossing and overlapping of personnel and equipment, all engaged in
a common activity. I am sure that the average citizen in Washington, as
well as officials of the Government itself, have wondered at this
paradox whereby the Federal Government is failing to make the fullest
use of one of its own agencies which is specially equipped to render a
simple, centralized service for all the other agencies. This
reorganization plan proposes to do exactly that; to provide for the
transportation of mail, documents, packages, and similar material
between all buildings occupied by Government offices on a regularly
scheduled basis of sufficient frequency to meet the reasonable and
normal requirements of these offices and to reduce to a minimum the
constant dispatching of messengers on so-called urgent and emergency
errands. This service will be available on a reimbursement basis to the
agencies exempted by the Reorganization Act.
05 USC Department of the Interior
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
I propose to transfer to the Department of the Interior the
activities of the Soil Conservation Service relating to soil and
moisture conservation on lands under the jurisdiction of the Interior
Department. With respect to private lands, the soil-conservation work
of the Federal Government is primarily of a consultative character and
can best be carried on by the Department of Agriculture through
cooperation of the farmers throughout the country. In the case of
Federal lands, this work includes the actual application by the
Government of soil-conservation practices and is an appropriate function
of the agency administering the land.
05 USC Department of Commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
One of the purposes of the Reorganization Act is to reduce the number
of administrative agencies and thereby simplify the task of executive
management. We have made substantial progress toward this objective
under previous reorganization plans. I am now proposing another step in
this direction by placing the Civil Aeronautics Authority within the
framework of the Department of Commerce. Reorganization Plan No. III,
which deals with intradepartmental changes, draws a more practical
separation between the functions of the Administrator and the Civil
Aeronautics Board. In Plan IV, which is concerned with
interdepartmental reorganization, I am bringing the Authority into the
departmental structure. The Administrator will report to the Secretary
of Commerce. The five-member Board, however, will perform its
rule-making, adjudicative, and investigative functions independent of
the Department. In the interest of efficiency it will be supplied by
the Department with budgeting, accounting, procurement, and other office
services. As a result of the adjustments provided in Plans III and IV,
I believe the Civil Aeronautics Board will be able effectively to carry
forward the important work of accident investigation heretofore
performed by the Air Safety Board. In addition to the effective and
coordinated discharge of accident investigation work which this transfer
will facilitate, economies in administration will be possible.
The importance of the Weather Bureau's functions to the Nation's
commerce has also led to the decision to transfer this Bureau to the
Department of Commerce. The development of the aviation industry has
imposed upon the Weather Bureau a major responsibility in the field of
air transportation. The transfer to the Department of Commerce, as
provided in this plan, will permit better coordination of Government
activities relating to aviation and to commerce generally, without in
any way lessening the Bureau's contribution to agriculture.
05 USC Department of Labor
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The plan transfers to the Secretary of Labor the functions of the
Secretary of the Treasury and the Secretary of the Interior relating to
the enforcement of the minimum-wage provisions in contracts for Federal
construction. The Secretary of Labor is responsible by law for the
determination of the prevailing wage rates included in Government
contracts and should properly have complete responsibility for their
enforcement.
05 USC United States Maritime Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
I propose to transfer to the United States Maritime Commission the
functions of the Secretary of the Navy relating to State marine and
nautical schools. These schools are devoted to training young men for
junior officer positions in the merchant marine. The general
responsibility for developing facilities for the training of merchant
marine personnel is vested in the Maritime Commission. The proposed
transfer will thus permit closer coordination of the nautical schools
with the training work of the Maritime Commission.
05 USC Federal Security Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The Federal Security Agency has as its major purposes the promotion
of social and economic security, educational opportunity, and the health
of the citizens. The functions of Saint Elizabeths Hospital, Freedmen's
Hospital, Howard University, and Columbia Institution for the Deaf
plainly come squarely within these purposes. Consequently, I find it
necessary and desirable in pursuance of the objectives of the
Reorganization Act to transfer to the Federal Security Agency the
responsibilities of the Interior Department relating to these
institutions. The work of Saint Elizabeths Hospital and Freedmen's
Hospital is much more akin to the activities of the Public Health
Service in the Federal Security Agency than to those of any other
Federal establishment. Similarly, Howard University and Columbia
Institution for the Deaf can derive more benefit from association with
the Office of Education in the Federal Security Agency than with any
other Federal organization.
I further propose to transfer to the Federal Security Agency the Food
and Drug Administration with the exception of two activities intimately
related to the work of the Department of Agriculture. The work of the
Food and Drug Administration is unrelated to the basic functions of the
Department of Agriculture. There was, however, no other agency to which
these functions more appropriately belonged until the Federal Security
Agency was created last year. I now believe that the opportunity for
the Food and Drug Administration to develop along increasingly
constructive lines lies in this new Agency. There is also need for
coordination of certain of its functions with those of the Public Health
Service. To accomplish these objectives, the plan establishes the
Administration as a separate unit within the Federal Security Agency.
05 USC Economies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
Functions may be transferred or consolidated under this
Reorganization Act, but the abolition of functions is prohibited.
Congress alone can curtail or abolish functions now provided by law.
Savings must come from administrative expenses which comprise only a
small fraction of Federal expenditures. This precludes the making of
large reductions in expenditure through reorganization plans. The major
achievements in reorganizations under this formula must inevitably be
found in improved management and more effective service. However, some
savings in administrative expenses will be possible under this plan. I
estimate the immediate annual savings at approximately $300,000.
05 USC Future Reorganization Needs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO IV OF 1940
The reorganization plans thus far submitted do not exhaust the
transfers, consolidations, and abolitions that may be necessary and
desirable. Some changes that now appear to have merit require further
study. It is the responsibility of the President as Chief Executive to
see that needed adjustments and improvements in administrative
organization are made. But this he cannot adequately accomplish without
proper statutory authority. The present Reorganization Act entirely
exempts some 21 administrative agencies from consideration. Furthermore
this act expires on January 20, 1941.
I strongly recommend the reenactment of the Reorganization Act,
without exemptions. The structure and management of our Government,
like the activities and services it performs, must be kept abreast of
social and economic change.
Franklin D. Roosevelt.
The White House, April 11, 1940.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
05 USC REORGANIZATION PLAN NO. V OF 1940
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
June 4, 1940, ch. 231, 1, 54 Stat. 230
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 22, 1940, pursuant to the
provisions of the Reorganization Act of 1939, Approved April 3, 1939.
05 USC Section 1. Transfer of Immigration and Naturalization Service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
The Immigration and Naturalization Service of the Department of Labor
(including the Office of the Commissioner of Immigration and
Naturalization) and its functions are transferred to the Department of
Justice and shall be administered under the direction and supervision of
the Attorney General. All functions and powers of the Secretary of
Labor relating to the administration of the Immigration and
Naturalization Service and its functions or to the administration of the
immigration and naturalization laws are transferred to the Attorney
General. In the event of disagreement between the head of any
department or agency and the Attorney General concerning the
interpretation or application of any law pertaining to immigration,
naturalization, or nationality, final determination shall be made by the
Attorney General.
05 USC Sec. 2. Transfer of Records, Property, and Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
All records, property, and personnel (including office equipment) of
the Immigration and Naturalization Service, and all records, property,
and personnel of the Department of Labor used primarily in the
administration of functions transferred by this Plan (including officers
whose chief duties relate to such administration), are transferred to
the Department of Justice: Provided, That any personnel so transferred
that may be found by the Attorney General to be in excess of the
personnel necessary for the administration of the functions transferred
by this Plan, shall be retransferred under existing law to other
positions in the Government service, or separated from the service
subject to the provisions of section 10(a) of the Reorganization Act of
1939.
05 USC Sec. 3. Transfer of Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
So much of the unexpended balances of appropriations, allocations, or
other funds available (including funds available for the fiscal year
ending June 30, 1941) for the use of the Immigration and Naturalization
Service or the Department of Labor in the exercise of functions
transferred by this Plan as the Director of the Bureau of the Budget
with the approval of the President shall determine, shall be transferred
to the Department of Justice for use in connection with the exercise of
the functions so transferred. In determining the amount to be
transferred the Director of the Bureau of the Budget may include an
amount to provide for the liquidation of obligations incurred against
such appropriations, allocations, or other funds prior to the transfer:
Provided, That the use of the unexpended balances of appropriations,
allocations, or other funds transferred by this section shall be subject
to the provisions of sections 4(d)(3) and section 9 of the
Reorganization Act of 1939.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO V OF 1940
To the Congress of the United States:
When Reorganization Plan No. IV was submitted to Congress, I did not
contemplate the transmittal of any additional plans during the current
session. However, the startling sequence of international events which
has occurred since then has necessitated a review of the measures
required for the Nation's safety. This has revealed a pressing need for
the transfer of the immigration and naturalization functions from the
Department of Labor to the Department of Justice. I had considered such
an interdepartmental transfer for some time but did not include it in
the previous reorganization plans since much can be said for the
retention of these functions in the Department of Labor during normal
times. I am convinced, however, that under existing conditions the
immigration and naturalization activities can best contribute to the
national well-being only if they are closely integrated with the
activities of the Department of Justice.
I am, therefore, transmitting herewith Reorganization Plan No. V
which I have prepared in accordance with the provisions of section 4 of
the Reorganization Act of 1939 (Public, No. 19, 76th Cong., 1st sess.)
approved April 3, 1939; and I declare that I have found that such
reorganization is necessary to accomplish one or more of the purposes of
section 1(a) (section 133 of this title) of the act:
1. To reduce expenditures;
2. To increase efficiency;
3. To consolidate agencies according to major purposes;
4. To reduce the number of agencies by consolidating those having
similar functions and by abolishing such as may not be necessary; and
5. To eliminate overlapping and duplication of effort.
This plan provides for transferring the Immigration and
Naturalization Service from the Department of Labor to the Department of
Justice. While it is designed to afford more effective control over
aliens, this proposal does not reflect any intention to deprive them of
their civil liberties or otherwise to impair their legal status. This
reorganization will enable the Government to deal quickly with those
aliens who conduct themselves in a manner that conflicts with the public
interest. No monetary savings are anticipated.
I realize that the Congress may adjourn before the termination of the
60-day period provided under the Reorganization Act, but in that event
and in view of the urgency of this matter I hope that it will take such
action as will permit this plan to go into effect.
Franklin D. Roosevelt.
The White House, May 22, 1940.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1946
05 USC REORGANIZATION PLAN NO. 1 OF 1946
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1946
Reorganization Plan No. 1 of 1946, which proposed abolition of the
Office of Inter-American Affairs and transfer of its functions to the
Department of State, abolition of the Office of United States High
Commissioner to the Philippine Islands, transfer of functions of the
Attorney General under the National Prohibition Act to the Commissioner
of Internal Revenue, transfer of functions of six research bureaus, the
Office of Experiment Stations, and the Agricultural Research Center to
the Secretary of Agriculture, transfer of functions of the Director and
Office of Contract Settlement under the Contract Settlement Act of 1944
to the Director and Office of War Mobilization and Reconversion,
consolidation of the agencies and functions of the National Housing
Agency into a permanent agency of the same name, and transfer of the
functions of the Farm Credit Administration and the Governor thereof and
of the Secretary of Agriculture under the Federal Credit Union Act to
the Federal Deposit Insurance Corporation, was submitted to Congress on
May 16, 1946, and was disapproved by Congress on July 15, 1946.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
05 USC REORGANIZATION PLAN NO. 2 OF 1946
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
Dec. 20, 1945, ch. 582, 59 Stat. 613, as amended
Sept. 6, 1966, Pub. L. 89-554, 8(a), 80 Stat. 662
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 16, 1946, pursuant to the
provisions of the Reorganization Act of 1945, approved December 20,
1945.
05 USC Section 1. Children's Bureau
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
(a) The Children's Bureau in the Department of Labor, exclusive of
its Industrial Division, is transferred to the Federal Security Agency.
All functions of the Children's Bureau and of the Chief of the
Children's Bureau except those transferred by subsection (b) of this
section, all functions of the Secretary of Labor under Title V of the
Social Security Act (49 Stat. 620, ch. 531), as amended (42 U.S.C. 701
et seq.), and all other functions of the Secretary of Labor relating to
the foregoing functions are transferred to the Federal Security
Administrator and shall be performed by him or under his direction and
control by such officers and employees of the Federal Security Agency as
he shall designate, except that the functions authorized by section 2 of
the act of April 9, 1912 (37 Stat. 79, ch. 73), as amended (former
section 192 of Title 40), and such other functions of the Federal
Security Agency as the Administrator may designate, shall be
administered, under his direction and control, through the Children's
Bureau.
(b) The functions of the Children's Bureau and of the Chief of the
Children's Bureau under the Fair Labor Standards Act of 1938 (52 Stat.
1060, ch. 676), as amended (29 U.S.C. 201 et seq.), are transferred to
the Secretary of Labor and shall be performed under his direction and
control by such officers and employees of the Department of Labor as he
shall designate.
05 USC Sec. 2. Vital Statistics
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The functions of the Secretary of Commerce, the Bureau of the Census,
and the Director of the Bureau of the Census with respect to vital
statistics (including statistics on births, deaths, marriages, divorces,
and annulments) are transferred to the Federal Security Administrator
and shall be performed under his direction and control by the United
States Public Health Service or by such officers and employees of the
Federal Security Agency as the Administrator shall designate.
05 USC Sec. 3. United States Employees' Compensation Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
(Repealed. Pub. L. 89-554, 8(a), Sept. 6, 1966, 80 Stat. 662.
Section abolished the United States Employees' Compensation Commission
and transferred its functions to the Federal Security Agency. See
sections 8145 and 8149 of Title 5, Government Organization and
Employees.)
05 USC Sec. 4. Social Security Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The functions of the Social Security Board in the Federal Security
Agency, together with the functions of its chairman, are transferred to
the Federal Security Administrator and shall be performed by him or
under his direction and control by such officers and employees of the
Federal Security Agency as he shall designate. The Social Security
Board is abolished.
05 USC Sec. 5. Assistant Heads of Federal Security Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
In addition to the existing Assistant Federal Security Administrator,
there shall be not to exceed two assistant heads of the Federal Security
Agency, each of whom shall be appointed by the Federal Security
Administrator under the classified civil service, receive a salary at
the rate of $10,000 per annum, and perform such duties and head such
constituent unit of the Federal Security Agency as the Administrator may
provide.
05 USC Sec. 6. Functions Under Act of June 20, 1936, With Respect to
the Blind
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The functions of the Office of Education and of the Commissioner of
Education under the act of June 20, 1936 (49 Stat. 1559, ch. 638) (20
U.S.C. 107 et seq.) are transferred to the Federal Security
Administrator and shall be performed under his direction and control by
such officers and employees of the Federal Security Agency as he shall
designate.
05 USC Sec. 7. Assistant Commissioner of Education
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The functions of the Assistant Commissioner of Education, created by
the act of May 26, 1930 (46 Stat. 384, ch. 330) (former section 2a of
Title 20) are transferred to the Office of Education to be performed
under the direction and control of the Commissioner of Education by such
officers or employees of the Office as he may designate with the
approval of the Federal Security Administrator. The Office of Assistant
Commissioner of Education is abolished.
05 USC Sec. 8. Federal Board for Vocational Education
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The Federal Board for Vocational Education and its functions are
abolished.
05 USC Sec. 9. Board of Visitors of St. Elizabeth's Hospital
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The Board of Visitors of St. Elizabeth's Hospital and its functions
are abolished.
05 USC Sec. 10. Coordination of Grant-in-Aid Programs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
In order to coordinate more fully the administration of grant-in-aid
programs by officers and constituent units of the Federal Security
Agency, the Federal Security Administrator shall establish, insofar as
practicable, (a) uniform standards and procedures relating to fiscal,
personnel, and the other requirements common to two or more such
programs, and (b) standards and procedures under which a State agency
participating in more than one such program may submit a single plan of
operation and be subject to a single Federal fiscal and administrative
review of its operation.
05 USC Sec. 11. Winding Up of Affairs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
Suitable measures shall be taken by the Federal Security
Administrator to wind up those outstanding affairs of the agencies
herein abolished which are not otherwise disposed of by this plan.
05 USC Sec. 12. Transfer of Personnel, Property, Records, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
The personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds (available or to be made
available), which the Director of the Bureau of the Budget shall
determine to relate primarily to the functions transferred hereunder are
transferred to the respective agencies concerned for use in the
administration of the functions so transferred, except that all of the
personnel, property, records, and funds of the Industrial Division of
the Children's Bureau shall be transferred to such agency or agencies of
the Department of Labor as the Secretary of Labor shall designate. Any
of the personnel transferred under this plan which the transferee agency
shall find to be in excess of the personnel necessary for the
administration of the functions transferred to such agency shall be
retransferred under existing law to other positions in the Government or
separated from the service.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1946
To the Congress of the United States:
The fundamental strength of a nation lies within its people.
Military and industrial power are evidences, not the real source of
strength. Over the years the prosperity of America and its place in the
world will depend on the health, the education, the ingenuity, and the
integrity of its people and on their ability to work together and with
other nations.
The most basic and at the same time the most difficult task of any
country is the conservation and development of its human resources.
Under our system of government this is a joint responsibility of the
Federal, State, and local governments, but in it the Federal Government
has a large and vital role to play. Through its research, advice,
stimulation, and financial aid, it contributes greatly to progress and
to the equalization of standards in the fields of education, health, and
welfare; and in the field of social insurance it also directly
administers a major segment of the program.
To meet its full responsibilities in these fields, the Federal
Government requires efficient machinery for the administration of its
social programs. Until 1939 the agencies in charge of these activities
were scattered in many parts of the Government. In that year President
Roosevelt took the first great step toward effective organization in
this area when he submitted Reorganization Plan 1, establishing the
Federal Security Agency --
to promote social and economic security, educational opportunity, and
the health of the citizens of the Nation.
The time has now come for further steps to strengthen the machinery
of the Federal Government for leadership and service in dealing with the
social problems of the country. Several programs closely bound up with
the objectives of the Federal Security Agency are still scattered in
other parts of the Government. As the next step, I consider it
essential to transfer these programs to the Federal Security Agency and
to strengthen its internal organization and management.
Broadly stated, the basic purpose of the Federal Security Agency is
the conservation and development of the human resources of the Nation.
Within that broad objective come the following principal functions:
Child care and development, education, health, social insurance, welfare
(in the sense of care of the needy and the defective), and recreation
(apart from the operation of parks in the public domain).
These functions constitute a natural family of closely related
services, interwoven at many points and in many ways. For example, the
development of day-care centers for children has involved joint planning
and service by specialists of the Children's Bureau, the Office of
Education, the Public Health Service, and several other agencies. The
schools are both a major consumer of public-health services and a
leading vehicle for health education and for disseminating the results
of research carried on by the Public Health Service. The promotion of
social security involves a whole battery of activities, especially
social insurance, public assistance, health, and child welfare.
In order to proceed as promptly as possible with the development of
the Federal Security Agency to meet the postwar responsibilities of the
Government within its field of activity, I am transmitting herewith
Reorganization Plan No. 2, which I have prepared in accordance with the
provisions of section 3 of the Reorganization Act of 1945 (Public Law
263, 79th Cong., 1st Sess.), approved December 20, 1945; and I declare
that, with respect to each reorganization made in this plan, I have
found that such reorganization is necessary to accomplish one or more of
the purposes of section 2 (a) of the act --
(1) To facilitate orderly transition from war to peace;
(2) To reduce expenditures and promote economy;
(3) To increase efficiency;
(4) To group, coordinate, and consolidate agencies and functions
according to major purposes;
(5) To reduce the number of agencies by consolidating those having
similar functions and to abolish such agencies or functions thereof as
may not be necessary for the efficient conduct of the Government; and
(6) To eliminate overlapping and duplication of effort.
The plan includes certain interagency transfers and several
abolitions and changes in the internal organization of the Federal
Security Agency.
The plan transfers to the Federal Security Administrator the
functions of the Children's Bureau, except those relating to child labor
under the Fair Labor Standards Act. These child-labor functions are
transferred to the Secretary of Labor in order that they may be
performed by, or in close relationship with, the Wage and Hour Division
which administers the rest of the act. The plan continues the
Children's Bureau within the Federal Security Agency to deal with
problems of child life, but is flexible enough to enable the
Administrator to gear in the Bureau's programs effectively with other
activities of the Agency.
The child-labor program is the only permanent program of the
Children's Bureau that is properly a labor function. The other four --
child welfare, crippled children, child and maternal health, and
research in problems of child life -- all fall within the scope of the
Federal Security Agency. The transfer of the Children's Bureau will not
only close a serious gap in the work of the Agency, but it will
strengthen the child-care programs by bringing them into closer
association with the health, welfare, and educational activities with
which they are inextricably bound up.
The promotion of the education, health, welfare, and social security
of the Nation is a vast cooperative undertaking of the Federal, State,
and local governments. It involves numerous grant-in-aid programs and
complex intergovernmental relations. The transfer of the Children's
Bureau will simplify these relations and make for better cooperation.
To illustrate, State welfare departments now depend on both the
Bureau of Public Assistance in the Federal Security Agency and the
Children's Bureau in the Labor Department for funds for child-care
activities. Similarly, State health departments obtain grants from the
Public Health Service for general public health work and from the
Children's Bureau for child and maternal health activities. All of
these grants involve the establishment of minimum standards and a
measure of Federal supervision. The transfer of the Children's Bureau
programs will make it possible to develop more consistent policies and
procedures and to simplify dealings with the States. This will
eliminate needless inconvenience for both parties and enable the State
and Federal Governments to join more efficiently in their common
objective of furthering the health and welfare of the American child.
Next, the plan transfers the vital statistics functions of the Census
Bureau to the Federal Security Administrator, to be performed through
the Public Health Service or other facilities of the Federal Security
Agency. In every State but one the State health department is in charge
of vital statistics. The work in the States is partially financed from
public-health grants administered by the Public Health Service. This
transfer will make the agency providing the grants also responsible for
carrying on the Federal part of the vital statistics program.
Furthermore, it will make for a better correlation of vital statistics
with morbidity statistics, which are closely connected in nature and are
already handled by the Public Health Service. In addition, the Federal
Security Agency, more than any other Federal agency in peacetime,
depends on vital statistics and vital records in the operation of its
programs.
The plan transfers the functions of the United States Employees
Compensation Commission to the Federal Security Administrator, and
provides for a three-member board of appeals to hear and finally decide
appeals on claims of Government employees. By abolishing the
Commission, the plan eliminates a small agency and lightens the burden
on the President. The Federal Security Administrator, as the head of
the Federal agency with the greatest experience in insurance
administration, is in the best position to guide and further the program
of the Commission.
The abolition of the Commission as an administrative body and the
creation of an appeals board will provide the advantages of a single
official in charge of operations while affording claimants the
protection of a three-member board for the final decision of appeals on
claims. This arrangement has proved both administratively efficient and
satisfactory to claimants in many similar programs. It is essentially
the plan used in the administration of veterans' pensions and old-age
and survivors insurance and employed by many States in their workmen's
compensation programs. The board of appeals created by this plan will
deal only with claims of Government employees since appeals on other
types of claims under the jurisdiction of the Commission -- (a)
longshoremen and harbor workers and (b) private employees in the
District of Columbia -- are heard by the Federal district courts rather
than the Commission.
The reorganization plan which created the Federal Security Agency in
1939 provided that the Federal Security Administrator should direct and
supervise the Social Security Board, and that he might assign
administrative duties to the Chairman of the Board, rather than to the
Board as a whole. Thus, it took the first step toward establishing a
definite line of responsibility for the administration of social
security functions in the Agency. The plan I am now submitting further
clarifies these lines of responsibility by providing for the normal type
of internal organization used in Federal departments and agencies.
A full-time board in charge of a group of bureaus within an agency is
at best an anomaly. The Social Security Board rendered an outstanding
service in launching the social-security program, and its members
deserve the thanks of the Nation for this achievement. That program,
however, is now firmly established and its administration needs to be
tied in more fully with other programs of the Federal Security Agency.
The existence of a department within a department is a serious barrier
to effective integration.
In order to obtain more expeditious and effective direction for the
social-security program and to further the development of the Federal
Security Agency, this plan transfers the functions of the Social
Security Board to the Federal Security Administrator and provides for
not more than two new assistant heads of the Agency for the
administration of the program. Because of the additional functions
transferred to the Administrator by this plan, I have found that these
officers will be needed to assist him in the general management of the
Agency and to head the constituent unit or units which the Administrator
will have to establish for the conduct of social-security activities.
To permit a consolidation of work for the blind, the functions of the
Office of Education as to the vending-stand program for the blind are
transferred to the Federal Security Administrator, in whom are vested
other vocational rehabilitation functions. This transfer will permit
the program to be assigned to the Office of Vocational Rehabilitation,
where other vocational rehabilitation activities for the blind are now
concentrated.
The office of Assistant Commissioner of Education, established by the
act of May 26, 1930, is abolished. A basic reorganization of the Office
of Education within the past year has made this officer the head of one
of the divisions of the Office. It is, therefore, administratively
desirable to abolish the post of Assistant Commissioner in conformity
with the present organization of the Office.
The plan also abolishes the Federal Board of Vocational Education and
its functions. The Board, established by the act of February 23, 1917,
as amended (20 U.S.C. 11 et seq.), formerly had charge of the
administration of the vocational-education program. Section 15 of
Executive Order 6166, of June 10, 1933, issued under authority of the
act of June 30, 1932 (47 Stat. 413, ch. 314), as amended, transferred
the administration of the program to the Office of Education and limited
the Board to acting in an advisory capacity. The Advisory Committee on
Education, on the basis of its study of the vocational-education system,
found that the Board was no longer needed and recommended its abolition.
To avoid possible confusion and conflict of authority, the Board of
Visitors of St. Elizabeths Hospital and its functions are abolished.
The functions of the Board, as provided by section 4842 of the Revised
Statutes include supervision of the institution and the adoption of its
bylaws, in addition to visiting the institution and advising the
superintendent. These functions overlap the responsibilities of the
Federal Security Administrator for the general supervision and direction
of the hospital.
In order to enable the Administrator more adequately to coordinate
the administration of the grant-in-aid programs vested by statute in the
constituent units of the Federal Security Agency, the plan provides
that, insofar as practicable and consistent with the applicable
legislation, he shall establish uniform standards and procedures for
these programs and permit States to submit a single plan of operation
for related grant-in-aid programs. Most of these programs involve the
establishment of certain minimum standards on fiscal, personnel, and
other aspects of administration in the States. In many cases the same
State agency is operating under two or more grant-in-aid programs. Much
needless inconvenience and confusion can be avoided for all concerned by
unifying Federal standards and combining State plans for the operation
of the programs in such cases.
After careful consideration of a number of other agencies and
functions I have refrained from proposing in this plan their transfer to
the Federal Security Agency. Most of these involve activities which,
though related to the functions of the Federal Security Agency, are
incidental to the purpose of other agencies or are connected so closely
with such agencies as to make transfer undesirable. A few are
activities which should probably be shifted in whole or in part to the
Federal Security Agency, but I believe such shifts can best be
accomplished by interagency agreement or action in connection with
appropriations.
The reorganization plan here presented is a second important step in
building a central agency for the administration of Federal activities
primarily relating to the conservation and development of human
resources; but, while this step is important in itself, I believe that
a third step should soon be taken. The time is at hand when that agency
should be converted into an executive department.
The size and scope of the Federal Security Agency and the importance
of its functions clearly call for departmental status and a permanent
place in the President's Cabinet. In number of personnel and volume of
expenditures the Agency exceeds several of the existing departments.
Much more important, the fundamental character of its functions --
education, health, welfare, social insurance -- and their significance
for the future of the country demand for it the highest level of
administrative leadership and a voice in the central councils of the
executive branch.
Accordingly, I shall soon recommend to the Congress that legislation
be promptly enacted making the Federal Security Agency an executive
department, defining its basic purpose, and authorizing the President to
transfer to it such units and activities as come within that definition.
The people expect the Federal Government to meet its full
responsibilities for the conservation and development of the human
resources of the Nation in the years that lie ahead. This
reorganization plan and the legislation that I shall propose will
provide the broad and firm foundation required for the accomplishment of
that objective.
Harry S. Truman.
The White House, May 16, 1946.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
05 USC REORGANIZATION PLAN NO. 3 OF 1946
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
Dec. 20, 1945, ch. 582, 59 Stat. 613, as amended
Reorg. Plan No. 1 of 1963, eff. July 27, 1963, 28
F.R. 7659, 77 Stat. 869
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 16, 1946, pursuant to the
provisions of the Reorganization Act of 1945, approved December 20,
1945.
05 USC Section 101. Functions Transferred to the United States Coast
Guard
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
(a) There are hereby transferred to the Commandant of the Coast Guard
those functions of the bureau, offices, and boards specified in the
first sentence of section 104 of this plan, and of the Secretary of
Commerce, which pertain to approval of plans for the construction,
repair, and alteration of vessels; approval of materials, equipment,
and appliances; classification of vessels; inspection of vessels and
their equipment and appliances; issuance of certificates of inspection,
and of permits indicating the approval of vessels for operations which
may be hazardous to life or property; administration of load line
requirements; enforcement of other provisions for the safety of life
and property on vessels; licensing and certificating of officers,
pilots, and seamen; suspension and revocation of licenses and
certificates; investigation of marine casualties; enforcement of
manning requirements, citizenship requirements, and requirements for the
mustering and drilling of crews, control of logbooks; shipment,
discharge, protection, and welfare of merchant seamen; enforcement of
duties of shipowners and officers after accidents; promulgation and
enforcement of rules for lights, signals, speed, steering, sailing,
passing, anchorage, movement, and towlines of vessels and lights and
signals on bridges; numbering of undocumented vessels; prescription
and enforcement of regulations for outfitting and operation of
motorboats; licensing of motorboat operators; regulation of regattas
and marine parades; all other functions of such bureau, offices, and
boards which are not specified in section 102 of this plan: and all
other functions of the Secretary of Commerce pertaining to those
functions of the agencies abolished under section 104 of this plan which
are not specified in section 102 of this plan, including the remission
and mitigation of fines, penalties, and forfeitures incurred under the
laws governing these functions and those incurred under the act of
December 17, 1941, 55 Stat. 808, as amended.
(b) The functions relating to the award of numbers to undocumented
vessels vested by law in the collectors of customs are hereby
transferred to the Commandant of the Coast Guard.
05 USC Sec. 102. Functions Transferred to the Bureau of Customs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
There are hereby transferred to the Commissioner of Customs those
functions of the bureau, offices, and boards specified in the first
sentence of section 104 of this plan, and of the Secretary of Commerce,
which pertain to registry, enrollment, and licensing of vessels,
including the issuance of commissions to yachts, the assignment of
signal letters, and the preparation of all reports and publications in
connection therewith; measurement of vessels, administration of tonnage
duties, and collection of tolls; entry and clearance of vessels and
aircraft, regulation of vessels in the coasting and fishing trades, and
limitation of the use of foreign vessels in waters under the
jurisdiction of the United States; recording of sales, conveyances, and
mortgages of vessels; protection of steerage passengers; all other
functions of such bureau, offices, and boards which were performed by
the Bureau of Customs on behalf thereof immediately prior to the
effective date of Executive Order No. 9083 of February 28, 1942 (7 F.R.
1609); and the power to remit and mitigate fines, penalties, and
forfeitures incurred under the laws governing these functions.
05 USC Sec. 103. Powers of the Secretary of the Treasury
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The functions transferred by sections 101 and 102 of this plan may be
performed through such officers and employees of the United States Coast
Guard and the Bureau of Customs, respectively, as may be designated by
the Commandant of the Coast Guard and the Commissioner of Customs,
respectively, and shall be performed subject to the direction and
control of the Secretary of the Treasury except as otherwise required by
law with respect to the United States Coast Guard whenever it operates
as a part of the Navy.
05 USC Sec. 104. Abolition of Agencies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The Bureau of Marine Inspection and Navigation, the office of the
director thereof, the offices of supervising inspectors, principal
traveling inspectors, local inspectors, assistant inspectors, shipping
commissioners, deputy shipping commissioners, and the board of
supervising inspectors, the boards of local inspectors, the marine
casualty investigation board, and the marine boards are hereby
abolished. The Secretary of the Treasury shall provide for winding up
those affairs of the said abolished agencies which are not otherwise
disposed of herein.
05 USC Section 201. Functions With Respect to Certain Insane Persons
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
(a) The functions of St. Elizabeths Hospital and the Superintendent
thereof, and of the Federal Security Agency and the Federal Security
Administrator, with respect to the care, treatment, and custody of
insane persons as provided in section 4843 of the Revised Statutes (24
U.S.C. 191) are hereby transferred or abolished as follows:
(1) Functions with respect to insane persons belonging to the Army or
falling, by reason of employment or service in the Army, within any of
the categories enumerated in said section, are transferred to the
Secretary of War (now the Secretary of the Army) and shall be performed
by the Secretary or, subject to his direction and control, by such
officers and agencies of the Department of War (now the Department of
the Army) as he may designate.
(2) Functions with respect to insane persons belonging to the Navy or
falling, by reason of prior service in the Navy, within any of the
categories enumerated in said section, are transferred to the Secretary
of the Navy and shall be performed by the Secretary or, subject to his
direction and control, by such officers and agencies of the Department
of the Navy as he may designate. (For the purposes of this subparagraph
(2), the Marine Corps but not the Coast Guard is included in the Navy.)
(3) Functions with respect to insane persons belonging to the Coast
Guard are abolished.
(b) Nothing in subsection (a) of this section shall affect the
functions and authority of St. Elizabeths Hospital, the Superintendent
thereof, the Federal Security Agency, or the Federal Security
Administrator, with respect to any person heretofore admitted to St.
Elizabeths Hospital and a patient therein on the effective date of this
plan under the provisions of section 4843 of the Revised Statutes (24
U.S.C. 191), or the functions and authority of said officers and
agencies or of the Public Health Service with respect to Coast Guard
members as beneficiaries of the Public Health Service, as provided by
section 504 of the Public Health Service Act (58 Stat. 710, 42 U.S.C.
222).
05 USC Section 301. Hydrographic Office and Naval Observatory
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The Hydrographic Office and the Naval Observatory, together with
their respective functions, are hereby transferred from the Bureau of
Naval Personnel, Department of the Navy, to the Chief of Naval
Operations, and shall be administered, subject to the direction and
control of the Secretary of the Navy, under the Chief of Naval
Operations.
05 USC Sec. 302. Supply Department of the United States Marine Corps
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The Paymaster's Department of the United States Marine Corps and the
Quartermaster's Department of the United States Marine Corps, and the
functions of such departments, are hereby consolidated to form a single
new agency, which shall be known as the Supply Department of the United
States Marine Corps, and at the head of which there shall be the
Quartermaster General of the Marine Corps. The office and title of
''The Paymaster General of the Marine Corps,'' provided for in the Act
of March 24, 1944 (58 Stat. 121) are hereby abolished.
05 USC Section 401. Certain Functions With Respect to the Franklin D.
Roosevelt Library
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
(Superseded. Reorg. Plan No. 1 of 1963, eff. July 27, 1963, 28 F.R.
7659, 77 Stat. 869. Section transferred to the Secretary of the Interior
the functions of the Commissioner of Public Buildings and the Archivist
of the United States under sections 206 and 207, respectively, of the
Act of July 18, 1939, 53 Stat. 1062, relating to care and maintenance of
buildings and collection of fees from visitors.)
05 USC Sec. 402. Functions Relating to Mineral Deposits in Certain
Lands
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The functions of the Secretary of Agriculture and the Department of
Agriculture with respect to the uses of mineral deposits in certain
lands pursuant to the provisions of the Act of March 4, 1917 (39 Stat.
1134, 1150, 16 U.S.C. 520), Title II of the National Industrial Recovery
Act of June 16, 1933 (48 Stat. 195, 200, 202, 205, 40 U.S.C. 401,
403(a) and 408), the 1935 Emergency Relief Appropriation Act of April 8,
1935 (48 Stat. 115, 118), section 55 of Title I of the Act of August 24,
1935 (49 Stat. 750, 781), and the Act of July 22, 1937 (50 Stat. 522,
525, 530), as amended July 28, 1942 (56 Stat. 725, 7 U.S.C. 1011(c) and
1018), are hereby transferred to the Secretary of the Interior and shall
be performed by him or, subject to his direction and control, by such
officers and agencies of the Department of the Interior as he may
designate: Provided, That mineral development on such lands shall be
authorized by the Secretary of the Interior only when he is advised by
the Secretary of Agriculture that such development will not interfere
with the primary purposes for which the land was acquired and only in
accordance with such conditions as may be specified by the Secretary of
Agriculture in order to protect such purposes. The provisions of law
governing the crediting and distribution of revenues derived from the
said lands shall be applicable to revenues derived in connection with
the functions transferred by this section. To the extent necessary in
connection with the performance of the functions transferred by this
section, the Secretary of the Interior and his representatives shall
have access to the title records of the Department of Agriculture
relating to the lands affected by this section.
05 USC Sec. 403. Bureau of Land Management
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
(a) The functions of the General Land Office and of the Grazing
Service in the Department of the Interior are hereby consolidated to
form a new agency in the Department of the Interior to be known as the
Bureau of Land Management. The functions of the other agencies named in
subsection (d) of this section are hereby transferred to the Secretary
of the Interior.
(b) There shall be at the head of such Bureau a Director of the
Bureau of Land Management, who shall be appointed by the Secretary of
the Interior under the classified civil service, who shall receive a
salary at the rate of $10,000 per annum, and who shall perform such
duties as the Secretary of the Interior shall designate.
(c) There shall be in the Bureau of Land Management an Associate
Director of the Bureau of Land Management and so many Assistant
Directors of the Bureau of Land Management as may be necessary, who
shall be appointed by the Secretary of the Interior under the classified
civil service and subject to the Classification Act of 1923, as amended,
and who shall perform such duties as the Secretary of the Interior may
prescribe.
(d) The General Land Office, the Grazing Service, the offices of
Commissioner of the General Land Office, Assistant Commissioner of the
General Land Office, Director of the Grazing Service, all Assistant
Directors of the Grazing Service, all registers of the district land
offices, and United States Supervisor of Surveys, together with the
Field Surveying Service now known as the Cadastral Engineering Service,
are hereby abolished.
(e) The Bureau of Land Management and its functions shall be
administered subject to the direction and control of the Secretary of
the Interior, and the functions transferred to the Secretary by
subsection (a) of this section shall be performed by the Secretary or,
subject to his direction and control, by such officers and agencies of
the Department of the Interior as he may designate.
05 USC Section 501. Functions of Certain Agencies of the Department of
Agriculture
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The following functions are hereby transferred to the Secretary of
Agriculture and shall be performed by him or, subject to his direction
and control, by such officers and agencies of the Department of
Agriculture as he shall designate:
(a) All functions of the Agricultural Adjustment Administration and
the Surplus Marketing Administration and of the respective heads of such
Administrations.
(b) The administration of the programs of the Federal Crop Insurance
Corporation and the Commodity Credit Corporation.
05 USC Section 601. Certain Functions of National Bureau of Standards
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The following functions are hereby transferred to the Secretary of
Commerce and shall be performed, subject to his direction and control,
by such officers and agencies of the Department of Commerce as he may
designate:
(a) Those functions of the National Bureau of Standards under section
2 of the Act of March 3, 1901 (31 Stat. 1449) (15 U.S.C. 272) which are
now performed by the Division of Commercial Standards of said Bureau,
namely, (1) to assist, coordinate, and cooperate with groups of
consumers, distributors or producers, technical organizations, and other
persons, in the voluntary establishment, maintenance, recording,
publishing, and promoting of commercial standards as a national and
internationally recognized basis for testing, grading, labeling,
marketing, guaranteeing, or accepting staple, manufactured commodities
moving in daily domestic and foreign trade; and (2) to assist in the
development of Federal purchase standards specifications and in
providing information to the public and the Government of such standards
and specifications.
(b) Those functions of said Bureau under said section 2 which are now
performed by the Division of Simplified Trade and Practices of said
Bureau, namely, to assist, coordinate, and cooperate with individuals
and groups of producers, distributors and users in establishing,
recording, publishing, and promoting a Nation-wide program for the
elimination of avoidable waste through the formulation of simplified
trade practice recommendations which identify and list the sizes, types,
dimensions, and varieties of products that are in national demand in the
country, including but not limited to simplified trade practice
recommendations concerning the following commodities: Wood, textiles,
paper and rubber products, metal and mechanical products, containers and
miscellaneous products, materials handling equipment, ceramic products,
electrical products, construction materials, and metal and woodworking
tools.
(c) So much of the functions of the Director of said Bureau as
relates to the foregoing activities.
(References to National Bureau of Standards deemed to refer to
National Institute of Standards and Technology pursuant to section
5115(c) of Pub. L. 100-418, set out as a Change of Name note under 15
U.S.C. 271.)
05 USC Section 701. Strike Ballots Under War Labor Disputes Act
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The functions of the National Labor Relations Board under section 8
of the War Labor Disputes Act (57 Stat. 162, 167, ch. 144) (former
section 1508 of Title 50, Appendix) with respect to taking secret
ballots of employees on the question of an interruption of war
production are hereby abolished.
05 USC Section 801. Canal Zone Biological Area
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The functions of the Board of Directors of the Canal Zone Biological
Area (which Board is provided for in the Act of July 2, 1940, 54 Stat.
724, ch. 516) (20 U.S.C. 79 et seq.), together with the functions of the
executive officer of such Board, are hereby transferred to the
Smithsonian Institution. The said Board of Directors and the office of
the said executive officer are hereby abolished.
05 USC Section 901. Placement Functions Under Selective Training and
Service Act of 1940
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
There is hereby transferred to the United States Employment Service
so much of the functions of the Selective Service System and of the
Director of Selective Service under section 8(g) of the Selective
Training and Service Act of 1940 (54 Stat. 890, ch. 720) (former section
308(g) of Title 50, Appendix) as relates to aiding persons who have
satisfactorily completed any period of active duty or of training and
service under the said act in securing positions other than the
positions held by them prior to said period.
05 USC Section 1001. Transfer of Records, Property, Personnel, and
Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
There are hereby transferred to the respective agencies in which
functions are vested pursuant to the provisions of this plan, to be
used, employed, and expended in connection with such functions,
respectively, or in connection with winding up the outstanding affairs
of agencies abolished by this plan, (1) the records and property now
being used or held in connection with such functions, (2) the personnel
employed in connection with such functions, and (3) the unexpended
balances of appropriations, allocations, or other funds available or to
be made available for use in connection with such functions.
05 USC Sec. 1002. Disposition of Excess Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
Any of the personnel transferred under this plan which the transferee
agency shall find to be in excess of the personnel necessary for the
administration of the functions transferred to such agency by such plan
shall be retransferred under existing law to other positions in the
Government or separated from the service.
05 USC Sec. 1003. Dispositions by Director of the Bureau of the Budget
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
Such further measures and dispositions as the Director of the Bureau
of the Budget shall determine to be necessary in order to effectuate the
provisions of this part or in order to wind up the outstanding affairs
relating to agencies or functions abolished by this plan shall be
carried out in such manner as the Director may direct and by such
agencies as he may designate.
05 USC Message to Congress
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1946, prepared in
accordance with the provisions of the Reorganization Act of 1945.
The plan contains reorganizations affecting a number of departments
and establishments. Some continue on a permanent basis changes made by
Executive order under authority of the First War Powers Act. A few make
adjustments in the distribution of functions among agencies. The
remainder deal with problems of organization within individual agencies.
All are concerned with improving and simplifying particular phases of
Government administration.
Each proposal is explained in more detail under the appropriate
heading below.
I have found, after investigation, that each reorganization contained
in the plan is necessary to accomplish one or more of the purposes set
forth in section 2(a) of the Reorganization Act of 1945.
05 USC department of the treasury
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The functions of the Bureau of Marine Inspection and Navigation were
transferred from the Department of Commerce to the Coast Guard and the
Bureau of Customs in 1942 by Executive order under the First War Powers
Act. This arrangement has been proved successful by the experience of
the past 4 years. Part I of the reorganization plan continues the
arrangement on a permanent basis.
05 USC united states coast guard
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The principal functions of the Bureau of Marine Inspection and
Navigation were those of the inspection of vessels and their equipment,
the licensing and certificating of officers and seamen, and related
functions designed to safeguard the safety of life and property at sea.
Thus these functions are related to the regular activities and general
purposes of the Coast Guard. The Coast Guard administered them
successfully during the tremendous expansion of wartime shipping, by
virtue of improvements in organization and program, many of which ought
to be continued.
The plan also transfers to the Coast Guard the functions of the
collectors of customs relating to the award of numbers to undocumented
vessels. These functions, too, were temporarily transferred to the
Coast Guard in 1942.
05 USC bureau of customs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan transfers to the Commissioner of Customs the functions of
the Bureau of Marine Inspection and Navigation and the Secretary of
Commerce, relating to the documentation of vessels, measurement of
vessels, administration of tonnage tax and tolls, entry and clearance of
vessels and aircraft, regulation of coastwise trade and fisheries,
recording of conveyances and mortgages of vessels, and protection of
steerage passengers. These functions have always been performed at the
ports by the customs service, although legal responsibility for their
supervision was vested in the Bureau of Marine Inspection and Navigation
and the Secretary of Commerce until transferred temporarily to the
Commissioner of Customs under the wartime reorganization power.
The proposed transfer will permit more efficient administration by
ending divided responsibility.
05 USC department of war and department of the navy
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
Prior to World War I practically all mental patients for whom the
Federal Government was legally obligated to provide hospital care and
treatment, including personnel of the armed forces, were hospitalized in
St. Elizabeths Hospital, Washington, D. C. In addition, this hospital
served as the mental hospital for the District of Columbia government.
Following World War I, the responsibility for hospital care of mentally
ill war veterans was assigned to the Veterans' Administration. Somewhat
later, specialized hospital facilities were provided by the Bureau of
Prisons of the Department of Justice to enable that agency to care for
prisoners suffering from mental disorders.
With the growth in the population of the District of Columbia and the
wartime expansion of the armed forces, the facilities of St. Elizabeths
Hospital became inadequate. The War Department therefore established
its own mental hospitals at the outset of World War II. Furthermore it
became necessary a year ago for the Navy Department to discontinue the
use of St. Elizabeths and to assume the responsibility for the care of
its mental patients.
Since the return of the Coast Guard to the Treasury Department, the
Public Health Service now provides care in its mental hospitals for
personnel of the Coast Guard in accordance with the basic responsibility
delegated to it in the Public Health Service Code enacted in 1944. The
plan abolishes the functions of St. Elizabeths Hospital with respect to
insane persons belonging to the Coast Guard which are provided for by
section 4843 of the Revised Statutes (24 U.S.C. 191).
Responsibility for the care of mental patients has been allocated on
the basis of the four broad categories of beneficiaries, namely, (1)
veterans, to be cared for by the Veterans' Administration; (2) military
and naval personnel, to be cared for by the War and Navy Departments;
(3) prisoners, for whom the Department of Justice will be responsible;
and (4) other civilians, to be cared for by the Federal Security Agency.
The reorganization plan, in order to carry out this policy, provides
for the transfer or abolition of certain functions and legal
responsibilities now resting with the Federal Security Administrator and
Superintendent of St. Elizabeths Hospital.
05 USC navy department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan transfers the Hydrographic Office and the Naval Observatory
from the Bureau of Naval Personnel to the Office of the Chief of Naval
Operations. The plan would confirm and make permanent the action taken
in 1942 by Executive Order No. 9126. Under the First War Powers Act.
The functions performed by both the Hydrographic Office and the Naval
Observatory relate primarily to operational matters and thus are more
appropriately placed in the Office of the Chief of Naval Operations than
in the Bureau of Naval Personnel. This fact was recognized in the
realinement of naval functions at the outbreak of the war. The plan
merely confirms an organizational relationship which has existed
successfully for the past 4 years.
The plan consolidates the Paymaster's Department and the
Quartermaster's Department of the United States Marine Corps into a
single Supply Department. This consolidation will establish in the
Marine Corps an integrated supply organization which parallels that of
the Navy Department's Bureau of Supplies and Accounts.
The consolidation will make possible a more efficient and more
economical organization of the companion functions of supply and
disbursement, eliminating the present handling of related items by two
separate departments of the Corps.
05 USC department of the interior
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
At the present time, the National Park Service, the Public Buildings
Administration, and the Archivist of the United States all perform
''housekeeping'' functions at the Franklin D. Roosevelt Library and
home at Hyde Park. The plan unifies in the National Park Service
responsibility for activities of this character at Hyde Park -- that is,
the maintenance and protection of buildings and grounds, the collection
of fees, and the handling of traffic and visitors. Because of its wide
experience in the administration of historic sites, the National Park
Service is the logical agency to assume the combined functions.
Transfer of these functions does not affect the responsibility of the
Archivist for the contents and professional services of the library
proper. It also does not affect the present disposition of the
receipts, which is provided by law.
The plan transfers to the Department of the Interior jurisdiction
over mineral deposits on lands held by the Department of Agriculture.
The Department of the Interior now administers the mining and mineral
leasing laws on various areas of the public lands, including those
national forests established on parts of the original public domain.
The Department of Agriculture, on the other hand, has jurisdiction with
respect to mineral deposits on (1) forest lands acquired under the Weeks
Act, (2) lands acquired in connection with the rural rehabilitation
program, and (3) lands acquired by the Department as a part of the
Government's effort to retire submarginal lands.
Accordingly this reorganization plan provides that these mineral
deposits on lands of the Department of Agriculture will be administered
by the Department of the Interior, which already has the bulk of the
Federal Government's mineral leasing program.
The plan further provides that the administration of mineral leasing
on these lands under the jurisdiction of the Department of Agriculture
will be carried on subject to limitations necessary to protect the
surface uses for which these lands were primarily acquired.
The plan consolidates the General Land Office and the Grazing Service
of the Department of the Interior into a Bureau of Land Management.
The General Land Office and the Grazing Service now divide
responsibility for the major portion of the multiple-use federally owned
lands now held by the Department of the Interior. The lands under
jurisdiction of the two agencies are comparable in character and in use.
In some functions the two agencies employ the same type of personnel
and use the same techniques. Other functions are divided between the
agencies, so that both are engaged in management of various aspects of
the same land. Consolidating these two agencies will permit the
development of uniform policies and the integration of two organizations
whose responsibilities now overlap.
Integration of the activities of the two agencies will make possible
greater utilization and thus more economic use of expert skills. The
same practical experience embraced in range administration on public
lands in grazing districts will be available for public lands outside
the districts.
Utilization of lands within grazing districts for nongrazing purposes
will be subject to only one classification examination, rather than dual
examination as is now necessary. Economy will be possible in the
construction of range improvements, wherever feasible, to serve lands
both in and out of districts. Legal procedures, such as adjudication of
issues relating to licenses and leases, hearings on appeal from
administrative decisions, and the processing of trespass cases, will
benefit from unified administration and handling.
In such activities as fire protection, soil and moisture
conservation, management of public lands under agreement with other
agencies (e.g., Bureau of Reclamation), range surveys, maintenance and
improvement of stock driveways, and stabilization of range use on all
public domain, the benefits of consolidation will become increasingly
apparent. Further, records relating to grazing lands can be
concentrated in fewer field offices and hence administered more
effectively.
While the establishment of a new Bureau of Land Management under a
Director involves the abolition of the Commissioner and Assistant
Commissioners of the General Land Office, the Director and Assistant
Directors of Grazing, the Registers of District Land Offices, and the
United States Supervisor of Surveys, the statutory functions now
discharged by these officers are in no way modified. This plan will
place final responsibility for these functions in the Secretary of the
Interior and make him responsible for their performance in coordination
with the other land activities of his Department. Officers whose
offices are specifically abolished, but whose experience will make them
valuable to the Department, should be available for appointment in the
new Bureau.
I have found and declare that by reason of the reorganization made by
the plan the responsibilities and duties of the Bureau of Land
Management are of such nature as to require the inclusion in the plan of
provisions for the appointment and compensation of a Director, an
Associate Director, and Assistant Directors.
05 USC department of agriculture
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
To enable the Department of Agriculture to meet its responsibilities
for food production and distribution during the war, there was early and
continuing coordination of its programs directly concerned with these
phases of the food problem. Beginning with Executive Order No. 9069 of
February 23, 1942, those programs and agencies dealing with food
production and distribution were gradually consolidated by a series of
Executive orders issued under the authority of the First War Powers Act.
By Executive Order No. 9334 of April 19, 1943, they were all grouped
into a War Food Administration, under a War Food Administrator.
When the fighting was drawing to a close and the emergency purposes
of the War Food Administration had been largely accomplished, this
Administration was terminated by Executive Order No. 9577 of June 29,
1945, and its functions and agencies were transferred back to the
jurisdiction of the Secretary of Agriculture. Executive Order No. 9577
also authorized the Secretary of Agriculture to organize and administer
the transferred functions and agencies in the manner which he deemed
best.
Under this authority the Secretary established the Production and
Marketing Administration in August 1945. Into this Administration he
consolidated the functions of many of the production and marketing
agencies which were transferred back from the War Food Administration.
Included were the functions of the Agricultural Adjustment
Administration and the Surplus Marketing Administration and the
administration of the programs of the Federal Crop Insurance Corporation
and the Commodity Credit Corporation.
The plan transfers these functions to the Secretary of Agriculture,
in order to permit him to continue the consolidation already effected in
the Production and Marketing Administration. This provision makes it
possible to maintain the close coordination and integration of
food-production and distribution programs, with the resulting benefits
that were achieved during the war. It also provides the Secretary with
the necessary flexibility to make adjustments in the coordination and
administration of these programs to meet changing conditions and new
problems, a flexibility which he particularly needs at this period of
acute food shortages throughout the world.
05 USC department of commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan transfers the functions of two Divisions of the National
Bureau of Standards in the Department of Commerce, namely, the Division
of Simplified Trade Practices and the Division of Commercial Standards,
to the Secretary of Commerce. The transfer will permit the Secretary to
reassign these functions to the Office of Domestic Commerce, which is
the focal point of the Department's general service functions for
American business.
These two Divisions were established as a result of the
standardization work initiated in World War I. Both Divisions have
followed the same basic procedure of assisting the producers and the
consumers of particular products to agree among themselves on certain
standards or on a certain limited number of varieties. Each such
voluntary agreement is then published by the National Bureau of
Standards and, although not compulsory, has tended to become the
generally accepted practice in the trade.
Standardization again proved to be an important device for
accelerating production in World War II, and industry has shown renewed
interest in continuing these wartime conservation and rationalization
programs on a voluntary basis in the production of peacetime products.
The desirability of the proposed transfer was emphasized only a few
months ago by the report of a committee of prominent businessmen
appointed by the Secretary of Commerce to review the entire question of
the Government's activities in this field. These studies indicate that
two major benefits will result from the transfer.
First, the association of the two Divisions with the National Bureau
of Standards has perhaps tended to give the impression in some quarters
that voluntary standards and trade practices worked out by industry with
the help of these two Divisions are in some sense Government standards
which are enforced on the basis of scientific and objective tests. The
transfer of these two Divisions to the Department proper would reduce
any such misconceptions, and make it clear that these standards and
simplified practices are voluntary industry agreements in the making of
which the Government acts merely in an advisory capacity.
Second, the other general services of the Department to American
business, such as marketing, management, and economic and statistical
services, are now concentrated in the Office of Domestic Commerce. The
association of these two Divisions with these other services to business
will facilitate their work and enable them to make use of the wide
industrial and business contacts of the Office of Domestic Commerce.
05 USC national labor relations board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan abolishes the function of conducting strike ballots which
was vested in the National Labor Relations Board by section 8 of the War
Labor Disputes Act (57 Stat. 167, ch. 144). Experience indicates that
such elections under the act do not serve to reduce the number of
strikes and may even aggravate labor difficulties. The Congress has
already forbidden the Board to expend any of its appropriations for the
current fiscal year for this activity (First Deficiency Appropriation
Act of 1946). I believe that the function should now be permanently
abolished.
05 USC smithsonian institution
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan transfers responsibility for the Canal Zone Biological Area
to the Smithsonian Institution. At present the Canal Zone Biological
Area is an independent agency of the Government, having as its function
the administration of Barro Colorado Island in Gatun Lake as a tropical
wildlife preserve and research laboratory. The Board of Directors of
this agency consists of the President of the National Academy of
Sciences as Chairman, the Secretary of the Smithsonian Institution,
three members of the Cabinet -- the Secretaries of War, Interior, and
Agriculture -- and three biologists.
The transfer will locate this function with comparable and related
functions already assigned to the Smithsonian Institution whose staff
members have participated since the beginning in developing the island
as a research center. It will reduce by one the number of Government
agencies. It will relieve three Cabinet members of routine duties not
important enough to warrant their personal attention.
Under its existing authority the Smithsonian Institution may
constitute an advisory board of biologists and departmental
representatives if it finds such action necessary.
05 USC united states employment service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1946
The plan transfers to the United States Employment Service the
functions of the Selective Service System and its Director with respect
to assisting ex-servicemen in obtaining new positions. These functions
directly overlap the regular placement activities of the United States
Employment Service, which is required to provide a special placement
service for veterans both by its basic act and by the Servicemen's
Readjustment Act of 1944. The transfer is in line with the policy of
the Congress on the placement of veterans as most recently expressed in
the 1944 act. The shift will prevent needless duplication of personnel
and facilities and will assure the best service to veterans.
Harry S. Truman.
The White House, May 16, 1946.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
05 USC REORGANIZATION PLAN NO. 1 OF 1947
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
1949, ch. 288, title VI, 602(a)(1), formerly title
V, 502(a)(1), 63 Stat. 399, redesignated Sept. 5,
1950, ch. 849, 6(a), (b), 64 Stat. 583; Sept. 13,
1982, Pub. L. 97-258, 5(b), 96 Stat. 1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 1, 1947, pursuant to the
provisions of the Reorganization Act of 1945, approved December 20,
1945.
05 USC Section 101. Functions of the Alien Property Custodian
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
(a) Except as provided by subsection (b) of this section, all
functions vested by law in the Alien Property Custodian or the Office of
Alien Property Custodian are transferred to the Attorney General and
shall be performed by him or, subject to his direction and control, by
such officers and agencies of the Department of Justice as he may
designate.
(b) The functions vested by law in the Alien Property Custodian or
the Office of Alien Property Custodian with respect to property or
interests located in the Philippines or which were so located at the
time of vesting in or transfer to an officer or agency of the United
States under the Trading With the Enemy Act, as amended (50 App. U.S.C.
1 et seq.), are transferred to the President and shall be performed by
him or, subject to his direction and control, by such officers and
agencies as he may designate.
05 USC Sec. 102. Approval of Agricultural Marketing Orders
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The function of the President with respect to approving
determinations of the Secretary of Agriculture in connection with
agricultural marketing orders, under the Agricultural Marketing
Agreement Act of 1937, as amended (7 U.S.C. 608c(9)), is abolished.
05 USC Sec. 201. Contract Settlement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred various contract settlement functions to the
Secretary of the Treasury and abolished the Office of Contract
Settlement.)
05 USC Sec. 202. National Prohibition Act Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The functions of the Attorney General and of the Department of
Justice with respect to (a) the determination of Internal Revenue taxes
and penalties (exclusive of the determination of liability guaranteed by
permit bonds) arising out of violations of the National Prohibition Act
(see 27 U.S.C. note preceding 1) occurring prior to the repeal of the
eighteenth amendment to the Constitution, and (b) the compromise, prior
to reference to the Attorney General for suit, of liability for such
taxes and penalties, are transferred to the Commissioner of Internal
Revenue, Department of the Treasury: Provided, That any compromise of
such liability shall be effected in accordance with the provisions of
section 3761 of the Internal Revenue Code (of 1939) (see 26 U.S.C.
7122). All files and records of the Department of Justice used primarily
in the administration of the functions transferred by the provisions of
this section are hereby made available to the Commissioner of Internal
Revenue for use in the administration of such functions.
05 USC Sec. 301. Agricultural Research Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The functions of the following agencies of the Department of
Agriculture, namely, the Bureau of Animal Industry, the Bureau of Dairy
Industry, the Bureau of Plant Industry, Soils, and Agricultural
Engineering, the Bureau of Entomology and Plant Quarantine, the Bureau
of Agricultural and Industrial Chemistry, the Bureau of Human Nutrition
and Home Economics, the Office of Experiment Stations, and the
Agricultural Research Center, together with the functions of the
Agricultural Research Administrator, are transferred to the Secretary of
Agriculture and shall be performed by the Secretary or, subject to his
direction and control, by such officers and agencies of the Department
of Agriculture as he may designate.
05 USC Sec. 401. Credit Union Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The functions of the Farm Credit Administration and the Governor
thereof under the Federal Credit Union Act, as amended, together with
the functions of the Secretary of Agriculture with respect thereto, are
transferred to the Federal Deposit Insurance Corporation.
(Secs. 501, 502. Repealed. June 30, 1949, ch. 288, title VI,
602(a)(1), formerly title V, 502(a)(1), 63 Stat. 399, redesignated
Sept. 5, 1950, ch. 849, 6(a), (b), 64 Stat. 583. Section 501 abolished
War Assets Administration and transferred its functions to Surplus
Property Administration, which was then renamed the War Assets
Administration. Section 502 established position of Associate War Assets
Administrator.)
05 USC Sec. 601. Termination of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
Nothing contained in this reorganization plan shall be deemed to
extend the duration of any function beyond the time when it would
otherwise expire as provided by law.
05 USC Sec. 602. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
There are hereby transferred to the respective agencies in which
functions are vested pursuant to the provisions of this plan, to be
used, employed, and expended in connection with such functions,
respectively, or in winding up the affairs of agencies abolished in
connection with the transfer of such functions, (1) the records and
property now being used or held in connection with such functions, (2)
the personnel employed in connection with such functions, and (3) the
unexpended balances of appropriations, allocations, or other funds
available or to be made available for use in connection with such
functions.
05 USC Sec. 603. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The provisions of this plan shall take effect on July 1, 1947, unless
a later date is required by the provisions of the Reorganization Act of
1945.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
To the Congress of the United States:
I am transmitting herewith Reorganization Plan No. 1 of 1947. The
provisions of this plan are designed to maintain organizational
arrangements worked out under authority of title I of the First War
Powers Act. The plan has a twofold objective: to provide for more
orderly transition from war to peacetime operation and to supplement my
previous actions looking toward the termination of wartime legislation.
The First War Powers Act provides that title I --
shall remain in force during the continuance of the present war
and for six months after the termination of the war, or until such
earlier time as the Congress by concurrent resolution or the President
may designate.
Upon the termination of this title all changes in the organization of
activities and agencies effected under its authority expire and the
functions revert to their previous locations unless otherwise provided
by law.
Altogether nearly 135 Executive orders have been issued in whole or
in part under title I of the First War Powers Act. The internal
organization of the War and Navy Departments has been drastically
overhauled under this authority. Most of the emergency agencies, which
played so vital a role in the successful prosecution of the war, were
based in whole or in part upon this title. Without the ability, which
these provisions afforded, to adjust the machinery of government to
changing needs, it would not have been possible to develop the
effective, hard-hitting organization which produced victory. The
organization of war activities had to be worked out step by step as the
war program unfolded and experience pointed the way. That was
inevitable. The problems and the functions to be performed were largely
new. Conditions changed continually and often radically. Speed of
action was essential. But with the aid of title I of the First War
Powers Act, it was possible to gear the administrative machinery of the
Government to handle the enormous load thrust upon it by the rapidly
evolving war program.
Since VJ-day this same authority has been used extensively in
demobilizing war agencies and reconverting the governmental structure to
peacetime needs. This process has been largely completed. The bulk of
temporary activities have ceased, and most of the continuing functions
transferred during the war have already been placed in their appropriate
peacetime locations.
The organizational adjustments which should be continued are
essentially of two types: First, changes in the organization of
permanent functions, which have demonstrated their advantage during the
war years. Second, transfers of continuing activities which were vested
by statute in temporary war agencies but have since been moved by
Executive order upon the termination of these agencies.
In most cases the action necessary to maintain organizational gains
made under title I of the First War Powers Act can best be taken by the
simplified procedure afforded by the Reorganization Act of 1945, the
first purpose of which was to facilitate the orderly transition from war
to peace. All of the provisions of this plan represent definite
improvements in administration. Several are essential steps in
demobilizing the war effort. The arrangements they provide for have
been reviewed by the Congress in connection with appropriation requests.
Since the plan does not change existing organization, savings cannot be
claimed for it. However, increased expense and disruption of operations
would result if the present organization were terminated and the
activities reverted to their former locations.
In addition to the matters dealt with in this reorganization plan and
in Reorganization Plan No. 2 of 1947, there are several other changes
in organization made under title I of the First War Powers Act on which
action should be taken before the termination of the title. The
proposed legislation for a National Defense Establishment provides for
continuing the internal organizational arrangements made in the Army and
Navy pursuant to the First War Powers Act. I have on several occasions
recommended the creation of a single agency for the administration of
housing programs. Since section 5(e) of the Reorganization Act of 1945
may cast some doubt on my authority to assign responsibility for the
liquidation of the Smaller War Plants Corporation by reorganization
plan, I recommend that the Reconstruction Finance Corporation be
authorized by legislation to continue to liquidate the affairs relating
to functions transferred to it from the Smaller War Plants Corporation.
It is imperative that title I of the First War Powers Act remain
effective until all of these matters have been dealt with. An earlier
termination of the title would destroy important advances in
organization and impair the ability of the executive branch to
administer effectively some of the major programs of the Government.
I have found, after investigation, that each reorganization contained
in this plan is necessary to accomplish one or more of the purposes set
forth in section 2 (a) of the Reorganization Act of 1945. Each of these
reorganizations is explained below.
05 USC Functions of the Alien Property Custodian
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The reorganization plan provides for the permanent location of the
functions vested by statute in the Alien Property Custodian and the
Office of Alien Property Custodian. In 1934 the functions of the Alien
Property Custodian were transferred to the Department of Justice, where
they remained until 1942. Because of the great volume of activity
resulting from World War II, a separate Office of Alien Property
Custodian was created by Executive Order No. 9095 of March 11, 1942.
This Office was terminated by Executive Order No. 9788 of October 14,
1946, and the functions of the Office and of the Alien Property
Custodian were transferred to the Attorney General except for those
relating to Philippine property. The latter were transferred
simultaneously to the Philippine Alien Property Administration
established by Executive Order No. 9789.
While the Trading With the Enemy Act, as amended at the beginning of
the war, authorized the President to designate the agency or person in
which alien property should vest and to change such designations,
subsequent legislation has lodged certain functions in the Alien
Property Custodian and the Office of Alien Property Custodian.
Similarly, though the Philippine Property Act vested in the President
the then existing alien property functions as to Philippine property,
certain functions affecting such property have since been established
which have been assigned by statute to the Alien Property Custodian.
In order to maintain the existing arrangements for the administration
of alien property and to avoid the confusion which otherwise would occur
on the termination of title I of the First War Powers Act, the
reorganization plan transfers to the Attorney General all functions
vested by law in the Alien Property Custodian and the Office of Alien
Property Custodian except as to Philippine property. The functions
relating to Philippine property are transferred to the President, to be
performed by such officer or agency as he may designate, thus permitting
the continued administration of these functions through the Philippine
Alien Property Administration.
05 USC Approval of Agricultural Marketing Orders
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
Section 8c of the Agricultural Marketing Agreements Act of 1937
provides that marketing orders of the Secretary of Agriculture must in
certain cases be approved by the President before issuance. In order to
relieve the President of an unnecessary burden, the responsibility for
approval was delegated to the Economic Stabilization Director during the
war, and was formally transferred to him by Executive Order No. 9705 of
March 15, 1946. Since the Secretary of Agriculture is the principal
adviser of the President in matters relating to agriculture, and since
final authority has been assigned to the Secretary by law in many
matters of equal or greater importance, the requirement of Presidential
approval of individual marketing orders may well be discontinued.
Accordingly, the plan abolishes the function of the President relative
to the approval of such orders.
05 USC Contract Settlement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The Office of Contract Settlement was established by law in 1944 and
shortly thereafter was placed by statute in the Office of War
Mobilization and Reconversion. The principal purposes of the Office of
Contract Settlement have been to prescribe the policies, regulations,
and procedures governing the settlement of war contracts, and to provide
an appeal board to hear and decide appeals from the contracting agencies
in the settlement of contracts. A remarkable record has been achieved
for the rapid settlement of war contracts, but among those which remain
are some of the largest and most complex. Considerable time may be
required to complete these cases and dispose of the appeals.
Though the functions of the Office of Contract Settlement cannot yet
be terminated, it is evident that they no longer warrant the maintenance
of a separate office. For this reason Executive Order No. 9809 of
December 12, 1946, transferred the functions of the Director of Contract
Settlement to the Secretary of the Treasury and those of the Office of
Contract Settlement to the Department of the Treasury. As the central
fiscal agency of the executive branch the Treasury Department is clearly
the logical organization to carry to conclusion the over-all activities
of the contract settlement program. The plan continues the present
arrangement and abolishes the Office of Contract Settlement, thereby
avoiding its reestablishment as a separate agency on the termination of
title I of the First War Powers Act.
05 USC National Prohibition Act Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The act of May 27, 1930 (46 Stat. 427), imposed upon the Attorney
General certain duties respecting administration and enforcement of the
National Prohibition Act. By Executive Order No. 6639 of March 10,
1934, all of the powers and duties of the Attorney General respecting
that act, except the power and authority to determine and to compromise
liability for taxes and penalties, were transferred to the Commissioner
of Internal Revenue. The excepted functions, however, were transferred
subsequently to the Commissioner of Internal Revenue by Executive Order
No. 9302 of February 9, 1943, issued under the authority of title I of
the First War Powers Act, 1941.
Since the functions of determining taxes and penalties under various
statutes and of compromise of liability therefor prior to reference to
the Attorney General for suit are well-established functions of the
Commissioner of Internal Revenue, this minor function under the National
Prohibition Act is more appropriately placed in the Bureau of Internal
Revenue than in the Department of Justice.
05 USC Agricultural Research Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
By Executive Order No. 9069 of February 23, 1942, six research
bureaus, the Office of Experiment Stations, and the Agricultural
Research Center were consolidated into an Agricultural Research
Administration to be administered by an officer designated by the
Secretary of Agriculture. The constituent bureaus and agencies of the
Administration have, in practice, retained their separate identity.
This consolidation and certain transfers of functions between the
constituent bureaus and agencies have all been recognized and provided
for in the subsequent appropriation acts passed by the Congress.
By the plan the functions of the eight research bureaus and agencies
which are presently consolidated into the Agricultural Research
Administration are transferred to the Secretary of Agriculture to be
performed by him or under his direction and control by such officers or
agencies of the Department of Agriculture as he may designate.
The benefits which have been derived from centralized review,
coordination, and control of research projects and functions by the
Agricultural Research Administrator have amply demonstrated the lasting
value of this consolidation. By transferring the functions of the
constituent bureaus and agencies to the Secretary of Agriculture, it
will be possible to continue this consolidation and to make such further
adjustments in the organization of agricultural research activities as
future conditions may require. This assignment of functions to the
Secretary is in accord with the sound and long-established practice of
the Congress of vesting substantive functions in the Secretary of
Agriculture rather than in subordinate officers or agencies of the
Department.
05 USC Credit Union Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The plan makes permanent the transfer of the administration of
Federal functions with respect to credit unions to the Federal Deposit
Insurance Corporation. These functions, originally placed in the Farm
Credit Administration, were transferred to the Federal Deposit Insurance
Corporation by Executive Order No. 9148 of April 27, 1942. Most credit
unions are predominantly urban institutions, and the credit-union
program bears very little relation to the functions of the Farm Credit
Administration. The supervision of credit unions fits in logically with
the general bank supervisory functions of the Federal Deposit Insurance
Corporation. The Federal Deposit Insurance Corporation since 1942 has
successfully administered the credit-union program, and the supervision
of credit-union examiners has been integrated into the field and
departmental organization of the Corporation. In the interests of
preserving an organizational arrangement which operates effectively and
economically, the program should remain in its present location.
05 USC War Assets Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1947
The present organization for the disposal of surplus property is the
product of 2 1/2 years of practical experience. Beginning with the
Surplus Property Board in charge of general policy and a group of
agencies designated by it to handle the disposal of particular types of
property, the responsibility for most of the surplus disposal has
gradually been drawn together in one agency -- the War Assets
Administration -- headed by a single Administrator. Experience has
demonstrated the desirability of centralized responsibility in
administering this most difficult program.
The reorganization plan will continue the centralization of surplus
disposal functions in a single agency headed by an Administrator. This
is accomplished by transferring the functions, personnel, property,
records, and funds of the War Assets Administration created by Executive
order to the statutory Surplus Property Administration. In order to
avoid confusion and to maintain the continuity of operations, the name
of the Surplus Property Administration is changed to War Assets
Administration.
Because the plan combines in one agency, not only the policy
functions now vested by statute in the Surplus Property Administrator,
but also the immense disposal operations now concentrated in the
temporary War Assets Administration, I have found it necessary to
provide in the plan for an Associate War Assets Administrator, also
appointed by the President with the approval of the Senate. It is
essential that there be an officer who can assist the Administrator in
the general management of the agency and who can take over the direction
of its operations in case of the absence or disability of the
Administrator or of a vacancy in his office.
Harry S. Truman.
The White House, May 1, 1947.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1947
05 USC REORGANIZATION PLAN NO. 2 OF 1947
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1947
Reorganization Plan No. 2 of 1947, which proposed to permanently
transfer the United States Employment Service to the Department of
Labor, to transfer functions of the Administrator of the Wage and Hour
Division to the Secretary of Labor, and to authorize the Secretary of
Labor to coordinate administration of the acts for regulation of wages
and hours on Federal public works, was submitted to Congress on May 1,
1947, and was disapproved by Congress on June 30, 1947.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
05 USC REORGANIZATION PLAN NO. 3 OF 1947
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled May 27, 1947, pursuant to the
provisions of the Reorganization Act of 1945, approved December 20,
1945.
05 USC Section 1. Housing and Home Finance Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
The Home Owners' Loan Corporation, the Federal Savings and Loan
Insurance Corporation, the Federal Housing Administration, the United
States Housing Authority, the Defense Homes Corporation, and the United
States Housing Corporation, together with their respective functions,
the functions of the Federal Home Loan Bank Board, and the other
functions transferred by this plan, are consolidated, subject to the
provisions of sections 2 to 5, inclusive, hereof, into an agency which
shall be known as the Housing and Home Finance Agency. There shall be
in said Agency constituent agencies which shall be known as the Home
Loan Bank Board, the Federal Housing Administration, and the Public
Housing Administration.
05 USC Sec. 2. Home Loan Bank Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
(a) The Home Loan Bank Board shall consist of three members appointed
by the President by and with the advice and consent of the Senate. Not
more than two members of the Board shall be members of the same
political party. The President shall designate the members of the Board
first appointed hereunder to serve for terms expiring, respectively, at
the close of business on June 30, 1949, June 30, 1950, and June 30,
1951, and thereafter the term of each member shall be four years.
Whenever a vacancy shall occur among the members the person appointed to
fill such vacancy shall hold office for the unexpired portion of the
term of the member whose place he is selected to fill. Each of the
members of the Board shall receive compensation at the rate of $10,000
per annum.
(b) The President shall designate one of the members of the Home Loan
Bank Board as Chairman of the Board. The Chairman shall (1) be the
chief executive officer of the Board, (2) appoint and direct the
personnel necessary for the performance of the functions of the Board or
of the Chairman or of any agency under the Board, and (3) designate the
order in which the other members of the Board shall, during the absence
or disability of the Chairman, be Acting Chairman and perform the duties
of the Chairman.
(c) Except as otherwise provided in subsection (b) of this section
there are transferred to the Home Loan Bank Board the functions (1) of
the Federal Home Loan Bank Board, (2) of the Board of Directors of the
Home Owners' Loan Corporation, (3) of the Board of Trustees of the
Federal Savings and Loan Insurance Corporation, (4) of any member or
members of any of said Boards, and (5) with respect to the dissolution
of the United States Housing Corporation.
05 USC Sec. 3. Federal Housing Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
The Federal Housing Administration shall be headed by a Federal
Housing Commissioner who shall be appointed by the President, by and
with the advice and consent of the Senate, and receive compensation at
the rate of $10,000 per annum. There are transferred to said
Commissioner the functions of the Federal Housing Administrator.
05 USC Sec. 4. Public Housing Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
The Public Housing Administration shall be headed by a Public Housing
Commissioner who shall be appointed by the President, by and with the
advice and consent of the Senate, and receive compensation at the rate
of $10,000 per annum. There are transferred to said Commissioner the
functions --
(a) Of the Administrator of the United States Housing Authority
(which agency shall hereafter be administered and known as the Public
Housing Administration);
(b) Of the National Housing Agency with respect to non-farm housing
projects and other properties remaining under its jurisdiction pursuant
to section 2(a)(3) of the Farmers' Home Administration Act of 1946
(Public Law 731, Seventy-ninth Congress, approved August 14, 1946) (7
U.S.C. 1001 note); and
(c) With respect to the liquidation and dissolution of the Defense
Homes Corporation.
05 USC Sec. 5. Housing and Home Finance Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
(a) The Housing and Home Finance Agency shall be headed by a Housing
and Home Finance Administrator who shall be appointed by the President,
by and with the advice and consent of the Senate, and shall receive
compensation at the rate of $10,000 per annum.
(b) The Administrator shall be responsible for the general
supervision and coordination of the functions of the constituent
agencies of the Housing and Home Finance Agency and for such purpose
there are transferred to said Administrator the functions of the Federal
Loan Administrator and the Federal Works Administrator (1) with respect
to the Federal Home Loan Bank Board, the Home Owners' Loan Corporation,
the Federal Savings and Loan Insurance Corporation, the Federal Housing
Administration, and the United States Housing Authority, and (2) with
respect to the functions of said agencies.
(c) There are also transferred to the Administrator the functions --
(1) Of holding on behalf of the United States the capital stock of
the Defense Homes Corporation;
(2) Under Titles I and III, and sections 401, 501, and 502, of the
Act of October 14, 1940 (54 Stat. 1125), as amended (42 U.S.C.
1521-1524, 1541-1550, 1552, 1553, 1561, 1571 and 1572);
(3) Of the Departments of the Army and Navy with respect to national
defense and war housing (except that located on military or naval posts,
reservations, or bases) under the Act of September 9, 1940 (54 Stat.
872), as amended; and
(4) Of all agencies designated to provide temporary shelter in
defense areas under the Acts of March 1, 1941, May 24, 1941, and
December 17, 1941 (55 Stat. 14, 197, and 810), insofar as such functions
relate to such temporary shelter.
05 USC Sec. 6. National Housing Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
There shall be in the Housing and Home Finance Agency a National
Housing Council composed of the Housing and Home Finance Administrator
as Chairman, the Federal Housing Commissioner, the Public Housing
Commissioner, the Chairman of the Home Loan Bank Board, the
Administrator of Veterans Affairs or his designee, the Chairman of the
Board of Directors of the Reconstruction Finance Corporation or his
designee, and the Secretary of Agriculture or his designee. The
National Housing Council shall serve as a medium for promoting, to the
fullest extent practicable within revenues, the most effective use of
the housing functions and activities administered within the Housing and
Home Finance Agency and the other departments and agencies represented
on said Council in the furtherance of the housing policies and
objectives established by law, for facilitating consistency between such
housing functions and activities and the general economic and fiscal
policies of the Government, and for avoiding duplication or overlapping
of such housing functions and activities. (National Housing Council
abolished and functions transferred to President, see 1(a), 3 of
Reorg. Plan No. 4 of 1965.)
05 USC Sec. 7. Interim Appointments
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
Pending the initial appointment hereunder of any officer provided for
by this Plan, the functions of such officer shall be performed
temporarily by such officer of the existing National Housing Agency as
the President shall designate.
05 USC Sec. 8. Transfers of Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
The assets, contracts, property, records, personnel, and unexpended
balances of appropriations, authorizations, allocations, or other funds,
held, employed, or available or to be made available in connection with
functions transferred by this Plan are hereby transferred with such
transferred functions, respectively.
05 USC Sec. 9. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
The Federal Home Loan Bank Board, the Board of Directors of the Home
Owners' Loan Corporation, and the Board of Trustees of the Federal
Savings and Loan Insurance Corporation, together with the offices for
the members of said boards, the office of Federal Housing Administrator,
and the office of Administrator of the United States Housing Authority,
are abolished.
(For lapse of Housing and Home Finance Agency, Federal Housing
Administration, and Public Housing Administration, and transfer of
functions to Secretary of Housing and Urban Development, see 42 U.S.C.
3534 and Transfer of Functions note thereunder.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1947
To the Congress of the United States:
I am transmitting herewith Reorganization Plan No. 3 of 1947,
prepared in accordance with the Reorganization Act of 1945. This plan
deals solely with housing. It simplifies, and increases the efficiency
of, the administrative organization of permanent housing functions and
provides for the administration of certain emergency housing activities
pending their liquidation. I have found, after investigation, that each
reorganization contained in this plan is necessary to accomplish one or
more of the purposes set forth in section 2 (a) of the Reorganization
Act of 1945.
The provision of adequate housing will remain a major national
objective throughout the next decade. The primary responsibility for
meeting housing needs rests, and must continue to rest, with private
industry, as I have stated on other occasions. The Federal Government,
however, has an important role to play in stimulating and facilitating
home construction.
Over the years the Congress has provided for a number of permanent
housing programs, each involving a special approach to the basic
objective of more adequate housing for our citizens. The Congress first
enacted a series of measures to facilitate home construction and home
ownership by strengthening the savings and loan type of home-financing
institution. These measures established a credit reserve system for
such agencies, authorized the chartering of Federal savings and loan
associations to provide more adequate home financing facilities, and
provided for the insurance of investments in savings and loan
institutions in order to attract savings into this field. The Congress
also created a system for the insurance of home loans and mortgages to
stimulate the flow of capital into home-mortgage lending and thereby
facilitate home ownership and improvement and increase home
construction. These measures were supplemented by legislation extending
financial assistance to local communities for the clearance of slums and
the provision of decent housing for families of low income who otherwise
would be forced to live in the slums. It is significant that these
programs were first established, and have been continued, by the
Congress because of their special contributions to home construction and
improvement.
In my message of January 6 on the state of the Union, I recommended
legislation establishing certain additional programs to help to
alleviate the housing shortage and achieve our national objective of a
decent home and a suitable living environment for every American family.
No lesser objective is commensurate with the productive capacity and
resources of the country or with the dignity which a true democracy
accords the individual citizen. The Congress is now considering
measures authorizing these programs. I again recommend the early
enactment of this legislation.
But whatever may be the permanent housing functions of the
Government, whether they be confined to the existing programs or
supplemented as the Congress may determine, they are inevitably
interrelated. They require coordination and supervision so that each
will render its full contribution without conflict with the performance
of other housing functions.
The Government, however, lacks an effective permanent organization to
coordinate and supervise the administration of its principal housing
programs. These programs and the machinery for their administration
were established piecemeal over a period of years. The present
consolidation of housing agencies and functions in the National Housing
Agency is only temporary. After the termination of title I of the First
War Powers Act this agency will dissolve and the agencies and functions
now administered in it will revert to their former locations in the
Government. When this occurs, the housing programs of the Government
will be scattered among some 13 agencies in 7 departments and
independent establishments.
I need hardly point out that such a scattering of these interrelated
functions would not only be inefficient and wasteful but also would
seriously impair their usefulness. It would leave the Government
without effective machinery for the coordination and supervision of its
housing activities and would thrust upon the Chief Executive an
impossible burden of administrative supervision.
The grouping of housing functions in one establishment is essential
to assure that the housing policies established by the Congress will be
carried out with consistency of purpose and a minimum of friction,
duplication, and overlapping. A single establishment will
unquestionably make for greater efficiency and economy. Moreover, it
will simplify the task of the Congress and the Chief Executive by
enabling them to deal with one official and hold one person responsible
for the general supervision of housing functions, whereas otherwise they
will be forced to deal with a number of uncoordinated officers and
agencies.
It is vital that a sound permanent organization of housing activities
be established at the earliest possible date in order to insure that
housing functions will not be scattered among numerous agencies, with
consequent confusion and disruption. To avoid this danger, and to
accomplish the needed changes promptly, it is desirable to employ a
reorganization plan under the Reorganization Act of 1945. No other area
of Federal activity affords greater opportunity than housing for
accomplishing the objectives of the Reorganization Act to group,
consolidate, and coordinate functions, reduce the number of agencies,
and promote efficiency and economy; and in no other area could the
application of the Reorganization Act be more appropriate and necessary.
In brief, this reorganization plan groups nearly all of the permanent
housing agencies and functions of the Government, and the remaining
emergency housing activities, in a Housing and Home Finance Agency, with
the following constituent operating agencies: (a) A Home Loan Bank
Board to administer the Federal Savings and Loan Insurance Corporation,
the Home Owners' Loan Corporation, and the functions of the Federal Home
Loan Bank Board and its members; (b) a Federal Housing Administration
with the same functions as now provided by law for that agency; and (c)
a Public Housing Administration to take over the functions of the United
States Housing Authority and certain remaining emergency housing
activities pending the completion of their liquidation. Each
constituent agency will possess its individual identity and be
responsible for the operation of its program.
By reason of the reorganizations made by the plan, I have found it
necessary to include therein provisions for the appointment of (1) an
Administrator to head the Housing and Home Finance Agency, (2) the three
members of the Home Loan Bank Board, and (3) two Commissioners to head
the Federal Housing Administration and the Public Housing
Administration, respectively. Each of these officers is to be appointed
by the President by and with the advice and consent of the Senate.
The plan places in the Housing and Home Finance Administrator the
functions heretofore vested in the Federal Loan Administrator and the
Federal Works Administrator with respect to the housing agencies and
functions formerly administered within the Federal Loan and Federal
Works Agencies, together with supervision and direction of certain
emergency housing activities for the remainder of their existence.
Under the plan the Home Loan Bank Board and the Federal Housing
Administration will have the same status in, and relation to, the
Housing and Home Finance Agency and the Housing and Home Finance
Administrator as the Federal Home Loan Bank Board, and its related
agencies, and the Federal Housing Administration formerly had to the
Federal Loan Agency and the Federal Loan Administrator. Similarly, the
Public Housing Administration will have the same status in, and relation
to, the Housing and Home Finance Agency and the Administrator as the
United States Housing Authority formerly had to the Federal Works Agency
and the Federal Works Administrator.
Since there are a few housing activities which it is not feasible to
place within the Housing and Home Finance Agency because they form
integral parts of other broad programs or because of specific
limitations in the Reorganization Act of 1945, the plan also created a
National Housing Council on which the Housing and Home Finance Agency
and its constituent agencies, and the other departments and agencies
having important housing functions, are represented. In this way the
plan provides machinery for promoting the most effective use of all the
housing functions of the Government, for obtaining consistency between
these functions and the general economic and fiscal policies of the
Government, and for avoiding duplication and overlapping of activities.
To avoid a hiatus in the administration of housing functions, pending
the confirmation by the Senate of the new officers provided for by the
plan, it permits the designation by the President of appropriate
existing housing officials to perform temporarily the functions of these
officers. This period should be brief, as I shall promptly submit
nominations for the permanent officers.
Under the limitations contained in the Reorganization Act of 1945,
the compensation of the Housing and Home Finance Administrator and the
other officers provided for by the plan, cannot be fixed at a rate in
excess of $10,000 per annum. Both the temporary National Housing
Administrator, provided for by Executive Order No. 9070 and the Federal
Housing Administrator, have received salaries of $12,000 a year. I do
not consider the salary of $10,000 provided in the plan as compensation
commensurate with the responsibilities of the Administrator, the members
of the Home Loan Bank Board, and the Commissioners of the other
constituent agencies, or consistent with a salary scale which must be
paid if the Government is to attract and retain public servants of the
requisite caliber. Accordingly, I recommend that the Congress act to
increase the salary of the Housing and Home Finance Administrator to
$15,000 per annum, and to increase the salaries of the members of the
Home Loan Bank Board and the two Commissioners provided for by this plan
to $12,000 per annum.
The essential and important difference between the organization
established by the plan and the prewar arrangement, to which housing
agencies and functions would otherwise automatically revert on the
termination of title I of the First War Powers Act, is that under the
old arrangement these agencies and functions were scattered among many
different establishments primarily dealing with matters other than
housing, whereas under the plan the major permanent housing programs are
placed in a single establishment concerned exclusively with housing.
Thus, the plan effectuates the basic objective enunciated by the
Congress in the Reorganization Act of 1945 of grouping agencies and
functions by major purpose, and provides the necessary framework for a
more effective administration of Federal housing activities in the
postwar period.
Harry S. Truman.
The White House, May 27, 1947.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1949
05 USC REORGANIZATION PLAN NO. 1 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1949
Reorganization Plan No. 1 of 1949, which proposed establishment of a
Department of Welfare, was submitted to Congress on June 20, 1949, and
was disapproved by the Senate on Aug. 16, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
05 USC REORGANIZATION PLAN NO. 2 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 20, 1949, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Bureau of Employment Security
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
The Bureau of Employment Security of the Federal Security Agency,
including the United States Employment Service and the Unemployment
Insurance Service, together with the functions thereof, is transferred
as an organizational entity to the Department of Labor. The functions
of the Federal Security Administrator with respect to employment
services, unemployment compensation, and the Bureau of Employment
Security, together with his functions under the Federal Unemployment Tax
Act (as amended, and as affected by the provisions of Reorganization
Plan No. 2 of 1946, 60 Stat. 1095, 26 U.S.C. (former) 1600-11) (26
U.S.C. 3301 et seq.), are transferred to the Secretary of Labor. The
functions transferred by the provisions of this section shall be
performed by the Secretary of Labor or, subject to his direction and
control, by such officers, agencies, and employees of the Department of
Labor as he shall designate.
05 USC Sec. 2. Veterans' Placement Service Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
The functions of the Veterans' Placement Service Board under Title IV
of the Servicemen's Readjustment Act of 1944 (58 Stat. 284, as amended;
38 U.S.C. 695-695f) (see 38 U.S.C. 2001 et seq.) are transferred to and
shall be performed by the Secretary of Labor. The functions of the
Chairman of the said Veterans' Placement Service Board are transferred
to the Secretary of Labor and shall be performed by the Secretary or,
subject to his direction and control, by the Chief of the Veterans'
Employment Service. The Veterans' Placement Service Board is abolished.
05 USC Sec. 3. Federal Advisory Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
The Federal Advisory Council established pursuant to section 11(a) of
the Act of June 6, 1933 (48 Stat. 116, as amended, 29 U.S.C. 49j(a)),
is hereby transferred to the Department of Labor and shall, in addition
to its duties under the aforesaid Act, advise the Secretary of Labor and
the Director of the Bureau of Employment Security with respect to the
administration and coordination of the functions transferred by the
provisions of this reorganization plan.
05 USC Sec. 4. Personnel, Records, Property, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
There are transferred to the Department of Labor, for use in
connection with the functions transferred by the provisions of this
reorganization plan, the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds (available or
to be made available) of the Bureau of Employment Security, together
with so much as the Director of the Bureau of the Budget shall determine
of other personnel, property, records, and unexpended balances of
appropriations, allocations, and funds (available or to be made
available) of the Federal Security Agency which relate to functions
transferred by the provisions of this reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1949, prepared in
accordance with the provisions of the Reorganization Act of 1949. This
plan transfers the Bureau of Employment Security, now in the Federal
Security Agency, to the Department of Labor and vests in the Secretary
of Labor the functions of the Federal Security Administrator with
respect to employment services and unemployment compensation, the latter
of which is now more commonly referred to as unemployment insurance.
The plan also transfers to the Secretary of Labor the functions of the
Veterans' Placement Service Board and of its Chairman and abolishes that
Board. These changes are in general accord with recommendations made by
the Commission on Organization of the Executive Branch of the
Government.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1949 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of said act. The primary benefits from these reorganizations will
take the form of improvements in administration and service. It is
probable that a significant reduction in expenditures will result from
the taking effect of the plan as compared with the current estimates and
work-load assumptions contained in the 1950 budget as amended, but an
itemization of such savings is not possible in advance of the transfer.
One of the major needs of the executive branch is a sound and
effective organization of labor functions. More than 35 years ago the
Federal Government's labor functions were brought together in the
Department of Labor. In recent years, however, the tendency has been to
disperse such functions throughout the Government. New labor programs
have been placed outside of the Department and some of its most basic
functions have been transferred from the Department to other agencies.
In my judgment, this course has been fundamentally unsound and should
be reversed. The labor programs of the Federal Government constitute a
family of interrelated functions requiring generally similar
professional training and experience, involving numerous overlapping
problems, and calling for strong, unified leadership. Together they
form one of the most important areas of Federal activity. It is
imperative that the Labor Department be strengthened and restored to its
original position as the central agency of the Government for dealing
with labor problems.
05 USC bureau of employment security
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
One of the most essential steps in improving the organization of
labor functions is the transfer of the Bureau of Employment Security to
the Department of Labor. This Bureau administers the activities of the
Federal Government with respect to employment services and unemployment
insurance. These activities mainly involve the review and apportionment
of grants-in-aid, approval of State plans and grants, the conduct of
research and developmental activities, and the provision of advice and
assistance to the State agencies which actually conduct the services.
Public employment services and unemployment insurance are companion
programs inextricably interrelated both in purpose and operation. The
first assists workers in finding jobs and employers in obtaining
workers; the second provides cash benefits for the support of workers
and their families when suitable jobs cannot be obtained. Thus, each
complements the other. At the local operating level the two programs
are almost invariably carried on in the same unit -- the local
employment office. At the State level they are administered by the same
agency in nearly every State. As a result, an unusually high degree of
coordination at the Federal level is essential.
There can be no question as to the basic consideration which must
govern the administration of both of these programs. From the
standpoint of all interested parties -- the worker, the employer, and
the public -- the primary concern is employment. Essential as they are,
unemployment benefits at a fraction of regular wages are a poor
substitute for the earnings from a steady job. In the administration of
these programs, therefore, primary attention must be focused on
achieving the maximum effectiveness of the employment services. On them
depend the prosperity and well-being of the worker and the extent of the
unemployment-compensation burden on the employer and the public.
I have long been convinced that the Department of Labor is the agency
which can contribute most to the development of sound and efficient
employment service. It has the understanding of employment problems and
of the operation of the labor market which is essential in this field.
It possesses the necessary specialists and the wealth of information on
occupations, employment trends, wage rates, working conditions, labor
legislation and other matters essential to employment counseling and
placement.
Close working relations between the United States Employment Service
and most of the agencies of the Labor Department are vital to the
success of both. The Bureau of Labor Statistics has a fund of
information on employment and occupations which is basic to the planning
and operation of the Service. The Women's Bureau and the Child Labor
Branch of the Wage and Hour Division afford expert advice on employment
problems relating to women and adolescents. The Bureau of Labor
Standards can assist the Service on questions of working conditions and
other labor standards, and the Bureau of Apprenticeship on
occupational-training problems. At the same time the various agencies
of the Labor Department need the detailed current information on labor
problems and the condition of the labor market which the United States
Employment Service possesses.
Experience has demonstrated that unemployment insurance must be
administered in close relationship with employment service and other
employment programs. In many of our industrial States, and in most
foreign countries, unemployment insurance is administered by the agency
responsible for labor functions. Furthermore, the
unemployment-insurance system has a vital stake in the effectiveness of
the program for employment services, for what benefits the employment
service also benefits the unemployment-insurance program.
The transfer of the Bureau of Employment Security, including the
United States Employment Service and the Unemployment Insurance Service,
together with the functions thereof, will give assurance that primary
emphasis will be placed on the improvement of the employment services
and that maximum effort will be made to provide jobs in lieu of cash
benefits.
The plan also transfers to the Department of Labor the Federal
Advisory Council created by the act establishing the United States
Employment Service. This Council consists of outstanding
representatives of labor, management, and the public who are especially
familiar with employment problems.
05 USC veterans' placement service board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1949
Although the Veterans' Employment Service operates through the
regular employment office system, its policies are determined by the
Veterans' Placement Service Board created by the Servicemen's
Readjustment Act of 1944. This Board consists of the heads of three
Federal agencies, only one of which administers employment services.
Furthermore, the full-time director of the Service is appointed by the
Chairman of this Board, who is not otherwise engaged in
employment-service activity, rather than by the head of the agency
within which the service is administered. Such an arrangement is
cumbersome and results in an undue division of authority and
responsibility.
In order to simplify the administration of the Veterans' Employment
Service and assure the fullest cooperation between it and the general
employment service, the plan eliminates the Veterans' Placement Service
Board and transfers its functions and those of its Chairman to the
Secretary of Labor. By thus concentrating responsibility for the
success of the Service, the plan will make for better service to the
veteran seeking employment or vocational counseling.
This plan is a major step in the rebuilding and strengthening of the
Department of Labor, which I am convinced is essential to the sound and
efficient organization of the executive branch of the Government.
Harry S. Truman.
The White House, June 20, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
05 USC REORGANIZATION PLAN NO. 3 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 20, 1949, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Functions of the Postmaster General
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
(a) There are hereby transferred to the Postmaster General the
functions of all subordinate officers and agencies of the Post Office
Department, including the functions of each Assistant Postmaster
General, the Purchasing Agent for the Post Office Department, the
Comptroller, and the Bureau of Accounts.
(b) The Postmaster General is hereby authorized to delegate to any
officer, employee, or agency of the Post Office Department designated by
him such of his functions as he deems appropriate.
05 USC Sec. 2. Deputy Postmaster General
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
There shall be in the Post Office Department a Deputy Postmaster
General, who shall be appointed by the President by and with the advice
and consent of the Senate, shall perform such duties as the Postmaster
General may designate, and shall receive compensation at the rate of
$10,330 per annum or such other compensation as may be provided by law
for the under secretaries of executive departments after the date of
transmittal of this reorganization plan to the Congress.
05 USC Sec. 3. Assistant Postmasters General
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
There shall be in the Post Office Department four Assistant
Postmasters General, who shall be appointed by the President by and with
the advice and consent of the Senate, shall perform such duties as the
Postmaster General may designate, and shall receive compensation at the
rate of $10,330 per annum or such other compensation as may be provided
by law for the assistant secretaries of executive departments after the
date of transmittal of this reorganization plan to the Congress.
05 USC Sec. 4. Advisory Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
There is hereby established an Advisory Board for the Post Office
Department of which the Postmaster General shall be chairman and the
Deputy Postmaster General the vice chairman. The Board shall have seven
additional members, representative of the public, who shall be appointed
by the President by and with the advice and consent of the Senate. The
members so appointed shall each receive compensation of $50 per diem
when engaged in duties as members of the Board (including travel time to
and from their homes or regular places of business) and reasonable
subsistence and travel expense as determined by the Postmaster General.
The Board shall meet quarterly at the seat of the government in the
District of Columbia, or at such other time and place as the Postmaster
General shall determine for the purpose of considering methods and
policies for the improvement of the postal service, and shall advise and
make recommendations to the Postmaster General with respect to such
methods and policies.
05 USC Sec. 5. Agencies Abolished
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
(a) There are hereby abolished the Bureau of Accounts in the Post
Office Department (including the office of Comptroller) and the office
of Purchasing Agent for the Post Office Department.
(b) The offices of First Assistant Postmaster General, Second
Assistant Postmaster General, Third Assistant Postmaster General, and
Fourth Assistant Postmaster General (5 U.S.C. 363) are hereby abolished;
but the incumbents thereof immediately prior to the taking of effect of
the provisions of this reorganization plan shall without reappointment
be the first Assistant Postmasters General in office under the
provisions of section 3 hereof.
05 USC Sec. 6. Employees, Records, Property, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
The employees now being employed, and the records and property now
being used or held, in connection with any functions transferred by the
provisions of this reorganization plan are hereby transferred to such
agencies of the Post Office Department as the Postmaster General shall
designate. The unexpended balances of appropriations, allocations, and
other funds available or to be made available for use in connection with
such functions shall remain so available.
(The Post Office Department and the office of Postmaster General of
the Post Office Department were abolished and all functions, powers, and
duties transferred to the United States Postal Service by Pub. L.
91-375, 4(a), Aug. 12, 1970, 84 Stat. 773, set out as a note under 39
U.S.C. 201.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1949
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1949, prepared in
accordance with the provisions of the Reorganization Act of 1949. This
plan constitutes an important first step in strengthening the
organization of the Post Office Department.
One of the prime essentials of good departmental administration is
authority from the Congress to a department head to organize and control
his department. The Commission on Organization of the executive branch
of the Government emphasized in its first and subsequent reports that
separate authorities to subordinates should be eliminated. The plan
gives the Postmaster General the necessary authority to organize and
control his Department by transferring to him the functions of all
subordinate officers and agencies of the Post Office Department,
including the functions of each Assistant Postmaster General, the
Purchasing Agent, the Comptroller, and the Bureau of Accounts. The
Postmaster General is authorized to delegate to subordinates designated
by him such of his functions as he may deem appropriate.
The Postmaster General is responsible for the management of one of
the world's largest businesses. Like the head of any large business,
the Postmaster General should be given adequate top-level assistance in
carrying on the operations of the Department so that he may have time to
devote to matters of departmental and public policy. In order to
provide needed assistance to the Postmaster General, the plan
establishes the positions of Deputy Postmaster General, and four
Assistant Postmasters General, comparable to the positions of Under
Secretary and Assistant Secretaries in other departments.
The plan also establishes an Advisory Board for the Post Office
Department, composed of the Postmaster General, the Deputy Postmaster
General, and seven other members representing the public who shall be
appointed by the President by and with the advice and consent of the
Senate. The Advisory Board will make available to the Postmaster
General the advice of outstanding private citizens and will afford a
useful channel for the interchange of views between postal officials and
the public concerning the operations of the postal service.
I have found after investigation that each reorganization contained
in the plan is necessary to accomplish one or more of the purposes set
forth in section 2(a) of the Reorganization Act of 1949. I have also
found and hereby declare that by reason of the reorganization made by
this plan, it is necessary to include in the plan provisions for the
appointment and compensation of the Deputy Postmaster General, four
Assistant Postmasters General, and members of the Advisory Board for the
Post Office Department. The plan abolishes the Bureau of Accounts of
the Post Office Department and the offices of Comptroller, Purchasing
Agent, First, Second, Third, and Fourth Assistant Postmasters General.
This plan carries into effect those of the recommendations of the
Commission on Organization of the Executive Branch of the Government
respecting the Post Office Department which can be accomplished under
the provisions of the Reorganization Act. I am also transmitting to the
Congress recommendations for legislation which will implement other
recommendations of the Commission and place the operations of the Post
Office Department on a more businesslike basis.
The primary result of this reorganization plan will be more effective
administration. Although a substantial reduction in expenditures will
not be brought about by the plan alone, major economies can be achieved
over a period of time as a result of this plan and the enactment of the
postal legislation which I am recommending to the Congress.
Harry S. Truman.
The White House, June 20, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1949
05 USC REORGANIZATION PLAN NO. 4 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1949
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 20, 1949, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
The National Security Council and the National Security Resources
Board, together with their respective functions, records, property,
personnel, and unexpended balances of appropriations, allocations, and
other funds (available or to be made available), are hereby transferred
to the Executive Office of the President.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1949
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1949, prepared in
accordance with the provisions of the Reorganization Act of 1949. The
plan transfers the National Security Council and the National Security
Resources Board to the Executive Office of the President. After
investigation I have found, and I hereby declare, that each
reorganization included in the plan is necessary to accomplish one or
more of the purposes set forth in section 2(a) of the Reorganization Act
of 1949.
The growth of the executive branch and the increasingly complex
nature of the problems with which it must deal have greatly intensified
the necessity of strong and well-coordinated staff facilities to enable
the President to meet his responsibilities for the effective
administration of the executive branch of the Government. Ten years ago
several of the staff agencies of the executive branch were brought
together in the Executive Office of the President under the immediate
direction of the President. The wisdom of this step has been
demonstrated by greatly improved staff assistance to the President,
which has contributed importantly to the management of the Government
during the trying years of war and of postwar adjustment.
Since the creation of the Executive Office of the President, however,
the Congress has further recognized the need for more adequate central
staff and created two new important staff agencies to assist the
President -- the National Security Council and the National Security
Resources Board. The primary function of the first of these agencies,
as defined by statute, is --
to advise the President with respect to the integration of
domestic, foreign, and military policies relating to the national
security.
The function of the second is --
to advise the President concerning the coordination of military,
industrial, and civilian mobilization.
Within their respective fields these agencies assist the President in
developing plans and policies which extend beyond the responsibility of
any single department of the Government. In this they play a role
similar in character to that of the various units of the Executive
Office of the President. In fact, many of the problems with which they
deal require close collaboration with the agencies of the Executive
Office.
Since the principal purpose of the National Security Council and the
National Security Resources Board is to advise and assist the President
and their work needs to be coordinated to the fullest degree with that
of other staff arms of the President, such as the Bureau of the Budget
and the Council of Economic Advisers, it is highly desirable that they
be incorporated in the Executive Office of the President. The
importance of this transfer was recognized by the Commission on
Organization of the Executive Branch of the Government, which
specifically recommended such a change as one of the essential steps in
strengthening the staff facilities of the President and improving the
over-all management of the executive branch.
Because of the necessity of coordination with other staff agencies,
the National Security Council and the National Security Resources Board
are physically located with the Executive Office of the President and I
have taken steps to assure close working relations between them and the
agencies of the Executive Office. This plan, therefore, will bring
their legal status into accord with existing administrative practice.
It is not probable that the reorganizations included in the plan will
immediately result in reduced expenditures. They will, however, provide
a firm foundation for maintaining and furthering the efficient
administrative relationships already established, and for assuring that
we have provided permanent arrangements vitally necessary to the
national security.
Harry S. Truman.
The White House, June 20, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1949
05 USC REORGANIZATION PLAN NO. 5 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1949
Reorg. Plan No. 5 of 1949, 14 F.R. 5227, 63 Stat. 1067, which
related to the Civil Service Commission, was repealed by Pub. L.
89-554, 8(a), Sept. 6, 1966, 80 Stat. 662. See sections 1103, 1104,
1105, and 1306 of Title 5, Government Organization and Employees.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
05 USC REORGANIZATION PLAN NO. 6 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 20, 1949, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Administration of Functions of Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
The Chairman of the United States Maritime Commission shall be the
chief executive and administrative officer of the United States Maritime
Commission. In executing and administering on behalf of the Commission
its functions (exclusive of functions transferred by the provisions of
section 2 of this reorganization plan) the Chairman shall be governed by
the policies, regulatory decisions, findings, and determinations of the
Commission.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
There are hereby transferred from the United States Maritime
Commission to the Chairman of the Commission the functions of the
Commission with respect to (1) the appointment and supervision of all
personnel employed under the Commission, (2) the distribution of
business among such personnel and among organizational units of the
Commission, and (3) the use and expenditure of funds for administrative
purposes: Provided, That the provisions of this section do not extend
to personnel employed regularly and full time in the offices of members
of the Commission other than the Chairman: Provided further, That the
heads of the major administrative units shall be appointed by the
Chairman only after consultation with the other members of the
Commission.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
The functions of the Chairman under the provisions of this
reorganization plan shall be performed by him or, subject to his
supervision and direction, by such officers and employees under his
jurisdiction as he shall designate.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1949
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 6 of 1949, prepared in
accordance with the Reorganization Act of 1949. This plan is designed
to strengthen the administration of the United States Maritime
Commission by making the Chairman and the chief executive and
administrative officer of the Commission and vesting in him
responsibility for the appointment of its personnel and the supervision
and direction of their activities. After investigation, I have found
and hereby declare that each reorganization included in this plan is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
Unlike other major regulatory commissions, the Maritime Commission is
responsible not only for the performance of important regulatory
functions but also for the administration of large and complex operating
and promotional programs. Whereas the budgets of most regulatory
agencies amount to only a few million dollars annually, the expenditures
of the Maritime Commission exceed $130,000,000 a year. As a result of
the war the Commission is the owner of a fleet of over 2,300 ships,
aggregating more than 23,000,000 dead-weight tons.
While it is the policy of the Government, as set forth by the
Merchant Marine Act of 1936 and the Merchant Ship Sales Act of 1946, to
develop and maintain an adequate and effective merchant marine under
private ownership, the Commission is still confronted with the necessity
of carrying on substantial programs for the charter and sale of
Government-owned vessels and with the continuing task of maintaining the
reserve merchant fleet.
Apart from its functions with respect to the war-built fleet, the
accomplishment of the Government's permanent objective with respect to
the development of the American merchant marine inevitably involves the
Commission to a wide variety of activities. Among these are the
regulation of rates and competitive practices of water carriers, the
determination of essential trade routes and services, the award of
subsidies to offset differences between American and foreign costs, the
design and construction of ships, the inspection of subsidized vessels,
and the training of seamen.
In the last 2 years the operation of the Maritime Commission has been
subjected to independent examination by three bodies -- the President's
Advisory Committee on the Merchant Marine, the Senate Committee on
Expenditures in the Executive Departments, and the Commission on
Organization of the Executive Branch of the Government. All of these
studies have pointed to difficulties in the conduct of the Commission's
business and the necessity of improved organization to strengthen the
administration of the agencies. The remedies proposed have differed in
some respects, but all the studies have emphasized the need of
concentrating in a single official the management of a large part of the
agency's work.
During the war such a concentration was temporarily accomplished by
Executive order under the authority of the First War Powers Act. In
effect, the Chairman of the Commission, as War Shipping Administrator,
was made directly responsible for the administration of several major
operating programs of the Commission. This arrangement proved its value
under the stress of war. About a year after the end of the fighting,
however, it was terminated and the organization reverted to the prewar
pattern.
As a result of postwar experience, the Commission appointed a general
manager in 1948. While this has brought considerable improvement, it
has not extricated the Commission from administration to the degree
which is desirable.
After careful consideration of the problems involved in improving the
operation of the Maritime Commission, I have concluded that the proper
action at this time is to concentrate in the Chairman the responsibility
for the internal administration of the agency. This is achieved by the
proposed reorganization plan by transferring to the Chairman the
appointment of the personnel of the agency, except for the immediate
assistants of the Commissioners, and the supervision and direction of
their work. This is substantially the arrangement recommended for
regulatory commissions by the Commission on Organization of the
Executive Branch of the Government.
Such a plan of organization has many advantages. It leaves in the
Commission as a body the performance of regulatory functions, the
determination of subsidies, and the determination of major policies.
Thus, it utilizes the Commission for the type of work for which such a
body is best adapted. At the same time the plan places under a single
official the day-to-day direction of the work of the staff within the
policies and determinations adopted by the Commission in the exercise of
its functions. This will provide more businesslike administration and
help to overcome the delays, backlogs, and operating difficulties which
have hampered the agency. At the same time by freeing the members of
the Commission of much detail, the plan will enable them to concentrate
on major questions of policy and program and thereby will obtain earlier
and better considered resolution of the basic problems of the agency.
Though the taking effect of this plan in itself may not result in
substantial immediate economies, it is probable that the improved
organizational arrangements will bring about, over a period of time,
improved operations and substantially reduced expenditures. An
itemization of these reductions, however, in advance if actual
experience under the plan is not practicable.
I am convinced that this reorganization plan will contribute
importantly to the more businesslike and efficient administration of the
programs of the Maritime Commission.
Harry S. Truman.
The White House, June 20, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
05 USC REORGANIZATION PLAN NO. 7 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
amended Jan. 12, 1983, Pub. L. 97-449, 2(b), 96
Stat. 2439
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 20, 1949, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Public Roads Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
The Public Roads Administration, together with its functions,
including the functions of the Commissioner of Public Roads, is hereby
transferred to the Department of Transportation and shall be
administered by the Commissioner of Public Roads subject to the
direction and control of the Secretary of Transportation.
05 USC Sec. 2. Transfer of Certain Functions of Federal Works
Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
All functions of the Federal Works Administrator with respect to the
agency and functions transferred by the provisions of section 1 hereof
are hereby transferred to the Secretary of Transportation and shall be
performed by the Secretary or, subject to his direction and control, by
such officers, employees, and agencies of the Department of
Transportation as the Secretary shall designate.
05 USC Sec. 3. Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
There are hereby transferred to the Department of Transportation, to
be used, employed, and expended in connection with the functions
transferred by the provisions of this reorganization plan, the records
and property now being used or held in connection with such functions,
the personnel employed in connection with such functions, together with
the Commissioner of Public Roads, and the unexpended balances of
appropriations, allocations, and other funds available or to be made
available for use in connection with such functions. Such further
measures and dispositions as the Director of the Bureau of the Budget
shall determine to be necessary in order to effectuate the transfers
provided for in this section shall be carried out in such manner as the
Director shall direct and by such agencies as he shall designate.
05 USC Sec. 4. Effect of Reorganization Plan
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
The provisions of this reorganization plan shall become effective
notwithstanding the status of the Public Roads Administration within the
Federal Works Agency or within any other agency immediately prior to the
effective date of this reorganization plan (see 40 U.S.C. 753).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1949
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 7 of 1949, prepared in
accordance with the provisions of the Reorganization Act of 1949. This
plan transfers the Public Roads Administration to the Department of
Commerce. After investigation I have found and hereby declare that each
reorganization included in this plan is necessary to accomplish one or
more of the purposes set forth in section 2(a) of the Reorganization Act
of 1949.
This plan directly carries out the recommendation of the Commission
on Organization of the Executive Branch of the Government with respect
to the Public Roads Administration. That the Department of Commerce is
the appropriate location for the Public Roads Administration in the
executive branch is evident from the nature of its functions and the
basic purpose of the Department. The Public Roads Administration is
primarily engaged in planning and financing the development of the
highways which provide the essential facilities for motor transportation
throughout the country. Thus, it comes directly within the purpose of
the Department of Commerce, as defined by its organic act, which
provides:
It shall be the province and duty of said Department to foster,
promote, and develop the foreign and domestic commerce * * * and the
transportation facilities of the United States.
In its reorganization proposals the Commission on Organization of the
Executive Branch of the Government adhered to the statutory definition
of the functions and role of the Department of Commerce. President
Franklin D. Roosevelt and the Congress likewise were guided by this
concept of the Department in transferring to it the Civil Aeronautics
Administration and the Inland Waterways Corporation under the
Reorganization Act of 1939. A careful review of the structure of the
executive branch reveals no other department or agency in which the
Public Roads Administration can so appropriately be located.
The desirability of this transfer of the Public Roads Administration
is further emphasized by its relation to the Federal Property and
Administrative Services bill now pending in the Senate. This bill
creates a new General Services Administration and concentrates in it the
principal central administrative service programs of the executive
branch. The bill also revises the basic legislation on property
management. It has been passed by the House of Representatives by an
overwhelming vote and unanimously reported by the Senate Committee on
Expenditures in the Executive Departments and awaits final action on the
floor of the Senate. This measure substantially conforms to
recommendations which I submitted to the Congress more than a year ago
and to proposals more recently presented by the Commission on
Organization of the Executive Branch of the Government, with which I
concur. The enactment of this bill will constitute an important step in
increasing the efficiency of Federal administration. Since the bill
makes permanent provision for the disposal of surplus property, now
handled by the War Assets Administration which will expire by law on
June 30, early enactment is vital.
In establishing the General Services Administration the Federal
Property and Administrative Services bill transfers to the
Administration all of the functions and units of the Federal Works
Agency. Part of these functions relating to the housing of the
governmental establishment clearly fall within the purpose of such an
Administration. Certain other functions of the Federal Works Agency,
however, bear very little real relation to the objectives of the General
Services Administration. The congressional committees which have dealt
with the bill have frankly indicated that further consideration must be
given to the proper location of some of the programs of the Federal
Works Agency. The sooner these unrelated programs can be removed from
the new agency, the sooner it can concentrate its efforts upon improving
administrative services throughout the executive branch and make the
contribution to governmental efficiency for which it has been designed.
Principal among the programs of the Federal Works Agency which are
unrelated to the General Services Administration are those of the Public
Roads Administration. This agency is primarily engaged in the
administration of Federal grants to States for highway purposes rather
than in the performance of services for other Federal agencies. Its
functions, therefore, do not fall within the field of activities of the
General Services Administration. Their inclusion cannot but complicate
and impede the development of the General Services Administration in the
performance of its intended purpose. This reorganization plan will
eliminate such a difficulty.
Since the Public Roads Administration will be transferred bodily from
one major agency to another, it is not to be expected that this
reorganization will directly result in any appreciable reduction in its
expenditures at this time. However, the plan will make for better
organization and direction of Federal programs relating to
transportation. Assuming the early enactment of the Federal Property
and Administrative Services bill, the plan will also materially simplify
the development of the proposed General Services Administration and
thereby facilitate improvements in the efficiency of administrative
services throughout the Government.
Harry S. Truman.
The White House, June 20, 1949.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1949
05 USC REORGANIZATION PLAN NO. 8 OF 1949
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1949
Reorganization Plan No. 8 of 1949, which proposed reorganization of
the National Military Establishment into a Department of Defense, was
submitted to Congress on July 18, 1949, and was disapproved by act Aug.
10, 1949, ch. 412, 12(i), 63 Stat. 592.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1950
05 USC REORGANIZATION PLAN NO. 1 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1950
Reorganization Plan No. 1 of 1950, which proposed reorganizations in
the Department of the Treasury, was submitted to Congress on Mar. 13,
1950, and was disapproved by the Senate on May 11, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1950
05 USC REORGANIZATION PLAN NO. 2 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1950
amended Sept. 6, 1966, Pub. L. 89-554, 8(a), 80
Stat. 662
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
Sections 1-5. (Repealed. Pub. L. 89-554, 8(a), Sept. 6, 1966, 80
Stat. 662. Section 1, transferred to the Attorney General, all functions
of other officers, agencies and employees of Department of Justice, with
certain exceptions, see 28 U.S.C. 509. Section 2, provided for
performance of Attorney General's functions by such other officer,
agency or employee as he might authorize, see 28 U.S.C. 510. Section 3,
changed title of ''The Assistant to the Attorney General'' to ''Deputy
Attorney General'', see 28 U.S.C. 504. Sections 4, 5, provided for
positions of Assistant Attorney General and Administrative Assistant
Attorney General, respectively, see 28 U.S.C. 506, 507.)
05 USC Sec. 6. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1950
The Attorney General may from time to time effect such transfers
within the Department of Justice of any of the records, property,
personnel, and unexpended balances (available or to be made available)
of appropriations, allocations, and other funds of such Department as he
may deem necessary in order to carry out the provisions of this
reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Department of Justice. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2 (a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of an Assistant
Attorney General and an Administrative Assistant Attorney General. The
rate of compensation fixed for these officers is that which I have found
to prevail in respect of comparable officers in the executive branch of
the Government.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
05 USC REORGANIZATION PLAN NO. 3 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
amended June 1, 1971, Pub. L. 92-22, 3, 85 Stat. 76
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
(a) Except as otherwise provided in subsection (b) of this section,
there are hereby transferred to the Secretary of the Interior all
functions of all other officers of the Department of the Interior and
all functions of all agencies and employees of such Department.
(b) This section shall not apply to the functions vested by the
Administrative Procedure Act (60 Stat. 237) (see 5 U.S.C. 551 et seq.
and 701 et seq.) in hearing examiners employed by the Department of the
Interior, nor to the functions of the Virgin Islands Corporation or of
its Board of Directors or officers.
05 USC Sec. 2. Performance of Functions of Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
The Secretary of the Interior may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
any other officer, or by any agency or employee, of the Department of
the Interior of any function of the Secretary, including any function
transferred to the Secretary by the provisions of this reorganization
plan.
05 USC Sec. 3. Assistant Secretary of the Interior
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
There shall be in the Department of the Interior one additional
Assistant Secretary of the Interior, who shall be appointed by the
President, by and with the advice and consent of the Senate, who shall
perform such duties as the Secretary of the Interior shall prescribe,
and who shall receive compensation at the rate prescribed by law for
Assistant Secretaries of executive departments.
05 USC Sec. 4. Administrative Assistant Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
(Repealed. Pub. L. 92-22, 3, June 1, 1971, 85 Stat. 76. Section
authorized appointment of Administrative Assistant Secretary of
Interior. See 43 U.S.C. 1453a and 5 U.S.C. 5315. Section 3 provided that
such repeal be effective upon Senate confirmation of Presidential
appointment of Assistant Secretary of Interior under successor
provisions.)
05 USC Sec. 5. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
The Secretary of the Interior may from time to time effect such
transfers within the Department of the Interior of any of the records,
property, personnel, and unexpended balances (available or to be made
available) of appropriations, allocations, and other funds of such
Department as he may deem necessary in order to carry out the provisions
of this reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Department of the Interior. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 3 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of an Assistant
Secretary of the Interior and an Administrative Assistant Secretary of
the Interior. The rate of compensation fixed for these officers is that
which I have found to prevail in respect of comparable officers in the
executive branch of the Government.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1950
05 USC REORGANIZATION PLAN NO. 4 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1950
Reorganization Plan No. 4 of 1950, which proposed reorganizations in
the Department of Agriculture, was submitted to Congress on Mar. 13,
1950, and was disapproved by the Senate on May 18, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
05 USC REORGANIZATION PLAN NO. 5 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
amended July 2, 1954, ch. 456, title III, 304, 68
Stat. 430
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
(a) Except as otherwise provided in subsection (b) of this section,
there are hereby transferred to the Secretary of Commerce all functions
of all other officers of the Department of Commerce and all functions of
all agencies and employees of such Department.
(b) This section shall not apply to the functions vested by the
Administrative Procedure Act (60 Stat. 237) (see 5 U.S.C. 551 et seq.
and 701 et seq.) in hearing examiners employed by the Department of
Commerce, nor to the functions of the Civil Aeronautics Board, of the
Inland Waterways Corporation, or of the Advisory Board of the Inland
Waterways Corporation.
05 USC Sec. 2. Performance of Functions of Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
The Secretary of Commerce may from time to time make such provisions
as he shall deem appropriate authorizing the performance by any other
officer, or by any agency or employee, of the Department of Commerce of
any function of the Secretary, including any function transferred to the
Secretary by the provisions of this reorganization plan.
05 USC Sec. 3. Administrative Assistant Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
(Repealed. July 2, 1954, ch. 456, title III, 304, 68 Stat. 430.
Section authorized an Administrative Assistant Secretary of Commerce.)
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
The Secretary of Commerce may from time to time effect such transfers
within the Department of Commerce of any of the records, property,
personnel, and unexpended balances (available or to be made available)
of appropriations, allocations, and other funds of such Department as he
may deem necessary in order to carry out the provisions of this
reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 5 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Department of Commerce. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 5 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of an
Administrative Assistant Secretary of Commerce. The rate of
compensation fixed for this officer is that which I have found to
prevail in respect of comparable officers in the executive branch of the
Government.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
05 USC REORGANIZATION PLAN NO. 6 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
amended Pub. L. 99-619, 2(c)(1), Nov. 6, 1986, 100
Stat. 3491
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
(a) Except as otherwise provided in subsection (b) of this section,
there are hereby transferred to the Secretary of Labor all functions of
all other officers of the Department of Labor and all functions of all
agencies and employees of such Department.
(b) This section shall not apply to the functions vested by the
Administrative Procedure Act (60 Stat. 237) (see 5 U.S.C. 551 et seq.
and 701 et seq.) in hearing examiners employed by the Department of
Labor.
05 USC Sec. 2. Performance of Functions of Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
The Secretary of Labor may from time to time make such provisions as
he shall deem appropriate authorizing the performance by any other
officer, or by any agency or employee, of the Department of Labor of any
function of the Secretary, including any function transferred to the
Secretary by the provisions of this reorganization plan.
05 USC Sec. 3. Administrative Assistant Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
(Repealed. Pub. L. 99-619, 2(c)(1), Nov. 6, 1986, 100 Stat. 3491.
Section authorized an Administrative Assistant Secretary of Labor.)
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
The Secretary of Labor may from time to time effect such transfers
within the Department of Labor of any of the records, property,
personnel, and unexpended balances (available or to be made available)
of appropriations, allocations, and other funds of such Department as he
may deem necessary in order to carry out the provisions of this
reorganization plan.
(Amendment by Pub. L. 99-619 effective on the day the incumbent, as
of Nov. 6, 1986, of the position abolished ceases to hold the position,
see section 2(e) of Pub. L. 99-619, set out as an Effective Date of 1986
Amendment note under section 5316 of this title.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 6 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Department of Labor. My reasons for transmitting
this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 6 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of an
Administrative Assistant Secretary of Labor. The rate of compensation
fixed for this officer is that which I have found to prevail in respect
of comparable officers in the executive branch of the Government.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1950
05 USC REORGANIZATION PLAN NO. 7 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1950
Reorganization Plan No. 7 of 1950, which proposed reorganizations in
the Interstate Commerce Commission, was submitted to Congress on Mar.
13, 1950, and was disapproved by the Senate on May 17, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
05 USC REORGANIZATION PLAN NO. 8 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
(a) Subject to the provisions of subsection (b) of this section,
there are hereby transferred from the Federal Trade Commission,
hereinafter referred to as the Commission, to the Chairman of the
Commission, hereinafter referred to as the Chairman, the executive and
administrative functions of the Commission, including functions of the
Commission with respect to (1) the appointment and supervision of
personnel employed under the Commission, (2) the distribution of
business among such personnel and among administrative units of the
Commission, and (3) the use and expenditure of funds.
(b)(1) In carrying out any of his functions under the provisions of
this section the Chairman shall be governed by general policies of the
Commission and by such regulatory decisions, findings, and
determinations as the Commission may by law be authorized to make.
(2) The appointment by the Chairman of the heads of major
administrative units under the Commission shall be subject to the
approval of the Commission.
(3) Personnel employed regularly and full time in the immediate
offices of members of the Commission other than the Chairman shall not
be affected by the provisions of this reorganization plan.
(4) There are hereby reserved to the Commission its functions with
respect to revising budget estimates and with respect to determining
upon the distribution of appropriated funds according to major programs
and purposes.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
The Chairman may from time to time make such provisions as he shall
deem appropriate authorizing the performance by any officer, employee,
or administrative unit under his jurisdiction of any function
transferred to the Chairman by the provisions of this reorganization
plan.
05 USC Sec. 3. Designation of Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
The functions of the Commission with respect to choosing a Chairman
from among the membership of the Commission are hereby transferred to
the President.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 8 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Federal Trade Commission. My reasons for
transmitting this plan are stated in any accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 8 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
05 USC REORGANIZATION PLAN NO. 9 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
(a) Subject to the provisions of subsection (b) of this section,
there are hereby transferred from the Federal Power Commission,
hereinafter referred to as the Commission, to the Chairman of the
Commission, hereinafter referred to as the Chairman, the executive and
administrative functions of the Commission, including functions of the
Commission with respect to (1) the appointment and supervision of
personnel employed under the Commission, (2) the distribution of
business among such personnel and among administrative units of the
Commission, and (3) the use and expenditure of funds.
(b)(1) In carrying out any of his functions under the provisions of
this section the Chairman shall be governed by general policies of the
Commission and by such regulatory decisions, findings, and
determinations as the Commission may by law be authorized to make.
(2) The appointment by the Chairman of the heads of major
administrative units under the Commission shall be subject to the
approval of the Commission.
(3) Personnel employed regularly and full time in the immediate
offices of Commissioners other than the Chairman shall not be affected
by the provisions of this reorganization plan.
(4) There are hereby reserved to the Commission its functions with
respect to revising budget estimates and with respect to determining
upon the distribution of appropriated funds according to major programs
and purposes.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
The Chairman may from time to time make such provisions as he shall
deem appropriate authorizing the performance by any officer, employee,
or administrative unit under his jurisdiction of any function
transferred to the Chairman by the provisions of this reorganization
plan.
05 USC Sec. 3. Designation of Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
The functions of the Commission with respect to choosing a Chairman
from among the commissioners composing the Commission are hereby
transferred to the President.
(The Federal Power Commission was terminated and its functions,
personnel, property, funds, etc., were transferred to the Secretary of
Energy (except for certain functions which were transferred to the
Federal Energy Regulatory Commission) by 42 U.S.C. 7151(b), 7171(a),
7172(a), 7291, and 7293.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 9 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Federal Power Commission. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 9 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
05 USC REORGANIZATION PLAN NO. 10 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
(a) Subject to the provisions of subsection (b) of this section there
are hereby transferred from the Securities and Exchange Commission,
hereinafter referred to as the Commission, to the Chairman of the
Commission, hereinafter referred to as the Chairman, the executive and
administrative functions of the Commission, including functions of the
Commission with respect to (1) the appointment and supervision of
personnel employed under the Commission, (2) the distribution of
business among such personnel and among administrative units of the
Commission, and (3) the use and expenditure of funds.
(b)(1) In carrying out any of his functions under the provisions of
this section the Chairman shall be governed by general policies of the
Commission and by such regulatory decisions, findings, and
determinations as the Commission may by law be authorized to make.
(2) The appointment by the Chairman of the heads of major
administrative units under the Commission shall be subject to the
approval of the Commission.
(3) Personnel employed regularly and full time in the immediate
offices of Commissioners other than the Chairman shall not be affected
by the provisions of this reorganization plan.
(4) There are hereby reserved to the Commission its functions with
respect to revising budget estimates and with respect to determining
upon the distribution of appropriated funds according to major programs
and purposes.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
The Chairman may from time to time make such provisions as he shall
deem appropriate authorizing the performance by any officer, employee,
or administrative unit under his jurisdiction of any function
transferred to the Chairman by the provisions of section 1 of this
reorganization plan.
05 USC Sec. 3. Designation of Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
The functions of the Commission with respect to choosing a Chairman
from among the Commissioners composing the Commission are hereby
transferred to the President.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 10 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Securities and Exchange Commission. My reasons
for transmitting this plan are stated in an accompanying general
message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 10 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 11 OF 1950
05 USC REORGANIZATION PLAN NO. 11 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 11 OF 1950
Reorganization Plan No. 11 of 1950, which proposed reorganizations
in the Federal Communications Commission, was submitted to Congress on
Mar. 13, 1950, and was disapproved by the Senate on May 17, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 12 OF 1950
05 USC REORGANIZATION PLAN NO. 12 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 12 OF 1950
Reorganization Plan No. 12 of 1950, which proposed reorganizations
in the National Labor Relations Board, was submitted to Congress on Mar.
13, 1950, and was disapproved by the Senate on May 11, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 13 OF 1950
05 USC REORGANIZATION PLAN NO. 13 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 13 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 13 OF 1950
(a) Subject to the provisions of subsection (b) of this section,
there are hereby transferred from the Civil Aeronautics Board,
hereinafter referred to as the Board, to the Chairman of the Board,
hereinafter referred to as the Chairman, the executive and
administrative functions of the Board, including functions of the Board
with respect to (1) the appointment and supervision of personnel
employed under the Board, (2) the distribution of business among such
personnel and among administrative units of the Board, and (3) the use
and expenditure of funds.
(b)(1) In carrying out any of his functions under the provisions of
this section the Chairman shall be governed by general policies of the
Board and by such regulatory decisions, findings, and determinations as
the Board may by law be authorized to make.
(2) The appointment by the Chairman of the heads of major
administrative units under the Board shall be subject to the approval of
the Board.
(3) Personnel employed regularly and full time in the immediate
offices of members of the Board other than the Chairman shall not be
affected by the provisions of this reorganization plan.
(4) There are hereby reserved to the Board its functions with respect
to revising budget estimates and with respect to determining upon the
distribution of appropriated funds according to major programs and
purposes.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 13 OF 1950
The Chairman may from time to time make such provisions as he shall
deem appropriate authorizing the performance by any officer, employee,
or administrative unit under his jurisdiction of any function
transferred to the Chairman by the provisions of this reorganization
plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 13 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 13 of 1950, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Civil Aeronautics Board. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 13 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 14 OF 1950
05 USC REORGANIZATION PLAN NO. 14 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 14 OF 1950
amended May 21, 1970, Pub. L. 91-258, title I,
52(b)(7), 84 Stat. 235
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
In order to assure coordination of administration and consistency of
enforcement of the labor standards provisions of each of the following
Acts by the Federal agencies responsible for the administration thereof,
the Secretary of Labor shall prescribe appropriate standards,
regulations, and procedures, which shall be observed by these agencies,
and cause to be made by the Department of Labor such investigations,
with respect to compliance with and enforcement of such labor standards,
as he deems desirable, namely: (a) The Act of March 3, 1931 (46 Stat.
1494, ch. 411), as amended (40 U.S.C. 276a to 276a-6); (b) the Act of
June 13, 1934 (48 Stat. 948, ch. 482) (40 U.S.C. 276c); (c) the Act of
August 1, 1892 (27 Stat. 340, ch. 352), as amended (40 U.S.C. 321-323);
(d) the Act of June 19, 1912 (37 Stat. 137, ch. 174), as amended (40
U.S.C. 324, 325); (e) the Act of June 3, 1939 (53 Stat. 804, ch. 175),
as amended (12 U.S.C. 1703, 1708-1711, 1713, 1715c, 1716); (f) the Act
of August 13, 1946 (60 Stat. 1040, ch. 958); (g) the Act of May 13,
1946 (60 Stat. 170, ch. 251), as amended (49 App. U.S.C. 1101-1119);
(h) the Airport and Airway Development Act of 1970 (49 App. U.S.C. 1701
et seq.); and (i) the Act of July 15, 1949 (ch. 338, Public Law 171,
Eighty-first Congress, First Session). (As amended Pub. L. 91-258,
title I, 52(b)(7), May 21, 1970, 84 Stat. 235).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 14 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 14 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. For
the purpose of coordinating the administration of labor standards under
various statutes relating to Federal construction and public works or to
construction with federally financed assistance or guaranties, the
reorganization plan authorizes the Secretary of Labor to prescribe
appropriate standards, regulations, and procedures with respect to these
matters and to make such investigations concerning compliance with, and
enforcement of, labor standards as he deems desirable. The purpose is
to assure consistent and effective enforcement of such standards.
The plan is in general accord with the recommendations of the
Commission on Organization of the Executive Branch of the Government.
It constitutes a further step in rebuilding and strengthening the
Department of Labor to make it the central agency of the Government for
dealing with labor problems.
After investigation I have found and hereby declare that the
reorganization contained in this plan is necessary to accomplish one or
more of the purposes set forth in section 2(a) of the Reorganization Act
of 1949.
There are several laws regulating wages and hours of workers employed
on Federal contracts for public works or construction. The ''eight hour
laws'' limit the employment of laborers and mechanics on such projects
to 8 hours per day and permit their employment in excess of that limit
only upon condition that time and one-half the basic-wage rate is paid
for the excess hours. The Davis-Bacon Act provides that the minimum
rates of pay for laborers and mechanics on certain Federal public-works
contracts shall be those prevailing for the corresponding classes of
workers in the locality as determined by the Secretary of Labor. The
Copeland anti-kick-back law prohibits the exaction of rebates or
kick-backs from workers employed on the construction of Federal public
works or works financed by the Federal Government and authorizes the
Secretary of Labor to make regulations for contractors engaged on such
projects.
In addition to the above statutes, there are several acts which
require the payment of prevailing-wage rates, as determined by the
Secretary of Labor, to laborers and mechanics employed on construction
financed in whole or in part by loans or grants from the Federal
Government or by mortgages guaranteed by the Federal Government. These
acts are: the National Housing Act, the Housing Act of 1949, the
Federal Airport Act, and the Hospital Survey and Construction Act of
1946.
With the exception of the Department of Labor, the Federal agencies
involved in the administration of the various acts are divided into two
classes: (1) agencies which contract for Federal public works or
construction; and (2) agencies which lend or grant Federal funds, or
act as guarantors of mortgages, to aid in the construction of projects
to be built by State or local public agencies or private individuals and
groups. The methods of enforcing labor standards necessarily differ
between these two groups of agencies.
The methods adopted by the various agencies for the enforcement of
labor standards vary widely in character and effectiveness. As a
result, uniformity of enforcement is lacking and the degree of
protection afforded workers varies from agency to agency.
In order to correct this situation, this plan authorizes the
Secretary of Labor to coordinate the administration of legislation
relating to wages and hours on federally financed or assisted projects
by prescribing standards, regulations, and procedures to govern the
enforcement activities of the various Federal agencies and by making
such investigations as he deems desirable to assure consistent
enforcement. The actual performance of enforcement activities, normally
including the investigation of complaints of violations, will remain the
duty of the respective agencies awarding the contracts or providing the
Federal assistance.
Since the principal objective of the plan is more effective
enforcement of labor standards, it is not probable that it will result
in savings. But it will provide more uniform and more adequate
protection for workers through the expenditures made for the enforcement
of the existing legislation.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
05 USC REORGANIZATION PLAN NO. 15 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
There are hereby transferred to the Secretary of the Interior all
functions of the Administrator of General Services under the Alaska
Public Works Act, approved August 24, 1949, and under the Act of
December 20, 1944, 58 Stat. 827, entitled ''An Act to assist in the
internal development of the Virgin Islands by the undertaking of useful
projects therein, and for other purposes,'' as amended (48 U.S.C. 1409
et seq.), together with so much of any other function of the
Administrator of General Services or of the General Services
Administration as is incidental to or necessary for the carrying out of
the provisions of such Acts.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
The Secretary of the Interior may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
any other officer, or by any agency or employee, of the Department of
the Interior of any function transferred to such Secretary by the
provisions of this reorganization plan.
05 USC Sec. 3. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
There are hereby transferred to the Department of the Interior, to be
used, employed, and expended in connection with the functions
transferred by the provisions of this reorganization plan, the records
and property now being used or held in connection with such functions,
the personnel employed in connection with such functions, and the
unexpended balances of appropriations, allocations, and other funds
available or to be made available for use in connection with such
functions. Such further measures and dispositions as the Director of
the Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in this section shall be carried
out in such manner as the Director shall direct and by such agencies as
he shall designate.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 15 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 15 of 1950, prepared in
accordance with the Reorganization Act of 1949. The plan transfers the
functions of the General Services Administration relating to public
works in Alaska and in the Virgin Islands to the Department of the
Interior. My reasons for transmitting this plan are stated in an
accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 15 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The savings to be realized from the transfers provided for in the
plan cannot be predicted in detail at this time. The small size and
restricted character of the Virgin Islands public-works program will
prevent large reductions in administrative expenditures. However, by
placing the responsibility for the activity in the Department generally
concerned with the government and welfare of the islands, the plan will
lead to a closer integration of the public-works program with verified
needs.
The Alaska public-works program is new and will continue to grow for
some time. As a result the over-all costs of administration will
increase under any organizational arrangements which may be established.
The concentration of responsibility in the Department already charged
with the execution of related programs in Alaska and required by law to
approve all projects constructed under the Alaska Public Works Act of
1949 should, however, simplify relationships and lead to more economical
administration than would otherwise be possible.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
05 USC REORGANIZATION PLAN NO. 16 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
There are hereby transferred to the Federal Security Administrator
all functions of the Administrator of General Services under the Act of
September 10, 1949, entitled ''An Act to provide assistance for local
school agencies in providing educational opportunities for children on
Federal reservations or in defense areas, and for other purposes (20
U.S.C. 231-235, see 20 U.S.C. 236 et seq.),'' and under the Water
Pollution Control Act, approved June 30, 1948, as amended (33 U.S.C.
1151 et seq., see 33 U.S.C. 1251 et seq.), together with so much of any
other function of the Administrator of General Services or of the
General Services Administration as is incidental to or necessary for the
carrying out of the provisions of such Acts.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
The Federal Security Administrator may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
any other officer, or by any agency or employee, of the Federal Security
Agency of any function transferred to such Administrator by the
provisions of this reorganization plan.
05 USC Sec. 3. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
There are hereby transferred to the Federal Security Agency, to be
used, employed, and expended in connection with the functions
transferred by the provisions of this reorganization plan, the records
and property now being used or held in connection with such functions,
the personnel employed in connection with such functions, and the
unexpended balances of appropriations, allocations, and other funds
available or to be made available for use in connection with such
functions. Such further measures and dispositions as the Director of
the Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in this section shall be carried
out in such manner as the Director shall direct and by such agencies as
he shall designate.
(Federal Security Agency abolished and functions transferred to
Department of Health, Education, and Welfare (Health and Human Services)
by Reorg. Plan No. 3 of 1953.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 16 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 16 of 1950, prepared in
accordance with the Reorganization Act of 1949. The plan transfers to
the Federal Security Agency the functions of the General Services
Administration relating to assistance to local school districts and
grants and loans for water-pollution-control projects. My reasons for
transmitting this plan are stated in an accompanying general message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 16 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
The transfer of the responsibility for making payments to local
school districts whose operating deficits are due in part to Federal
activities is unlikely to result in an immediate reduction in
expenditures for the administration of the program. However, by placing
the function in the agency of the Government best informed in matters of
public-school administration and presently charged with the payment of
other grants for educational purposes, the plan will provide additional
assurance that the funds appropriated for assistance to overburdened
school districts will be most advantageously expended.
The relative newness and expanding character of the
water-pollution-control program prevents the itemization of the
reductions in expenditures which will follow the consolidation of
responsibility for this activity. It is expected that the elimination
of overlapping and the simplification of relationships which will result
from the transfer will make it possible to administer grants and loans
more expeditiously and at lower costs per project than can be done under
the present division of responsibility.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
05 USC REORGANIZATION PLAN NO. 17 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
Except as otherwise provided in section 2 of this reorganization
plan, there are hereby transferred to the Housing and Home Finance
Administrator all functions of the Administrator of General Services
under,
(1) the Act of October 13, 1949, entitled ''An Act to provide for the
advance planning of non-Federal public works (40 U.S.C. 451 et seq.),''
(2) title V of the War Mobilization and Reconversion Act of 1944, 58
Stat. 791, as amended (50 App. U.S.C. 1671), and
(3) title II of the Act of October 14, 1940, entitled ''An Act to
expedite the provision of housing in connection with national defense,
and for other purposes,'' as amended (42 U.S.C. 1531-1535), together
with so much of any other function of the Administrator of General
Services or of the General Services Administration as is incidental to
or necessary for the carrying out of the foregoing provisions of law.
05 USC Sec. 2. Functions Excepted From Transfer
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
There are hereby excluded from the transfer effected by the
provisions of section 1 of this reorganization plan functions with
respect to the holding, management, and disposition of securities
received prior to the effective date of this reorganization plan by the
General Services Administration or its predecessor agency by reason of
the disposal of property constructed or otherwise acquired under the
provisions of said Title II (42 U.S.C. 1531-1535), and functions with
respect to litigation, and the liquidation of claims, arising out of the
acquisition of land or the construction of facilities under the
provisions of said Title II.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
The Housing and Home Finance Administrator may from time to time make
such provisions as he shall deem appropriate authorizing the performance
by any other officer, or by any agency or employee, of the Housing and
Home Finance Agency of any function transferred to such Administrator by
the provisions of this reorganization plan.
05 USC Sec. 4. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
There are hereby transferred to the Housing and Home Finance Agency,
to be used, employed, and expended in connection with the functions
transferred by the provisions of this reorganization plan, the records
and property now being used or held in connection with such functions,
the personnel employed in connection with such functions, and the
unexpended balances of appropriations, allocations, and other funds
available or to be made available for use in connection with such
functions. Such further measures and dispositions as the Director of
the Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in this section shall be carried
out in such manner as the Director shall direct and by such agencies as
he shall designate.
(Housing and Home Finance Agency lapsed and functions were
transferred to Secretary of Housing and Urban Development, see section
9(c) of Pub. L. 89-174, Sept. 9, 1965, 79 Stat. 670, set out as a note
under 42 U.S.C. 3531.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 17 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 17 of 1950, prepared in
accordance with the Reorganization Act of 1949. The plan transfers the
functions of the General Services Administration relating to the advance
planning of non-Federal public works and the management and disposal of
certain war public works to the Housing and Home Finance Agency. My
reasons for transmitting this plan are stated in an accompanying general
message.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 17 is necessary to
accomplish one or more of the purposes set forth in section 2(a) of the
Reorganization Act of 1949.
The first of the transfers provided for by this plan will result in
the more economical administration of those activities of the Federal
Government which are concerned with the over-all planning and
development of communities. The concentration of responsibility in a
single agency will make it possible to so integrate administration as to
avoid duplication of technical staffs and to simplify relationships with
State and local agencies. Moreover, by reducing the likelihood that the
two programs involved will be administered at cross-purposes or in
conflict with each other, it can be expected that the money expended
will achieve greater benefits than would be likely under the present
distribution of responsibility. It is not, however, possible to itemize
the reduction in expenditures which will result, chiefly because both
programs are of recent origin and are still undergoing expansion.
The transfer of the war public works functions will lead to modest
savings by consolidating the responsibility for the management and
disposal of all properties built or acquired under the Lanham Act of
1940, as amended, in the Agency which already has the greater part of
the total job. The fact that it will become possible to manage and
dispose of public facilities serving emergency housing developments
without the interagency negotiation which is now necessary will lead to
economies, although they cannot be itemized or predicted with exactness.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
05 USC REORGANIZATION PLAN NO. 18 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Space Assignment and Leasing Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
All functions with respect to acquiring space in buildings by lease,
and all functions with respect to assigning and reassigning space in
buildings for use by agencies (including both space acquired by lease
and space in Government-owned buildings), are hereby transferred from
the respective agencies in which such functions are now vested to the
Administrator of General Services, exclusive, however, of all such
functions with respect to --
(a) space in buildings located in any foreign country;
(b) space in buildings which are located on the grounds of any fort,
camp, post, arsenal, Navy yard, naval training station, airfield,
proving ground, military supply depot, or school, or of any similar
facility, of the Department of Defense, unless and to such extent as a
permit for its use shall have been issued by the Secretary of Defense or
his duly authorized representative;
(c) space occupied by the Post Office Department in post-office
buildings and space acquired by lease for post-office purposes; and
(d) space in other Government-owned buildings which the Administrator
of General Services finds are wholly or predominantly utilized for the
special purposes of the agency having the custody thereof and are not
generally suitable for the use of other agencies (including but not
limited to hospitals, housing, laboratories, mints, manufacturing
plants, and penal institutions), and space acquired by lease for any
such purpose:
Provided, That the space needs of the Post Office Department shall be
given priority in the assignment and reassignment of space in post
office buildings.
05 USC Sec. 2. Transfer of Office Building Management Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
All functions with respect to the operation, maintenance, and custody
of office buildings owned by the Government and of office buildings or
parts thereof acquired by lease, including those post-office buildings
which, as determined by the Director of the Bureau of the Budget, are
not used predominantly for post-office purposes, are hereby transferred
from the respective agencies in which now vested to the Administrator of
General Services, exclusive, however, of all such functions with respect
to --
(a) any building located in any foreign country;
(b) any building located on the grounds of any fort, camp, post,
arsenal, navy yard, naval training station, air field, proving ground,
military supply depot, or school, or of any similar facility, of the
Department of Defense, unless and to such extent as a permit for its use
by another agency or agencies shall have been issued by the Secretary of
Defense or his duly authorized representative;
(c) any building which the Administrator of General Services finds to
be a part of a group of buildings which are (1) located in the same
vicinity, (2) are utilized wholly or predominantly for the special
purposes of the agency having custody thereof, and (3) are not generally
suitable for the use of other agencies; and
(d) the Treasury Building, the Bureau of Engraving and Printing
Building, the buildings occupied by the National Bureau of Standards,
and the buildings under the jurisdiction of the regents of the
Smithsonian Institution.
(References to National Bureau of Standards deemed to refer to
National Institute of Standards and Technology pursuant to section
5115(c) of Pub. L. 100-418, set out as a Change of Name note under 15
U.S.C. 271.)
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
(a) The Administrator of General Services may from time to time make
such provisions as he shall deem appropriate authorizing the performance
by any other officer, or by any agency or employee, of the General
Services Administration of any function transferred to such
Administrator by the provisions of this reorganization plan.
(b) When authorized by the Administrator of General Services, any
function transferred to him by the provisions of this reorganization
plan may be performed by the head of any agency of the executive branch
of the Government or, subject to the direction and control of any such
agency head, by such officers, employees, and organizational units under
the jurisdiction of such agency head as such agency head may designate:
Provided, That functions with respect to post-office buildings shall not
be delegated under the authority of this subsection to the head of any
agency other than the Postmaster General.
(c) The Administrator of General Services shall prescribe such
regulations as he deems desirable for the economical and effective
performance of the functions transferred by the provisions of this
reorganization plan.
05 USC Sec. 4. Transfer of Personnel, Property, Records, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
There shall be transferred from time to time, between the agencies
concerned and for use in connection with the functions transferred by
the provisions of this reorganization plan, so much of the personnel,
property, records, and unexpended balances (available or to be made
available) of appropriations, allocations, and other funds, relating to
such functions, as may be necessary for the performance of said
functions. Such further measures and dispositions as the Director of
the Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in this section shall be carried
out in such manner as the Director shall direct and by such agencies as
he shall designate.
05 USC Sec. 5. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
The provisions of this reorganization plan shall take effect on the
1st day of July, 1950.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 18 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 18 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. The
plan transfers to the Administrator of General Services the functions of
the various Federal agencies with respect to leasing and assigning
general-purpose space in buildings and the operation, maintenance, and
custody of office buildings. Since such authority is already largely
concentrated in the General Services Administration with respect to the
District of Columbia, the plan principally relates to the administration
of these functions in the field.
The transfers made by this plan will promote more economical leasing,
better utilization of building space, and more efficient operation of
Government-controlled office buildings. They will effectuate the
recommendations of the Commission on Organization of the Executive
Branch of the Government with respect to concentrating in the General
Services Administration the responsibility for space allotment and the
operation of Government buildings outside of the District of Columbia.
Likewise, they will extend the principles laid down by the Congress in
enacting the Federal Property and Administrative Services Act of 1949 to
another important area of Government-wide administrative services -- the
administration of Government office buildings and general-purpose
building space in the field.
Within the District of Columbia, one agency, the Public Buildings
Service of the General Services Administration, has long had the
operation and custody of most Government buildings and the leasing and
assignment of space for executive agencies. Thus, nearly all requests
for building space are handled by a single organization which is
responsible for seeing that agencies are properly and efficiently
housed. This arrangement has proved its worth and has repeatedly been
approved by the Congress.
Outside of the National Capital, however, responsibility for the
acquisition and control of building space and the operation of
Government buildings is widely diffused. A variety of agencies operate
and control general-purpose buildings. If quarters are not available in
Federal buildings, each agency ordinarily does its own leasing. As a
result, in some cases Federal agencies have contracted for space at high
rentals at the very time that other agencies have been giving up surplus
low-cost space.
The assignment of space in Government-owned buildings outside of
Washington is also divided among a number of agencies. While the Public
Buildings Service constructs a large part of the Government buildings,
it operates and controls the assignment of space in only a small
proportion of them. The Post Office Department operates and allocates
the space in post-office buildings, several hundred of which contain
substantial amounts of office space available for other agencies.
During and immediately after the war several other Federal agencies
acquired office buildings in the field. As their activities have
contracted, surplus space in many of these structures has become
available for other uses.
This plan concentrates in the General Services Administration the
responsibility for the leasing and assignment of what is termed
general-purpose building space; that is, space which is suitable for
the uses of a number of Federal agencies. It specifically excludes
space in buildings at military posts, arsenals, navy yards, and similar
defense installations and space in hospitals, laboratories, factories,
and other special-purpose buildings.
Also, the plan excludes the Post Office Department from the transfer
of leasing authority since the Department has a highly developed
organization for this purpose, and it limits the transfer of space
assignment authority in post-office buildings to the space not occupied
by the Department. Further, it gives the needs of the Post Office
Department priority in the assignment of space in post-office buildings.
Thus, the plan amply safeguards the interests of the Post Office
Department while making it possible to include the general office space
in post-office buildings in any given city with other similar space
under Federal control in planning and executing an efficient program for
housing Government agencies in that area.
In addition, the plan transfers to the General Services
Administration the operation, maintenance, and custody of office
buildings owned or leased by the Government, including those post-office
buildings which are not used predominantly for post-office purposes.
This will make it possible to establish a single organization for the
operation and maintenance of Government office buildings in principal
cities in the field as has proved desirable in the National Capital.
Since many post offices are in fact primarily large office buildings,
the plan includes in this transfer the post-office buildings which are
not used predominantly for post-office purposes. This will relieve the
Post Office Department of a considerable expenditure for building
operation and maintenance which properly should not be charged against
postal revenues.
While the plan effects a broad transfer of functions with respect to
leasing and assignment of space and the operation and maintenance of
office buildings, it specifically authorizes the Administrator of
General Services to delegate the performance of any part of these
functions to other agencies subject to such regulations as he deems
desirable for economical and effective administration. In this the plan
follows the pattern adopted by the Federal Property and Administrative
Services Act of 1949 for other branches of property management. In
large urban centers where numerous Federal units are located unified
administration of space activities by the General Services
Administration will normally be advantageous. On the other hand, in the
smaller communities it will no doubt be desirable to delegate the work
back to the agencies directly affected, to be carried on under standards
laid down by the Administrator of General Services. The plan provides
ample flexibility for working out the most effective administrative
arrangement for each type of situation.
The fundamental soundness and economy of centralized administration
of building space have been amply demonstrated in the National Capital.
By virtue of unified control it has been possible since the war to
accomplish far-reaching changes which have consolidated agencies in much
fewer locations, released many of the rented buildings, and greatly
reduced the cost of housing the Government establishment. Similar
procedures applied in the larger centers of field activity should
produce substantial savings.
After investigation, I have found, and hereby declare, that each
reorganization contained in this plan is necessary to accomplish one or
more of the purposes set forth in section 2(a) of the Reorganization Act
of 1949.
While it is not possible at this time to calculate the reduction in
expenditures which will result from this plan, it can safely be
predicted that it will produce substantial savings. I am confident that
this reorganization plan will constitute a significant improvement in
Federal business practice and will bring about an important increase in
efficiency in housing Government agencies.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 19 OF 1950
05 USC REORGANIZATION PLAN NO. 19 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 19 OF 1950
Reorg. Plan No. 19 of 1950, 15 F.R. 3178, 64 Stat. 1271, which
related to employee's compensation functions, was repealed by Pub. L.
89-554, 8(a), Sept. 6, 1966, 80 Stat. 662. See sections 8145 and 8149
of Title 5, Government Organization and Employees.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
05 USC REORGANIZATION PLAN NO. 20 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Functions Transferred From Department of State to
Administrator of General Services
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
There are hereby transferred to the Administrator of General Services
the functions of the Secretary of State and the Department of State with
respect to:
(a) The receipt and preservation of the original copies of bills,
orders, resolutions, and votes (R.S. 204, as amended) (1 U.S.C. 106a);
(b) The publication of acts and joint resolutions in slip form and
the compilation, editing, indexing, and publication of the United States
Statutes at Large, except such functions with respect to treaties and
other international agreements (1 U.S.C. 112; R.S. 204, as amended (1
U.S.C. 106a, 112; 44 U.S.C. 728); R.S. 210, as amended (22 U.S.C.
2660; 44 U.S.C. 710); R.S. 3805, as amended (44 U.S.C. 711); R.S.
3806, as amended (44 U.S.C. 712); Act of Jan. 12, 1895, 28 Stat. 609
and 615, as amended (44 U.S.C. 709-712, 728); Act of April 12, 1904, 33
Stat. 587 (44 U.S.C. 729));
(c) The certification and publication of amendments to the
Constitution of the United States (R.S. 205 (1 U.S.C. 106b)) and the
preservation of such amendments;
(d) Certificates of appointment of the electors of the President and
Vice President and certificates of the votes of such electors for
President and Vice President (3 U.S.C. 6, 11-13); and
(e) The collection, copying, arranging, editing, copy reading, and
indexing of the official papers of the Territories (Act of March 3,
1925, 43 Stat. 1104, as amended; Act of July 31, 1945, 59 Stat. 510 (4
U.S.C 141 et seq.)).
05 USC Sec. 2. Abolition of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
(a) The duty of the Secretary of State of procuring copies of all
statutes of the several States is hereby abolished, but this shall not
limit his authority to procure copies of such State statutes as may be
needed in the performance of his functions (R.S. 206) (22 U.S.C. 2659).
(b) The duty of the Secretary of State of publishing Executive
proclamations and treaties in a newspaper in the District of Columbia is
hereby abolished (Act of July 31, 1876, 19 Stat. 105, as amended, 44
U.S.C. 321 (44 U.S.C. 3701)).
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
The Administrator of General Services may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
any other officer, or by any agency or employee, of the General Services
Administration of any function transferred to such Administrator by the
provisions of this reorganization plan.
05 USC Sec. 4. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
There are hereby transferred to the General Services Administration,
to be used, employed, and expended in connection with the functions
transferred by the provisions of this reorganization plan, the records
and property now being used or held in connection with such functions,
the personnel employed in connection with such functions, and the
unexpended balances of appropriations, allocations, and other funds
available or to be made available for use in connection with such
functions. Such further measures and dispositions as the Director of
the Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in this section shall be carried
out in such manner as the Director shall direct and by such agencies as
he shall designate.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 20 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 20 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. This
plan transfers from the Secretary of State to the Administrator of
General Services a number of functions which have no connection with
foreign affairs but bear a close relation to the archival and records
functions of the General Services Administration.
Since its establishment in 1789 the Department of State has performed
certain routine secretarial and recordkeeping functions for the Federal
Government which are entirely extraneous to its basic mission with
respect to the conduct of foreign relations. While these activities do
not properly belong in the Department, they were assigned to it and
continued under its jurisdiction for want of an appropriate agency for
their performance. At present these functions consist of the
preservation and publication of laws, the preparation and publication of
the Statutes at Large, the certification and publication of
constitutional amendments, the receipt and preservation of certificates
of Presidential electors and of electoral votes, and the compilation and
publication of Territorial papers.
Through the National Archives and Records Service the General
Services Administration is especially staffed and equipped for the
conduct of activities of these types. It is the principal custodian of
the official records of the Government. Under the Federal Register Act
and the Administrative Procedure Act, it preserves and publishes in the
Federal Register the Executive orders, proclamations, and other
principal executive documents and it codifies and publishes the rules
and regulations promulgated by the various departments and agencies.
This work is generally similar in nature to, and much greater in volume
than, that performed by the Department of State with respect to
constitutional amendments, laws, and proclamations. Consequently, the
consolidation of these activities of the State Department with the
archival and records activities of the General Services Administration
should make for greater efficiency and economy. The plan, however, does
not transfer the custody and publication of treaties and international
agreements, since they are matters of special concern to the Department
of State and it is the agency most competent to edit such documents.
The handling of the certificates of Presidential electors and the
compilation and publication of Territorial papers also more
appropriately belong in the General Services Administration. The first
is largely a matter of record keeping and the second of archival
research. The preparation of the Territorial papers involves the
compilation and editing of official documents of the various Territories
formerly existing within the United States. The greater part of this
material is now in the National Archives and the work involved is
generally similar to that being performed by it with respect to other
groups of public records.
In addition, the plan abolishes two statutory duties of the Secretary
of State which have become obsolete. The first is the duty of procuring
copies of all State statutes as provided in the act of September 23,
1789 (R.S. 206). Inasmuch as the Library of Congress now has a complete
collection of the State laws, it is no longer necessary for the
Department of State to maintain a complete collection. The second is
the requirement, imposed by the act of July 31, 1876 (19 Stat. 105), as
amended, that the Secretary of State publish proclamations and treaties
in a newspaper in the District of Columbia. This is now unnecessary
since proclamations are published in the Federal Register and treaties
are made available currently in slip form in the Treaties and Other
International Acts Series.
After investigation I have found and hereby declare that each
reorganization included in this plan is necessary to accomplish one or
more of the purposes set forth in section 2(a) of the Reorganization Act
of 1949.
The transfers provided by this plan will relieve the State Department
of a number of functions that have no relation to its primary purpose
and place them in an agency especially designed for the performance of
such activities. Until these functions are incorporated in the
operations of the General Services Administration, it will not, of
course, be practicable to determine the economies attributable to their
transfer, but it is reasonable to expect modest yet worth-while savings
to be achieved.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
05 USC REORGANIZATION PLAN NO. 21 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
amended Reorg. Plan No. 7 of 1961, 305, eff. Aug.
12, 1961, 26 F.R. 7315, 75 Stat. 840; Oct. 21, 1970,
Pub. L. 91-469, 37, 84 Stat. 1036
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1950, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
Sections 101-106. (Superseded. Reorg. Plan No. 7 of 1961, 305, eff.
Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840. Section 101 established the
Federal Maritime Board. Section 102 provided for the composition of the
Federal Maritime Board. Section 103 transferred certain functions from
the Chairman of the United States Maritime Commission to the Chairman of
the Federal Maritime Board. Section 104 transferred regulatory functions
of the United States Maritime Commission to the Federal Maritime Board.
Section 105 transferred subsidy award and other functions of the United
States Maritime Commission to the Federal Maritime Board. Section 106
provided that the Board was to be an agency within the Department of
Commerce, but would be independent of the Secretary of Commerce with
respect to functions transferred to it under section 104.)
05 USC Sec. 201. Creation of Maritime Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
There is hereby established in the Department of Commerce a Maritime
Administration.
Sec. 202 (Superseded. Reorg. Plan No. 7 of 1961, 305, eff. Aug. 12,
1961, 26 F.R. 7315, 75 Stat. 840. Section provided for a Maritime
Administrator to be at the head of the Maritime Administration, and that
the Chairman of the Federal Maritime Board would be such Administrator
and would perform duties prescribed by the Secretary of Commerce.)
05 USC Sec. 203. Deputy Maritime Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
There shall be in the Maritime Administration a Deputy Maritime
Administrator, who shall be appointed by the Secretary of Commerce,
after consultation with the Administrator, under the classified civil
service, and who shall perform such duties as the Administrator shall
prescribe. The Deputy Maritime Administrator shall be Acting Maritime
Administrator during the absence or disability of the Administrator and,
unless the Secretary of Commerce shall designate another person, during
a vacancy in the office of Administrator: Provided, That such Deputy
Administrator shall at no time sit as a member or acting member of the
Federal Maritime Board.
05 USC Sec. 204. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
Except as otherwise provided in part I of this reorganization plan,
all functions of the United States Maritime Commission and of the
Chairman of said Commission are hereby transferred to the Secretary of
Commerce. The Secretary of Commerce may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
the Maritime Administrator of any function transferred to such Secretary
by the provisions of this reorganization plan.
05 USC Sec. 301. Under Secretary of Commerce for Transportation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
There shall be in the Department of Commerce an additional office of
Under Secretary with the title ''Under Secretary of Commerce for
Transportation.'' The Under Secretary of Commerce for Transportation
shall be appointed by the President, by and with the advice and consent
of the Senate, shall receive compensation at the rate prescribed by law
for Under Secretaries of Executive departments, and shall perform such
duties as the Secretary of Commerce shall prescribe.
Secs. 302-307. (Superseded. Reorg. Plan No. 7 of 1961, 305, eff.
Aug. 12, 1961, 26 F.R. 7315, 75 Stat. 840. Section 302 provided that
person who was both Administrator and Chairman was to make joint use of
the personnel under his supervision. Section 303 made conflict of
interest provisions of the Merchant Marine Act, 1936, applicable to
members of the Federal Maritime Board and officers and employees of the
Board or of the Maritime Administration. Section 304 allowed the
President to make interim appointments to the Federal Maritime Board
from officers of the Executive Branch. Section 305 transferred to the
Department of Commerce all property, personnel, records, and funds of
the United States Maritime Commission. Section 306 abolished the United
States Maritime Commission. Section 307 provided that the functions
transferred by this reorganization plan would not be subject to Reorg.
Plan No. 5 of 1950.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 21 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 21 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. This
plan effects a basic reorganization of the functions of the United
States Maritime Commission along the lines recommended by the Commission
on Organization of the Executive Branch of the Government.
Within the last 3 years three different bodies have studied the
administration of the Maritime Commission. All have concluded that the
operating deficiencies of the agency arise from inappropriate and
unsound organization and that a fundamental reorganization is essential.
The first of these bodies, the President's Advisory Committee on the
Merchant Marine, in 1947, stated:
It appears to the Committee that the organization structure of the
Maritime Commission as set up in the Merchant Marine Act of 1936 is
wholly inadequate for the efficient conduct of the multitude of diverse
activities for which the Maritime Commission is now responsible. The
deficiencies of the statutory organization for administrative action are
regarded by the Committee to be the most serious obstacle standing in
the way of the development of the Merchant Marine of this country.
Similarly, the survey of the Maritime Commission in 1948 for the
Senate Committee on Expenditures in the Executive Departments concluded
that --
The fundamental weakness of the Maritime Commission, as it is now
constituted, lies in its proscribed organization.
On the basis of investigations of the Maritime Commission by two of
its task forces, the Commission on Organization of the Executive Branch
stated:
It is an anomaly that a regulatory commission should also conduct the
executive function of managing a huge business; that executive
functions should be carried on by an agency that is not subject to
Presidential directions; that executive functions should be carried on
by a full-time board * * *.
While the recommendations of the various studies differ in some
details, they agree on principles and on the main features of
reorganization.
Basically, the administrative difficulties of the Maritime Commission
have arisen, as all these studies agree, from the fact that the
Commission is responsible for performing two fundamentally different
types of functions which call for different types of organization.
These two classes of functions are (a) regulatory and (b) operating and
promotional. Under various acts the Commission regulates rates and
services of water carriers; passes on agreements among carriers; and
protects shippers against unfair and discriminatory practices. This
type of activity requires the deliberation and independence of judgment
which a board or commission is especially well designed to provide. But
at the same time the Commission is charged with the conduct of a variety
of large and costly promotional and business-type programs demanding the
prompt and vigorous administration for which experience both in
Government and in private enterprise has demonstrated that a single
executive is essential.
The Maritime Commission has charge of the construction of merchant
vessels for subsidized operators and for Government account. It owns
and maintains the largest merchant fleet in the world, consisting of
2,200 vessels aggregating more than 22,000,000 dead-weight tons. It
charters and sells ships and, in time of war or national emergency,
requisitions and operates vessels for the Government. It grants
construction and operating differential subsidies to private shipping
companies to maintain an active privately operated American merchant
marine. It makes loans and insures mortgages to assist carriers in
acquiring new vessels, and it conducts programs for training officers
and seamen for the merchant marine. For the present fiscal year the
performance of these functions will involve the expenditure of
approximately $162,000,000 and the direction of an organization of 5,500
employees. In short, the administration of the Maritime Commission is a
vast business undertaking. Moreover, the work of the Commission affects
significantly the interests of both business and labor in the
maintenance of a sound maritime industry.
Further than this, many of the activities of the Maritime Commission
are closely related to other programs of the Government and have to be
coordinated with them. In the construction of a subsidized ship the
Commission must cooperate with the Coast Guard on those features of
design, materials, and equipment which affect the safety of the vessel
and with the Navy on those which especially affect the use of the ship
for national defense. Furthermore, the whole program of subsidized ship
construction needs to be adjusted to the plans and requirements for
national defense. At the same time the Commission's programs for the
development of the merchant marine must be coordinated with our foreign
policy and with Federal programs with respect to other branches of
transportation.
While an independent commission is an appropriate instrument for the
performance of the regulatory functions of the Maritime Commission, such
an agency obviously is not the type required to provide strong and
efficient administration of the large operating programs now entrusted
to the Commission or to obtain the needed coordination with other
activities of the executive branch. This fact is amply demonstrated by
the administrative difficulties and the complicated problems of
coordination encountered in the operation of the Commission since the
war and by the necessity of transferring a large part of its functions
to the War Shipping Administration, headed by a single executive, during
the war.
Briefly, this reorganization plan provides for a small Federal
Maritime Board and a Maritime Administration in the Department of
Commerce to perform the functions of the Maritime Commission, and
abolishes the existing Commission. It transfers to the Board the
regulatory functions of the Commission and definitely guarantees the
independence of the Board in the performance of these functions. In
addition, it vests directly in the Board the determination and award of
construction and operating differential subsidies. In the performance
of its subsidy functions the Board will be subject to general policy
guidance by the Secretary of Commerce. The Board, however, and it
alone, will determine to whom subsidies shall be granted and will make
and award the subsidy contracts. Its actions therein will be conclusive
and will not be subject to modification by any other agency or officer
of the Department of Commerce. The other functions of the Maritime
Commission, including carrying out the subsidy agreements made by the
Board and administering the various operating programs, are transferred
to the Secretary of Commerce for administration through the Maritime
Administration. Thus, the plan provides for each of the two types of
functions now vested in the Maritime Commission the type of organization
best suited to its performance. At the same time, the plan will
facilitate coordination of maritime policies and programs with other
related policies and programs.
The division of functions under this plan conforms directly to the
recommendations of the Commission on Organization of the Executive
Branch of the Government. While the award of subsidies is a promotional
rather than a regulatory function and might logically be assigned to the
Maritime Administration instead of the Board, its impact on the shipping
industry and on individual carriers is such as to make desirable the
deliberation and combined judgment of a board. Accordingly, I have
adhered to the recommendation of the Commission on Organization that
this function be vested in a multiple body rather than a single
official. Likewise, in line with the recommendations of the Commission,
the plan assigns the determination of the over-all route pattern to the
Secretary of Commerce.
The Maritime Board will consist of three members appointed by the
President with the consent of the Senate for overlapping terms of 4
years. Not more than two of the members can be of the same political
party. The Board, therefore, will be a smaller and more wieldy body
which can function with greater expedition and efficiency than the
existing five-member Commission. The Chairman will be designated by the
President from the members of the Board and will be, ex officio, the
Maritime Administrator and as such the head of the Maritime
Administration. The plan also provides for a Deputy Maritime
Administrator appointed by the Secretary of Commerce under the
classified civil service. After investigation I have found, and hereby
declare, that by reason of the reorganizations made by this plan, it is
necessary to include in the plan provisions for the appointment and
compensation of the members of the Federal Maritime Board and for the
appointment of the Deputy Maritime Administrator.
In making the Chairman of the Federal Maritime Board the Maritime
Administrator, the plan adopts an arrangement substantially similar to
that which prevailed during the war, when the same individual served as
Chairman of the Maritime Commission and head of the War Shipping
Administration. This arrangement will have important advantages. It
will facilitate cooperation between the Board and the Administration on
matters of concern to both. Also, it will avoid dividing the personnel
of the Maritime Commission, since the Chairman of the Board will
supervise the personnel assisting it in the performance of its
functions, as is now the case in the Maritime Commission, and in his
capacity as Administrator he will have charge of the personnel carrying
on the work of the Maritime Administration. The plan provides for the
joint operation of the officers and employees under the Administrator
and Chairman as a single body of personnel. The maintenance of a
unified staff is essential for efficient and economical administration
because many of the technical and professional personnel, such as ship
designers and attorneys, now assist the Maritime Commission on problems
of subsidy determination and also participate in the subsequent
administration of subsidy agreements and in performing nonsubsidy
functions.
The inclusion of the new Board in the Department of Commerce will
permit the use of the administrative services of the Department. More
important, it will eliminate the necessity of splitting the personnel of
the Maritime Commission between the Department and an outside agency.
In addition, it will relieve the President of having to handle relations
with a separate maritime agency.
In establishing the Department of Commerce the Congress provided in
the organic act of the Department that --
It shall be the province and duty of said Department to foster,
promote, and develop the foreign and domestic commerce,* * * shipping,*
* * and the transportation facilities of the United States.
Over the years, however, transportation functions have become widely
scattered throughout the executive branch. As a result, intelligent
planning and budgeting of Federal transportation activities and the
necessary coordination of transportation programs have become extremely
difficult or impossible. The transfer of the functions of the Maritime
Commission to the Department of Commerce will constitute a major step in
correcting this condition.
Without question the Department of Commerce is now the appropriate
center for transportation programs. It contains the Civil Aeronautics
Administration -- the major operating and promotional agency of the
Government in the field of air transportation -- and the Weather Bureau,
and the Coast and Geodetic Survey, which provide vital services to
transportation. As a result of Reorganization Plan No. 7 of 1949, it
now also includes the Bureau of Public Roads, the leading promotional
agency dealing with land transportation. Also, it has the Inland
Waterways Corporation in the field of water transportation. The
transfer of the functions of the Maritime Commission will bring into the
Department the principal water-transportation agency of the Government.
These actions will go a long way toward the establishment of a sound and
effective organization for the operating and promotional programs of the
Government relating to transportation.
It is my purpose to look to the Secretary of Commerce for leadership
with respect to transportation problems and for the development of
over-all transportation policy within the executive branch. Because of
the magnitude and importance of the transportation functions transferred
to the Department of Commerce by this reorganization plan, I have found
and hereby declare that it is necessary to strengthen the top
administrative structure of the Department by providing for the
appointment and compensation of a new Under Secretary of Commerce for
Transportation. This will make available an officer of the highest rank
to assist the Secretary in supervising the varied and complex
transportation programs of the Department and providing central
leadership in transportation matters. With the many responsibilities of
the Secretary of Commerce in other areas, the creation of this office is
essential to enable him properly to fulfill his obligations with respect
to transportation.
After careful investigation I have found and I hereby declare that
each of the reorganizations contained in this reorganization plan is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949. The rates of compensation fixed
by the provisions of the reorganization plan for the Under Secretary of
Commerce for Transportation, the Chairman, and the other two members of
the Federal Maritime Board are, respectively, those which I have found
to prevail in respect of comparable officers in the executive branch of
the Government.
In summary, the reorganizations provided by this plan will have the
following principal advantages: They will provide an efficient
organization headed by a single responsible official to administer the
large operating and business-type programs of the Maritime Commission.
At the same time, they will preserve the benefits of a bipartisan board
for the performance of the regulatory functions of the Commission and
the determination of subsidies. They will reduce the number of agencies
reporting directly to the President and simplify the over-all management
of the executive branch. In doing so, they will provide more adequate
machinery for supervising the administration of the maritime programs
and will facilitate their coordination with related policies and
programs of the executive branch. Finally, they will accomplish a major
advance in the development of an effective organization of Federal
transportation programs in accord with the recommendations of the
Commission on Organization of the Executive Branch of the Government.
While it is impossible to estimate in advance the savings which will be
brought about by this plan, the improvements in administrative
efficiency resulting from it should produce substantial reductions in
expenditures for the programs transferred by the plan.
Harry S. Truman.
The White House, March 13, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
05 USC REORGANIZATION PLAN NO. 22 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 9, 1950, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Association and Its Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
The Federal National Mortgage Association, together with its
functions, is hereby transferred from the Reconstruction Finance
Corporation to the Housing and Home Finance Agency and shall be
administered subject to the direction and control of the Housing and
Home Finance Administrator.
05 USC Sec. 2. Transfers to the Housing Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
There are hereby transferred from the Reconstruction Finance
Corporation to the Housing and Home Finance Administrator --
(1) the notes of the Federal National Mortgage Association payable to
the Reconstruction Finance Corporation;
(2) the capital stock of the Federal National Mortgage Association;
(3) the function of the Reconstruction Finance Corporation of making
payments on its notes issued to the Secretary of the Treasury in an
amount equal to (a) the unpaid principal of, and accrued interest on,
the notes of the Federal National Mortgage Association transferred under
(1) above, (b) any funds of the Reconstruction Finance Corporation
transferred under the provisions of section 5 hereof, (c) the book value
of any office furniture and equipment of the Reconstruction Finance
Corporation transferred under the provisions of section 5 hereof, and
(d) the par value of the capital stock of the Federal National Mortgage
Association plus the amount of its surplus paid in by the Reconstruction
Finance Corporation;
(4) the function of issuing notes or other obligations to the
Secretary of the Treasury, which may be purchased by the Secretary,
under section 7 of the Reconstruction Finance Corporation Act, as
amended (15 U.S.C. 606), in an amount not in excess of that necessary to
finance at any one time the outstanding balances of the investments,
loans, and purchases held by the Federal National Mortgage Association,
taking into consideration other balance-sheet items;
(5) except as otherwise provided in this reorganization plan, all
other functions of the Reconstruction Finance Corporation (including
functions of the Board of Directors of such Corporation and functions of
the Chairman of the Board of Directors of such Corporation) with respect
to the Federal National Mortgage Association; and
(6) all functions of the Federal Housing Commissioner with respect to
the Federal National Mortgage Association.
05 USC Sec. 3. Board of Directors and Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
Functions with respect to serving, including eligibility to serve, as
members of the Board of Directors of the Federal National Mortgage
Association and as officers of such Association are hereby transferred
from the members of the Board of Directors of, and from the officers and
employees of, the Reconstruction Finance Corporation to the officers and
employees of the Housing and Home Finance Agency (including those of the
constituent agencies of the Housing and Home Finance Agency).
05 USC Sec. 4. Performance of Functions of Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
The Housing and Home Finance Administrator may from time to time make
such provisions as he shall deem appropriate authorizing the performance
by any other officer, or by any agency or employee, of the Housing and
Home Finance Agency of any function transferred to such Administrator by
the provisions of this reorganization plan.
05 USC Sec. 5. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
There are hereby transferred with the functions transferred by this
reorganization plan, respectively, all of the assets, liabilities,
contracts, property, records, and unexpended balances of authorizations,
allocations and other funds, available or to be made available, of the
Federal National Mortgage Association, and so much of the assets,
liabilities, contracts, property, records, personnel, and unexpended
balances of authorizations, allocations, and other funds, available or
to be made available, of the Reconstruction Finance Corporation and
relating to functions transferred by the provisions of this
reorganization plan, as the Director of the Bureau of the Budget shall
determine to be necessary for the administration of such functions,
excluding, however, (1) the members of the Board of Directors of the
Federal National Mortgage Association in office immediately prior to the
taking effect of the provisions of this reorganization plan, and (2) the
officers of the Association then in office. Such further measures and
dispositions as the Director of the Bureau of the Budget shall determine
to be necessary in order to effectuate the transfers provided for in
this section shall be carried out in such manner as the Director shall
direct and by such agencies as he shall designate.
05 USC Sec. 6. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
The provisions of this reorganization plan shall take effect 60 days
after they would take effect under section 6(a) of the Reorganization
Act of 1949 in the absence of this section.
(Housing and Home Finance Agency lapsed and functions were
transferred to Secretary of Housing and Urban Development, see section
9(c) of Pub. L. 89-174, Sept. 9, 1965, 79 Stat. 670, set out as a note
under 42 U.S.C. 3531.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 22 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 22 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. The
plan improves the grouping of Government programs according to their
major purposes by transferring the Federal National Mortgage Association
from the Reconstruction Finance Corporation to the Housing and Home
Finance Agency. This reorganization carries out the specific
recommendation of the Commission on Organization of the Executive Branch
of the Government that ''The Federal National Mortgage Association be
placed under the Administrator of the Housing and Home Finance Agency.''
At present, the Federal National Mortgage Association, a wholly owned
Government corporation, is a subsidiary of the Reconstruction Finance
Corporation. Its purpose is to provide a secondary market for home
mortgages insured or guaranteed by other Government agencies through the
purchase, service, and sale of such mortgages. In addition, it is
authorized to make direct loans for housing in Alaska. As of the end of
March 1950 its total holdings were approximately a billion dollars and
its outstanding commitments to purchase were more than $1,400,000,000 in
addition. Such a volume of activity has an obvious impact on the
Government's entire housing program.
The Congress has long recognized that the function of such a
secondary mortgage market is closely related to the entire housing
program. The Federal National Mortgage Association originally was
chartered by the head of the Federal Housing Administration as
authorized by title III of the National Housing Act. In rechartering
the Federal National Mortgage Association 2 years ago the Congress
recognized the relationship between it and the operations of the Housing
and Home Finance Agency by providing that the Federal Housing
Commissioner alone would have authority to determine whether and when
the Federal National Mortgage Association should be terminated. This
act also required submission of semiannual reports to the Federal
Housing Commissioner and for the transmittal by him of these reports to
the Congress together with his recommendations thereon.
Nearly 3 years ago the Congress approved the establishment of the
Housing and Home Finance Agency under an Administrator who could be held
responsible by the President and the Congress for the general
coordination and supervision of Federal housing programs placed in the
Housing Agency at that time. The Federal National Mortgage Association
was not then made a part of the Housing Agency because the provisions of
section 5(e) of the reorganization act then in effect precluded
submission of plans involving agencies whose organizational status had
been changed by the Congress subsequent to January 1, 1945. The act of
February 24, 1945, transferred the Federal Loan Agency, which included
the Federal National Mortgage Association, from the Department of
Commerce. Moreover, the holdings of the Federal National Mortgage
Association amounted to only $7,500,000. This small volume of operation
presented few immediate problems of coordination with other aspects of
the entire housing program. However, the basic relationship of the
Federal National Mortgage Association to the housing program was
recognized by making the chairman of the Reconstruction Finance
Corporation, or his designee, a member of the National Housing Council.
The present high volume of activity by the Federal National Mortgage
Association has radically altered the situation which existed in 1947
and has made it essential that these market operations be geared more
closely into the Government's housing program. The manner in which
these market operations are administered has a direct effect on the kind
of mortgages written and the availability and cost of mortgage credit.
The secondary market must be administered, therefore, at all times in
full consistency with other programs affecting housing credit.
The Government seeks to accomplish the objectives of its housing
program through the use of several methods. The purchase and sale of
home mortgages in the secondary market by the Federal National Mortgage
Association is merely one of such methods. Others include the insurance
of home mortgages and improvement loans, insurance of shares of savings
and loan associations, and loans and grants to local public agencies for
the purpose of financing low-rent housing projects and slum clearance.
All of these methods are means whereby the objectives of the housing
program are achieved and should be the responsibility of the agency
charged with that program.
The transfer of the Federal National Mortgage Association will not
prevent the Reconstruction Finance Corporation from making loans to
business enterprises on the security of real estate, or from accepting
mortgages as collateral in connection with a business loan. This type
of activity is consistent with normal business lending functions.
The transfer of the Federal National Mortgage Association to the
Housing and Home Finance Agency will assure the necessary coordination
of its operations with other housing programs, thus providing a sounder
basis for future progress toward a better-housed America. It is not
probable that the reorganization in this plan will immediately result in
reduced expenses, but in view of the relationship to other programs of
housing aids, a more consistent approach in carrying out such policies
will be possible and should result in long-term economies.
After investigation I have found, and I hereby declare, that each
reorganization included in Reorganization Plan No. 22 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
In view of the direct relation of the Federal National Mortgage
Association to other housing finance programs, which was initially
recognized by the Congress and only last year reiterated by the
Commission on Organization of the Executive Branch of the Government, I
recommend that the Congress grant its approval to the transfer provided
in this reorganization plan.
Harry S. Truman.
The White House, May 9, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
05 USC REORGANIZATION PLAN NO. 23 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 9, 1950, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
There are hereby transferred to the Housing and Home Finance
Administrator, hereinafter referred to as the Administrator --
(1) all functions of the Reconstruction Finance Corporation,
hereinafter referred to as the ''Corporation,'' under section 102 of the
Housing Act of 1948, as amended (12 U.S.C. 1701g);
(2) all other functions of the Corporation, under the Reconstruction
Finance Corporation Act, as amended (15 U.S.C. 601 et seq.); or any
other law, with respect to financing predominantly for the production,
manufacture, distribution, sale, purchase, or erection of prefabricated
houses, sections, or panels or site improvements therefor;
(3) the function of the Corporation of making payments on its notes
issued to the Secretary of the Treasury in an amount equal to the funds
and the unpaid principal of, and accrued interest on, the loans and
obligations payable to the Corporation which are transferred under the
provisions of this reorganization plan; and
(4) so much of any other function of the Corporation as is incidental
to or necessary for the performance of the functions referred to in
items (1) and (2), above, including the issuance of obligations to the
Secretary of the Treasury, which may be purchased by the Secretary,
under section 7 of the Reconstruction Finance Corporation Act, as
amended (15 U.S.C. 606): Provided, That the amount of such obligations
issued by the Administrator and outstanding at any one time shall not
exceed the sum of (a) the funds and the unpaid principal of, and accrued
interest on, the loans and obligations transferred under this
reorganization plan and (b) the unexpended balances of authorizations
and allocations transferred hereunder, less the amount of any funds
transferred hereunder for such unexpended balances from which sum shall
be deducted the outstanding amount of any notes with respect to which
the function of making payments is transferred under (3) above.
05 USC Sec. 2. Transfer of Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
There are hereby transferred to the Housing and Home Finance Agency
(1) the assets, contracts, loans, liabilities, commitments, property,
and records, of the Corporation relating to the functions transferred by
this reorganization plan, (2) such of the personnel of the Corporation
relating to said functions as the Director of the Bureau of the Budget
shall determine, and (3) so much of the unexpended balances of
authorizations, allocations, and funds, available or to be made
available, of the Corporation relating to such functions (including
authorizations and allocations for administrative expenses) as the
Director of the Bureau of the Budget shall determine. Such further
measures and dispositions as the Director of the Bureau of the Budget
shall determine to be necessary in order to effectuate the transfers
provided for in this section shall be carried out in such manner as the
Director shall direct and by such agencies as he shall designate.
05 USC Sec. 3. Performance of Functions of Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
The Administrator may from time to time make such provisions as he
shall deem appropriate authorizing the performance by any other officer,
or by any agency or employee, of the Housing and Home Finance Agency of
any function transferred to the Administrator by the provisions of this
reorganization plan.
05 USC Sec. 4. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
The provisions of this reorganization plan shall take effect sixty
days after they would take effect under section 6(a) of the
Reorganization Act of 1949 in the absence of this section.
(Housing and Home Finance Agency lapsed and functions were
transferred to Secretary of Housing and Urban Development, see section
9(c) of Pub. L. 89-174, Sept. 9, 1965, 79 Stat. 670, set out as a note
under 42 U.S.C. 3531.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 23 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 23 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. The
plan further promotes the grouping of Government programs according to
their major purposes by transferring from the Reconstruction Finance
Corporation to the Housing and Home Finance Agency the lending functions
of the Government with respect to the production and distribution of
prefabricated houses and components. This reorganization would be
consistent with the objective set by the Commission on Organization of
the Executive Branch of the Government which recommended that ''all
housing activities be placed in one agency under a single
administrator.''
Under its general powers pursuant to the Reconstruction Finance
Corporation Act, and pursuant to the Veterans' Emergency Housing Act of
1946, the Reconstruction Finance Corporation has made a number of loans
to finance the production, distribution, and marketing of prefabricated
houses and components. In addition, under section 102 of the Housing
Act of 1948, the Reconstruction Finance Corporation is specifically
authorized to make loans, not exceeding $50,000,000 outstanding at any
one time, to finance the production of such housing. The greater
portion of the loans so authorized have been made and are now
outstanding.
The development of an efficient prefabricated housing industry is an
essential part of the total housing program. It, therefore, requires
integration with the major housing activities of the Federal Government.
Moreover, the functions to be transferred from the Reconstruction
Finance Corporation are complementary to other activities of the Housing
and Home Finance Agency in the field of manufactured housing. The
Agency has under way considerable research on this type of housing
construction. Under the National Housing Act, the Federal Housing
Administration, a constituent agency, insures loans for the manufacture
of such housing as well as mortgages on such houses when erected and
sold. Thus, the successful operation of the program of loans for the
manufacture of prefabricated houses depends, to a large extent, on the
ready availability of mortgage insurance by the Federal Housing
Administration as the primary means of assuring permanent financing for
their sale.
The Federal Housing Administration also insures mortgages on rental
housing developments to serve military installations under title VIII of
the National Housing Act, as amended, the so-called Military Housing
Act. The Congress recently has recognized the place of prefabricated
houses in this program by amending the law to make it clear that the
Department of Defense should use prefabricated housing which conforms to
standards established by the Federal Housing Administration wherever it
is feasible to do so. The development of a strong, expansible
prefabricated housing industry also is essential for rapidly meeting any
emergency housing needs of the country. The Housing and Home Finance
Agency, in cooperation with the National Security Resources Board,
should be in a position to encourage peacetime uses of prefabricated
housing readily adaptable to potential emergency requirements of the
future.
The transfer by this reorganization plan of the functions, loans, and
unused authorizations of the Reconstruction Finance Corporation with
respect to prefabricated housing will place most of the Government
functions concerning such housing in the Housing and Home Finance
Agency. This will make possible greater consistency between
governmental assistance available for the production or manufacture of
prefabricated houses with governmental assistance available for the
distribution, erection, and marketing of such housing. It will also
assure coordination and integration of the prefabricated housing
functions with other programs within the Housing and Home Finance Agency
and thus materially assist in carrying out the national housing policy.
This reorganization may not result in substantial immediate savings,
although benefits should be achieved through improved operations which
will result in economies over a period of time. An itemization of these
economies in advance of actual experience is not practicable.
After investigation I have found, and I hereby declare, that each
reorganization contained in Reorganization Plan No. 23 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
Harry S. Truman.
The White House, May 9, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 24 OF 1950
05 USC REORGANIZATION PLAN NO. 24 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 24 OF 1950
Reorganization Plan No. 24 of 1950, which proposed transfer of the
Reconstruction Finance Corporation to the Department of Commerce, was
submitted to Congress on May 9, 1950, and was disapproved by the Senate
on July 6, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
05 USC REORGANIZATION PLAN NO. 25 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 9, 1950, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Functions of Chairman and of Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
The functions of the National Security Resources Board are hereby
transferred to the Chairman of the National Security Resources Board,
and the Board shall hereafter advise and consult with the Chairman with
respect to such matters within his jurisdiction as he may request.
05 USC Sec. 2. Vice Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
There is hereby established the office of Vice Chairman of the
National Security Resources Board. Such Vice Chairman shall (1) be an
additional member of the National Security Resources Board, (2) be
appointed from civilian life by the President, by and with the advice
and consent of the Senate, (3) receive compensation at the rate of
$16,000 per annum, and (4) perform such of the duties of the Chairman as
the Chairman shall designate.
05 USC Sec. 3. Performance of Functions of Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
The Chairman may from time to time make such provisions as he shall
deem appropriate authorizing the performance by any other officer, or by
any agency or employee, of the National Security Resources Board of any
function of the Chairman.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 25 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 25 of 1950, prepared in
accordance with the provisions of the Reorganization Act of 1949. The
plan transfers the function of the National Security Resources Board
from the Board to the Chairman of the Board and makes the Board advisory
to the Chairman. The plan also provides for a Vice Chairman, appointed
by the President and confirmed by the Senate.
The function assigned to the National Security Resources Board by the
National Security Act of 1947 is ''to advise the President concerning
the coordination of military, industrial and civilian mobilization.''
Proper performance of this function requires action by the Board and its
staff in two broad areas:
(1) The conduct of advance mobilization planning which identifies the
problems which will arise and the measures necessary to meet these
problems if and when the Nation moves from a peacetime into a wartime
situation.
(2) The formulation of current policies and programs which will help
the Nation achieve an adequate state of readiness against the
eventuality of a future war.
The role assigned the National Security Resources Board is clearly
one of staff assistance to the President. The Congress recently
recognized this fact in its approval of Reorganization Plan No. 4 of
1949 which, pursuant to the specific recommendation of the Hoover
Commission, placed the National Security Resources Board in the
Executive Office of the President.
The accompanying reorganization plan is designed to make the National
Security Resources Board a more effective instrument. Successful
performance of the Board's mission requires a wide range of detailed
study and analysis to cover all the major aspects of national
mobilization. A committee of department heads or departmental
representatives encounters some natural difficulties in providing
supervision and leadership in such an extensive and detailed activity.
The Chairman has the difficult task of exercising discretion as to which
matters shall be submitted for Board approval. The departmental members
of the Board cannot possibly supervise or approve the Board's extensive
and detailed activities and yet, as Board members, must accept ultimate
responsibility for all such activities. Likewise, the departmental
members are encumbered by the difficulty of having to reach collective
and speedy decisions on a great many matters for which they, as Board
members, are responsible.
By vesting the functions of the Board in the Chairman, the
difficulties of Board operation will be overcome. At the same time, the
reorganization plan provides for the continued participation of the
several departments and agencies in the task of mobilization planning.
This is not only a matter of established policy but also a requirement
of the National Security Act. The departments will continue to have
representation on the Board. The Board, in an advisory relationship to
the Chairman, will be a useful arrangement for obtaining the necessary
participation of departments in mobilization planning and for
coordination of their activity. It will enable the departments to keep
abreast of the total range of security resources planning. Without
reliance on the departments for the execution of much of the actual job
of mobilization planning, coordination with the total range of
governmental policies and objectives would be lost.
The Congress in passing the National Security Act Amendments of 1949
recognized the difficulty which exists when functions of staff advice
and assistance are placed in a board-type agency. The National Security
Act Amendments of 1949, in clarifying the role of the Chairman of the
Munitions Board and the Research and Development Board, strengthened and
increased the effectiveness of these staff agencies of the Secretary of
Defense by providing for the exclusive exercise of responsibilities by
the Chairman. This plan achieves the same objective for the National
Security Resources Board.
The accompanying reorganization plan provides for a Vice Chairman
appointed by the President and confirmed by the Senate. The tremendous
responsibilities of the National Security Resources Board and the heavy
workload on the Chairman fully warrant this. Providing the Chairman
with a principal associate for the exercise of his responsibilities is
consistent with the usual practice in other agencies of the executive
branch.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 25 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of a Vice
Chairman of the National Security Resources Board. The rate of
compensation fixed for this officer is that which I have found to
prevail in respect of comparable officers in the executive branch of the
Government.
The taking effect of the reorganizations included in Reorganization
Plan No. 25 may not in itself result in substantial immediate savings.
However, the important objective is maximum effectiveness in security
resources planning.
The security of this Nation requires that these steps be taken to
enable security resources planning to move forward more effectively. It
is for that reason that Reorganization Plan No. 25 is today submitted
to the Congress. It is for that reason, and that reason alone, that I
strongly urge congressional acceptance of Reorganization Plan No. 25.
Harry S. Truman.
The White House, May 9, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
05 USC REORGANIZATION PLAN NO. 26 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
amended May 18, 1972, Pub. L. 92-302, 1(d), 86 Stat.
149; Sept. 13, 1982, Pub. L.
97-258, 5(b), 96
Stat. 1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 31, 1950, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section transferred to the Secretary of the Treasury all functions
of all other officers of the Department and all functions of all
agencies and employees of the Department, excluded from transfer
functions vested by the Administrative Procedure Act in hearing
examiners and functions vested by law in the Comptroller of the
Currency, and provided that the Coast Guard would operate as part of the
Navy in time of war or when directed by the President. See 31 U.S.C. 321
and 49 U.S.C. 108.)
05 USC Sec. 2. Performance of Functions of Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section authorized the Secretary of the Treasury to delegate
functions vested in him to any agency, officer, or employee of the
Department. See 31 U.S.C. 321.)
05 USC Sec. 3. Administrative Assistant Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
(Repealed. Pub. L. 92-302, 1(d), May 18, 1972, 86 Stat. 149.
Section provided for an Administrative Assistant Secretary of the
Treasury, his duties and compensation. See 31 U.S.C. 301.)
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section authorized the Secretary of the Treasury to effect
transfers within the Department of records, property, personnel, and
unexpended balances etc., necessary to carry out this reorganization
plan. See 31 U.S.C. 321.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 26 of 1950, prepared in
accordance with the Reorganization Act of 1949 and effecting
reorganizations in the Department of the Treasury. The reorganizations
included in this plan are identical with those contained in
Reorganization Plan No. 1 of 1950, except that the functions of the
Comptroller of the Currency are unaffected by Reorganization Plan No.
26 of 1950.
In transmitting Reorganization Plan No. 1 of 1950 on March 13, I
stated that the reorganizations contained therein were essential to
clarification of the lines of authority and responsibility in the
executive branch. I further emphasized that those reorganizations would
put into effect in the Department of the Treasury the principal
remaining recommendations of the Commission on Organization of the
Executive Branch of the Government affecting the location of management
responsibility. I urged the Congress to add its approval to my
acceptance of these recommendations of the Commission on Organization.
On May 11 the Senate disapproved Reorganization Plan No. 1 of 1950.
The reason for the disapproval was the inclusion of the functions of the
Comptroller of the Currency among the responsibilities proposed to be
transferred to the Secretary of the Treasury. Accordingly, in order to
meet the objection which led to such disapproval and to preserve the
major benefits of the disapproved plan, Reorganization Plan No. 26 of
1950 is transmitted herewith.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 26 of 1950 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of an
Administrative Assistant Secretary of the Treasury. The rate of
compensation fixed for this officer is that which I have found to
prevail in respect of comparable officers in the executive branch of the
Government.
The taking effect of the reorganizations included in this plan may
not in itself result in substantial immediate savings. However, many
benefits in improved operations are probable during the next years which
will result in a reduction in expenditures as compared with those that
would be otherwise necessary. An itemization of these reductions in
advance of actual experience under this plan is not practicable.
Harry S. Truman.
The White House, May 31, 1950.
05 USC Applicability of 1950 Reorg. Plan No. 26 to Revenue Act of 1951
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 26 OF 1950
Section 616 of the Revenue Act of 1951 act, Oct. 20, 1951, ch. 521,
title VI, 65 Stat. 569, provided that the provisions of 1950 Reorg.
Plan No. 26 should be applicable to all functions vested by such act in
any officer, employee, or agency of the Department of the Treasury.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 27 OF 1950
05 USC REORGANIZATION PLAN NO. 27 OF 1950
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 27 OF 1950
Reorganization Plan No. 27 of 1950, which proposed establishment of
a Department of Health, Education, and Security, was submitted to
Congress on May 31, 1950, and was disapproved by the House of
Representatives on July 10, 1950.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
05 USC REORGANIZATION PLAN NO. 1 OF 1951
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, February 19, 1951, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Administrator of the Corporation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
There is hereby established the office of Administrator of the
Reconstruction Finance Corporation, hereinafter referred to as the
Administrator. The Administrator shall be appointed by the President by
and with the advice and consent of the Senate and shall receive
compensation at the rate of $17,500 per annum.
05 USC Sec. 2. Deputy Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
There is hereby established the office of Deputy Administrator of the
Reconstruction Finance Corporation, who shall be appointed by the
President by and with the advice and consent of the Senate, shall
receive compensation at the rate of $16,000 per annum, shall perform
such duties as the Administrator may from time to time designate, and
shall be Acting Administrator and perform the functions of the
Administrator, including his functions as a member and the Chairman of
the Loan Policy Board hereinafter provided for, during the absence or
disability of the Administrator or in the event of a vacancy in the
office of Administrator.
05 USC Sec. 3. Other Employment Prohibited
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
No person shall while holding the office of Administrator or Deputy
Administrator engage in any business, vocation, or employment other than
that involved in the holding of such office.
05 USC Sec. 4. Loan Policy Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
There is hereby established the Loan Policy Board of the
Reconstruction Finance Corporation, which shall be composed of the
following members, all ex officio: The Administrator, as Chairman, the
Deputy Administrator, as Vice Chairman, the Secretary of the Treasury,
the Secretary of Commerce, and one other member who shall be designated
from time to time by the President from among the officers of the United
States who are required to be appointed by and with the advice and
consent of the Senate. Either of the said Secretaries and the said
designee of the President may designate an officer of his department or
agency to act in his stead as a member of the Loan Policy Board with
respect to any matter or matters.
05 USC Sec. 5. Functions Transferred to Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
All functions of the Board of Directors of the Reconstruction Finance
Corporation, including those of the members and chairman of the said
Board and including those with respect to the management of the
Corporation, are hereby transferred to the Administrator, except as the
said functions are otherwise vested by the provisions of sections 6 and
7 of this reorganization plan.
05 USC Sec. 6. General Policies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
The Loan Policy Board shall establish general policies (particularly
with reference to the public interest involved in the granting and
denial of applications for financial assistance by the Corporation and
with reference to the coordination of the functions of the Corporation
with other activities and policies of the Government) which shall govern
the granting and denial of applications for financial assistance by the
Corporation.
05 USC Sec. 7. Financial Assistance Procedure
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
All applications for loans or other financial assistance totaling in
excess of $100,000 to any borrower shall be referred to a board of
review, and such board shall submit a recommendation in each case to the
Administrator. Any board of review shall consist of not less than five
persons who shall be designated by the Administrator from among
personnel of the Corporation having major responsibilities assigned to
them and who shall receive no additional compensation for service
hereunder. Whenever any loan or purchase of obligation shall be
approved or declined in any case wherein the board of review has
recommended otherwise, the Administrator shall place in the records of
the Corporation a memorandum setting forth his reasons for granting or
denying the financial assistance involved.
05 USC Sec. 8. Delegation of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
The Administrator may from time to time make such provisions as he
shall deem appropriate with respect to the performance by any officer,
employee, or administrative unit under his jurisdiction of any function
of the Administrator under the provisions of this reorganization plan.
05 USC Sec. 9. Abolition of Present Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
The Board of Directors of the Reconstruction Finance Corporation,
including the offices of the members of such Board, is hereby abolished,
and the Administrator shall provide for winding up any outstanding
affairs of the said Board not otherwise provided for in this
reorganization plan.
05 USC Sec. 10. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
Sections 4 to 9, inclusive, of this reorganization plan shall become
effective when, and not until, the Administrator first appointed
hereunder enters upon office pursuant to the provisions of this
reorganization plan.
(The Reconstruction Finance Corporation was abolished by section 6(a)
of Reorg. Plan No. 1 of 1957, eff. June 30, 1957, 22 F.R. 4633, 71 Stat.
647.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1951
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1951, prepared in
accordance with the Reorganization Act of 1949.
The reorganization plan provides strengthened administration of the
Reconstruction Finance Corporation by placing in a single Administrator
of the Reconstruction Finance Corporation the functions of the present
Board of Directors, except those that are specifically set forth and
assigned to a new Loan Policy Board and to a board of review.
The Administrator is thus made the executive head of the Corporation
with major responsibility and authority over the administration of the
Government programs carried out by the Corporation.
At the same time that this plan provides strengthened administration
for the Corporation, it also provides certain additional safeguards with
respect to loan policy and to specific loan applications. Under the
reorganization plan, the Loan Policy Board promulgates general policies
which shall govern the granting and denial of applications for financial
assistance by the Corporation. The reorganization plan likewise
includes new provisions for ensuring that all loan applications are
handled in accordance with established policy.
In addition to providing strengthened administration of the
Corporation and additional safeguards with respect to loan policy and
the approval of specific loan applications, the reorganization plan
provides the basis, by virtue of the composition of the Loan Policy
Board, for better coordination of the Corporation's loan policies with
other policies, programs, and activities of the Government. The
reorganization plan provides that this Board shall have five members,
all ex officio. These are the Administrator of the Corporation, the
Deputy Administrator, the Secretary of the Treasury, the Secretary of
Commerce, and one additional member to be designated from time to time
by the President from among officials of the Government who are required
to be appointed by the President and confirmed by the Senate. The
participation of these officials will facilitate the development of loan
policies consistent with the requirements of other broad programs of the
Government.
Especially important is the participation of the Secretary of
Commerce who, as head of the Department of Commerce, administers most of
the Government programs for nonfinancial aids to business. Giving him a
voice on the Loan Policy Board will aid in bringing under common
policies the financial aids to business administered by the Corporation
and the nonfinancial aids carried on in the Department of Commerce.
Government aid to small and independent business should be particularly
benefited by the participation of the Secretary of Commerce.
Specifically, the provision in the reorganization plan for a
financial-assistance procedure governing the processing of applications
in excess of $100,000 to any borrower strengthens and gives statutory
prescription to an administrative arrangement already existing in the
Corporation. In handling such loans under the reorganization plan,
applications will be referred for analysis and recommendation to a board
of review composed of not less than five employees of the Corporation.
Whenever the Administrator approves or denies an application for
financial assistance on which a board of review has recommended
otherwise, he must set forth, in a memorandum to be placed in the files
of the Corporation, the reasons for his action. This procedure is
provided in order to assure that all applications for loans involving
large sums are fully analyzed by the technical staff of the Corporation
and that the recommendations of the staff are fully available to the
Administrator when acting finally upon such applications.
The reorganization plan continues the Reconstruction Finance
Corporation as a separate corporate entity in the executive branch of
the Government. Those functions which are currently performed by the
Corporation or any of its agencies or officers pursuant to a delegation
or assignment of functions made by the President will be subject to
termination or modification of any such delegation by the President.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1951 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949. I also have found and hereby
declare that by reason of these reorganizations it is necessary to
include in the reorganization plan provisions for the appointment and
compensation of the Administrator and Deputy Administrator of the
Reconstruction Finance Corporation. The rates of compensation fixed for
these officers are, respectively, those which I have found to prevail in
respect of comparable officers of the executive branch of the
Government.
The taking effect of the reorganization included in Reorganization
Plan No. 1 of 1951 may not in itself result in substantial immediate
savings. However, the important objective of achieving the maximum
effectiveness in the administration of the Government's lending programs
to aid business will be advanced. Increased effectiveness will in turn
produce indirect savings. An itemization of these savings is not
practicable.
The reorganization plan is especially important at this time of
national emergency. It will strengthen the administration of the
Reconstruction Finance Corporation and at the same time provide
additional safeguards with respect to loan policy and the approval of
individual loans. It will make possible the more effective coordination
of the Government's general loan policies. I strongly urge the approval
of the reorganization plan as a means of achieving these objectives.
Harry S. Truman.
The White House, February 19, 1951.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
05 USC REORGANIZATION PLAN NO. 1 OF 1952
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
amended June 28, 1955, ch. 189, 12(c)(19), 69 Stat.
182; Sept. 13, 1982, Pub. L. 97-258, 5(b), 96 Stat.
1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, January 14, 1952, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20, 1949
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Abolition of Existing Offices
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
There are abolished the offices of Assistant Commissioner, Special
Deputy Commissioner, Deputy Commissioner, Assistant General Counsel for
the Bureau of Internal Revenue, Collector, and Deputy Collector,
provided for in sections 3905, 3910, 3915, 3931, 3941, and 3990,
respectively, of the Internal Revenue Code (of 1939). The provisions of
the foregoing sentence shall become effective with respect to each
office abolished thereby at such time as the Secretary of the Treasury
shall specify, but in no event later than December 1, 1952. The
Secretary of the Treasury shall make such provisions as he shall deem
necessary respecting the winding up of the affairs of any officer whose
office is abolished by the provisions of this section.
05 USC Sec. 2. Establishment of New Offices
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
(a) New offices are hereby established in the Bureau of Internal
Revenue as follows: (1) three offices each of which shall have the
title of ''Assistant Commissioner of Internal Revenue''; (2) so many
offices, not in excess of 25 existing at any one time, as the Secretary
of the Treasury shall from time to time determine, each of which shall
have the title of ''District Commissioner of Internal Revenue''; and
(3) so many other offices, not in excess of 70 existing at any one time,
and with such title or titles, as the Secretary of the Treasury shall
from time to time determine.
(b) (Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Subsection established a new and additional office of Assistant
General Counsel. See 31 U.S.C. 301.)
05 USC Sec. 3. Appointment and Compensation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
Each assistant commissioner and district commissioner, the assistant
general counsel, and each other officer provided for in section 2 of
this reorganization plan shall be appointed by the Secretary of the
Treasury under the classified civil service and shall receive
compensation which shall be fixed from time to time pursuant to the
classification laws, as now or hereafter amended. (As amended Act June
28, 1955, ch. 189, 12(c)(19), 69 Stat. 182).
05 USC Sec. 4. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
There are transferred to the Secretary of the Treasury the functions,
if any, that have been vested by statute in officers, agencies, or
employees of the Bureau of Internal Revenue of the Department of the
Treasury since the effective date of Reorganization Plan Numbered 26 of
1950 (15 F.R. 4935).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1952
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1952, prepared in
accordance with the Reorganization Act of 1949 and providing for
reorganizations in the Bureau of Internal Revenue of the Department of
the Treasury.
A comprehensive reorganization of that Bureau is necessary both to
increase the efficiency of its operations and to provide better
machinery for assuring honest and impartial administration of the
internal revenue laws. The reorganization plan transmitted with this
message is essential to accomplish the basic changes in the structure of
the Bureau of Internal Revenue which are necessary for the kind of
comprehensive reorganization that is now required.
By bringing additional personnel in the Bureau of Internal Revenue
under the merit system, Reorganization Plan No. 1 likewise removes what
the Commission on Organization of the Executive Branch of the Government
described as ''one of the chief handicaps to effective organization of
the Department * * *.''
It is my determination to maintain the highest standards of integrity
and efficiency in the Federal service. While those standards have been
observed faithfully by all but a relatively few public servants, the
betrayal of their trust by those few demands the strongest corrective
action.
The most vigorous efforts are being and will continue to be made to
expose and punish every Government employee who misuses his official
position. But we must do even more than this. We must correct every
defect in organization that contributes to inefficient management and
thus affords the opportunity for improper conduct.
The thorough reorganization of the Bureau of Internal Revenue which I
propose will be of great help in accomplishing all of these ends. It is
an integral part of a program to prevent improper conduct in public
service, to protect the Government from insidious influence peddlers and
favor seekers, to expose and punish wrong-doers, and to improve the
management and efficiency of the executive branch.
I am confident that the Congress and the public are as deeply and
earnestly concerned as I am that the public business be conducted
entirely upon a basis of fairness, integrity, and efficiency. I
therefore hope that the Congress will give speedy approval to
Reorganization Plan No. 1, in order that we may move ahead rapidly in
to achieving the reorganization of the Bureau of Internal Revenue.
The task of collecting the internal revenue has expanded enormously
within the past decade. This expansion has been occasioned by the
necessary additional taxation brought on by World War II and essential
post-war programs. In fiscal year 1940, tax collections made by the
Bureau of Internal Revenue were slightly over 5 1/3 billions of dollars;
in 1951, they totaled almost 50 1/2 billions. In 1940, 19 million tax
returns were filed; in 1951, 82 million. In 1940, there were 22,000
employees working for the Bureau; in 1951, there were 57,000.
Throughout this tremendous growth, the structure of the
revenue-collecting organization has remained substantially unchanged.
The present field structure of the Bureau of Internal Revenue is
comprised of more than 200 field offices which report directly to
Washington. Those 200 offices carry out their functions through more
than 2,000 suboffices and posts of duty throughout the country. The
Washington office now provides operating supervision, guidance, and
control over the principal field offices through 10 separate divisions,
thus further adding to the complexities of administration.
Since the end of World War II, many procedural improvements have been
made in the Bureau's operations. The use of automatic machines has been
greatly increased. The handling of cases has been simplified. One
major advance is represented by the recently completed arrangements to
expedite criminal prosecutions in tax-fraud cases. In these cases,
field representatives of the Bureau of Internal Revenue will make
recommendations for criminal prosecutions directly to the Department of
Justice. These procedural changes have increased the Bureau's
efficiency and have made it possible for the Bureau to carry its
enormously increased workload. However, improvements in procedure
cannot meet the need for organizational changes.
Part of the authority necessary to make a comprehensive
reorganization was provided in Reorganization Plan No. 26 of 1950,
which was one of several uniform plans giving department heads fuller
authority over internal organizations throughout their departments. The
studies of the Secretary of the Treasury have culminated since that time
in a plan for extensive reorganization and modernization of the Bureau.
However, his existing authority is not broad enough to permit him to
effectuate all of the basic features of the plan he has developed.
The principal barrier to effective organization and administration of
the Bureau of Internal Revenue which plan No. 1 removes is the archaic
statutory office of collector of internal revenue. Since the collectors
are not appointed and cannot be removed by the Commissioner of Internal
Revenue or the Secretary of the Treasury and since the collectors must
accommodate themselves to local political situations, they are not fully
responsive to the control of their superiors in the Treasury Department.
Residence requirements prevent moving a collector from one collection
district to another, either to promote impartiality and fairness or to
advance collectors to more important positions. Uncertainties of tenure
add to the difficulty of attracting to such offices persons who are well
versed in the intricacies of the revenue laws and possessed of
broadgaged administrative ability.
It is appropriate and desirable that major political offices in the
executive branch of the Government be filled by persons who are
appointed by the President by and with the advice and consent of the
Senate. On the other hand, the technical nature of much of the
Government's work today makes it equally appropriate and desirable that
positions of other types be in the professional career service. The
administration of our internal-revenue laws at the local level calls for
positions in the latter category.
Instead of the present organization built around the offices of
politically appointed collectors of internal revenue, plan No. 1 will
make it possible for the Secretary of the Treasury to establish not to
exceed 25 district offices. Each of these offices will be headed by a
district commissioner who will be responsible to the Commissioner of
Internal Revenue and will have full responsibility for administering all
internal-revenue activities within a designated area. In addition, all
essential collection, enforcement, and appellate functions can be
provided for in each local area and under one roof so far as is
practicable. It is not proposed to discontinue any essential facilities
which now exist in any local areas. Rather, the facilities will be
extended and the service to taxpayers improved. These new arrangements
should make it possible for the individual taxpayer to conduct his
business with the Bureau much more conveniently and expeditiously.
In addition to making possible greatly improved service to the
taxpayer, the establishment of the district offices will provide
opportunity in the field service of the Bureau of Internal Revenue for
the development of high-caliber administrators with experience in all
phases of revenue administration. These offices will be the backbone of
a modern, streamlined pattern of organization and operations with clear
and direct channels of responsibility and supervision from the lowest
field office to the Commissioner, and through him to the Secretary of
the Treasury. The creation of this new framework of district offices is
a necessary step in carrying out the overall reorganization of the
Bureau.
Plan No. 1 also makes it possible to provide a new framework of
supervisory offices in the headquarters of the Bureau of Internal
Revenue. Under plan No. 1, the offices of Deputy Commissioner, Special
Deputy Commissioner, and Assistant Commissioner are abolished. Three
Assistant Commissioners, all in the classified civil service, are
authorized, and will be available, to perform such functions as may be
assigned to them. The intention of the Secretary of the Treasury under
the comprehensive reorganization is to utilize one Assistant
Commissioner to assist the Commissioner of Internal Revenue in
supervising the operations of the district offices, another Assistant
Commissioner to aid in the preparation of technical rulings and
decisions, and the third Assistant Commissioner to supervise for the
Commissioner the inspection activities of the Bureau.
Two additional advantages will be obtained when the reorganization
around this new framework is completed.
First, the strong inspection service which the Secretary is
establishing will keep the work of the Bureau under close and continuous
observation. Working under the direct control of the Commissioner of
Internal Revenue, it will be responsible for promptly detecting and
investigating any irregularities.
Second, the new pattern of organization will strengthen and clarify
lines of responsibility throughout the Bureau, thus simplifying and
making more effective and uniform the management control of the
organization. This is essential in any effort to provide our principal
revenue collection agency the best possible administration.
In order to eliminate Presidential appointment and senatorial
confirmation with respect to the Assistant General Counsel for the
Bureau of Internal Revenue, and in order to provide a method of
appointment comparable to that obtaining in the case of other assistant
general counsel of the Department of the Treasury, plan No. 1 abolishes
that office and provides in lieu thereof a new office of Assistant
General Counsel with appointment under the classified civil service.
The success of the reorganization of the Bureau of Internal Revenue
will to a considerable extent depend upon the ability to attract the
best qualified persons to the key positions throughout the Bureau. In
order to do so, it is necessary to make provision for more adequate
salaries for such key positions. Plan No. 1 establishes in the Bureau
of Internal Revenue a maximum of 70 offices with titles determined by
the Secretary of the Treasury. Those offices are in addition to the
offices with specific titles also provided for in plan No. 1 and to any
positions established under other authority vested in the Department of
the Treasury. The compensation of these officials will be fixed under
the Classification Act of 1949, as amended, but without regard to the
numerical limitations on positions set forth in section 505 of that act.
This provision will enable the Chairman of the Civil Service
Commission, or the President, as the case may be, to fix rates of pay
for those offices in excess of the rates established in the
Classification Act of 1949 for grade GS-15 whenever the standards of the
classification laws so permit.
All organizational changes under plan No. 1 will be put into effect
as soon as it is possible to do so without disrupting the continued
collection of revenue. Plan No. 1 will in any event be effective in
its entirety no later than December 1, 1952.
The taking effect of the reorganizations provided for in
Reorganization Plan No. 1 of 1952 will make possible many benefits in
improved organization and operations which may be expected to produce
substantial savings in future years. Those savings should not be
expected to be reflected in an immediate reduction in expenditure by the
Bureau of Internal Revenue but in an improved service to the public and
a more efficient collection of revenue.
It should be emphasized that abolition by plan No. 1 of the offices
of collectors and others will in no way prejudice any right or potential
right of any taxpayer. The abolition of offices by plan No. 1 will not
abolish any rights, privileges, powers, duties, immunities, liabilities,
obligations, or other attributes of those offices except as they relate
to matters of appointment, tenure, and compensation inconsistent with
plan No. 1. Under the Reorganization Act of 1949, all of these
attributes of office will attach to the office to which the functions of
the abolished office are delegated by the Secretary of the Treasury.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1952 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949.
I have found and hereby declare that it is necessary to include in
the accompanying Reorganization Plan No. 1, by reason of
reorganizations made thereby, provisions for the appointment and
compensation of the officers specified therein. The rates of
compensation fixed for these officers are not in excess of those which I
have found to prevail in respect of comparable officers in the executive
branch.
I cannot emphasize too strongly the importance which should be
attached to the reorganization plan that I am now transmitting to the
Congress. The fair and efficient administration of the Federal
internal-revenue laws is of vital concern to every citizen. All of us
have a right to insist that the Bureau of Internal Revenue be provided
with the finest organization that can be devised. All of us are
entitled to have that organization manned by personnel who get their
jobs and keep them solely because of their own integrity and competence.
This reorganization plan will be a major step in achieving those
objectives.
Harry S. Truman.
The White House, January 14, 1952.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
05 USC REORGANIZATION PLAN NO. 1 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
amended Aug. 14, 1964, Pub. L. 88-246, 305(44), 78
Stat. 428; Sept. 11, 1967, Pub. L. 90-83, 10(c),
81 Stat. 224
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 12, 1953, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Creation of Department; Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
There is hereby established an executive department, which shall be
known as the Department of Health, Education, and Welfare (hereafter in
this reorganization plan referred to as the Department). There shall be
at the head of the Department a Secretary of Health, Education, and
Welfare (hereafter in this reorganization plan referred to as the
Secretary), who shall be appointed by the President by and with the
advice and consent of the Senate, and who shall receive compensation at
the rate now or hereafter prescribed by law for the heads of executive
departments. The Department shall be administered under the supervision
and direction of the Secretary.
05 USC Sec. 2. Under Secretary and Assistant Secretaries
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
There shall be in the Department an Under Secretary of Health,
Education, and Welfare and two Assistant Secretaries of Health,
Education, and Welfare, each of whom shall be appointed by the President
by and with the advice and consent of the Senate, shall perform such
functions as the Secretary may prescribe, and shall receive compensation
at the rate now or hereafter provided by law for under secretaries and
assistant secretaries, respectively, of executive departments. The
Under Secretary (or, during the absence or disability of the Under
Secretary or in the event of a vacancy in the office of Under Secretary,
an Assistant Secretary determined according to such order as the
Secretary shall prescribe) shall act as Secretary during the absence or
disability of the Secretary or in the event of a vacancy in the office
of Secretary.
05 USC Sec. 3. Special Assistant
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
(Repealed Pub. L. 90-83, 10(c), Sept. 11, 1967, 81 Stat. 224.
Section provided for the appointment of Special Assistant to the
Secretary (Health and Medical Affairs).)
05 USC Sec. 4. Commissioner of Social Security
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
There shall be in the Department a Commissioner of Social Security
who shall be appointed by the President by and with the advice and
consent of the Senate, shall perform such functions concerning social
security and public welfare as the Secretary may prescribe, and shall
receive compensation at the rate now or hereafter fixed by law for Grade
GS-18 of the general schedule established by the Classification Act of
1949, as amended (see 5 U.S.C. 5332).
05 USC Sec. 5. Transfers to the Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
All functions of the Federal Security Administrator are hereby
transferred to the Secretary. All agencies of the Federal Security
Agency, together with their respective functions, personnel, property,
records, and unexpended balances of appropriations, allocations, and
other funds (available or to be made available), and all other
functions, personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds (available or to be made
available) of the Federal Security Agency are hereby transferred to the
Department.
05 USC Sec. 6. Performance of Functions of the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
The Secretary may from time to time make such provisions as the
Secretary deems appropriate authorizing the performance of any of the
functions of the Secretary by any other officer, or by any agency or
employee, of the Department.
05 USC Sec. 7. Administrative Services
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
In the interest of economy and efficiency the Secretary may from time
to time establish central administrative services in the fields of
procurement, budgeting, accounting, personnel, library, legal, and other
services and activities common to the several agencies of the
Department; and the Secretary may effect such transfers within the
Department of the personnel employed, the property and records used or
held, and the funds available for use in connection with such
administrative service activities as the Secretary may deem necessary
for the conduct of any services so established: Provided, That no
professional or substantive function vested by law in any officer shall
be removed from the jurisdiction of such officer under this section.
05 USC Sec. 8. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
The Federal Security Agency (exclusive of the agencies thereof
transferred by section 5 of this reorganization plan), the offices of
Federal Security Administrator and Assistant Federal Security
Administrator created by Reorganization Plan No. I (of 1939) (53 Stat.
1423), the two offices of assistant heads of the Federal Security Agency
created by Reorganization Plan No. 2 of 1946 (60 Stat. 1095), and the
office of Commissioner for Social Security created by section 701 of the
Social Security Act, as amended (64 Stat. 558) (42 U.S.C. 901), are
hereby abolished. The Secretary shall make such provisions as may be
necessary in order to wind up any outstanding affairs of the Agency and
offices abolished by this section which are not otherwise provided for
in this reorganization plan.
05 USC Sec. 9. Interim Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
The President may authorize the persons who immediately prior to the
time this reorganization plan takes effect occupy the offices of Federal
Security Administrator, Assistant Federal Security Administrator,
assistant heads of the Federal Security Agency, and Commissioner for
Social Security to act as Secretary, Under Secretary, and Assistant
Secretaries of Health, Education, and Welfare and as Commissioner of
Social Security, respectively, until those offices are filled by
appointment in the manner provided by sections 1, 2, and 4 of this
reorganization plan, but not for a period of more than 60 days. While
so acting, such persons shall receive compensation at the rates provided
by this reorganization plan for the offices the functions of which they
perform.
(Secretary and Department of Health, Education, and Welfare
redesignated Secretary and Department of Health and Human Services,
respectively, by 20 U.S.C. 3508. For transfer of functions and offices
(relating to education) of Secretary and Department of Health,
Education, and Welfare to Secretary and Department of Education, and
termination of certain offices and positions, see 20 U.S.C. 3441 and
3503.)
(Under Secretary of Health and Human Services redesignated Deputy
Secretary of Health and Human Services, see section 529 (title I,
112(a)(1)) of Pub. L. 101-509, set out as a note under section 3501 of
Title 42, The Public Health and Welfare.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1953, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended.
In my message of February 2, 1953, I stated that I would send to the
Congress a reorganization plan defining a new administrative status for
Federal activities in health, education, and social security. This plan
carries out that intention by creating a Department of Health,
Education, and Welfare as one of the executive departments of the
Government and by transferring to it the various units of the Federal
Security Agency. The Department will be headed by a Secretary of
Health, Education, and Welfare, who will be assisted by an Under
Secretary and two Assistant Secretaries.
The purpose of this plan is to improve the administration of the
vital health, education, and social-security functions now being carried
on in the Federal Security Agency by giving them departmental rank.
Such action is demanded by the importance and magnitude of these
functions, which affect the well-being of millions of our citizens. The
programs carried on by the Public Health Service include, for example,
the conduct and promotion of research into the prevention and cure of
such dangerous ailments as cancer and heart disease. The Public Health
Service also administers payments to the States for the support of their
health services and for urgently needed hospital construction. The
Office of Education collects, analyzes, and distributes to school
administrators throughout the country information relating to the
organization and management of educational systems. Among its other
functions is the provision of financial help to school districts
burdened by activities of the United States Government. State
assistance to the aged, the blind, the totally disabled, and dependent
children is heavily supported by grants-in-aid administered through the
Social Security Administration. The old-age and survivors insurance
system and child development and welfare programs are additional
responsibilities of that Administration. Other offices of the Federal
Security Agency are responsible for the conduct of Federal vocational
rehabilitation programs and for the enforcement of food and drug laws.
There should be an unremitting effort to improve those health,
education, and social-security programs which have proved their value.
I have already recommended the expansion of the social-security system
to cover persons not now protected, the continuation of assistance to
school districts whose population has been greatly increased by the
expansion of defense activities, and the strengthening of our food and
drug laws.
But good intent and high purpose are not enough; all such programs
depend for their success upon efficient, responsible administration. I
have recently taken action to assure that the Federal Security
Administrator's views are given proper consideration in executive
councils by inviting her to attend meetings of the Cabinet. Now the
establishment of the new Department provided for in Reorganization Plan
No. 1 of 1953 will give the needed additional assurance that these
matters will receive the full consideration they deserve in the whole
operation of the Government.
This need has long been recognized. In 1923, President Harding
proposed a Department of Education and Welfare, which was also to
include health functions. In 1924, the Joint Committee on
Reorganization recommended a new department similar to that suggested by
President Harding. In 1932, one of President Hoover's reorganization
proposals called for the concentration of health, education, and
recreational activities in a single executive department. The
President's Committee on Administrative Management in 1937 recommended
the placing of health, education, and social-security functions in a
Department of Social Welfare. This recommendation was partially
implemented in 1939 by the creation of the Federal Security Agency -- by
which action the Congress indicated its approval of the grouping of
these functions in a single agency. A new department could not be
proposed at that time because the Reorganization Act of 1939 prohibited
the creation of additional executive departments. In 1949, the
Commission on Organization of the Executive Branch of the Government
proposed the creation of a department for social security and education.
The present plan will make it possible to give the officials
directing the Department titles indicative of their responsibilities and
salaries comparable to those received by their counterparts in other
executive departments. As the Under Secretary of an executive
department, the Secretary's principal assistant will be better equipped
to give leadership in the Department's organization and management
activities, for which he will be primarily responsible. The plan opens
the way to further administrative improvement by authorizing the
Secretary to centralize services and activities common to the several
agencies of the Department. It also establishes a uniform method of
appointment for the heads of the three major constituent agencies. At
present, the Surgeon General and the Commissioner of Education are
appointed by the President and confirmed by the Senate, while the
Commissioner for Social Security is appointed by the Federal Security
Administrator. Hereafter, all three will be Presidential appointees
subject to Senate confirmation.
I believe, and this plan reflects my conviction, that these several
fields of Federal activity should continue within the framework of a
single department. The plan at the same time assures that the Office of
Education and the Public Health Service retain the professional and
substantive responsibilities vested by law in those agencies or in their
heads. The Surgeon General, the Commissioner of Education, and the
Commissioner of Social Security will all have direct access to the
Secretary.
There should be in the Department an Advisory Committee on Education,
made up of persons chosen by the Secretary from outside the Federal
Government, which would advise the Secretary with respect to the
educational programs of the Department. I recommend the enactment of
legislation authorizing the defrayal of the expenses of this Committee.
The creation of such a Committee as an advisory body to the Secretary
will help insure the maintenance of responsibility for the public
educational system in State and local governments while preserving the
national interest in education through appropriate Federal action.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I have also found
and hereby declare that by reason of these reorganizations, it is
necessary to include in the reorganization plan provisions for the
appointment and compensation of the new officers specified in sections
1, 2, 3, and 4 of the reorganization plan. The rates of compensation
fixed for these officers are, respectively, those which I have found to
prevail in respect of comparable officers in the executive branch of the
Government.
Although the effecting of the reorganizations provided for in the
reorganization plan will not in itself result in immediate savings, the
improvement achieved in administration will in the future allow the
performance of necessary services at greater savings than present
operations would permit. An itemization of these savings in advance of
actual experience is not practicable.
Dwight D. Eisenhower.
The White House, March 12, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
05 USC REORGANIZATION PLAN NO. 2 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
amended Oct. 15, 1982, Pub. L. 97-325, 8(d), 96
Stat. 1606
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 25, 1953, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
(a) Subject to the exceptions specified in subsection (b) of this
section, there are hereby transferred to the Secretary of Agriculture
all functions not now vested in him of all other officers, and of all
agencies and employees, of the Department of Agriculture.
(b) This section shall not apply to the functions vested by the
Administrative Procedure Act (5 U.S.C. 1001 et seq.) (5 U.S.C. 551 et
seq. and 701 et seq.) in hearing examiners employed by the Department of
Agriculture nor to the functions of (1) the corporations of the
Department of Agriculture, (2) the boards of directors and officers of
such corporations, (3) the Advisory Board of the Commodity Credit
Corporation, or (4) the Farm Credit Administration or any agency,
officer, or entity of, under, or subject to the supervision of the said
Administration.
05 USC Sec. 2. Assistant Secretaries of Agriculture
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
Two additional Assistant Secretaries of Agriculture shall be
appointed by the President, by and with the advice and consent of the
Senate. Each such assistant secretary shall perform such functions as
the Secretary of Agriculture shall, from time to time, prescribe and
each shall receive compensation at the rate prescribed by law for
Assistant Secretaries of executive departments.
05 USC Sec. 3. Administrative Assistant Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
(Repealed. Pub. L. 97-325, 8(d), Oct. 15, 1982, 96 Stat. 1606.
Section authorized the appointment of an Administrative Assistant
Secretary of Agriculture. See section 2212c of Title 7, Agriculture.)
05 USC Sec. 4. Delegation of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
(a) The Secretary of Agriculture may from time to time make such
provisions as he shall deem appropriate authorizing the performance by
any other officer, or by any agency or employee, of the Department of
Agriculture of any function of the Secretary, including any function
transferred to the Secretary by the provisions of this reorganization
plan.
(b) To the extent that the carrying out of subsection (a) of this
section involves the assignment of major functions or major groups of
functions to major constituent organizational units of the Department of
Agriculture, now or hereafter existing, or to the heads or other
officers thereof, and to the extent deemed practicable by the Secretary,
he shall give appropriate advance public notice of delegations of
functions proposed to be made by him and shall afford appropriate
opportunity for interested persons and groups to place before the
Department of Agriculture their views with respect to such proposed
delegations.
(c) In carrying out subsection (a) of this section the Secretary
shall seek to simplify and make efficient the operation of the
Department of Agriculture, to place the administration of farm programs
close to the State and local levels, and to adapt the administration of
the programs of the Department to regional, State, and local conditions.
05 USC Sec. 5. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
The Secretary of Agriculture may from time to time effect such
transfers within the Department of Agriculture of any of the records,
property, and personnel affected by this reorganization plan and such
transfers of unexpended balances (available or to be made available for
use in connection with any affected function or agency) of
appropriations, allocations, and other funds of such Department, as he
deems necessary to carry out the provisions of this reorganization plan;
but such unexpended balances so transferred shall be used only for the
purposes for which such appropriation was originally made.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1953, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganizations in the Department of Agriculture.
Reorganization Plan No. 2 of 1953 is designed to make it possible
for the Secretary of Agriculture to simplify and improve the internal
organization of the Department of Agriculture. It is substantially in
accord with the recommendations made in 1949 by the Commission on
Organization of the Executive Branch of the Government.
With certain exceptions, Reorganization Plan No. 2 of 1953 transfers
to the Secretary of Agriculture the functions now vested by law in other
officers, and in the agencies and employees, of the Department. It
allows the Secretary to authorize any other officer, agency, or employee
of the Department to perform any function vested in the Secretary. He
is directed to utilize this delegation authority in such a way as to
further certain objectives set forth in the reorganization plan. Those
objectives are to simplify and make effective the operation of the
Department of Agriculture, to place the administration of farm programs
close to the State and local levels, and to adapt the administration of
the programs of the Department to regional, State, and local conditions.
Further, to the extent deemed practicable by the Secretary, he is
required to give appropriate advance public notice and to afford
appropriate opportunity for interested persons and groups to present to
the Department of Agriculture their views on such proposed delegations
of the Secretary as involve assignments of major functions or major
groups of functions to major constituent organizational units of the
Department or their officers.
Reorganization Plan No. 2 of 1953 will permit the establishment of a
clearer line of responsibility and authority from the President through
the Secretary of Agriculture down to the lowest level of operations in
the Department. It will make the Secretary responsible under law for
activities within his Department for which he is now in fact held
accountable by the President, the Congress, and the public. Also, it
will enable the Secretary, from time to time, to adjust the organization
of the Department in order to achieve continuous improvement in
operations to meet changing conditions.
The Congress has in the past repeatedly followed the sound policy of
vesting functions directly in department heads so that they can be held
accountable for the performance of their agencies. In acting upon
recommendations of the Commission on Organization of the Executive
Branch of the Government, the Congress approved, in 1949 and 1950, a
series of statutes and reorganization plans which applied that policy to
all the executive departments except the Department of Defense and the
Department of Agriculture. While some laws vest important functions
directly in the Secretary of Agriculture, others place major functions
in subordinate officers and agencies of the Department. By transferring
to the Secretary the latter functions, with certain exceptions, the
reorganization plan corrects the present patchwork assignment of
statutory functions in the Department.
The functions excepted from transfer to the Secretary are the
functions of hearing examiners under the Administrative Procedure Act;
of the corporations of the Department, including their boards of
directors and officers; of the Advisory Board of the Commodity Credit
Corporation; and of the Farm Credit Administration and the banks,
corporations, and associations supervised by it.
The exception of the hearing examiners is in accordance with the
intent of the Administrative Procedure Act, and is consistent with the
status of hearing examiners in other departments and agencies.
The corporations of the Department, together with their boards of
directors and officers, are excepted because they have a different legal
status than other constituent agencies of the Department. Bodies
corporate have independent legal personalities and act in their own name
rather than in the name of the Department of Agriculture or of the
United States.
The same reasons which prompt the exception of the corporations of
the Department make desirable the exception of the entities supervised
by the Farm Credit Administration. The Farm Credit Administration
itself is also excepted, since it is anticipated that general
legislation covering this field will be recommended to the Congress.
The Department of Agriculture now has only one Assistant Secretary.
Reorganization Plan No. 2 of 1953 provides the Secretary with two more
Assistant Secretaries and an Administrative Assistant Secretary to aid
him in supervising the Department. The Assistant Secretaries will be
appointed by the President, by and with the advice and consent of the
Senate. The Administrative Assistant Secretary will be appointed under
the classified civil service by the Secretary, with the approval of the
President. These methods of appointment are similar to those prevailing
in other executive departments.
The Secretary will prescribe the functions to be performed by these
new assistants. It is his intention to have the new Assistant
Secretaries aid him in providing closer policy and program supervision
over the Department of Agriculture, and to have the new Administrative
Assistant Secretary perform substantially the same role as that
performed by the administrative assistant secretaries in other
departments. Thus, the new officers will assist the Secretary in giving
continuous attention to matters which are essential for the most
efficient and economical operation of the Department.
The Secretary of Agriculture has advised me that the 2 new offices of
Assistant Secretary of Agriculture, and the 1 new office of
Administrative Assistant Secretary of Agriculture, provided for in the
reorganization plan, will merely replace existing positions in the
Department, and that hence the creation of these offices will not result
in any net increase in the personnel in the Department of Agriculture.
He has further advised me that both the number of officers and employees
in the Office of the Secretary and the aggregate of their salaries will
be less than those existing prior to January 1, 1953.
The Secretary of Agriculture, aided by the Interim Agricultural
Advisory Committee, has been studying the organization and functions of
the Department of Agriculture. Recently the Secretary rearranged the
organizational units of the Department so as to form (in addition to the
Office of the Solicitor and a reorganized Foreign Agricultural Service)
four major groups of agencies, each with a supervising head to whom the
agencies within the group report. By so doing, the Secretary sought
both to reduce the number of separate officials reporting to him and to
improve coordination within the Department. Reorganization Plan No. 2
of 1953 will make it possible for the Secretary to make further internal
adjustments within the Department as study and experience identify
opportunities for improvement. It will thus further the better
management of the affairs of the Department of Agriculture.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of two
Assistant Secretaries of Agriculture and an Administrative Assistant
Secretary of Agriculture. The rates of compensation fixed for these
officers are those which I have found to prevail in respect of
comparable officers in the executive branch of the Government.
Reductions in expenditures will result from reorganizations of the
Department of Agriculture made possible by the taking effect of
Reorganization Plan No. 2 of 1953, but such reductions cannot be
itemized at this time.
I recommend that the Congress allow the accompanying reorganization
plan to become effective.
Dwight D. Eisenhower.
The White House, March 25, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
05 USC REORGANIZATION PLAN NO. 3 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 2, 1953, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Establishment of Office
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
(a) There is hereby established in the Executive Office of the
President a new agency which shall be known as the Office of Defense
Mobilization, hereinafter referred to as the ''Office.''
(b) There shall be at the head of the Office a Director of the Office
of Defense Mobilization, hereinafter referred to as the ''Director,''
who shall be appointed by the President by and with the advice and
consent of the Senate and shall receive compensation at the rate of
$22,500 per annum.
(c) There shall be in the Office a Deputy Director of the Office of
Defense Mobilization, who shall be appointed by the President, by and
with the advice and consent of the Senate, shall receive compensation at
the rate of $17,500 per annum, shall perform such functions as the
Director shall designate, and shall act as Director during the absence
or disability of the Director or in the event of a vacancy in the office
of the Director.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
There are hereby transferred to the Director --
(a) All functions of the Chairman of the National Security Resources
Board, including his functions as a member of the National Security
Council, but excluding the functions abolished by section 5(a) of this
reorganization plan.
(b) All functions under the Strategic and Critical Materials Stock
Piling Act, as amended (50 U.S.C. 98 et seq.), vested in the Secretaries
of the Army, Navy, Air Force, and Interior or in any of them or in any
combination of them, including the functions which were vested in the
Army and Navy Munitions Board by the item numbered (2) in section 6(a)
of the said Act (60 Stat. 598) (50 U.S.C. 98e(a)(2)), but excluding
functions vested in the Secretary of the Interior by section 7 of the
said Act (50 U.S.C. 98f).
(c) The functions vested in the Munitions Board by section 4(h) of
the Commodity Credit Corporation Charter Act, as amended (15 U.S.C.
714b(h)) and by section 204(e) of the Federal Property and
Administrative Services Act of 1949 (40 U.S.C. 485(e)).
(d) All functions now vested by any statute in the Director of
Defense Mobilization or in the Office of Defense Mobilization provided
for in Executive Order Numbered 10193 (15 F.R. 9031) (revoked by Ex.
Ord. No. 10480, 18 F.R. 4939, set out as a note under 50 U.S.C. App.
2153).
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
(a) The Director may from time to time make such provisions as he
shall deem appropriate authorizing the performance by any other officer,
or by any agency or employee, of the Office, of any function of the
Director, exclusive of the function of being a member of the National
Security Council.
(b) When authorized by the Director, any function transferred to him
by the provisions of this reorganization plan (exclusive of the function
of being a member of the National Security Council) may be performed by
the head of any agency of the executive branch of the Government or,
subject to the direction and control of any such agency head, by such
officers, employees, and organizational units under the jurisdiction of
such agency head as such agency head may designate.
(c) In addition to the representatives who by virtue of the last
sentence of section 2(a) of the Strategic and Critical Materials Stock
Piling Act, as amended (50 U.S.C. 98a(a)) (former section 98a (a) of
Title 50), and section 2 of this reorganization plan are designated to
cooperate with the Director, the Secretary of Defense, the Secretary of
the Interior, and the heads of such other agencies having functions
regarding strategic or critical materials as the Director shall from
time to time designate, shall each designate representatives who shall
similarly cooperate with the Director.
05 USC Sec. 4. Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
There shall be transferred with the functions transferred by this
reorganization plan from the Chairman of the National Security Resources
Board and the Department of Defense, respectively, so much of the
records, property, personnel, and unexpended balances of appropriations,
allocations, and other funds, used, held, employed, available, or to be
made available in connection with the said functions, as the Director
shall determine to be required for the performance of the transferred
functions by the Office, but all transfers from the Department of
Defense under the foregoing provisions of this section shall be subject
to the approval of the Secretary of Defense.
05 USC Sec. 5. Abolition of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
(a) The functions of the Chairman of the National Security Resources
Board under section 18 of the Universal Military Training and Service
Act (50 U.S.C. App. 468), as affected by Reorganization Plan numbered 25
of 1950 (64 Stat. 1280), with respect to being consulted by and
furnishing advice to the President as required by that section, are
hereby abolished.
(b) So much of the functions of the Secretary of Defense under
section 202(b) of the National Security Act of 1947, as amended (see 10
U.S.C. 133(b)), as consists of direction, authority, and control over
functions transferred by this reorganization plan is hereby abolished.
(c) Any functions which were vested in the Army and Navy Munitions
Board or which are vested in the Munitions Board with respect to serving
as agent through which the Secretaries of the Army, Navy, Air Force, and
Interior jointly act, under section 2(a) of the Strategic and Critical
Materials Stock Piling Act, as amended (former section 98a of Title 50),
are hereby abolished.
05 USC Sec. 6. Abolition of National Security Resources Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
The National Security Resources Board (established by the National
Security Act of 1947, 61 Stat. 499) (50 U.S.C. 404), including the
offices of Chairman and Vice Chairman of the National Security Resources
Board, is hereby abolished, and the Director shall provide for winding
up any outstanding affairs of the said Board or offices not otherwise
provided for in this reorganization plan.
(For subsequent history relating to Office of Defense Mobilization,
see 50 U.S.C. 404 and notes set out thereunder.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1953, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended.
The reorganization plan is designed to achieve two primary
objectives: The first is to improve the organization of the Executive
Office of the President; the second is to enable one Executive Office
agency to exercise strong leadership in our national mobilization
effort, including both current defense activities and readiness for any
future national emergency.
The National Security Resources Board was established by the National
Security Act of 1947 to advise the President concerning various aspects
of future military, industrial, and civilian mobilization. The areas of
responsibility assigned to the Board included the use of national and
industrial resources for military and civilian needs; the sufficiency
of productive facilities; the strategic relocation of industries; the
mobilization and maximum utilization of manpower; and the maintenance
and stabilization of the civilian economy.
The vigorous and efficient discharge of these vital functions is not
well served by the simultaneous existence in the Executive Office of the
President of the National Security Resources Board (charged with
planning for the future) and the present Office of Defense Mobilization
(charged with programs of the present). The progress of the current
mobilization effort has made plain how artificial is the present
separation of these functions.
Both functions should now be combined into one defense mobilization
agency. Accordingly, the reorganization plan would create in the
Executive Office of the President a new agency, to be known as the
Office of Defense Mobilization. It would transfer to the new Office the
functions of the Chairman of the National Security Resources Board and
abolish that Board, including the offices of Chairman and Vice Chairman.
The reorganization plan also transfers to the new agency the
statutory functions of the present Office of Defense Mobilization.
These are of a minor nature, the major functions of the present Office
of Defense Mobilization having been delegated to it by the President,
principally under the Defense Production Act of 1950, as amended. It is
my intention to transfer the latter functions to the new agency by
Executive order, and to abolish the Office of Defense Mobilization
established by Executive Order No. 10193. There will thus result a new
agency which combines the activities of the National Security Resources
Board and both the statutory and delegated functions of the heretofore
existing Office of Defense Mobilization.
The proposed plan would also reorganize various activities relating
to the stockpiling of strategic and critical materials. Those
activities are principally provided for in the Strategic and Critical
Materials Stock Piling Act, as amended. It has become increasingly
apparent that the policy and program aspects of stockpiling are an
integral part of mobilization planning. They should not be administered
separately from plant expansion, conservation of materials, and
materials procurement under the Defense Production Act of 1950, or from
the duties placed in the National Security Resources Board by the
National Security Act of 1947. Therefore, the reorganization plan would
transfer to the Director of the new Office of Defense Mobilization
responsibility for major stockpiling actions, including the
determination of the nature and quantities of materials to be
stockpiled. In the main, these functions are transferred from the
Secretaries of the Army, Navy, and Air Force (acting jointly through the
agency of the Munitions Board) and the Secretary of the Interior. The
duties of the Administrator of General Services regarding the purchase
of strategic and critical materials and the management of stockpiles are
not affected by the reorganization plan, except that he will receive his
directions, under the plan, from the Director of the Office of Defense
Mobilization instead of from the Department of Defense.
This transfer of stockpiling functions will correct the present
undesirable confusion of responsibilities. The functions of the heads
of the military departments of the Department of Defense and the
Secretary of the Interior under the Strategic and Critical Materials
Stock Piling Act, as amended, are at present in considerable measure
subject to other authority of delegates of the President springing from
the Defense Production Act of 1950, as amended. The allocation and
distribution of scarce materials among essential civilian and military
activities and the continued maintenance of adequate stockpiles of
strategic and critical materials are of major current importance. The
reorganization plan will make possible more effective coordination and
close control over the Government's whole stockpile program. It will
speed decisions. It can result in significant economies.
The Department of Defense will, of course, continue to be responsible
for presenting the needs of the military services. That Department and
the Department of the Interior are specifically designated in the plan
as additional agencies which shall appoint representatives to cooperate
with the Director of the Office of Defense Mobilization in determining
which materials are strategic and critical and how much of them is to be
purchased. Final authority with regard to such determination will,
however, be in the Director of the Office of Defense Mobilization.
Section 5(a) of the reorganization plan withholds from transfer to
the Director and abolishes the functions of the Chairman of the National
Security Resources Board with regard to being consulted by and
furnishing advice to the President concerning the placing of orders of
mandatory precedence for articles or materials for the use of the armed
forces of the United States or for the use of the Atomic Energy
Commission, and with regard to determining that a plant, mine, or other
facility can be readily converted to the production or furnishing of
such articles or materials. These abolished functions were vested in
the National Security Resources Board by section 18 of the Selective
Service Act of 1948 (later renamed as the Universal Military Training
and Service Act) and were transferred to the Chairman of that Board by
Reorganization Plan No. 25 of 1950. The practical effect of this
abolition is to obviate a statutory mandate that the President consult
and advise with another officer of the executive branch of the
Government.
Section 5(b) of the reorganization plan abolishes the direction,
authority, and control of the Secretary of Defense over functions
transferred from the Department of Defense by the reorganization plan.
The Secretary's functions in this regard are provided for in section
202(b) of the National Security Act of 1947, as amended (5 U.S.C.
171a(b)) (see 10 U.S.C. 133(b)).
Section 5(c) of the reorganization plan abolishes any functions which
were vested in the Army and Navy Munitions Board or which are vested in
the Munitions Board with respect to serving as the agent through which
the Secretaries of the Army, Navy, Air Force, and the Interior jointly
act in determining which materials are strategic and critical under the
provisions of the Strategic and Critical Materials Stock Piling Act, as
amended, and the quality and quantities of such materials to be
stockpiled. These abolished functions are provided for in section 2(a)
of the Strategic and Critical Materials Stock Piling Act, as amended.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 3 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I have also found
and hereby declare that by reason of these reorganizations it is
necessary to include in the reorganization plan provisions for the
appointment and compensation of a Director and a Deputy Director of the
Office of Defense Mobilization. The rates of compensation fixed for
these officers are, respectively, those which I have found to prevail in
respect of comparable officers of the executive branch of the
Government.
The reorganization plan will permit better organization and
management of the Federal programs relating to materials and
requirements and will thus help to achieve the maximum degree of
mobilization readiness at the least possible cost. It is not
practicable, however, to itemize, in advance of actual experience, the
reductions of expenditures to be brought about by the taking effect of
the reorganizations included in Reorganization Plan No. 3 of 1953.
I urge that the Congress allow the proposed reorganization plan to
become effective.
Dwight D. Eisenhower.
The White House, April 2, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1953
05 USC REORGANIZATION PLAN NO. 4 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1953
Reorg. Plan No. 4 of 1953, 18 F.R. 3577, 67 Stat. 636, which
related to the Department of Justice, was repealed by Pub. L. 89-554,
8(a), Sept. 6, 1966, 80 Stat. 662. See sections 506 and 508 of Title
28, Judiciary and Judicial Procedure.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
05 USC REORGANIZATION PLAN NO. 5 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 30, 1953, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. The Managing Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
There is hereby established the office of Managing Director of the
Export-Import Bank of Washington, hereinafter referred to as the
Managing Director. The Managing Director shall be appointed by the
President by and with the advice and consent of the Senate, and shall
receive compensation at the rate of $17,500 per annum.
05 USC Sec. 2. Deputy Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
There is hereby established the office of Deputy Director of the
Export-Import Bank of Washington. The Deputy Director shall be
appointed by the President by and with the advice and consent of the
Senate, shall receive compensation at the rate of $16,000 per annum,
shall perform such functions as the Managing Director may from time to
time prescribe, and shall act as Managing Director during the absence or
disability of the Managing Director or in the event of a vacancy in the
office of Managing Director.
05 USC Sec. 3. Assistant Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
There is hereby established the office of Assistant Director of the
Export-Import Bank of Washington. The Assistant Director shall be
appointed by the Managing Director under the classified civil service,
shall receive compensation at the rate now or hereafter fixed by law for
grade GS-18 of the general schedule established by the Classification
Act of 1949, as amended (5 U.S.C. 5332), and shall perform such
functions as the Managing Director may from time to time prescribe.
05 USC Sec. 4. Functions Transferred to the Managing Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
All functions of the Board of Directors of the Export-Import Bank of
Washington are hereby transferred to the Managing Director.
05 USC Sec. 5. General Policies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
The National Advisory Council on International Monetary and Financial
Problems shall from time to time establish general lending and other
financial policies which shall govern the Managing Director in the
conduct of the lending and other financial operations of the bank.
05 USC Sec. 6. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
The Managing Director may from time to time make such provisions as
he deems appropriate authorizing the performance of any of the functions
of the Managing Director by any other officer, or by any agency or
employee, of the bank.
05 USC Sec. 7. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
The following are hereby abolished: (1) The Board of Directors of
the Export-Import Bank of Washington, including the offices of the
members thereof provided for in section 3(a) of the Export-Import Bank
Act of 1945, as amended (12 U.S.C. 635a(a)); (2) the Advisory Board of
the Bank, together with the functions of the said Advisory Board; and
(3) the function of the Chairman of the Board of Directors of the
Export-Import Bank of Washington of being a member of the National
Advisory Council on International Monetary and Financial Problems. The
Managing Director shall make such provisions as may be necessary for
winding up any outstanding affairs of the said abolished boards and
offices not otherwise provided for in this reorganization plan.
05 USC Sec. 8. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
Sections 3 to 7, inclusive, of this reorganization plan shall become
effective when the Managing Director first appointed hereunder enters
upon office pursuant to the provisions of this reorganization plan.
(A Board of Directors was reestablished for the Export-Import Bank of
Washington by section 1 of act Aug. 9, 1954, ch. 660, 68 Stat. 677,
amending 12 U.S.C. 635a. The Board had previously been abolished and its
functions transferred to the Managing Director of the Bank by Reorg.
Plan No. 5 of 1953, set out above. The 1953 Reorg. Plan was superseded
by sections 1, 4 of act Aug. 9, 1954. See 12 U.S.C. 635a and 1954
Amendment and Effective Date of 1954 Amendment notes thereunder. The
''Export-Import Bank of Washington'' was renamed the ''Export-Import
Bank of the United States'' by Pub. L. 90-267, 1(a), Mar. 13, 1968, 82
Stat. 47.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 5 of 1953, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended.
The purpose of the reorganization plan is to simplify the
organization and strengthen the administration of the Export-Import Bank
of Washington by providing for a single Managing Director at the head of
the bank. The management of the bank is now vested in a Board of
Directors consisting of four full-time members and the Secretary of
State, ex officio. The functions performed by the Board are essentially
of an executive nature and are comparable to those vested in the heads
of other executive agencies. Experience has demonstrated that the most
effective performance of executive functions is more likely to be
obtained under a single administrator than under a board.
The plan concentrates authority and responsibility for bank
operations in the Managing Director. Safeguards are provided in the
plan and in existing law, however, to assure that the bank follows sound
lending and financial policies and that its activities are coordinated
with those of other Government agencies having international
responsibilities. Under the plan, the National Advisory Council on
International Monetary and Financial Problems is authorized to establish
the general lending and other financial policies which shall govern the
operations of the bank. The Council is composed of the Secretary of the
Treasury, as chairman, the Secretary of State, the Secretary of
Commerce, the Chairman of the Board of Governors of the Federal Reserve
System, and the Director for Mutual Security.
At present the Board of Directors is not only subject to policy
guidance by the National Advisory Council, under the provisions of the
Bretton Woods Agreements Act, but is also required to consult with the
Advisory Board for the Export-Import Bank, created by the Export-Import
Bank Act, on major questions of policy and to receive recommendations
from that Board. The composition of the Advisory Board largely
parallels that of the Council. The differences are that only the latter
includes the Director for Mutual Security as a member and that the
Chairman of the Board of Directors of the Export-Import Bank is the
Chairman of the Advisory Board whereas the Secretary of the Treasury
serves as the Chairman of the Council. Because of the similarity of the
composition of the Advisory Board and Council, and of their functions as
respects the bank, the reorganization plan abolishes the Advisory Board.
It also abolishes the functions of the Advisory Board (conferred by
sec. 3(d) of the Export-Import Bank Act of 1945).
The reorganization plan also provides for the abolition of the
functions of the Chairman of the Board of Directors of the Export-Import
Bank of Washington with respect to his membership on the National
Advisory Council on International Monetary and Financial Problems. The
function of membership is conferred upon the Chairman by section 4 of
the Bretton Woods Agreements Act, as amended. I contemplate that the
Managing Director of the Export-Import Bank of Washington will
participate as a nonvoting member of the National Advisory Council in
relation to matters of concern to the bank. I believe there is merit in
reducing the size of the Council and also believe that the interests of
the bank can be properly placed before the Council without conferring
full Council membership on the Managing Director of the Bank.
Under the reorganization plan the Export-Import Bank of Washington
will continue in its status of a corporate entity, and independent
agency, in the executive branch of the Government. The President will
retain authority to terminate or modify any delegation or assignment of
function made by the President to the bank or to any of its agencies or
officers.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 5 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I also have found
and hereby declare that by reason of these reorganizations it is
necessary to include in the reorganization plan provision for the
appointment and compensation of the new officers specified in sections
1, 2, and 3 of the reorganization plan. The rates of compensation fixed
for these officers are, respectively, those which I have found to
prevail in respect of comparable officers in the executive branch of the
Government.
The taking effect of Reorganization Plan No. 5 of 1953 will
accomplish a small immediate reduction of expenditures, since it will
substitute 1 Managing Director, together with a deputy and assistant,
for a Board which includes 4 full-time members. Other reductions in
expenditures will probably be brought about also, through increased
economy and efficiency in the performance of necessary services of the
bank resulting from the simplification of its organization, but such
reductions cannot be itemized in advance of actual experience.
Dwight D. Eisenhower.
The White House, April 30, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
05 USC REORGANIZATION PLAN NO. 6 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
amended Aug. 6, 1958, Pub. L. 85-559, 10(b), 72
Stat. 521; Sept. 7, 1962, Pub. L. 87-651, title
III, 307C, 76 Stat. 526
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 30, 1953, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfers of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(a) All functions of the Munitions Board, the Research and
Development Board, the Defense Supply Management Agency, and the
Director of Installations are hereby transferred to the Secretary of
Defense.
(b) The selection of the Director of the Joint Staff by the Joint
Chiefs of Staff, and his tenure, shall be subject to the approval of the
Secretary of Defense.
(c) The selection of the members of the Joint Staff by the Joint
Chiefs of Staff, and their tenure, shall be subject to the approval of
the Chairman of the Joint Chiefs of Staff.
(d) The functions of the Joint Chiefs of Staff with respect to
managing the Joint Staff and the Director thereof are hereby transferred
to the Chairman of the Joint Chiefs of Staff.
05 USC Sec. 2. Abolition of Agencies and Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(a) There are hereby abolished the Munitions Board, the Research and
Development Board, and the Defense Supply Management Agency.
(b) The offices of Chairman of the Munitions Board, Chairman of the
Research and Development Board, Director of the Defense Supply
Management Agency, Deputy Director of the Defense Supply Management
Agency, and Director of Installations are hereby abolished.
(c) The Secretary of Defense shall provide for winding up any
outstanding affairs of the said abolished agency, boards, and offices,
not otherwise provided for in this reorganization plan.
(d) The function of guidance to the Munitions Board in connection
with strategic and logistic plans as required by section 213(c) of the
National Security Act of 1947, as amended (former 5 U.S.C. 171h), is
hereby abolished.
05 USC Sec. 3. Assistant Secretaries of Defense
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(Repealed. Pub. L. 85-599, 10(b), Aug. 6, 1958, 72 Stat. 521, eff.
six months after Aug. 6, 1958. Section authorized appointment of six
additional Assistant Secretaries and prescribed their duties and
compensation.)
05 USC Sec. 4. General Counsel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(Repealed. Pub. L. 87-651, title III, 307C, Sept. 7, 1962, 76 Stat.
526. Section authorized appointment of a General Counsel for the
Department of Defense. See 10 U.S.C. 137.)
05 USC Sec. 5. Performance of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(Repealed. Pub. L. 87-651, title III, 307C, Sept. 7, 1962, 76 Stat.
526. Section authorized the Secretary of Defense from time to time to
make such provisions as he deemed appropriate authorizing the
performance by any other officer, or by any agency or employee, of the
Department of any function of the Secretary. See 10 U.S.C. 133.)
05 USC Sec. 6. Miscellaneous Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
(a) The Secretary of Defense may from time to time effect such
transfers within the Department of Defense of any of the records,
property, and personnel affected by this reorganization plan, and such
transfers of unexpended balances (available or to be made available for
use in connection with any affected function or agency) of
appropriations, allocations, and other funds of such Department, as he
deems necessary to carry out the provisions of this reorganization plan.
(b) Nothing herein shall affect the compensation of the Chairman of
the Military Liaison Committee (63 Stat. 762).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1953
To the Congress of the United States:
I address the Congress on a subject which has been of primary
interest to me throughout all the years of my adult life -- the defense
of our country.
As a former soldier who has experienced modern war at first hand, and
now as President and Commander in Chief of the Armed Forces of the
United States, I believe that our Defense Establishment is in need of
immediate improvement. In this message I indicate actions which we are
taking, and must yet take, to assure the greater safety of America.
Through the years our Nation has warded off all enemies. We have
defended ourselves successfully against those who have waged war against
us. We enjoy, as a people, a proud tradition of triumph in battle.
We are not, however, a warlike people. Our historic goal is peace.
It shall ever be peace -- peace to enjoy the freedom we cherish and the
fruits of our labors. We maintain strong military forces in support of
this supreme purpose, for we believe that in today's world only properly
organized strength may altogether avert war.
Because we are not a military-minded people, we have sometimes failed
to give proper thought to the problems of the organization and adequacy
of our Armed Forces. Past periods of international stress and the
actual outbreaks of wars have found us poorly prepared. On such
occasions we have had to commit to battle insufficient and improperly
organized military forces to hold the foe until our citizenry could be
more fully mobilized and our resources marshaled. We know that we
cannot permit a repetition of those conditions.
Today we live in a perilous period of international affairs. Soviet
Russia and her allies have it within their power to join with us in the
establishment of a true peace or to plunge the world into global war.
To date they have chosen to conduct themselves in such a way that these
are years neither of total war nor total peace.
We in the United States have, therefore, recently embarked upon the
definition of a new, positive foreign policy. One of our basic aims is
to gain again for the free world the initiative in shaping the
international conditions under which freedom can thrive. Essential to
this endeavor is the assurance of an alert, efficient, ever-prepared
Defense Establishment.
Today our international undertakings are shared by the free peoples
of other nations. We find ourselves in an unparalleled role of
leadership of free men everywhere. With this leadership have come new
responsibilities. With the basic purpose of assuring our own security
and economic viability, we are helping our friends to protect their
lives and liberties. And one major help that we may give them is
reliance upon our own Military Establishment.
Today also witnesses one of history's times of swiftest advance in
scientific achievements. These developments can accomplish wonders in
providing a healthier and happier life for us all. But -- converted to
military uses -- they threaten new, more devastating terrors in war.
These simple, inescapable facts make imperative the maintenance of a
defense organization commanding the most modern technological
instruments in our arsenal of weapons.
In providing the kind of military security that our country needs, we
must keep our people free and our economy solvent. We must not endanger
the very things we seek to defend. We must not create a nation mighty
in arms that is lacking in liberty and bankrupt in resources. Our armed
strength must continue to rise from the vigor of a free people and a
prosperous economy.
Recognizing all these national and international demands upon our
Military Establishment, we must remain ever mindful of three great
objectives in organizing our defense.
First: Our Military Establishment must be founded upon our basic
constitutional principles and traditions. There must be a clear and
unchallenged civilian responsibility in the Defense Establishment. This
is essential not only to maintain democratic institutions, but also to
protect the integrity of the military profession. Basic decisions
relating to the military forces must be made by politically accountable
civilian officials. Conversely, professional military leaders must not
be thrust into the political arena to become the prey of partisan
politics. To guard these principles, we must recognize and respect the
clear lines of responsibility and authority which run from the
President, through the Secretary of Defense and the Secretaries of the
military departments, over the operations of all branches of the
Department of Defense.
Second: Effectiveness with economy must be made the watchwords of
our defense effort. To maintain an adequate national defense for the
indefinite future, we have found it necessary to devote a larger share
of our national resources than any of us have heretofore anticipated.
To protect our economy, maximum effectiveness at minimum cost is
essential.
Third: We must develop the best possible military plans. These
plans must be sound guides to action in case of war. They must
incorporate the most competent and considered thinking from every point
of view -- military, scientific, industrial, and economic.
To strengthen civilian control by establishing clear lines of
accountability, to further effectiveness with economy, and to provide
adequate planning for military purposes -- these were primarily
objectives of the Congress in enacting the National Security Act of 1947
and strengthening it in 1949.
Now much has happened which makes it appropriate to review the
workings of those basic statutes. Valuable lessons have been learned
through 6 years of trial by experience. Our top military structure has
been observed under changing conditions. The military action in Korea,
the buildup of our forces everywhere, the provision of military aid to
other friendly nations, and the participation of United States Armed
Forces in regional collective security arrangements, such as those under
the North Atlantic Treaty Organization -- all these have supplied sharp
tests of our military organization. Today, in making my specific
recommendations, I have also had the benefit of the report prepared by
the Committee on Department of Defense Organization established by the
Secretary of Defense 3 months ago.
The time is here, then, to work to perfect our Military Establishment
without delay.
The first objective, toward which immediate actions already are being
directed, is clarification of lines of authority within the Department
of Defense so as to strengthen civilian responsibility.
I am convinced that the fundamental structure of our Department of
Defense and its various component agencies as provided by the National
Security Act, as amended, is sound. None of the changes I am proposing
affects that basic structure, and this first objective can and will be
attained without any legislative change.
With my full support, the Secretary of Defense must exercise over the
Department of Defense the direction, authority, and control which are
vested in him by the National Security Act. He should do so through the
basic channels of responsibility and authority prescribed in that act --
through the three civilian Secretaries of the Army, the Navy, and the
Air Force, who are responsible to him for all aspects of the respective
military departments (except for the legal responsibility of the Joint
Chiefs of Staff to advise the President in military matters). No
function in any part of the Department of Defense, or in any of its
component agencies, should be performed independent of the direction,
authority, and control of the Secretary of Defense. The Secretary is
the accountable civilian head of the Department of Defense, and, under
the law, my principal assistant in all matters relating to the
Department. I want all to know that he has my full backing in that
role.
To clarify a point which has led to considerable confusion in the
past, the Secretary of Defense, with my approval, will shortly issue a
revision of that portion of the 1948 memorandum commonly known as the
Key West agreement, which provides for a system of designating executive
agents for unified commands. Basic decisions with respect to the
establishment and direction of unified commands are made by the
President and the Secretary of Defense, upon the recommendation of the
Joint Chiefs of Staff in their military planning and advisory role. But
the provision of the Key West agreement, under which the Joint Chiefs of
Staff designate one of their members as an executive agent for each
unified command, has led to considerable confusion and misunderstanding
with respect to the relationship of the Joint Chiefs of Staff to the
Secretary of Defense, and the relationship of the military chief of each
service to the civilian Secretary of his military department.
Hence, the Secretary of Defense, with my approval, is revising the
Key West agreement to provide that the Secretary of Defense shall
designate in each case a military department to serve as the executive
agent for a unified command. Under this new arrangement the channel of
responsibility and authority to a commander of a unified command will
unmistakably be from the President to the Secretary of Defense to the
designated civilian Secretary of a military department. This
arrangement will fix responsibility along a definite channel of
accountable civilian officials as intended by the National Security Act.
It will be understood, however, that, for the strategic direction and
operational control of forces and for the conduct of combat operations,
the military chief of the designated military department will be
authorized by the Secretary of Defense to receive and transmit reports
and orders and to act for that department in its executive agency
capacity. This arrangement will make it always possible to deal
promptly with emergency or wartime situations. The military chief will
clearly be acting in the name and by the direction of the Secretary of
Defense. Promulgated orders will directly state that fact.
By taking this action to provide clearer lines of responsibility and
authority for the exercise of civilian control, I believe we will make
significant progress toward increasing proper accountability in the top
levels of the Department of Defense.
Our second major objective is effectiveness with economy. Although
the American people, throughout their history, have hoped to avoid
supporting large military forces, today we must obviously maintain a
strong military force to ward off attack, at a moment's notice, by
enemies equipped with the most devastating weapons known to modern
science. This need for immediate preparedness makes it all the more
imperative to see that the Nation maintains effective military forces in
the manner imposing the minimum burden on the national economy.
In an organization the size of the Department of Defense, true
effectiveness with economy can be attained only by decentralization of
operations, under flexible and effective direction and control from the
center. I am impressed with the determination of the Secretary of
Defense to administer the Department on this basis and to look to the
Secretaries of the three military departments as his principal agents
for the management and direction of the entire defense enterprise.
Such a system of decentralized operations, however, requires, for
sound management, flexible machinery at the top. Unfortunately, this is
not wholly possible in the Department of Defense as now established by
law. Two principal fields of activity are rigidly assigned by law to
unwieldy boards which -- no matter how much authority may be centralized
in their respective chairmen -- provide organizational arrangements too
slow and too clumsy to serve as effective management tools for the
Secretary. In addition, other staff agencies have been set up in the
Office of the Secretary of Defense and their functions prescribed by
law, thus making it difficult for the Secretary to adjust his staff
arrangements to deal with new problems as they arise, or to provide for
flexible cooperation among the several staff agencies.
Accordingly, I am transmitting today to the Congress a reorganization
plan which is designed to provide the Secretary of Defense with a more
efficient staff organization. The plan calls for the abolition of the
Munitions Board, the Research and Development Board, the Defense Supply
Management Agency, and the office of Director of Installations and vests
their functions in the Secretary of Defense. At the same time the plan
authorizes the appointment of new Assistant Secretaries of Defense to
whom the Secretary of Defense intends to assign the functions now vested
in the agencies to be abolished and certain other functions now assigned
to other officials. Specifically, the reorganization plan provides for
6 additional Assistant Secretaries -- 3 to whom the Secretary will
assign the duties now performed by the 2 Boards (based on a
redistribution of staff functions), 2 who will be utilized to replace
individual officials who presently hold other titles, and 1 to be
assigned to a position formerly but no longer filled by an Assistant
Secretary. The new Assistant Secretary positions are required in order
to make it possible to bring executives of the highest type to the
Government service and to permit them to operate effectively and with
less personnel than at present. In addition, the plan also provides
that, in view of the importance of authoritative legal opinions and
interpretations, the office of General Counsel be raised to a statutory
position with rank substantially equivalent to that of an Assistant
Secretary.
The abolition of the present statutory staff agencies and the
provision of the new Assistant Secretaries to aid the Secretary of
Defense will be the key to the attainment of increased effectiveness at
low cost in the Department of Defense. These steps will permit the
Secretary to make a thorough reorganization of the nonmilitary staff
agencies in his office. He will be able to establish truly effective
and vigorous staff units under the leadership of the Assistant
Secretaries. Each Assistant Secretary will function as a staff head
within an assigned field of responsibility.
Without imposing themselves in the direct lines of responsibility and
authority between the Secretary of Defense and the Secretaries of the
three military departments, the Assistant Secretaries of Defense will
provide the Secretary with a continuing review of the programs of the
Defense Establishment and help him institute major improvements in their
execution. They will be charged with establishing systems, within their
assigned fields, for obtaining complete and accurate information to
support recommendations to the Secretary. The Assistant Secretaries
will make frequent inspection visits to our farflung installations and
check for the Secretary the effectiveness and efficiency of operations
in their assigned fields.
Other improvements are badly needed in the Departments of the Army,
the Navy, and the Air Force. Accordingly, the Secretary of Defense is
initiating studies by the three Secretaries of the military departments
of the internal organization of their departments with a view toward
making those Secretaries truly responsible administrators, thereby
obtaining greater effectiveness and attaining economies wherever
possible. These studies will apply to the organization of the military
departments some of the same principles of clearer lines of
accountability which we are applying to the Department of Defense as a
whole.
Immediate attention will also be given to studying improvements of
those parts of the military departments directly concerned with the
procurement and distribution of munitions and supplies and the inventory
and accounting systems within each military department. We must take
every step toward seeing that our Armed Forces are adequately supplied
at all times with the materials essential for them to carry on their
operations in the field. Necessary to this effort is a reorganization
of supply machinery in the military departments. These studies of the
organization of the military departments have my full support.
One other area for improved effectiveness is civilian and military
personnel management. In this area certain specialized studies and
actions are desirable. Accordingly, I have directed the Secretary of
Defense to organize a study of the problems of attracting and holding
competent career personnel -- civilian and military -- in the Department
of Defense. As a part of this study, an examination of the Officer
Personnel Act of 1947 and its practical administration will be
undertaken to see if any changes are needed. I am directing that this
study also include a review of statutes governing the retirement of
military officers aimed at eliminating those undesirable provisions
which force the early retirement of unusually capable officers who are
willing to continue on active service.
The Secretary of Defense, with my approval, is issuing revised orders
relating to the preparing and signing of efficiency reports for military
personnel who serve full time in the Office of the Secretary, and new
instructions to the military departments to guide selection boards in
their operations. These actions are aimed at giving full credit to
military officers serving in the Office of the Secretary of Defense for
their work for the Department of Defense as a whole. Henceforth,
civilian officials who have military officers detailed to their offices
on a full-time basis will be responsible for filling out and signing the
formal efficiency reports for such officers for the period of such
service. In the case of officers serving in the Office of the Secretary
of Defense, no other efficiency reports for such service will be
maintained. The Secretary of each military department is being
instructed to direct the boards convened in his department for the
selection of military officers for promotion, to give the same weight to
service in the Office of the Secretary of Defense and the efficiency
reports from that Office as to service in the military department staff
and to efficiency reports of departmental officers. These actions are
desirable in order to reward military officers equally for service on
behalf of the Department of Defense and service on the staff of a
military department.
These actions and others which will be undertaken are aimed at a more
effective and efficient Department of Defense; indeed, actions toward
this objective will be continuous.
The impact of all these measures will be felt through the whole
structure of the Department of Defense, its utilization of millions of
personnel and billions of dollars. A simple token testimony to this is
this fact: in the Office of the Secretary of Defense alone a staff
reduction of approximately 500 persons will be effected.
Our third broad objective is to improve our machinery for strategic
planning for national security. Certain actions toward this end may be
taken administratively to improve the organization and procedures within
the Department of Defense. Other changes are incorporated in the
reorganization plan transmitted to the Congress today.
The Joint Chiefs of Staff, as provided in the National Security Act
of 1947, are not a command body but are the principal military advisers
to the President, the National Security Council, and the Secretary of
Defense. They are responsible for formulating the strategic plans by
which the United States will cope with the challenge of any enemy. The
three members of the Joint Chiefs of Staff who are the military chiefs
of their respective services are responsible to their Secretaries for
the efficiency of their services and their readiness for war.
These officers are clearly overworked, and steps must be devised to
relieve them of time-consuming details of minor importance. They must
be encouraged to delegate lesser duties to reliable subordinate
individuals and agencies in both the Joint Chiefs of Staff structure and
in their military-department staffs. One of our aims in making more
effective our strategic planning machinery, therefore, is to improve the
organization and procedures of the supporting staff of the Joint Chiefs
of Staff so that the Chiefs, acting as a body, will be better able to
perform their roles as strategic planners and military advisers.
Our military plans are based primarily on military factors, but they
must also take into account a wider range of policy and economic
factors, as well as the latest developments of modern science.
Therefore, our second aim in assuring the very best strategic planning
is to broaden the degree of active participation of other persons and
units at the staff level in the consideration of matters before the
Joint Chiefs of Staff and to bring to bear more diversified and expert
skills.
The reorganization plan transmitted to the Congress today is designed
-- without detracting from the military advisory functions of the Joint
Chiefs of Staff as a group -- to place upon the Chairman of the Joint
Chiefs of Staff greater responsibility for organizing and directing the
subordinate structure of the Joint Chiefs of Staff in such a way as to
help the Secretary of Defense and the Joint Chiefs of Staff discharge
their total responsibilities.
Specifically, the reorganization plan makes the Chairman of the Joint
Chiefs of Staff responsible for managing the work of the Joint Staff and
its Director. The Joint Staff is, of course, a study-and-reporting body
serving the Joint Chiefs of Staff. The plan makes the service of the
Director of the Joint Staff subject to the approval of the Secretary of
Defense. It also makes the service of officers on the Joint Staff
subject to the approval of the Chairman of the Joint Chiefs of Staff.
These new responsibilities of the Chairman are in consonance with his
present functions of serving as the presiding officer of the Joint
Chiefs of Staff, providing agenda for meetings, assisting the Joint
Chiefs of Staff to perform their duties as promptly as practicable, and
keeping the Secretary of Defense and the President informed of issues
before the Joint Chiefs of Staff. In addition, the proposed changes
will relieve the Joint Chiefs of Staff, as a body, of a large amount of
administrative detail involved in the management of its subordinate
committee and staff structure.
In support of our second aim, broadened participation in strategic
planning, the Secretary of Defense will direct the Chairman of the Joint
Chiefs of Staff to arrange for the fullest cooperation of the Joint
Staff and the subcommittees of the Joint Chiefs of Staff with other
parts of the Office of the Secretary of Defense in the early stages of
staff work on any major problem. If necessary, to aid in this
additional burden, an Assistant or Deputy Director of the Joint Staff
will be designated to give particular attention to this staff
collaboration. Thus, at the developmental stages of important staff
studies by the subordinate elements of the Joint Chiefs of Staff, there
will be a proper integration of the views and special skills of the
other staff agencies of the Department, such as those responsible for
budget, manpower, supply, research, and engineering. This action will
assure the presentation of improved staff products to the Joint Chiefs
of Staff for their consideration.
Also, special attention will be given to providing for the
participation of competent civilian scientists and engineers within the
substructure of the Joint Chiefs of Staff. Such participants will be
able to contribute a wide range of scientific information and knowledge
to our strategic planning.
Only by including outstanding civilian experts in the process of
strategic planning can our military services bring new weapons rapidly
into their established weapons systems, make recommendations with
respect to the use of new systems of weapons in the future war plans,
and see that the whole range of scientific information and knowledge of
fundamental cost factors are taken into account in strategic planning.
Taken together, the changes included in the reorganization plan and
the several administrative actions should go a long way toward improving
the strategic planning machinery of the Joint Chiefs of Staff, and lead
to the development of plans based on the broadest conception of the
overall national interest rather than the particular desires of the
individual services.
I transmit herewith Reorganization Plan No. 6 of 1953, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganizations in the Department of Defense.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 6 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I have found and hereby declare that it is necessary to include in
the accompanying reorganization plan, by reason of reorganizations made
thereby, provisions for the appointment and compensation of six
additional Assistant Secretaries of Defense and a General Counsel of the
Department of Defense. The rates of compensation fixed for these
officers are those which I have found to prevail in respect to
comparable officers in the executive branch of the Government.
The statutory authority for the exercise of the function of guidance
to the Munitions Board in connection with strategic and logistic plans,
abolished by section 2(d) of the reorganization plan, is section 213(c)
of the National Security Act of 1947, as amended.
The taking effect of the reorganizations included in Reorganization
Plan No. 6 of 1953 is expected to result in a more effective,
efficient, and economical performance of functions in the Department of
Defense. It is impracticable to specify or itemize at this time the
reduction of expenditures which it is probable will be brought about by
such taking effect.
The Congress is a full partner in actions to strengthen our Military
Establishment. Jointly we must carry forward a sound program to keep
America strong. The Congress and the President, acting in their proper
spheres, must perform their duties to the American people in support of
our highest traditions. Should, for any reason, the national military
policy become a subject of partisan politics, the only loser would be
the American people.
We owe it to all the people to maintain the best Military
Establishment that we know how to devise. There are none, however, to
whom we owe it more than the soldiers, the sailors, the marines, and the
airmen in uniform whose lives are pledged to the defense of our freedom.
Dwight D. Eisenhower.
The White House, April 30, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1953
05 USC REORGANIZATION PLAN NO. 7 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1953
Reorg. Plan No. 7 of 1953, 18 F.R. 4541, 67 Stat. 639, which
established the Foreign Operations Administration and transferred
certain functions to the Director, including functions of the Director
for Mutual Security, was repealed by Pub. L. 87-195, pt. III,
642(a)(1), Sept. 4, 1961, 75 Stat. 460.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
05 USC REORGANIZATION PLAN NO. 8 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
amended act June 28, 1955, ch. 189, 12(c)(21), 69
Stat. 183; Reorg. Plan No. 2 of 1977, 9(b), eff.
Oct. 11, 1977, 42 F.R. 62461, 91 Stat. 1639
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 1, 1953, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Establishment of Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
(Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11, 1977, 42
F.R. 62461, 91 Stat. 1639. Section was amended by act June 28, 1955, ch.
189, 12(c)(21), 69 Stat. 183 and related to the establishment of the
United States Information Agency.)
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
(a) Subject to subsection (c) of this section, there are hereby
transferred to the Director (1) the functions vested in the Secretary of
State by Title V of the United States Information and Educational
Exchange Act of 1948, as amended (22 U.S.C. 1461, 1462), and so much of
functions with respect to the interchange of books and periodicals and
aid to libraries and community centers under sections 202 and 203 of the
said Act (22 U.S.C. 1447, 1448) as is an integral part of information
programs under that Act (22 U.S.C. 1431-1479), together with so much of
the functions vested in the Secretary of State by other provisions of
the said Act (22 U.S.C. 1431 to 1479) as is incidental to or is
necessary for the performance of the functions under Title V and
sections 202 and 203 transferred by this section, and (2) (Superseded.
Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11, 1977, 42 F.R. 62461, 91
Stat. 1639. Paragraph related to functions of the Secretary of State
with respect to information programs relating to Germany and Austria.)
(b) (Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11,
1977, 42 F.R. 62461, 91 Stat. 1639. Subsection related to the transfer
to the Director of functions vested in the Director for Mutual Security
by the Mutual Security Act of 1951, as amended, act Oct. 10, 1951, ch.
479, 65 Stat. 373, which related to foreign information programs, as
provided for in 22 U.S.C. 1652.
(c)(1) The Secretary of State shall direct the policy and control the
content of a program, for use abroad, on official United States
positions, including interpretations of current events, identified as
official positions by an exclusive descriptive label.
(2) The Secretary of State shall continue to provide to the Director
on a current basis full guidance concerning the foreign policy of the
United States.
(3) (Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11,
1977, 42 F.R. 62461, 91 Stat. 1639. Paragraph provided that nothing in
subsec. (c) of this section was to affect the functions of the Secretary
of State with respect to conducting negotiations with other
governments.)
(d) To the extent the President deems it necessary in order to carry
out the functions transferred by the foregoing provisions of this
section, he may authorize the Director to exercise, in relation to the
respective functions so transferred, any authority or part thereof
available by law, including appropriation acts, to the Secretary of
State, the Director for Mutual Security, or the Director of the Foreign
Operations Administration, in respect of the said transferred functions.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
(Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11, 1977, 42
F.R. 62461, 91 Stat. 1639. Section related to the performance of
transferred functions.)
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
(Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11, 1977, 42
F.R. 62461, 91 Stat. 1639. Section related to incidental transfers.)
05 USC Sec. 5. Interim Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
(Superseded. Reorg. Plan No. 2 of 1977, 9(b), eff. Oct. 11, 1977, 42
F.R. 62461, 91 Stat. 1639. Section related to interim provisions.)
(The United States Information Agency was abolished and replaced by
the International Communication Agency pursuant to Reorg. Plan No. 2 of
1977, 42 F.R. 62461, 91 Stat. 1636, effective on or before July 1, 1978,
at such time as specified by the President. The International
Communication Agency was redesignated the United States Information
Agency by section 303 of Pub. L. 97-241, title III, Aug. 24, 1982, 96
Stat. 291, set out as a note under 22 U.S.C. 1461.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 8 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 8 of 1953, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for the reorganization of foreign information functions. My
reasons for proposing this plan are stated in another message
transmitted to the Congress today.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 8 of 1953 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I have also found
and hereby declare that it is necessary to include in the accompanying
reorganization plan, by reason of reorganizations made thereby,
provisions for the appointment and compensation of officers specified in
section 1 of the plan. The rates of compensation fixed for these
officers are, respectively, those which I have found to prevail in
respect of comparable officers in the executive branch of the
Government.
I expect that the improved organizational arrangement provided for in
Reorganization Plan No. 8 of 1953 will lead to substantial economies
and significantly improved effectiveness of administration. It is not
practicable, however, to itemize at this time the reductions in
expenditures which will probably be brought about by the taking effect
of the reorganizations included in the reorganization plan.
Dwight D. Eisenhower.
The White House, June 1, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1953
05 USC REORGANIZATION PLAN NO. 9 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1953
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 1, 1953, pursuant to the
provisions of the Reorganization Act of 1949, approved June 20, 1949, as
amended (see 5 U.S.C. 901 et seq.).
The functions vested in the Council of Economic Advisers by section
4(b) of the Employment Act of 1946 (60 Stat. 24) (15 U.S.C. 1023(b)),
and so much of the functions vested in the Council by section 4(c) of
that Act (15 U.S.C. 1023(c)) as consists of reporting to the President
with respect to any function of the Council under the said section 4(c)
(15 U.S.C. 1023(c)), are hereby transferred to the Chairman of the
Council of Economic Advisers. The position of Vice Chairman of the
Council of Economic Advisers, provided for in the last sentence of
section 4(a) of the said Act (15 U.S.C. 1023(a)), is hereby abolished.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 9 OF 1953
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 9 of 1953, prepared in
accordance with the Reorganization Act of 1949, as amended and providing
reorganizations in the Council of Economic Advisers in the Executive
Office of the President.
The legislative history of the Employment Act of 1946 makes it clear
that it is the determination of the Congress to help develop a strong
economy in the United States. A strong economy is necessary to preserve
the peace, to build our defenses and those of the free world, to raise
the living standards of our people, and to stimulate trade and industry
in friendly countries throughout the world.
A strong economy means a free economy -- with full opportunities for
the exercise of initiative and enterprise on the part of all
individuals.
It means a stable economy -- so that satisfying jobs are as numerous
as the men and women seeking work, and the production of goods is
abundant to meet our needs.
It means an expanding economy -- in which workers, managers, and
farmers, using more and better tools, constantly increase the output of
useful products and services and receive steadily rising incomes in a
dollar of stable value.
It means a humane economy -- to the end that the aged, infirm, and
those suffering hardships receive every needed help.
The achievement and preservation of a strong economy -- an economy
that is progressive as well as competitive, an economy that remains free
from the distortions of inflation and the ravages of depression, an
economy that forms the solid foundation for the flourishing of our
democratic, social, and political institutions -- is everybody's job.
Workers, businessmen, bankers, farmers, housewives -- all have an
important role to play. The Federal Government, too, shares in this
vital task. For example, the duties of the President require that he be
fully informed of major economic trends and activities in order to
recommend proper measures for the consideration of the Congress, and to
take into account economic realities in seeing that the laws be
faithfully executed.
It is well that the Congress has declared in the Employment Act of
1946, the continuing policy and responsibility of the Federal Government
to coordinate and utilize all its plans, functions, and resources for
the purpose of creating and maintaining, consistently with free
competitive enterprise and the general welfare, employment opportunities
for all. That act dedicates the Federal Government to the promotion of
maximum employment, production, and purchasing power.
To assist in carrying out those purposes, the Congress provided for
the establishment of the Council of Economic Advisers in the Executive
Office of the President to make appropriate recommendations to the
President and to assist in the preparation of his annual economic report
to the Congress.
I believe in the basic principles of the Employment Act, and it is my
purpose to take the appropriate actions to reinvigorate and make more
effective the operations of the Council of Economic Advisers. Our needs
for proper advice on economic matters are equaled only by our needs to
have the very best advice and planning on matters of national security.
In taking these actions, I have the benefit of the study and work of
the Economic Adviser to the President recently provided by the Congress.
The Economic Adviser has reviewed the past operations of the Council of
Economic Advisers and has recommended to me a series of actions aimed at
making it more fully effective in performing its statutory duties.
Accordingly, I intend to appoint a full membership of three members
to the Council of Economic Advisers and to recommend to the Congress
that adequate funds be appropriated to operate the Council as a fully
going unit capable of providing the kind of economic staff work
required.
The accompanying reorganization plan provides changes which
strengthen the internal administration of the Council and clarify its
relationships with the President.
To achieve the first objective -- strengthened internal
administration -- the reorganization plan will make the Chairman of the
Council, rather than the whole Council, responsible for certain
administrative functions of the Council. Because the Council is
essentially an advisory body, these administrative functions relate
principally to managing the staff employed to assist the Council.
Placing the Chairman in a position to perform these functions will
obtain the benefits of single management of the staff. To make possible
such an arrangement, the accompanying reorganization plan transfers to
the Chairman the functions vested in the Council of Economic Advisers by
section 4(b) of the Employment Act, which relate to employing the staff
and other necessary specialists and consultants to work for the Council.
To further the other objective -- a clearer relationship with the
President -- the reorganization plan transfers to the Chairman the
function of reporting to the President on the activities of the Council.
This change will improve and simplify the relationship of the Council
to the President and enable the President to deal with the Council more
directly through the Chairman.
The increased responsibilities placed upon the Chairman by this plan
would, in my judgment, make it appropriate for the Congress to take
action to increase the compensation of the Chairman.
The reorganization plan provides for the elimination of the Vice
Chairman of the Council of Economic Advisers, whose designation is
provided for in the last sentence of section 4(a) of the Employment Act
of 1946. The objective of this step is to place the members of the
Council, other than the Chairman, in an equal status. I shall make
provision for one of the members of the Council, other than the
Chairman, to act as Chairman of the Council on such occasions as
necessity may arise therefor.
In order to make the work of the Council of Economic Advisers more
effective at the top policy level of the executive branch, I am also
asking the heads of several departments and agencies, or the
representatives they may designate, to serve as an Advisory Board on
Economic Growth and Stability, under the chairmanship of the Chairman of
the Council of Economic Advisers. At all times, close liaison must be
maintained by the Council with all departments and agencies, and with
interdepartmental committees, especially the National Advisory Council
on International Monetary and Financial Problems.
It is contemplated that the Advisory Board on Economic Growth and
Stability, supported by the existing staffs of the various departments
and agencies, will meet frequently, and through its Chairman will keep
me closely informed about the state of the national economy and the
various measures necessary to aid in maintaining a stable prosperity.
Because of the complexity of our economy and the variety of views
regarding its problems, I shall expect the new Council of Economic
Advisers to seek advice energetically not only from the departments and
agencies of the Federal Government but also from representatives of
industry, agriculture, labor, consumers, and other groups concerned with
economic matters, from representatives of State and local governments,
and from universities. I want the best economic thinking in the country
to be canvassed by the Council. Through advisory groups, through the
employment of expert consultants, and through informal relationships
with informed citizens the Council will make use of economic talent
wherever it may be.
I deem it especially significant that the Congress has provided in
the Employment Act for the Joint Committee on the Economic Report,
composed of Members of both Houses of the Congress, to study matters
relating to the economic report and to make recommendations to the two
Houses for legislation. I expect to impress upon the Council of
Economic Advisers the importance which I attach to the fullest
cooperation of the Council with the Joint Committee to assist the Joint
Committee in its important tasks.
After investigation I have found and hereby declare that each
reorganization included in the accompanying reorganization plan is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
The taking effect of the reorganizations included in the accompanying
reorganization plan is expected to result in a more effective
performance of the statutory functions of the Council of Economic
Advisers and to provide the President with better advice upon economic
matters. It is impracticable to specify or itemize at this time any
reduction of expenditures which it is probable will be brought about by
the taking effect of this reorganization plan.
The reorganization plan will make the Federal Government better able
to carry out its responsibilities to the American people to foster a
strong, free, and prosperous economy so that we may all enjoy an
ever-rising standard of living. I urge the Congress to permit the
reorganization plan to become effective.
Dwight D. Eisenhower.
The White House, June 1, 1953.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1953
05 USC REORGANIZATION PLAN NO. 10 OF 1953
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 10 OF 1953
Reorg. Plan No. 10 of 1953, 18 F.R. 4543, 67 Stat. 644, which
authorized payments to air carriers, was repealed by Pub. L. 85-726,
title XIV, 1401(c), Aug. 23, 1958, 72 Stat. 806.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
05 USC REORGANIZATION PLAN NO. 1 OF 1954
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 29, 1954, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Establishment of Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
There is hereby established the Foreign Claims Settlement Commission
of the United States, hereinafter referred to as the Commission. The
Commission shall be composed of three members, who shall each be
appointed by the President by and with the advice and consent of the
Senate, hold office during the pleasure of the President, and receive
compensation at the rate of $15,000 per annum. The President shall from
time to time designate one of the members of the Commission as the
Chairman of the Commission, hereinafter referred to as the Chairman.
Two members of the Commission shall constitute a quorum for the
transaction of the business of the Commission.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
(a) All functions of the War Claims Commission and of the members,
officers, and employees thereof are hereby transferred to the Foreign
Claims Settlement Commission of the United States.
(b) All functions of the International Claims Commission of the
United States (hereinafter referred to as the International Claims
Commission) and of the members, officers, and employees thereof are
hereby transferred to the Foreign Claims Settlement Commission of the
United States.
(c) The functions of the Secretary of State and of the Department of
State with respect to the International Claims Commission and its
affairs, exclusive of the functions of the said Secretary and Department
under sections 3(c), 4(b), and 5, and the first sentence of section
8(d), of the International Claims Settlement Act of 1949, 64 Stat. 12,
as amended (22 U.S.C. 1622(c), 1623(b), 1624 and 1627(d)), are hereby
transferred to the Commission.
(d) The functions of the Commissioner provided for in the Joint
Resolution approved August 4, 1939, ch. 421, 53 Stat. 1199, together
with the functions of the Secretary of State under section 2 thereof,
are hereby transferred to the Commission.
05 USC Sec. 3. Certain Functions of Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
There are hereby vested in the Chairman all functions of the
Commission with respect to the internal management of the affairs of the
Commission, including but not limited to functions with respect to: (a)
the appointment of personnel employed under the Commission, (b) the
direction of employees of the Commission and the supervision of their
official activities, (c) the distribution of business among employees
and organizational units under the Commission, (d) the preparation of
budget estimates, and (e) the use and expenditure of funds of the
Commission available for expenses of administration.
05 USC Sec. 4. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
(a) The War Claims Commission, provided for in the War Claims Act of
1948, 62 Stat. 1240, as amended (50 App. U.S.C. 2001-2013), and the
International Claims Commission, provided for in the International
Claims Settlement Act of 1949, as amended (22 U.S.C. 1621-1627),
including the offices of the members of each of the said Commissions,
and the office of Commissioner provided for in the aforesaid Joint
Resolution of August 4, 1939, are hereby abolished.
(b) The functions of the Secretary of State under the third and
fourth sentences of section 3(c) of the International Claims Settlement
Act of 1949, as amended (22 U.S.C. 1622(c)), are hereby abolished.
05 USC Sec. 5. Authorization To Delegate
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
The Commission is hereby authorized to delegate any of its functions
to one or more persons designated by the Commission from among the
members of the Commission and the officers and employees serving under
the Commission.
05 USC Sec. 6. Transitional Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
(a) Any person who is a member or acting member of the War Claims
Commission or of the International Claims Commission immediately prior
to the taking effect of the provisions of this reorganization plan may
be designated by the President as an acting member of the Foreign Claims
Settlement Commission of the United States in respect of an office of
member the initial appointment to which has not then been made under
section 1 of this reorganization plan. Each such acting member of the
said Foreign Claims Settlement Commission shall perform the duties and
receive the compensation of member. Unless sooner terminated, the
tenure of any acting member designated hereunder shall terminate when
the office of member concerned is filled in pursuance of section 1
hereof, or 120 days after the effective date of this reorganization
plan, whichever is earlier.
(b) The Chairman shall make such provisions as may be necessary with
respect to winding up any affairs of the agencies abolished by the
provisions of this reorganization plan not otherwise provided for
herein.
(c) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, held,
used, available, or to be made available, in connection with the
functions transferred by section 2 of this reorganization plan as the
Director of the Bureau of the Budget shall determine shall be
transferred to the Commission at such time or times as the said Director
shall direct.
(d) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided for in subsection (c) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
05 USC Sec. 7. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
The provisions of this reorganization plan shall take effect on the
date determined under section 6(a) of the Reorganization Act of 1949, as
amended or the first day of July 1954, whichever is later.
(For provisions transferring the Foreign Claims Settlement Commission
of the United States as a separate agency within the Department of
Justice, see 22 U.S.C. 1622a et seq.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1954
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1954, prepared in
accordance with the Reorganization Act of 1949, as amended.
The reorganization plan establishes a new Government agency, the
Foreign Claims Settlement Commission of the United States; transfers to
that Commission the functions of the War Claims Commission and of the
International Claims Commission of the United States; and abolishes the
latter two Commissions.
The Foreign Claims Settlement Commission will be composed of three
members appointed by the President by and with the advice and consent of
the Senate. The President will designate one of the members as Chairman
of the Commission. The Chairman will be responsible for the internal
management of the affairs of the Commission. The reorganization plan
contains provisions designed to assure smooth administration of
functions during the period of transition to the new organization.
The War Claims Commission was created as a temporary agency by the
War Claims Act of 1948. The Commission was made responsible for
settling certain claims of former United States World War II prisoners
of war, civilian internees captured or in hiding to avoid capture in the
Philippines, Guam, Wake Island, and the Midway Islands, and certain
religious organizations in the Philippines which had aided American
forces during the war. In 1952, the Commission was assigned,
additionally, the administration of claims of Philippine religious
organizations which sustained losses of their educational, medical, and
welfare facilities in the war, and of benefits to United States
prisoners of war for inhumane treatment during internment by the enemy.
From its inception in 1949 to April 1, 1954, approximately 500,000
claims were filed with the War Claims Commission, and approximately $134
million was paid to claimants. Approximately 96,000 remaining claims
are in the process of settlement, and the Commission must complete
action on them, together with such appeals as may be filed, by March 31,
1955.
The International Claims Commission was established within the
Department of State by the International Claims Settlement Act of 1949.
Its immediate function was to adjudicate claims covered by a settlement
of $17 million which was deposited with the Government of the United
States by the Yugoslav Government primarily to compensate our nationals
for losses sustained through nationalization of properties. The act
also authorized the Commission to settle such claims as might be
included later in any similar agreement between the United States and a
foreign government. Subsequently, the Commission was assigned the
administration of a $400,000 settlement negotiated with the Government
of Panama.
From its establishment in 1950 to April 1, 1954, the International
Claims Commission has settled 531 claims out of a total of 1,622 filed.
Of this total, 1,555 claims were against Yugoslavia and 67 were against
Panama. Under the act, settlement of the remaining Yugoslav claims must
be completed by December 31, 1954.
The accompanying reorganization plan has substantial potential
advantages. The Foreign Claims Settlement Commission will be able to
administer any additional claims programs financed by funds derived from
foreign governments without the delay which has often characterized the
initiation of past programs. Moreover, the use of an existing agency
will be more economical than the establishment of a new commission to
administer a given type of foreign claims program. Consolidation of the
affairs of the two present Commissions will also permit the retention
and use of the best experience gained during the last several years in
the field of claims settlement. The declining workload of current
programs can be meshed with the rising workload of new programs with
maximum efficiency and effectiveness.
A proposed new claims program now pending before the Senate would
provide benefits similar to those paid to World War II victims under the
War Claims Act for losses and internments resulting from hostilities in
Korea. The executive branch of the Government has recommended approval
of this program by the Congress. I now suggest that this program be
assigned by law to the Foreign Claims Settlement Commission.
There should also be assigned to this new Commission the settlement
of such of the claims programs as may be authorized from among those
recommended by the War Claims Commission in its report made pursuant to
section 8 of the War Claims Act. That report, posing many complex
policy, legal, and administrative problems, is now being reviewed by
executive agencies; and recommendations will soon be sent to the
Congress.
By peace treaties and an international agreement, the United States
has acquired the right to utilize certain external assets and settlement
funds of several countries. A total of about $39 million is available
to indemnify claims of United States nationals against the Governments
of Rumania, Hungary, Bulgaria, and Italy, arising out of war damage or
confiscations in those countries. In addition, claims growing out of
United States losses from default on obligations and nationalization of
properties may be settled by awards from $9 million realized from an
agreement made in 1933 with the Soviet Union, known as the Litvinov
assignment. Action by the Congress is necessary before these various
funds may be assigned for settlement, and recommendations of the
executive branch in this connection will be transmitted at an early
date.
In addition to the reorganizations I have described, the
reorganization plan transfers to the Foreign Claims Settlement
Commission the functions of the Commissioner provided for in the joint
resolution of August 4, 1939. These functions involve the receipt and
administration of claims covered by the Litvinov assignment. The office
of Commissioner, for which funds have never been appropriated and which
has never been filled, is abolished.
The reorganization plan does not transfer the war claims fund or the
Yugoslav claims fund from the Department of the Treasury, or divest the
Secretary of the Treasury of any functions under the War Claims Act of
1948, as amended, or under the International Claims Settlement Act of
1949, as amended. It does not limit the responsibility of the Secretary
of State with respect to the conduct of foreign affairs. The
reorganizations contained in the reorganization plan will not prejudice
any interest or potential interest of any claimant.
After investigation, I have found and hereby declare that each
reorganization included in the accompanying reorganization plan is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended (section 133z(a) of
this title). I have also found and hereby declare that it is necessary
to include in the accompanying reorganization plan, by reason of
reorganizations made thereby, provisions for the appointment and
compensation of officers specified in section 1 of the plan. The rate
of compensation fixed for each of these officers is that which I have
found to prevail in respect of comparable officers in the executive
branch of the Government.
The statutory citation for certain functions of the Secretary of
State with respect to the International Claims Commission which are
abolished by the reorganization plan, is the third and fourth sentences
of section 3(c) of the International Claims Settlement Act of 1949 (64
Stat. 13), as amended.
It is at this time impracticable to specify the reductions of
expenditures which it is probable will be brought about by the taking
effect of the reorganizations contained in the plan.
Reorganization Plan No. 1 of 1954 provides a single agency for the
orderly completion of present claims programs. In addition, it provides
an effective organization for the settlement of future authorized claims
programs by utilizing the experience gained by present claims agencies.
It provides unified administrative direction of the functions concerned,
and it simplifies the organizational structure of the executive branch.
I urge that the Congress allow the reorganization plan to become
effective.
Dwight D. Eisenhower.
The White House, April 29, 1954.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
05 USC REORGANIZATION PLAN NO. 2 OF 1954
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 29, 1954, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
The functions of the Reconstruction Finance Corporation (hereinafter
referred to as the Corporation) with respect to the following-described
matters, together with the functions of the Secretary of the Treasury
under section 10 of the Reconstruction Finance Corporation Act, as
amended (15 U.S.C. 609), and under the Reconstruction Finance
Corporation Liquidation Act (act July 30, 1953, ch. 282, title I,
101-108, 67 Stat. 230), with respect to the said matters, are hereby
transferred as follows:
(a) There are transferred to the Export-Import Bank of Washington the
said functions relating to:
(1) The loan made by the Corporation to the Republic of the
Philippines under section 3 of the Joint Resolution of August 7, 1946,
ch. 811, 60 Stat. 902 (15 U.S.C. 606b-5).
(2) The loans made by the Corporation to the Government of Ecuador
and the Newfoundland Railway of St. Johns, Newfoundland.
(3) The capital stock of the Banco de Borracha (now known as the
Amazon Credit Bank, Belem, Brazil).
(4) All foreign bonds and securities acquired by the Corporation in
the liquidation of its lending programs.
(b) There are transferred to the Small Business Administration the
said functions relating to loans made by the Corporation to victims of
floods or other catastrophes.
(c) There are transferred to the Federal National Mortgage
Association the said functions relating to mortgages held by the
Corporation which were made or acquired under the authority of the RFC
Mortgage Company or the Defense Homes Corporation.
05 USC Sec. 2. Transfer of Incidental Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
There are hereby transferred to each transferee agency so much of the
functions of the Corporation, and so much of the functions of the
Secretary of the Treasury under section 10 of the Reconstruction Finance
Corporation Act, as amended (15 U.S.C. 609), and under the
Reconstruction Finance Corporation Liquidation Act (act July 30, 1953,
ch. 282, title I, 101-108, 67 Stat. 230), as is incidental to, or
necessary for, the performance by the transferee agency of the functions
specified in section 1(a), (b), or (c) hereof, as the case may be,
including, in respect of the functions specified in sections 1(a)(1),
1(b), and 1(c) hereof, the authority to issue notes or other obligations
to the Secretary of the Treasury, which may be purchased by the
Secretary, under section 7 of the Reconstruction Finance Corporation
Act, as amended (15 U.S.C. 606), and the duty of making payments on such
notes or obligations issued by or transferred to the transferee agency
hereunder.
05 USC Sec. 3. Transfer of Assets; Miscellaneous Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
(a) The loans, bonds, securities, mortgages, and capital stock
referred to in section 1 of this reorganization plan, together with
accrued interest thereon, property acquired in connection therewith, and
contracts and other instruments pertaining thereto, are hereby
transferred from the Corporation to the respective transferee agencies.
(b) In addition to the transfers made by section 3 (a), above, there
shall be transferred to each transferee agency so much as the Director
of the Bureau of the Budget shall determine to be appropriate by reason
of transfers made by sections 1, 2, and 3(a) of this reorganization plan
of the property, personnel, records, liabilities and commitments of the
Corporation and of the authorizations, allocations, and funds available
or to be made available to the Corporation or the Treasury Department.
(c) Such further measures and dispositions as the Director of the
Bureau of the Budget shall determine to be necessary in order to
effectuate the transfers provided for in sections 3(a) and 3(b), above,
shall be carried out in such manner and by such agencies as the Director
shall direct.
05 USC Sec. 4. Definition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
As used in this reorganization plan, the term ''transferee agencies''
means the Export-Import Bank of Washington, the Small Business
Administration, and the Federal National Mortgage Association.
05 USC Sec. 5. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
The provisions of this reorganization plan shall take effect at the
time determined under the provisions of section 6(a) of the
Reorganization Act of 1949, as amended or at the close of June 30, 1954,
whichever is later, and shall be effective notwithstanding any
heretofore enacted provisions of law transferring the duty of completing
the liquidation of the assets and the winding up of the affairs of the
Corporation.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1954
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1954, prepared in
accordance with the Reorganization Act of 1949, as amended. The
reorganization plan assigns to appropriate agencies the liquidation of
certain affairs of the Reconstruction Finance Corporation.
First, the reorganization plan transfers to the Export-Import Bank of
Washington loans made to foreign financial institutions and to foreign
governments, including a loan to the Republic of the Philippines; all
foreign bonds and securities acquired in the liquidation of Corporation
lending programs; and functions with respect to the liquidation of
those assets. The bank is this Government's principal instrument for
the administration of similar matters and can readily integrate the
liquidation of the transferred assets with its other activities in the
field of foreign finance.
Second, the reorganization plan transfers to the Small Business
Administration loans made by the Reconstruction Finance Corporation to
victims of floods or other catastrophes, together with the function of
liquidating those loans. The Small Business Administration is
responsible for a similar loan program. Thus, by this transfer, related
activities are concentrated in a single agency for effective
administration.
Third, the reorganization plan transfers to the Federal National
Mortgage Association, in the Housing and Home Finance Agency, real
estate mortgages made or acquired under the authority of the RFC
Mortgage Company and the Defense Homes Corporation, and the function of
liquidating these assets. The Association is responsible under its
basic authority for the servicing, liquidation, and sale of the bulk of
residential real estate mortgages held by the Government of the United
States. Through its field offices, the Association maintains continuous
relationships with lending and investing institutions specializing in
home financing. It is, therefore, the Federal agency best situated to
liquidate the assets of a similar type transferred to it by the
reorganization plan.
Under existing authority, the completion of the liquidation of the
assets and the winding up of the affairs of the Reconstruction Finance
Corporation will be carried out under the direction of the Secretary of
the Treasury after the succession of the Corporation expires on June 30,
1954. The reorganization plan modifies that arrangement by placing
responsibility for the completion of each of the activities described
above under the jurisdiction of an agency responsible for a similar
continuing program. Thus, the reorganization plan facilitates the
orderly and expeditious liquidation of the affairs of the Corporation.
It is not, however, practicable at this time to specify the
reductions of expenditures which it is probable will be brought about by
the taking effect of the reorganizations contained in the plan.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1954 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I urge that the Congress allow the reorganization plan to become
effective.
Dwight D. Eisenhower.
The White House, April 29, 1954.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
05 USC REORGANIZATION PLAN NO. 1 OF 1957
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 29, 1957, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Definitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
As used in this reorganization plan:
(a) The term ''Corporation'' means the Reconstruction Finance
Corporation.
(b) The term ''remaining functions'' means (1) all functions of the
Corporation, (2) except as otherwise provided in subsections (b) and (c)
of section 6 of this reorganization plan, all functions of the Secretary
of the Treasury under section 10 of the Reconstruction Finance
Corporation Act, as amended (15 U.S.C. 609), and (3) all functions of
the Secretary of the Treasury under sections 102 and 106(b) of the
Reconstruction Finance Corporation Liquidation Act (67 Stat. 230, 231),
as amended (15 U.S.C. 609 note).
(c) The term ''transferees'' means the Housing and Home Finance
Administrator, the Administrator of General Services, the Administrator
of the Small Business Administration, and the Secretary of the Treasury.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
(a) There are hereby transferred to the Housing and Home Finance
Administrator the remaining functions with respect to or arising out of
(1) the securities and obligations of, loans made to, and contracts or
other agreements with, States, municipalities, political subdivisions
thereof, public agencies, boards, commissions or other public bodies,
and (2) loans, securities and obligations acquired in connection with
programs of financial assistance for drainage and irrigation projects.
(b) There are hereby transferred to the Administrator of General
Services the remaining functions with respect to or arising out of (1)
the affairs of the Smaller War Plants Corporation which were transferred
to the Corporation pursuant to Executive Order No. 9665 of December 27,
1945 (11 F.R. 3) and section 207 of Public Law 132 -- 80th Congress (61
Stat. 209), (2) the national defense, war and reconversion activities
with respect to which notes of the Corporation were cancelled pursuant
to the provisions of Title II of Public Law 860 -- 80th Congress (62
Stat. 1187), and (3) activities of the RFC Price Adjustment Board and
the functions transferred to the Corporation by Executive Order No.
9841 of April 23, 1947 (12 F.R. 2645).
(c) Except as otherwise provided in sections 2(d)(1) and 2(d)(2) of
this reorganization plan (relating to financial assistance to railroads,
etc., and to Schedule A hereto annexed), there are hereby transferred to
the Administrator of the Small Business Administration the remaining
functions with respect to or arising out of programs of financial
assistance to business enterprises and to victims of floods or other
disasters.
(d) There are hereby transferred to the Secretary of the Treasury all
functions of the Corporation not otherwise transferred by the provisions
of this reorganization plan, including, but not limited to, all
functions of the Corporation with respect to or arising out of (1)
programs of financial assistance to railroad companies, financial
institutions, and insurance companies, (2) the obligations and loans
listed in Schedule A hereto annexed, and (3) the War Damage Corporation.
(e) The foregoing transfers include the transfer to each transferee,
for use in executing his respective functions thereunder, of the powers,
authority, rights, and immunities now vested in or available or
applicable to the Corporation for carrying out the functions transferred
to the transferee under this reorganization plan.
05 USC Sec. 3. Transfer of Assets and Liabilities
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
The loans, obligations, securities, capital stock, and other assets
pertaining to the functions transferred by section 2 of this
reorganization plan (including accrued interest thereon, and property
acquired in connection therewith) and the liabilities, contracts, bonds,
mortgages, notes and other instruments relating thereto are hereby
transferred from the Corporation to the respective transferees:
Provided, however, That all assets, liabilities, and commitments
relating to the functions transferred by section 2(a) of this
reorganization plan are hereby transferred to the Revolving Fund
(Liquidating Programs) established by the Independent Offices
Appropriation Act, 1955 (68 Stat. 295) (12 U.S.C. 1701g-5).
05 USC Sec. 4. Administrative Property, Personnel, Funds and Records
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
In addition to the transfers made by the provisions of section 3 of
this reorganization plan, there shall be transferred to the Housing and
Home Finance Agency, General Services Administration, Small Business
Administration, and Treasury Department so much as the Director of the
Bureau of the Budget shall determine to be appropriate by reason of
transfers made by sections 2 and 3 of this reorganization plan of the
administrative property, personnel, records, liabilities and commitments
of the Corporation or of the Office of Production and Defense Lending in
the Department of the Treasury and of the authorizations, allocations,
and funds available or to be made available with respect to the
transferred functions (including, but in no way limiting the generality
of the foregoing, the authority to issue notes or other obligations to
the Secretary of the Treasury, which may be purchased by the Secretary,
under section 7 of the Reconstruction Finance Corporation Act, as
amended (15 U.S.C. (former) 606), and the duty of making payments on
such notes or obligations issued by or transferred to the respective
transferee hereunder). In allocating the administrative expense funds
applicable to the functions transferred by the provisions of this
reorganization plan the said Director shall allocate and transfer to the
General Services Administration as a payment on behalf of the Housing
and Home Finance Agency, General Services Administration, Small Business
Administration and Treasury Department such sum for rent of building
space for the carrying out of the transferred functions during the
fiscal year ending June 30, 1958, as the said Director shall determine.
Such further measures and disposition as the Director of the Bureau of
the Budget shall determine to be necessary in order to effectuate the
transfers provided for in this section shall be carried out in such
manner and by such agencies as the Director shall direct.
05 USC Sec. 5. Delegation of Authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
Each transferee may from time to time make such provisions as he
shall deem appropriate authorizing the performance by any officer,
employee, agency, or administrative unit under his jurisdiction of any
function transferred to him by the provisions of this reorganization
plan.
05 USC Sec. 6. Abolition of the Corporation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
(a) The Corporation is hereby abolished.
(b) The Secretary of the Treasury shall retire the capital stock of
the Corporation and, subject to the provisions of section 4 hereof,
shall pay into the Treasury, as miscellaneous receipts, all unused funds
of the Corporation.
(c) Not later than June 30, 1959, the Secretary of the Treasury shall
transmit a report to the Congress, which report (1) shall cover the
affairs of the Corporation up to the time of the taking effect of the
provisions of this reorganization plan, and (2) shall correspond to the
final report required by section 10 of the Reconstruction Finance
Corporation Act, as amended (15 U.S.C. (former) 609). The function of
making the final report provided for in the said section 10 is hereby
abolished.
05 USC Sec. 7. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
The provisions of this reorganization plan shall take effect at the
time determined under the provisions of section 6(a) of the
Reorganization Act of 1949, as amended, or at the close of June 30,
1957, whichever is later.
05 USC schedule a
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
This schedule annexed to Reorganization Plan No. 1 of 1957 lists by
name and address of the obligor or borrower the obligations and loans
referred to in clause (2) of section 2(d) of such reorganization plan:
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1957
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1957, prepared in
accordance with the Reorganization Act of 1949, as amended.
The liquidation of the assets and the winding up of the affairs of
the Reconstruction Finance Corporation have been proceeding for the past
several years, in accordance with law. Reorganization Plan No. 2 of
1954 expedited and simplified liquidation by transferring certain
functions of the Corporation to the Export-Import Bank of Washington,
the Small Business Administration, and the Federal National Mortgage
Association. Reorganization Plan No. 1 of 1957 transfers all present
functions of the Corporation to appropriate officers and abolishes the
Corporation.
First, the reorganization plan transfers to the Housing and Home
Finance Administrator functions of the Corporation relating to items
resulting from programs which provided assistance to States,
municipalities, and other public agencies in financing various public
projects. Also transferred are functions relating to the liquidation of
programs of financial aid for drainage and irrigation projects.
Second, the plan transfers to the Administrator of General Services
functions related to the liquidation of matters arising from national
defense, war and reconversion activities conducted by the Corporation
preceding, during, and subsequent to World War II. Functions relating
to the liquidation of the Smaller War Plants Corporation are also
transferred to the Administrator.
Third, the plan transfers to the Administrator of the Small Business
Administration (1) all of the Corporation's disaster loan functions
which were not transferred to the Small Business Administration by
Reorganization Plan No. 2 of 1954, and (2) all matters arising out of
the Corporation's financial-assistance programs to business enterprises
except those relating to assistance to railroads, financial
institutions, and insurance companies and those listed in schedule A.
The first category consists of items, such as paid loans, charged-off
loans and closed files, which were not embraced by Reorganization Plan
No. 2 of 1954. The second category includes generally loans or other
matters involving outstanding amounts under $250,000 arising under
financial-assistance programs to business enterprises, as well as all
functions relating to paid or charged-off loans, regardless of amount,
under such programs.
Finally, the plan transfers to the Secretary of the Treasury all of
the functions of the Corporation not otherwise transferred by the plan.
Those functions relate principally to the obligations and loans listed
in schedule A, which consist generally of business loans with
outstanding principal balances in excess of $250,000, and to financial
assistance to railroad companies, financial institutions, and insurance
companies. The Secretary of the Treasury will also receive the capital
stock of the War Damage Corporation, dissolution of which is expected in
the near future when one remaining lawsuit is concluded.
The functions transferred by the reorganization plan are, in general,
similar to, and can appropriately be administered in conjunction with,
present activities of the respective transferees.
The plan also transfers the pertinent assets of the Corporation to
the respective agencies, together with the related liabilities, and by
operation of law substitutes the particular transferee for the
Corporation with respect to all instruments of every kind and character
pertaining to the transferred functions, assets, and liabilities. In
order to permit the transferees to administer the transferred matters
with the same flexibility of operation as obtains at present, the plan
transfers to each transferee those powers, authority, rights, and
immunities which are now available or applicable to the Corporation for
carrying out the respective functions. To the extent that it becomes
necessary or desirable, therefore, the transferees will be enabled, with
respect to the transferred functions, to sue and be sued, to engage
private attorneys in conjunction with litigation involving the
transferred functions, and to avail themselves of any other authority,
powers or immunities now available to the Corporation, whether under the
Reconstruction Finance Corporation Act, as amended, or otherwise. In
enacting the Reconstruction Finance Corporation Liquidation Act the
Congress included a provision reading:
The activities engaged in by the Secretary of the Treasury as a
result of the enactment of this Act shall continue to be subject to the
provisions of the Government Corporation Control Act.
The Government Corporation Control Act will continue to be applicable
to the functions transferred by the reorganization plan.
By transferring the remaining assets and liabilities of the
Reconstruction Finance Corporation to officers who conduct continuing
programs involving similar functions, the plan will carry out the basic
purposes not only of the Reconstruction Finance Corporation Liquidation
Act but also of the Reorganization Act of 1949, as amended. The size of
the Corporation's portfolio has diminished to such a point that after
June 30 it should not be necessary to maintain a separate agency solely
for the purpose of administering the remaining assets. The plan will
make possible a more economical administration of the Corporation's
functions by obviating the expense incident to maintaining a separate
organization. It is not, however, practicable at this time to indicate
more specifically the reduction of expenditures which it is probable
will be brought about by the taking effect of reorganizations contained
in the plan.
Incident to the abolition of the Corporation, the reorganization plan
(1) abolishes the function of making the final report provided for in
section 10 of the Reconstruction Finance Corporation Act, as amended (15
U.S.C. 609), and (2) provides for a final report to the Congress by the
Secretary of the Treasury which is to reflect the affairs of the
Corporation up to the date of abolition of the Corporation and is to be
made not later than June 30, 1959.
After investigation I have found and hereby declare that each
reorganization included in the Reorganization Plan No. 1 of 1957 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended
I recommend that the Congress allow the reorganization plan to become
effective.
Dwight D. Eisenhower.
The White House, April 29, 1957.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
05 USC REORGANIZATION PLAN NO. 1 OF 1958
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
amended Pub. L. 85-763, Aug. 26, 1958, 72 Stat.
861; Pub. L. 87-296, 1, Sept. 22, 1961, 75 Stat.
630; Pub. L. 87-367, title I, 103(10), Oct. 4,
1961, 75 Stat. 788; Pub. L. 88-426, title III,
305(11), Aug. 14, 1964, 78 Stat. 423; Pub. L.
90-608, ch. IV, 402, Oct. 21, 1968, 82 Stat. 1194;
Reorg. Plan No. 1 of 1973, 3(a),
eff. July 1,
1973, 38 F.R. 9579, 87 Stat. 1089
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 24, 1958, pursuant to
the provisions of the Reorganization Act of 1949, approved June 20,
1949, as amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(a) There are hereby transferred to the President of the United
States all functions vested by law (including reorganization plan) in
the following: The Office of Defense Mobilization, the Director of the
Office of Defense Mobilization, the Federal Civil Defense
Administration, and the Federal Civil Defense Administrator.
(b) The President may from time to time delegate any of the functions
transferred to him by subsection (a) of this section to any officer,
agency, or employee of the executive branch of the Government, and may
authorize such officer, agency, or employee to redelegate any of such
functions delegated to him.
05 USC Sec. 2. Office of Emergency Preparedness
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(The Office of Emergency Preparedness including the offices of
Director and Deputy Director, and all offices of Assistant Director,
were abolished by Reorg. Plan No. 1 of 1973, 3(a)(1), eff. July 1,
1973, 38 F.R. 9579, 87 Stat. 1089.)
05 USC Sec. 3. Regional Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(All offices of Regional Director of the Office of Emergency
Preparedness were abolished by Reorg. Plan No. 1 of 1973, 3(a)(1), eff.
July 1, 1973, 38 F.R. 9579, 87 Stat. 1089.)
05 USC Sec. 4. Membership on National Security Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(The functions of the Director of the Office of Emergency
Preparedness as a member of the National Security Council were abolished
by Reorg. Plan No. 1 of 1973, 3(a)(2), eff. July 1, 1973, 38 F.R. 9579,
87 Stat. 1089.)
05 USC Sec. 5. Civil Defense Advisory Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(The Civil Defense Advisory Council, together with its functions, was
abolished by Reorg. Plan No. 1 of 1973, 3(a)(3), eff. July 1, 1973, 38
F.R. 9579, 87 Stat. 1089.)
05 USC Sec. 6. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
The offices of Federal Civil Defense Administrator and Deputy
Administrator provided for in section 101 of the Federal Civil Defense
Act (50 U.S.C. App. 2271) and the offices of the Director of the Office
of Defense Mobilization and Deputy Director of the Office of Defense
Mobilization provided for in section 1 of Reorganization Plan Numbered 3
of 1953 (67 Stat. 634) are hereby abolished. The Director of the Office
of Emergency Preparedness shall make such provisions as may be necessary
in order to wind up any outstanding affairs of the offices abolished by
this section which are not otherwise provided for in this reorganization
plan. (As amended Pub. L. 90-608, ch. IV, 402, Oct. 21, 1968, 82 Stat.
1194.)
05 USC Sec. 7. Records, Property, Personal, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
(a) The records, property, personnel, and unexpended balances,
available or to be made available, or appropriations, allocations, and
other funds of the Office of Defense Mobilization and of the Federal
Civil Defense Administration shall, upon the taking effect of the
provisions of this reorganization plan, become records, property,
personnel, and unexpended balances of the Office of Emergency
Preparedness.
(b) Records, property, personnel, and unexpended balances, available
or to be made available, of appropriations, allocations, and other funds
of any agency (including the Office of Emergency Preparedness), relating
to functions vested in or delegated or assigned to the Office of Defense
Mobilization or the Federal Civil Defense Administration immediately
prior to the taking effect of the provisions of this reorganization
plan, may be transferred from time to time to any other agency of the
Government by the Director of the Bureau of the Budget under authority
of this subsection for use, subject to the provisions of the
Reorganization Act of 1949, as amended, in connection with any of the
said functions authorized at time of transfer under this subsection to
be performed by the transferee agency.
(c) Such further measures and dispositions as the Director of the
Bureau of the Budget shall determine to be necessary in connection with
the provisions of subsections (a) and (b) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate. (As amended Pub. L. 90-608, ch. IV, 402, Oct. 21,
1968, 82 Stat. 1194.)
05 USC Sec. 8. Interim Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
The President may authorize any person who immediately prior to the
effective date of this reorganization plan holds an office abolished by
section 6 hereof to hold any office established by section 2; of this
reorganization plan until the latter office is filled pursuant to the
said section 2 or by recess appointment, as the case may be, but in no
event for any period extending more than 120 days after the said
effective date.
05 USC Sec. 9. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
The provisions of this reorganization plan shall take effect at the
time determined under the provisions of section 6(a) of the
Reorganization Act of 1949, as amended, or on July 1, 1958, whichever is
later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1958
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1958, prepared in
accordance with the Reorganization Act of 1949, as amended. The
reorganization plan provides new arrangements for the conduct of Federal
defense mobilization and civil defense functions.
In formulating Reorganization Plan No. 1, I have had the benefit of
several studies made by the executive branch as well as those conducted
by the Congress. The reorganization plan will overcome the major
difficulties revealed by those studies and mentioned in my 1959 budget
message where I made the following statement:
The structure of Federal organization for the planning, coordination,
and conduct of our nonmilitary defense programs has been reviewed, and I
have concluded that the existing statutes assigning responsibilities for
the central coordination and direction of these programs are out of
date. The rapid technical advances of military science have led to a
serious overlap among agencies carrying on these leadership and planning
functions. Because the situation will continue to change and because
these functions transcend the responsibility of any single department or
agency, I have concluded that they should be vested in no one short of
the President. I will make recommendations to the Congress on this
subject.
The principal effects of the organization plan are --
First, it transfers to the President the functions vested by law in
the Federal Civil Defense Administration and those so vested in the
Office of Defense Mobilization. The result is to establish a single
pattern with respect to the vesting of defense mobilization and civil
defense functions. At the present time disparity exists in that civil
defense functions are vested in the President only to a limited degree
while a major part of the functions administered by the Office of
Defense Mobilization are vested by law in the President and delegated by
him to that Office. Under the plan, the broad program responsibilities
for coordinating and conducting the interrelated defense mobilization
and civil defense functions will be vested in the President for
appropriate delegation as the rapidly changing character of the
nonmilitary preparedness program warrants.
Second, the reorganization plan consolidates the Office of Defense
Mobilization and the Federal Civil Defense Administration to form a new
Office of Defense and Civilian Mobilization (Office of Civil and Defense
Mobilization) in the Executive Office of the President. I have
concluded that, in many instances, the interests and activities of the
Office of Defense Mobilization and the Federal Civil Defense
Administration overlap to such a degree that it is not possible to work
out a satisfactory division of those activities and interests between
the two agencies. I have also concluded that a single civilian
mobilization agency of appropriate stature and authority is needed and
that such an agency will ensue from the consolidation and from the
granting of suitable authority to that agency for directing and
coordinating the preparedness activities of the Federal departments and
agencies and for providing unified guidance and assistance to the State
and local governments.
Third, the reorganization plan transfers the membership of the
Director of the Office of Defense Mobilization on the National Security
Council to the Director of the Office of Defense and Civilian
Mobilization (Office of Civil and Defense Mobilization) and also
transfers the Civil Defense Advisory Council to the Office of Defense
and Civilian Mobilization (Office of Civil and Defense Mobilization).
Initially, the Office of Defense and Civilian Mobilization (Office of
Civil and Defense Mobilization) will perform the civil defense and
defense mobilization functions now performed by the Office of Defense
Mobilization and the Federal Civil Defense Administration. One of its
first tasks will be to advise me with respect to the actions to be taken
to clarify and expand the roles of the Federal departments and agencies
in carrying out nonmilitary defense preparedness functions. After such
actions are taken, the direction and coordination of the civil defense
and defense mobilization activities assigned to the departments and
agencies will comprise a principal remaining responsibility of the
Office of Defense and Civilian Mobilization (Office of Civil and Defense
Mobilization).
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1958 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I have also found and hereby declare that it is necessary to include
in the accompanying reorganization plan, by reason of reorganizations
made thereby, provisions for the appointment and compensation of new
officers specified in sections 2 and 3 of the plan. The rates of
compensation fixed for these officers are, respectively those which I
have found to prevail in respect of comparable officers in the executive
branch of the Government.
The taking effect of the reorganizations included in Reorganization
Plan No. 1 of 1958 will immediately reduce the number of Federal
agencies by one and, by providing sounder organizational arrangements
for the administration of the affected functions, should promote the
increased economy and effectiveness of the Federal expenditures
concerned. It is, however, impracticable to itemize at this time the
reduction of expenditures which it is probable will be brought about by
such taking effect.
I urge that the Congress allow the reorganization plan to become
effective.
Dwight D. Eisenhower.
The White House, April 24, 1958.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1961
05 USC REORGANIZATION PLAN NO. 1 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1961
Reorganization Plan No. 1 of 1961, which proposed reorganizations in
the Securities and Exchange Commission, was submitted to Congress on
Apr. 27, 1961, and was disapproved by the Senate on June 21, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1961
05 USC REORGANIZATION PLAN NO. 2 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1961
Reorganization Plan No. 2 of 1961, which proposed reorganizations in
the Federal Communications Commission, was submitted to Congress on Apr.
27, 1961, and was disapproved by the House of Representatives on June
15, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1961
05 USC REORGANIZATION PLAN NO. 3 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1961
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 3, 1961, pursuant to the
provisions of the Reorganization Act of 1949, as amended (see 5 U.S.C.
901 et seq.).
05 USC Section 1. Authority To Delegate
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1961
(a) In addition to its existing authority, the Civil Aeronautics
Board, hereinafter referred to as the ''Board'', shall have the
authority to delegate, by published order or rule, any of its functions
to a division of the Board, an individual Board member, a hearing
examiner, or an employee or employee board, including functions with
respect to hearing, determining, ordering, certifying, reporting or
otherwise acting as to any work, business, or matter: Provided,
however, That nothing herein contained shall be deemed to supersede the
provisions of section 7(a) of the Administrative Procedure Act (60 Stat.
241) as amended (see 5 U.S.C. 556).
(b) With respect to the delegation of any of its functions, as
provided in subsection (a) of this section, the Board shall retain a
discretionary right to review the action of any such division of the
Board, individual Board member, hearing examiner, employee or employee
board, upon its own initiative or upon petition of a party to or an
intervenor in such action, within such time and in such manner as the
Board shall by rule prescribe: Provided, however, That the vote of a
majority of the Board less one member thereof shall be sufficient to
bring any such action before the Board for review.
(c) Should the right to exercise such discretionary review be
declined, or should no such review be sought within the time stated in
the rules promulgated by the Board, then the action of any such division
of the Board, individual Board member, hearing examiner, employee or
employee board, shall, for all purposes, including appeal or review
thereof, be deemed to be the action of the Board.
05 USC Sec. 2. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1961
In addition to the functions transferred by the provisions of
Reorganization Plan No. 13 of 1950 (64 Stat. 1266), there are hereby
transferred from the Board to the Chairman of the Board the functions of
the Board with respect to the assignment of Board personnel, including
Board members, to perform such functions as may have been delegated by
the Board to Board personnel, including Board members, pursuant to
section 1 of this reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1961
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1961, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganization in the Civil Aeronautics Board.
This Reorganization Plan No. 3 of 1961 follows upon my message of
April 13, 1961, to the Congress of the United States. It is believed
that the taking effect of the reorganizations included in this plan will
provide for greater efficiency in the dispatch of the business of the
Civil Aeronautics Board.
The plan provides for greater flexibility in the handling of the
business before the Board, permitting its disposition at different
levels so as better to promote its efficient dispatch. Thus matters
both of an adjudicatory and regulatory nature may, depending upon their
importance and their complexity, be finally consummated by divisions of
the Board, individual Board members, hearing examiners, and, subject to
the provisions of section 7(a) of the Administrative Procedure Act of
1946 (60 Stat. 241), by other employees. This will relieve the Board
members from the necessity of dealing with many matters of lesser
importance and thus conserve their time for the consideration of major
matters of policy and planning. There is, however, reserved to the
Board as a whole the right to review any such decision, report, or
certification either upon its own initiative or upon the petition of a
party or intervenor demonstrating to the satisfaction of the Board the
desirability of having the matter reviewed at the top level.
Provision is also made, in order to maintain the fundamental
bipartisan concept explicit in the basic statute creating the Board, for
mandatory review of any such decision, report, or certification upon the
vote of a majority of the Board less one member.
Inasmuch as the assignment of delegated functions in particular cases
and with reference to particular problems to divisions of the Board, to
Board members, to hearing examiners, to employees and boards of
employees must require continuous and flexible handling, depending both
upon the amount and nature of the business, that function is placed in
the Chairman by section 2 of the plan.
By providing sound organizational arrangements, the taking effect of
the reorganizations included in the accompanying reorganization plan
will make possible more economical and expeditious administration of the
affected functions. It is, however, impracticable to itemize at this
time the reductions of expenditures which it is probable will be brought
about by such taking effect.
After investigation, I have found and hereby declare that each
reorganization included in the reorganization plan transmitted herewith
is necessary to accomplish one or more of the purposes set forth in
section 2(a) of the Reorganization Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, May 3, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1961
05 USC REORGANIZATION PLAN NO. 4 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1961
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 9, 1961, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Authority To Delegate
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1961
(a) In addition to its existing authority, the Federal Trade
Commission, hereinafter referred to as the ''Commission'', shall have
the authority to delegate, by published order or rule, any of its
functions to a division of the Commission, an individual Commissioner, a
hearing examiner, or an employee or employee board, including functions
with respect to hearing, determining, ordering, certifying, reporting or
otherwise acting as to any work, business, or matter: Provided,
however, That nothing herein contained shall be deemed to supersede the
provisions of section 7(a) of the Administrative Procedure Act (60 Stat.
241), as amended (see 5 U.S.C. 556).
(b) With respect to the delegation of any of its functions, as
provided in subsection (a) of this section, the Commission shall retain
a discretionary right to review the action of any such division of the
Commission, individual Commissioner, hearing examiner, employee or
employee board, upon its own initiative or upon petition of a party to
or an intervenor in such action, within such time and in such manner as
the Commission shall by rule prescribe: Provided, however, That the
vote of a majority of the Commission less one member thereof shall be
sufficient to bring any such action before the Commission for review.
(c) Should the right to exercise such discretionary review be
declined, or should no such review be sought within the time stated in
the rules promulgated by the Commission, then the action of any such
division of the Commission, individual Commissioner, hearing examiner,
employee or employee board, shall, for all purposes, including appeal or
review thereof, be deemed to be the action of the Commission.
05 USC Sec. 2. Transfer of Functions to the Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1961
In addition to the functions transferred by the provisions of
Reorganization Plan No. 8 of 1950 (64 Stat. 1264) there are hereby
transferred from the Commission to the Chairman of the Commission the
functions of the Commission with respect to the assignment of Commission
personnel, including Commissioners, to perform such functions as may
have been delegated by the Commission to Commission personnel, including
Commissioners, pursuant to section 1 of this reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1961
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1961, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganization in the Federal Trade Commission.
This Reorganization Plan No. 4 of 1961 follows upon my message of
April 13, 1961, to the Congress of the United States. It is believed
that the taking effect of the reorganizations included in this plan will
provide for greater efficiency in the dispatch of the business of the
Federal Trade Commission.
The plan provides for greater flexibility in the handling of the
business before the Commission, permitting its disposition at different
levels so as better to promote its efficient dispatch. Thus matters
both of an adjudicatory and regulatory nature may, depending upon their
importance and their complexity, be finally consummated by divisions of
the Commission, individual Commissioners, hearing examiners, and,
subject to the provisions of section 7(a) of the Administrative
Procedure Act (60 Stat. 241), by other employees. This will relieve the
Commissioners from the necessity of dealing with many matters of lesser
importance and thus conserve their time for the consideration of major
matters of policy and planning. There is, however, reserved to the
Commission as a whole the right to review any such decision, report or
certification either upon its own initiative or upon the petition of a
party or intervenor demonstrating to the satisfaction of the Commission
the desirability of having the matter reviewed at the top level.
Provision is also made, in order to maintain the fundamental
bipartisan concept explicit in the basic statute creating the
Commission, for mandatory review of any such decision, report or
certification upon the vote of a majority of the Commission less one
member.
Inasmuch as the assignment of delegated functions in particular cases
and with reference to particular problems to divisions of the
Commission, to Commissioners, to hearing examiners, to employees and
boards of employees must require continuous and flexible handling,
depending both upon the amount and nature of the business, that function
is placed in the Chairman by section 2 of the plan.
By providing sound organizational arrangements, the taking effect of
the reorganizations included in the accompanying reorganization plan
will make possible more economical and expeditious administration of the
affected functions. It is, however, impracticable to itemize at this
time the reductions of expenditures which it is probable will be brought
about by such taking effect.
After investigation, I have found and hereby declare that each
reorganization included in the reorganization plan transmitted herewith
is necessary to accomplish one or more of the purposes set forth in
section 2(a) of the Reorganization Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, May 9, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1961
05 USC REORGANIZATION PLAN NO. 5 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1961
Reorganization Plan No. 5 of 1961, which proposed reorganizations in
the National Labor Relations Board, was submitted to Congress on May 24,
1961, and was disapproved by the House of Representatives on July 20,
1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1961
05 USC REORGANIZATION PLAN NO. 6 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1961
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 12, 1961, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1961
Subject to the provisions of section 2(a) of this reorganization
plan, and to the extent not vested in the Chairman of the Federal Home
Loan Bank Board (hereinafter referred to as the Chairman) in the absence
of this reorganization plan, the executive and administrative functions
of the Federal Home Loan Bank Board (hereinafter referred to as the
Board), including the following-described functions of the Board, are
hereby transferred from the Board to the Chairman:
(1) The appointment and removal of personnel employed under the
Board.
(2) The distribution of business among such personnel and among
administrative units of the Board.
(3) The direction of personnel who perform, or who supervise the
performance of, any function of the Board or of the Chairman or of any
agency under the Board.
(4) The communication to personnel employed under the Board of
applicable Board policies to be followed by such personnel in the
performance of their work and the subsequent enforcement of such
policies.
(5) The overall management, functioning, and organization of the
Board, including (a) the formulation and implementation of plans and
policies designed to increase the effectiveness of the Board in the
administration of the laws it is charged with administering and the
initiation of ways and means of correcting or preventing avoidable
delays in the performance of any work or the disposition of any business
before the Board, and (b) the development and improvement of staff
support to carry out the functions of the Board.
(6) The preparation, review, and presentation to the Bureau of the
Budget of the budget estimates of and other fund authorizations for the
Board and the explanation and justification before the appropriate
committees of the Congress of the budget estimates for the Board
transmitted to the Congress by the President and of other fund
authorizations placed before the Congress.
(7) The allocation, use, and expenditure of funds available to the
Board for administrative expense purposes.
(8) The calling of the Board into special session whenever any matter
of business of the Board so requires, but in any event for the
consideration of any matter or business upon request of one or both of
the other members of the Board.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1961
(a)(1) In carrying out any of his functions under the provisions of
section 1 hereof the Chairman shall be governed by general policies of
the Board and by such regulatory decisions, findings, and determinations
as the Board may by law be authorized to make.
(2) The appointment by the Chairman of the heads of major
administrative units under the Board shall be subject to the approval of
the Board.
(3) Personnel employed regularly and full time in the immediate
offices of Board members other than the Chairman shall not be affected
by the provisions of this reorganization plan.
(b) The Chairman may from time to time make such provisions as he
shall deem appropriate authorizing the performance by any officer,
employee, or administrative unit under his jurisdiction of any function
transferred to the Chairman by the provisions of section 1 of this
reorganization plan or of any function vested in the Chairman in
consequence of his status as the chief executive officer of the Board.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 6 OF 1961
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 6 of 1961, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended, and providing for reorganizations in the Federal Home Loan Bank
Board.
Reorganization Plan No. 6 of 1961 relates to my message of April 13,
1961, to the Congress regarding regulatory agencies and, in particular,
to that portion of the message advocating the fixing of responsibility
for the overall administration of multiheaded agencies in their
chairmen. The reorganization plan also is in keeping with actions begun
by President Truman, largely through reorganization plans, to strengthen
the internal management of multiheaded agencies by making their
chairmen, rather than the boards or commissions as a whole, responsible
for day-to-day administration.
The first Commission on Organization of the Executive Branch of the
Government concluded that purely executive duties can be performed far
better by a single administrative official and stated: ''Administration
by a plural executive is universally regarded as inefficient.'' Also, as
a matter of sound organization, the Congress and the President should be
able to hold a single official rather than a group accountable for the
effective management of an agency. The reorganization plan will meet
both of those needs by placing responsibility and authority for the
administration of the activities of the Federal Home Loan Bank Board in
the Chairman of the Board. By relieving the Board of day-to-day
managerial functions, the reorganization plan will significantly further
the ability of the Board to deal more effectively with regulatory and
policy matters before it.
Action to strengthen the management of the Federal Home Loan Bank
Board and to relieve the Board of day-to-day operating responsibility is
particularly needed because of the phenomenal growth of the Board's
activities in recent years. By way of example, the number of
institutions that are members of the Federal home loan bank system and
subject to the Board's supervision has increased from 3,898 in 1950 to
4,552 at present. In the same period the assets of those institutions
have increased almost fivefold from $15.4 billion to $71 billion. In
fiscal year 1950 the Board examined 2,450 institutions; in fiscal 1961
about 4,224 examinations will be conducted. The personnel of the Board
have more than doubled in number in the last decade to handle the
increased workload.
Pursuant to Reorganization Plan No. 3 of 1947, the Chairman of the
Home Loan Bank Board was made the chief executive officer of the Board,
and there was transferred to him the authority to appoint and direct the
personnel necessary to perform the functions of the Board, the Chairman,
and the agencies under the Board. The Chairman's authority with respect
to personnel was returned to the whole Federal Home Loan Bank Board by
the Housing Amendments of 1955. The reorganization plan herewith
transmitted would restore that authority of the Chairman and further
increase his management functions.
Specifically, the reorganization plan will transfer to the Chairman
of the Federal Home Loan Bank Board the Board's functions with respect
to the overall management, functioning, and organization of the agency;
the appointment, removal, and direction of personnel; the distribution
of business among, and communication of Board policies to, such
personnel; and the enforcement of policies and the general improvement
of staff support. There are also transferred to the Chairman functions
relating to preparation, review, presentation, and justification of
budget estimates and other fund authorizations and those relating to the
allocation, use, and expenditure of funds available for administrative
expenses.
Nothing in the plan impinges upon the ability of the members of the
Board to act independently with respect to substantive matters that come
before them for decision, or to participate in the shaping of Board
policies. In carrying out his managerial functions, the Chairman will
be governed by the policies of the Board and the determinations it is
authorized to make. The Board will have the authority to approve the
Chairman's appointments of the heads of major administrative units, and
the other members of the Board will retain their present control over
the personnel in their immediate offices.
The taking effect of the reorganizations included in the accompanying
reorganization plan will provide sound organizational arrangements and
will make possible more economical and expeditious administration of the
affected functions. It is, however, impractical to itemize at this time
the reductions in expenditures which it is probable will be brought
about by such taking effect.
After investigation, I have found and hereby declare that each
reorganization included in the reorganization plan transmitted herewith
is necessary to accomplish one or more of the purposes set forth in
section 2(a) of the Reorganization Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, June 12, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
05 USC REORGANIZATION PLAN NO. 7 OF 1961
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
amended Pub. L. 88-426, title III, 305(19), Aug.
14, 1964, 78 Stat. 425; Pub. L. 91-469, 38, Oct.
21, 1970, 84 Stat. 1036
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 12, 1961, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Part I. Federal Maritime Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
05 USC Section 101. Creation of Federal Maritime Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
(a) There is hereby established a Federal Maritime Commission,
hereinafter referred to as the Commission.
(b) The Commission shall not be a part of any executive department or
under the authority of the head of any executive department.
05 USC Sec. 102. Composition of the Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
(a) The Commission shall be composed of five Commissioners, who shall
be appointed by the President by and with the advice and consent of the
Senate. Each Commissioner shall be removable by the President for
inefficiency, neglect of duty, or malfeasance in office.
(b) The President shall from time to time designate one of the
Commissioners to be the Chairman of the Commission.
(c) Of the first five Commissioners appointed hereunder, one shall be
appointed for a term expiring on June 30, 1962, one for a term expiring
on June 30, 1963, one for a term expiring on June 30, 1964, and two for
terms expiring on June 30, 1965. Their successors shall be appointed
for terms of four years, except that any person chosen to fill a vacancy
shall be appointed only for the unexpired term of the Commissioner whom
he succeeds. Not more than three of the Commissioners shall be
appointed from the same political party. A vacancy in the office of any
such Commissioner shall be filled in the same manner as the original
appointment.
(d) A vacancy in the Commission, so long as there shall be three
Commissioners in office, shall not impair the power of the Commission to
execute its functions. Any three of the Commissioners in office shall
constitute a quorum for the transaction of the business of the
Commission and the affirmative votes of any three Commissioners shall be
sufficient for the disposition of any matter which may come before the
Commission. (As amended Pub. L. 88-426, title III, 305(19)(A), Aug.
14, 1964, 78 Stat. 425.)
(Commissioners of the Federal Maritime Commission appointed to
five-year terms, appointed to vacancies only for unexpired term, and to
serve until appointment and qualification of successor, see Pub. L.
89-56, set out as a Federal Maritime Commission; Term of Office;
Vacancies; Continuity of Service note under section 1111 of Title 46,
Appendix, Shipping.)
05 USC Sec. 103. Transfer of Functions to Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
The following functions, which are now vested in the Federal Maritime
Board under the provisions of Reorganization Plan No. 21 of 1950 (64
Stat. 1273), are hereby transferred from that Board to the Commission:
(a) All functions under the provisions of sections 14-20, inclusive,
and sections 22-33, inclusive, of the Shipping Act, 1916, as amended (46
U.S.C. 812-819 and 821-832), including such functions with respect to
the regulation and control of rates, services, practices, and agreements
of common carriers by water and of other persons.
(b) All functions with respect of the regulation and control of
rates, fares, charges, classifications, tariffs, regulations, and
practices of common carriers by water under the provisions of the
Intercoastal Shipping Act, 1933, as amended (46 U.S.C. 843-848).
(c) The functions with respect to the making of rules and regulations
affecting shipping in the foreign trade to adjust or meet conditions
unfavorable to such shipping, and with respect to the approval,
suspension, modification, or annulment of rules or regulations of other
Federal agencies affecting shipping in the foreign trade, under the
provisions of section 19 of the Merchant Marine Act, 1920, as amended
(46 U.S.C. 876), exclusive of subsection (1)(a) thereof.
(d) The functions with respect to investigating discriminatory rates,
charges, classifications, and practices in the foreign trade, and with
respect to recommending legislation to correct such discrimination,
under the provisions of section 212(e) of the Merchant Marine Act, 1936,
as amended (46 U.S.C. 1122(f)).
(e) To the extent that they relate to functions transferred to the
Commission by the foregoing provisions of this section:
(1) The functions with respect to requiring the filing of reports,
accounts, records, rates, charges, and memoranda, under the provisions
of section 21 of the Shipping Act, 1916, as amended (46 U.S.C. 820).
(2) The functions with respect to adopting rules and regulations,
making reports and recommendations to Congress, subpoenaing witnesses,
administering oaths, taking evidence, and requiring the production of
books, papers, and documents, under the provisions of sections 204, 208,
and 214 of the Merchant Marine Act, 1936, as amended (46 U.S.C. 1114,
1118, and 1124).
05 USC Sec. 104. Transfer of Functions to Chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
There are hereby transferred to the Chairman of the Commission:
(a) The functions of the Chairman of the Federal Maritime Board,
including his functions derived from the provisions of Reorganization
Plan No. 6 of 1949, to the extent that they relate to the functions
transferred to the Commission by the provisions of section 103 of this
reorganization plan.
(b) The functions of the Secretary of Commerce to the extent that
they are necessary for, or incidental to, the administration of the
functions transferred to the Commission by the provisions of section 103
of this reorganization plan.
05 USC Sec. 105. Authority To Delegate
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
(a) The Commission shall have the authority to delegate, by published
order or rule, any of its functions to a division of the Commission, an
individual Commissioner, a hearing examiner, or an employee or employee
board, including functions with respect to hearing, determining,
ordering, certifying, reporting or otherwise acting as to any work,
business, or matter: Provided, however, That nothing herein contained
shall be deemed to supersede the provisions of sections 7(a) of the
Administrative Procedure Act (60 Stat. 241), as amended (see 5 U.S.C.
556).
(b) With respect to the delegation of any of its functions, as
provided in subsection (a) of this section, the Commission shall retain
a discretionary right to review the action of any such division of the
Commission, individual Commissioner, hearing examiner, employee or
employee board, upon its own initiative or upon petition of a party to
or an intervenor in such action, within such time and in such manner as
the Commission shall by rule prescribe: Provided, however, That the
vote of a majority of the Commission less one member thereof shall be
sufficient to bring any such action before the Commission for review.
(c) Should the right to exercise such discretionary review be
declined, or should no such review be sought within the time stated in
the rules promulgated by the Commission, then the action of any such
division of the Commission, individual Commissioner, hearing examiner,
employee or employee board, shall, for all purposes, including appeal or
review thereof, be deemed to be the action of the Commission.
(d) There are hereby transferred to the Chairman of the Commission
the functions with respect to the assignment of Commission personnel,
including Commissioners, to perform such functions as may have been
delegated by the Commission to Commission personnel, including
Commissioners, pursuant to the foregoing subsections of this section.
05 USC Part II. Department of Commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
05 USC Section 201. Maritime Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
There shall be at the head of the Maritime Administration
(established by the provisions of Part II of Reorganization Plan No. 21
of 1950) a Maritime Administrator, hereinafter referred to as the
Administrator. The Assistant Secretary of Commerce for Maritime Affairs
shall, ex officio, be the Administrator. The Administrator shall
perform such duties as the Secretary of Commerce shall prescribe. (As
amended Pub. L. 88-426, title III, 305(19)(B), Aug. 14, 1964, 78 Stat.
425; Pub. L. 91-469, 38(a), Oct. 21, 1970, 84 Stat. 1036.)
05 USC Sec. 202. Functions of Secretary of Commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
(a) Except to the extent inconsistent with the provisions of sections
101(b) or 104(b) of this reorganization plan, there shall remain vested
in the Secretary of Commerce all the functions conferred upon the
Secretary by the provisions of Reorganization Plan No. 21 of 1950.
(b) There are hereby transferred to the Secretary of Commerce:
(1) All functions of the Federal Maritime Board under the provisions
of sections 105(1) to 105(3), inclusive, of Reorganization Plan No. 21
of 1950.
(2) Except to the extent transferred to the Commission by the
provisions of section 103(e) of this reorganization plan, the functions
described in the said section 103(e).
(3) Any other functions of the Federal Maritime Board not otherwise
transferred by the provisions of Part I of this reorganization plan.
(4) Except to the extent transferred to the Chairman of the
Commission by the provisions of Part I of this reorganization plan, the
functions of the Chairman of the Federal Maritime Board.
05 USC Sec. 203. Delegation of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
The provisions of sections 2 and 4 of Reorganization Plan No. 5 of
1950 (64 Stat. 1263) shall be applicable to all functions transferred to
the Secretary of Commerce by, or remaining vested in him under, the
provisions of this reorganization plan.
05 USC Part III. General Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
05 USC Section 301. Conflict of Interest
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
The provisions of the last sentence of section 201(b) of the Merchant
Marine Act, 1936, as affected by the provisions of Reorganization Plan
No. 21 of 1950 (46 U.S.C. 1111(b)) (prohibiting the members of the
Federal Maritime Board and all officers and employees of that Board or
of the Maritime Administration from being in the employ of any other
person, firm, or corporation, or from having any pecuniary interest in
or holding any official relationship with any carrier by water,
shipbuilder, contractor, or other person, firm, association, or
corporation with whom the Federal Maritime Board or the Maritime
Administration may have business relations) shall hereafter be
applicable to the Commissioners composing the Commission and all
officers and employees of the Commission. (As amended Pub. L. 91-469,
38(b), Oct. 21, 1970, 84 Stat. 1036.)
05 USC Sec. 302. Interim Appointments
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
Pending the initial appointments hereunder of the Commissioners
composing the Commission and of the Maritime Administrator, but not for
a period exceeding 90 days, such officers of the executive branch of the
Government (including any person who is a member of the Federal Maritime
Board or Deputy Maritime Administrator immediately prior to the taking
effect of the provisions of this reorganization plan) as the President
shall designate under the provisions of this section shall be Acting
Commissioners of the Federal Maritime Commission or Acting Maritime
Administrator. The President may designate one of such Acting
Commissioners as Acting Chairman of the Commission. Any person who is
not while serving under an interim appointment pursuant to the foregoing
provisions of this section receiving compensation attached to another
Federal office shall receive the compensation herein provided for the
office wherein he serves in an interim capacity.
05 USC Sec. 303. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred to the Commission or to the Chairman of the
Commission by the provisions of Part I of this reorganization plan as
the Director of the Bureau of the Budget shall determine shall be
transferred to the Commission at such time or times as the Director
shall direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided for in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
(c) Subject to the foregoing provisions of this section, the
Secretary of Commerce may transfer within the Department of Commerce
personnel, property, records, and unexpended balances of appropriations,
allocations, and other funds employed, used, held, available, or to be
made available in connection with functions which were transferred to
the Department of Commerce (including the Federal Maritime Board and the
Chairman thereof) by the provisions of Reorganization Plan No. 21 of
1950.
05 USC Sec. 304. Abolition of Federal Maritime Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
The Federal Maritime Board, including the offices of the members of
the Board, is hereby abolished, and the Secretary of Commerce shall
provide for the termination of any outstanding affairs of the said Board
not otherwise provided for in this reorganization plan.
05 USC Sec. 305. Status of Prior Plan
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
The following provisions of Reorganization Plan No. 21 of 1950 are
hereby superseded:
(1) Part I.
(2) Section 202.
(3) Sections 302 to 307, inclusive.
(For further details relating to the Federal Maritime Commission, see
46 U.S.C. 1111 and notes set out thereunder.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 7 OF 1961
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 7 of 1961, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for the reorganization of maritime functions.
The basic objective of the plan is to strengthen and revitalize the
administration of our Federal programs concerned with the promotion and
development of the U.S. merchant marine by concentrating responsibility
in separate agencies for the performance of regulatory and promotional
functions. The plan provides, therefore, for the creation of a separate
Federal Maritime Commission, composed of five Commissioners, which would
be charged with the regulatory functions of the present Federal Maritime
Board. There would be transferred from the Federal Maritime Board to
the Secretary of Commerce the award of subsidies and related promotional
functions. The Secretary of Commerce would retain the functions
transferred to him by Reorganization Plan No. 21 of 1950 which
reorganized the U.S. Maritime Commission into a Federal Maritime Board
and a Maritime Administration in the Department of Commerce. The plan
retains the present Maritime Administration, provides for an
Administrator as head thereof, retains a Deputy Maritime Administrator,
and effects no change in the Office of the Under Secretary of Commerce
for Transportation. The Federal Maritime Board is abolished.
Existing organizational arrangements have not proved to be
satisfactory. The development and maintenance of a sound maritime
industry require that the Federal Government carry out its dual
responsibilities for regulation and promotion with equal vigor and
effectiveness. Intermingling of regulatory and promotional functions
has tended in this instance to dilute responsibility and has led to
serious inadequacies, particularly in the administration of regulatory
functions. Recent findings by committees of the Congress disclose
serious violations of maritime laws and point to the urgent need for a
reorganization to vest in completely separate agencies a responsibility
for (1) regulatory functions and (2) promotional and operating
functions.
The plan would provide the most appropriate organizational framework
for each of the functions concerned. Regulation would be made the
exclusive responsibility of a separate commission organized along the
general lines of other regulatory agencies. On the other hand,
nonregulatory functions, including the determination and award of
subsidies and other promotional and operating activities, would be
concentrated in the head of the Department of Commerce. The Secretary
of Commerce is best qualified to coordinate these activities with other
transportation and related economic programs.
The vesting of all subsidy functions in the Secretary of Commerce
will make it possible for the Congress and the President to hold a
single official responsible and accountable for the effective conduct of
all aspects of this program, including the size and character of the
fleet under the U.S. flag, the need for Government assistance, and
requirements for appropriations to support subsidy programs.
Furthermore, the placing of these functions in the Secretary of Commerce
will assure essential supervision and review of subsidy awards.
The taking effect of the reorganizations included in the accompanying
reorganization plan will result in a modest increase in expenditures.
The improved organizational alinements provided by the plan will,
however, make possible a more effective and expeditious administration
of the statutory objectives to foster and promote a U.S. merchant marine
capable of meeting the Nation's needs in peace and war. Failure to meet
these objectives would be far more costly than the anticipated increase
in expenditures under the plan.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 7 of 1961 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I have also found and hereby declare that it is necessary to include
in the accompanying reorganization plan, by reason of reorganizations
made thereby, provisions for the appointment and compensation of new
officers specified in sections 102 and 201 of the plan. The rates of
compensation fixed for these officers are, respectively, those which I
have found to prevail in respect of comparable officers in the executive
branch of the Government.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, June 12, 1961.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1962
05 USC REORGANIZATION PLAN NO. 1 OF 1962
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1962
Reorganization Plan No. 1 of 1962, which proposed establishment of a
Department of Urban Affairs and Housing, was submitted to Congress on
Jan. 30, 1962, and was disapproved by the House of Representatives on
Feb. 21, 1962.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
05 USC REORGANIZATION PLAN NO. 2 OF 1962
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
amended Pub. L. 88-426, title III, 305(41), Aug.
14, 1964, 78 Stat. 427; Pub. L. 94-282, title V,
502, May 11, 1976, 90 Stat. 472
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled March 29, 1962, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Part I. Office of Science and Technology
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
Sec. 1. (Repealed. Pub. L. 94-282, title V, 502, May 11, 1976, 90
Stat. 472. Section established in the Executive Office of the President
the Office of Science and Technology.)
Sec. 2. (Repealed. Pub. L. 94-282, title V, 502, May 11, 1976, 90
Stat. 472. Section, as amended by Pub. L. 88-426, title III,
305(41)(A), (B), Aug. 14, 1964, 78 Stat. 427, 428, authorized the
appointment of the Director and Deputy Director of the Office of Science
and Technology by the President by and with the advice and consent of
the Senate.)
Sec. 3. (Repealed. Pub. L. 94-282, title V, 502, May 11, 1976, 90
Stat. 472. Section transferred to the Director of the Office of Science
and Technology from the National Science Foundation, certain functions
formerly conferred upon the Foundation.)
Sec. 4. (Repealed. Pub. L. 94-282, title V, 502, May 11, 1976, 90
Stat. 472. Section authorized the Director of the Office of Science and
Technology to appoint employees necessary for the work of the Office
under the classified civil service and fix their compensation in
accordance with the classification laws.)
05 USC Part II. National Science Foundation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
05 USC Section 21. Executive Committee
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
(a) There is hereby established the Executive Committee of the
National Science Board, hereafter in this Part referred to as the
Executive Committee, which shall be composed of five voting members.
Four of the members shall be elected as hereinafter provided. The
Director provided for in section 22 of this reorganization plan, ex
officio, shall be the fifth member and the chairman of the Executive
Committee.
(b) At its annual meeting held in 1964 and at each of its succeeding
annual meetings the National Science Board, hereafter in this Part
referred to as the Board shall elect two of its members as members of
the Executive Committee, and the Executive Committee members so elected
shall hold office for two years from the date of their election. Any
person who has been a member of the Executive Committee (established by
this reorganization plan) for six consecutive years shall thereafter be
ineligible for service as a member thereof during the two-year period
following the expiration of such sixth year. For the purposes of this
subsection, the period between any two consecutive annual meetings of
the Board shall be deemed to be one year.
(c) At its first meeting held after the effective date of this
section the Board shall elect four of its members as members of the
Executive Committee. As designated by the Board, two of the Executive
Committee members so elected shall hold office as such members until the
date of the annual meeting of the Board held in 1964 and the other two
members so elected shall hold such office until the annual meeting of
the Board held in 1965.
(d) Any person elected as a member of the Executive Committee to fill
a vacancy occurring prior to the expiration of the term for which his
predecessor was elected shall be elected for the remainder of such term.
(e) The functions conferred upon the Executive Committee now existing
under the provisions of the National Science Foundation Act of 1950 (42
U.S.C. 1861 et seq.), by the provisions of section 6 of the National
Science Foundation Act of 1950 (42 U.S.C. 1865) or otherwise, are hereby
transferred to the Executive Committee established by the provisions of
this Part; and the authority of the National Science Board to assign
its powers and functions to the now-existing Executive Committee, and
statutory limitations upon such assignment, shall hereafter be
applicable to the Executive Committee established by the provisions of
this Part.
05 USC Sec. 22. Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
(a) There is hereby established in the National Science Foundation a
new office with the title of Director of the National Science
Foundation. The Director of the National Science Foundation, hereafter
in this Part referred to as the Director, shall be appointed by the
President by and with the advice and consent of the Senate. Before any
person is appointed as Director the President shall afford the Board an
opportunity to make recommendations to him with respect to such
appointment. The Director shall serve for a term of six years unless
sooner removed by the President. The Director shall not engage in any
business, vocation or employment other than that of serving as such
Director, nor shall he, except with the approval of the Board, hold any
office in, or act in any capacity for, any organization, agency, or
institution with which the Foundation makes any contract or other
arrangement under the National Science Foundation Act of 1950 (42 U.S.C.
1861 et seq.).
(b) Except to the extent inconsistent with the provisions of section
23(b)(2) of this reorganization plan, all functions of the office of
Director of the National Science Foundation abolished by the provisions
of 23 (a)(2) thereof are hereby transferred to the office of Director
established by the provisions of subsection (a) of this section.
(c) The Director, ex officio, shall be an additional member of the
Board and, except in respect of compensation and tenure, shall be
coordinate with other members of the Board. He shall be a voting member
of the Board and shall be eligible for election by the Board as chairman
or vice chairman of the Board. (As amended Pub. L. 88-426, title III,
305(41)(C), Aug. 14, 1964, 78 Stat. 428.)
05 USC Sec. 23. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
(a) The following agencies now existing under the National Science
Foundation Act of 1950 (42 U.S.C. 1861 et seq.), are hereby abolished:
(1) The Executive Committee of the National Science Board (section 6
of Act; 42 U.S.C. 1865).
(2) The office of Director of the National Science Foundation
(sections 2 and 5 of Act; 42 U.S.C. 1861, 1864).
(b) There are also hereby abolished:
(1) The functions conferred upon the National Science Board by that
part of section 6(a) of the National Science Foundation Act of 1950 (42
U.S.C. 1865(a)) which reads ''The Board is authorized to appoint from
among its members an Executive Committee''.
(2) The functions of the Director of the National Science Foundation
provided for in sections 4(a) and 5 (a) of the National Science
Foundation Act of 1950 (42 U.S.C. 1863(a); 1864(a)) with respect to
serving as a nonvoting member of the Board and his functions with
respect to serving as a nonvoting member of the Executive Committee
provided for in section 6(b) of that Act (42 U.S.C. 1865(b)).
(3) So much of the functions conferred upon divisional committees by
the provisions of section 8(d) of the National Science Foundation Act of
1950 (42 U.S.C. 1867(d)) as consists of making recommendations to, and
advising and consulting with, the Board.
(c) The provisions of sections 23(a)(1) and 23(b)(1) hereof shall
become effective on the date of the first meeting of the Board held
after the effective date of the other provisions of this reorganization
plan.
05 USC Part III. Transitional Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
05 USC Section 31. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, held,
used, available, or to be made available, in connection with the
functions transferred by the provisions of section 3 of this
reorganization plan as the Director of the Bureau of the Budget shall
determine shall be transferred to the Office of Science and Technology
at such time or times as the said Director shall direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided for in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
05 USC Sec. 32. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
(a) The President may authorize any person who immediately prior to
the effective date of Part I of this reorganization plan holds a
position in the Executive Office of the President to act as Director of
the Office of Science and Technology until the office of Director is for
the first time filled pursuant to the provisions of this reorganization
plan or by recess appointment, as the case may be.
(b) The President may authorize any person who immediately prior to
the effective date of section 22 of this reorganization plan holds any
office existing under the provisions of the National Science Foundation
Act of 1950 (42 U.S.C. 1861 et seq.) to act as Director of the National
Science Foundation until the office of Director is for the first time
filled pursuant to the provisions of this reorganization plan or by
recess appointment, as the case may be.
(c) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect of which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
(Amendments by Pub. L. 90-407, July 18, 1968, 82 Stat. 360, intended
to continue in effect the existing offices, procedures, and organization
of the National Science Foundation as provided by 42 U.S.C. section 1861
et seq., part II of Reorg. Plan No. 2 of 1962, and Reorg. Plan No. 5 of
1965, but on and after July 18, 1968, part II of Reorg. Plan No. 2 of
1962, and Reorg. Plan No. 5 of 1965, as being of no force or affect, and
nothing in Pub. L. 90-407 as altering or affecting any transfers of
functions made by part I of Reorg. Plan No. 2 of 1962, see section 16
of Pub. L. 90-407, set out as Continuation of Existing Offices,
Procedures, and Organization of the National Science Foundation note
under 42 U.S.C. 1862.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1962
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1962, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended, and providing for certain reorganizations in the field of
science and technology.
Part I of the reorganization plan establishes the Office of Science
and Technology as a new unit within the Executive Office of the
President; places at the head thereof a Director appointed by the
President by and with the advice and consent of the Senate and makes
provision for a Deputy Director similarly appointed; and transfers to
the Director certain functions of the National Science Foundation under
sections 3(a)(1) and 3(a)(6) of the National Science Foundation Act of
1950.
The new arrangements incorporated in part I of the reorganization
plan will constitute an important development in executive branch
organization for science and technology. Under those arrangements the
President will have permanent staff resources capable of advising and
assisting him on matters of national policy affected by or pertaining to
science and technology. Considering the rapid growth and far-reaching
scope of Federal activities in science and technology, it is imperative
that the President have adequate staff support in developing policies
and evaluating programs in order to assure that science and technology
are used most effectively in the interests of national security and
general welfare.
To this end it is contemplated that the Director will assist the
President in discharging the responsibility of the President for the
proper coordination of Federal science and technology functions. More
particularly, it is expected that he will advise and assist the
President as the President may request with respect to --
(1) Major policies, plans, and programs of science and technology of
the various agencies of the Federal Government, giving appropriate
emphasis to the relationship of science and technology to national
security and foreign policy, and measures for furthering science and
technology in the Nation.
(2) Assessment of selected scientific and technical developments and
programs in relation to their impact on national policies.
(3) Review, integration, and coordination of major Federal activities
in science and technology, giving due consideration to the effects of
such activities on non-Federal resources and institutions.
(4) Assuring that good close relations exist with the Nation's
scientific and engineering communities so as to further in every
appropriate way their participation in strengthening science and
technology in the United States and the free world.
(5) Such other matters consonant with law as may be assigned by the
President to the Office.
The ever-growing significance and complexity of Federal programs in
science and technology have in recent years necessitated the taking of
several steps for improving the organizational arrangements of the
executive branch in relation to science and technology:
(1) The National Science Foundation was established in 1950. The
Foundation was created to meet a widely recognized need for an
organization to develop and encourage a national policy for the
promotion of basic research and education in the sciences, to support
basic research, to evaluate research programs undertaken by Federal
agencies, and to perform related functions.
(2) The Office of the Special Assistant to the President for Science
and Technology was established in 1957. The Special Assistant serves as
Chairman of both the President's Science Advisory Committee and the
Federal Council for Science and Technology, mentioned below.
(3) At the same time, the Science Advisory Committee, composed of
eminent non-Government scientists and engineers, and located within the
Office of Defense Mobilization, was reconstituted in the White House
Office as the President's Science Advisory Committee.
(4) The Federal Council for Science and Technology, composed of
policy officials of the principal agencies engaged in scientific and
technical activities, was established in 1959.
The National Science Foundation has proved to be an effective
instrument for administering sizable programs in support of basic
research and education in the sciences and has set an example for other
agencies through the administration of its own programs. However, the
Foundation, being at the same organizational level as other agencies,
cannot satisfactorily coordinate Federal science policies or evaluate
programs of other agencies. Science policies, transcending agency
lines, need to be coordinated and shaped at the level of the Executive
Office of the President drawing upon many resources both within and
outside of Government. Similarly, staff efforts at that higher level
are required for the evaluation of Government programs in science and
technology.
Thus, the further steps contained in part I of the reorganization
plan are now needed in order to meet most effectively new and expanding
requirements brought about by the rapid and far-reaching growth of the
Government's research and development programs. These requirements call
for the further strengthening of science organization at the
Presidential level and for the adjustment of the Foundation's role to
reflect changed conditions. The Foundation will continue to originate
policy proposals and recommendations concerning the support of basic
research and education in the sciences, and the new Office will look to
the Foundation to provide studies and information on which sound
national policies in science and technology can be based.
Part I of the reorganization plan will permit some strengthening of
the staff and consultant resources now available to the President in
respect of scientific and technical factors affecting executive branch
policies and will also facilitate communication with the Congress.
Part II of the reorganization plan provides for certain
reorganizations within the National Science Foundation which will
strengthen the capability of the Director of the Foundation to exert
leadership and otherwise further the effectiveness of administration of
the Foundation. Specifically:
(1) There is established a new office of Director of the National
Science Foundation and that Director, ex officio, is made a member of
the National Science Board on a basis coordinate with that of other
Board members.
(2) There is substituted for the now-existing Executive Committee of
the National Science Board a new Executive Committee composed of the
Director of the National Science Foundation, ex officio, as a voting
member and Chairman of the Committee, and of four other members elected
by the National Science Board from among its appointive members.
(3) Committees advisory to each of the divisions of the Foundation
will make their recommendations to the Director only rather than to both
the Director and the National Science Board.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1962 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
I have found and hereby declare that it is necessary to include in
the reorganization plan, by reason of reorganizations made thereby,
provisions for the appointment and compensation of the Director and
Deputy Director of the Office of Science and Technology and of the
Director of the National Science Foundation. The rate of compensation
fixed for each of these officers is that which I have found to prevail
in respect of comparable officers in the executive branch of the
Government.
The functions abolished by the provisions of section 23(b) of the
reorganization plan are provided for in sections 4(a), 5(a), 6(a), 6(b),
and 8(d) of the National Science Foundation Act of 1950.
The taking effect of the reorganizations included in the
reorganization plan will provide sound organizational arrangements and
will make possible more effective and efficient administration of
Government programs in science and technology. It is, however,
impracticable to itemize at this time the reductions in expenditures
which it is probable will be brought about by such taking effect.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, March 29, 1962.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1963
05 USC REORGANIZATION PLAN NO. 1 OF 1963
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1963
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 27, 1963, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203 as amended
(see 5 U.S.C. 901 et seq.).
Section 1. All functions with respect to the Franklin D. Roosevelt
Library now vested in the Secretary of the Interior are hereby
transferred to the Administrator of General Services.
Sec. 2. The Administrator of General Services may from time to time
make such provisions as he deems appropriate authorizing the performance
of any function transferred by the provisions of this reorganization
plan by any other officer, or by any employee or agency, of the General
Services Administration.
Sec. 3. (a) So much of the personnel, property, records, and
unexpended balances of appropriations, allocations, and other funds
employed, held, used, available or to be made available in connection
with the functions transferred by the provisions of this reorganization
plan as the Director of the Bureau of the Budget shall determine shall
be transferred to the General Services Administration at such time or
times as the said Director shall direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided for in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
Sec. 4. Section 401 of Reorganization Plan No. 3 of 1946 (60 Stat.
1099) is hereby superseded.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1963
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1963, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for the reorganization of certain functions relating to the
Franklin D. Roosevelt Library.
The library project was built under authority of the joint resolution
of July 18, 1939. It is located on a site in the town of Hyde Park,
Dutchess County, N.Y., donated by the late Franklin D. Roosevelt. The
library contains historical material donated by him, and other related
historical material.
At the present time responsibility for the library is divided as
follows:
(1) The Secretary of the Interior is responsible for the care,
maintenance, and protection of the buildings and grounds of the library
and for the collection of fees for the privilege of visiting and viewing
the exhibit rooms or museum portion of the library, exclusive, however,
of the function of fixing the amounts of fees charged.
(2) Responsibility for the contents and professional services of the
library, and all other responsibility for the library except as
indicated above, are vested in the Administrator of General Services.
When the transfer of functions with respect to the Franklin D.
Roosevelt Library from the Secretary of the Interior to the
Administrator of General Services, as provided for in the reorganization
plan transmitted herewith, becomes effective, the Administrator will
have complete responsibility for the library, including its buildings,
grounds, contents, and services.
Three other Presidential libraries are now entirely under the
jurisdiction of the Administrator of General Services (in pursuance of
sec. 507(g) of the Federal Property and Administrative Services Act of
1949, as amended): the Harry S. Truman Library at Independence, Mo.,
the Herbert Hoover Library at West Branch, Iowa, and the Dwight D.
Eisenhower Library at Abilene, Kans. The taking effect of the
provisions of the accompanying reorganization plan will place the
administration of the Franklin D. Roosevelt Library fully on a common
footing with the administration of these three other Presidential
libraries.
I am persuaded that the present division of responsibility between
the Secretary of the Interior and the Administrator of General Services
is not conducive to the most efficient administration of the Franklin D.
Roosevelt Library. Reorganization Plan No. 1 of 1963 will apply to
this library the preferable pattern of organization existing with
respect to other Presidential libraries.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1963 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
The taking effect of reorganizations included in the reorganization
plan will provide improved organizational arrangements with respect to
the administration of the Franklin D. Roosevelt Library. While such
arrangements will further the convenient and efficient carrying out of
the purposes of the library, it is impracticable to specify or itemize
at this time the reductions of expenditures which it is probable will be
brought about by such taking effect.
I recommend that the Congress allow the reorganization plan to become
effective.
John F. Kennedy.
The White House, May 27, 1963
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
05 USC REORGANIZATION PLAN NO. 1 OF 1965
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 25, 1965, pursuant to
the provisions of the Reorganization Act of 1949, 63 Stat. 203, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Abolition of Offices
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
All offices in the Bureau of Customs of the Department of the
Treasury of collector of customs, comptroller of customs, surveyor of
customs, and appraiser of merchandise to which appointments are required
to be made by the President, by and with the advice and consent of the
Senate, are abolished. The foregoing provisions shall become effective
with respect to each office abolished thereby at such time, not later
than December 31, 1966, as the Secretary of the Treasury shall specify,
but nothing herein shall empower the Secretary to increase the term of
any office beyond that provided by law for such office or affect his
authority under the first paragraph under the heading ''TREASURY
DEPARTMENT'' appearing in the Act of March 2, 1895 (ch. 187, 28 Stat.
844; 5 U.S.C. 252) (31 U.S.C. 309), to retain in office, prior to
December 31, 1966, those persons whose offices are to be terminated
under this reorganization plan.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
There are transferred to the Secretary of the Treasury the functions,
if any, that have been vested by statute in officers, agencies, or
employees of the Bureau of Customs of the Department of the Treasury
since the effective date of Reorganization Plan No. 26 of 1950 (64
Stat. 1280).
05 USC Sec. 3. Preservation of Remedies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
The abolition of offices herein shall not prejudice any right to
protest or to appeal to the United States Customs Court any action taken
in the administration of the customs laws.
05 USC Sec 4. Incidental Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
Consonant with section 4 of the Reorganization Act of 1949, as
amended (see 5 U.S.C. 904) and this reorganization plan, the Secretary
of the Treasury shall make such provisions as he shall deem necessary
respecting (1) the transfer or other disposition of the records,
property, personnel, and unexpended balances of appropriations,
allocations, and other funds, available or to be made available, which
are affected by a reorganization contained in this reorganization plan;
and (2) the winding up of the affairs of any officer whose office is
abolished by the provisions of this reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1965
To the Congress of the United States:
All that we do to serve the people of this land must be done, as has
been my insistent pledge, with the least cost and the most
effectiveness.
In my state of the Union message, I announced it was this
administration's intention to ''reshape and reorganize'' the executive
branch. This goal had one objective: ''to meet more effectively the
tasks of today.''
I report today now one step taken forward toward that goal as part of
our progress ''on new economies we were planning to make.''
I submit today a plan for reorganization in the Bureau of Customs of
the Department of the Treasury.
At present the Bureau maintains 113 independent field offices, each
reporting directly to Customs headquarters in Washington, D.C. Under a
modernization program of which this reorganization plan is an integral
part, the Secretary of the Treasury proposes to establish six regional
offices to supervise all Customs field activities. The tightened
management controls achieved from these improvements will make possible
a net annual saving of $9 million within a few years.
An essential feature will be the abolition of the offices of all
Presidential appointees in the Customs Service. The program cannot be
effectively carried out without this step.
The following offices, therefore, would be eliminated: Collectors of
customs, comptrollers of customs, surveyors of customs, and appraisers
of merchandise, to which appointments are now required to be made by the
President by and with the advice and consent of the Senate.
Incumbents of abolished offices will be given consideration for
suitable employment under the civil service laws in any positions in
customs for which they may be qualified.
When this reorganization is completed, all officials and employees of
the Bureau of Customs will be appointed under the civil service laws.
All of the functions of the offices which will be abolished are
presently vested in the Secretary of the Treasury by Reorganization Plan
No. 26 of 1950 which gives the Secretary power to redelegate these
functions. He will exercise this power as the existing offices are
abolished.
The estimate of savings that will be achieved by the program of
customs modernization and improvement, of which this reorganization plan
is a part, is based on present enforcement levels, business volume, and
salary scales. Of the amounts saved, approximately $1 million a year
will be from salaries no longer paid because of the abolition of
offices.
The proposed new organizational framework looks to the establishment
of new offices at both headquarters and field levels and abolition of
present offices.
This results in a net reduction of more than 50 separate principal
field offices by concentration of supervisory responsibilities in fewer
officials in charge of regional and district activities. In addition to
the six offices of regional commissioner, about 25 offices of district
director will be established. The regional commissioners and district
directors will assume the overall principal supervisory responsibilities
and functions of collectors of customs, appraisers of merchandise,
comptrollers of customs, laboratories, and supervising customs agents.
At the headquarters level, four new offices will be established to
replace seven divisions. A new position of special assistant to the
Commissioner will be created and charged with responsibility for
insuring that all Customs employees conduct themselves in strict
compliance with all applicable laws and regulations. Up to now this
function has been one of a number lodged with an existing division.
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 1 of 1965 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
It should be emphasized that abolition by Reorganization Plan No. 1
of 1965 of the offices of collector of customs, comptroller of customs,
surveyor of customs, and appraiser of merchandise will in no way
prejudice any right of any person affected by the laws administered by
the Bureau of Customs. The rights of importers and others, for example,
before the Customs Court, arising out of the administration of such
functions will remain unaffected. In addition it should be emphasized
that all essential services to the importing, exporting, and traveling
public will continue to be performed.
This reorganization plan will permit a needed modernization of the
organization and procedure of the Bureau of Customs. It will permit a
more effective administration of the customs laws.
I urge the Congress to permit Reorganization Plan No. 1 of 1965 to
become effective.
Lyndon B. Johnson.
The White House, March 25, 1965.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
05 USC REORGANIZATION PLAN NO. 2 OF 1965
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
amended Pub. L. 90-83, 10(c), Sept. 11, 1967, 81
Stat. 224
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 13, 1965, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
All functions vested by law in the Weather Bureau, the Chief of the
Weather Bureau, the Coast and Geodetic Survey, the Director of the Coast
and Geodetic Survey, and any officer, employee, or organizational entity
of that Bureau of Survey, and not heretofore transferred to the
Secretary of Commerce, hereinafter referred to as the Secretary, are
hereby transferred to the Secretary.
05 USC Sec. 2. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
(a) The offices of Director of the Coast and Geodetic Survey, Deputy
Director of the Coast and Geodetic Survey, and Chief of the Weather
Bureau are hereby abolished. The Secretary shall make such provisions
as he shall deem to be necessary respecting the winding up of any
outstanding affairs of the officers whose offices are abolished by the
provisions of this section.
(b) The abolitions effected by the provision of subsection (a) of
this section shall exclude the abolition of rights to which the present
incumbents of the abolished offices would be entitled under law upon the
termination of their appointments.
05 USC Sec. 3. Environmental Science Services Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
(a) The Coast and Geodetic Survey and the Weather Bureau are hereby
consolidated to form a new agency in the Department of Commerce which
shall be known as the Environmental Science Services Administration,
hereinafter referred to as the Administration.
(b) The Secretary shall from time to time establish such constituent
organizational entities of the Administration, with such names, as he
shall determine.
05 USC Sec. 4. Officers of the Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
(a) There shall be at the head of the Administration the
Administrator of the Environmental Science Services Administration,
hereinafter referred to as the Administrator. The Administrator shall
be appointed by the President by and with the advice and consent of the
Senate. He shall perform such functions as the Secretary may from time
to time direct.
(b)(1) There shall be in the Administration a Deputy Administrator of
the Environmental Science Services Administration, hereinafter referred
to as the Deputy Administrator, who shall be appointed by the President
by and with the advice and consent of the Senate, shall perform such
functions as the Secretary may from time to time direct, and, unless he
is compensated in pursuance of the provisions of paragraph (2), below,
shall receive compensation in accordance with the Classification Act of
1949, as amended (5 U.S.C. 5101 et seq., 5331 et seq.).
(2) The office of Deputy Administrator may be filled at the
discretion of the President by appointment (by and with the advice and
consent of the Senate) from the active list of commissioned officers of
the Administration in which case the appointment shall create a vacancy
on the active list and while holding the office of Deputy Administrator
the officer shall have rank, pay and allowances not exceeding those of a
Vice Admiral.
(c) The Deputy Administrator or such other official of the Department
of Commerce as the Secretary shall from time to time designate shall act
as Administrator during the absence or disability of the Administrator
or in the event of a vacancy in the office of Administrator.
(d) At any one time, one principal constituent organizational entity
of the Administration may, if the Secretary so elects, be headed by a
commissioned officer of the Administration, who shall be designated by
the Secretary. Such designation of an officer shall create a vacancy on
the active list and while serving under this paragraph the officer shall
have rank, pay and allowances not exceeding those of a Rear Admiral
(upper half).
(e) Any commissioned officer of the Administration who has served as
Deputy Administrator or has served in a rank above that of Captain as
the head of a principal constituent organizational entity of the
Administration, and is retired while so serving or is retired after the
completion of such service while serving in a lower rank or grade, shall
be retired with the rank, pay and allowances authorized by law for the
highest grade and rank held by him; but any such officer, upon
termination of his appointment in a rank above that of Captain, shall,
unless appointed or assigned to some other position for which a higher
rank or grade is provided, revert to the grade and number he would have
occupied had he not served in a rank above that of Captain and such
officer shall be an extra number in that grade. (As amended Pub. L.
90-83, 10(c), Sept. 11, 1967, 81 Stat. 224.)
05 USC Sec. 5. Authority of the Secretary
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
Nothing in this reorganization plan shall divest the Secretary of any
function vested in him by law or by Reorganization Plan No. 5 of 1950
(64 Stat. 1263) or in any manner derogate from any authority of the
Secretary thereunder.
05 USC Sec. 6. Personnel, Property, Records and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
(a) The personnel (including commissioned officers) employed in the
Coast and Geodetic Survey, the personnel employed in the Weather Bureau,
and the property and records held or used by the Weather Bureau or the
Coast and Geodetic Survey shall be deemed to be transferred to the
Administration.
(b) Unexpended balances of appropriations, allocations, and other
funds available or to be made available in connection with functions now
administered by the Weather Bureau or by the Coast and Geodetic Survey
shall be available to the Administration hereunder in connection with
those functions.
(c) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the foregoing provisions of this section shall be carried out in such
manner as he shall direct and by such agencies as he shall designate.
05 USC Sec. 7. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
(a) The President may authorize any person who immediately prior to
the effective date of this reorganization plan held a position in the
executive branch of the Government to act as Administrator until the
office of Administrator is for the first time filled pursuant to the
provisions of this reorganization plan or by recess appointment, as the
case may be.
(b) The President may similarly authorize any such person to act as
Deputy Administrator.
(c) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect to which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
(The Environmental Science Services Administration in the Department
of Commerce, including the offices of Administrator and Deputy
Administrator thereof, were abolished by Reorg. Plan No. 4 of 1970, eff.
Oct. 3, 1970, 35 F.R. 15627, 84 Stat. 2090, which created the National
Oceanic and Atmospheric Administration in the Department of Commerce and
transferred the personnel, property, records, and unexpended balances of
funds of the Environmental Science Services Administration to such newly
created National Oceanic and Atmospheric Administration.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1965
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1965, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended, and providing for the reorganization of two major agencies of
the Department of Commerce: The Weather Bureau and the Coast and
Geodetic Survey.
The reorganization plan consolidates the Coast and Geodetic Survey
and the Weather Bureau to form a new agency in the Department of
Commerce to be known as the Environmental Science Services
Administration. It is the intention of the Secretary of Commerce to
transfer the Central Radio Propagation Laboratory of the National Bureau
of Standards to the Administration when the reorganization plan takes
effect. The new Administration will then provide a single national
focus for our efforts to describe, understand, and predict the state of
the oceans, the state of the lower and upper atmosphere, and the size
and shape of the earth.
Establishment of the Administration will mark a significant step
forward in the continual search by the Federal Government for better
ways to meet the needs of the Nation for environmental science services.
The organizational improvements made possible by the reorganization
plan will enhance our ability to develop an adequate warning system for
the severe hazards of nature -- for hurricanes, tornadoes, floods,
earthquakes, and seismic sea waves, which have proved so disastrous to
the Nation in recent years. These improvements will permit us to
provide better environmental information to vital segments of the
Nation's economy -- to agriculture, transportation, communications, and
industry, which continually require information about the physical
environment. They will mean better services to other Federal
departments and agencies -- to those that are concerned with the
national defense, the exploration of outer space, the management of our
mineral and water resources, the protection of the public health against
environmental pollution, and the preservation of our wilderness and
recreation areas.
The new Administration will bring together a number of allied
scientific disciplines that are concerned with the physical environment.
This integration will better enable us to look at man's physical
environment as a scientific whole and to seek to understand the
interactions among air, sea, and earth and between the upper and lower
atmosphere. It will facilitate the development of programs dealing with
the physical environment and will permit better management of these
programs. It will enhance our capability to identify and solve
important long-range scientific and technological problems associated
with the physical environment. The new Administration will, in
consequence, promote a fresh sense of scientific dedication, discovery,
and challenge, which are essential if we are to attract scientists and
engineers of creativity and talent to Federal employment in this field.
The reorganization plan provides for an Administrator at the head of
the Administration, and for a Deputy Administrator, each of whom will be
appointed by the President by and with the advice and consent of the
Senate. As authorized by the civil service and other laws and
regulations, subordinate officers of the Administration will be
appointed by the Secretary of Commerce or be assigned by him from among
a corps of commissioned officers. The Administration will perform such
functions as the Secretary of Commerce may delegate or otherwise assign
to it and will be under his direction and control.
Commissioned officers of the Coast and Geodetic Survey will become
commissioned officers of the Administration and may serve at the
discretion of the Secretary of Commerce throughout the Administration.
The reorganization plan authorizes the President at his discretion to
fill the Office of Deputy Administrator by appointment, by and with the
advice and consent of the Senate, from the active list of commissioned
officers of the Administration.
The reorganization plan transmitted herewith abolishes -- and thus
excludes from the consolidation mentioned above -- the offices of (1)
Chief of the Weather Bureau, provided for in the act of October 1, 1890
(15 U.S.C. 312); (2) Director of the Coast and Geodetic Survey,
provided for in the acts of June 4, 1920, and February 16, 1929, as
amended (33 U.S.C. 852, 852a); and (3) Deputy Director of the Coast and
Geodetic Survey, provided for in the act of January 19, 1942, as amended
(33 U.S.C. 852b).
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 2 of 1965 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I have also found
and hereby delcare that by reason of the reorganizations made by the
reorganization plan, it is necessary to include in the plan provisions
for the appointment and compensation of the officers of the
Administration set forth in section 4 of the reorganization plan. The
rate of compensation fixed for each of these officers is that which I
have found to prevail in respect of comparable officers in the executive
branch of the Government.
In addition to permitting more effective management within the
Department of Commerce, the new organization will ultimately produce
economies. These economies will be of two types. The first, and
probably the most significant, is the savings and avoidance of costs
which will result from the sharing of complex and expensive facilities
such as satellites, computers, communication systems, aircraft, and
ships. These economies will increase in significance as developments in
science and technology bring into being still more advanced equipment.
Second, integration of the existing headquarters and field organizations
will permit more efficient utilization of existing administrative staffs
and thereby produce future economies. It is, however, impracticable to
specify or itemize at this time the reductions of expenditures which it
is probable will be brought about by the taking effect of the
reorganizations included in the reorganization plan.
I recommend that the Congress allow the accompanying reorganization
plan to become effective.
Lyndon B. Johnson.
The White House, May 13, 1965.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
05 USC REORGANIZATION PLAN NO. 3 OF 1965
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 27, 1965, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions to Interstate Commerce
Commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
Except to the extent inconsistent with the provisions of section 2(b)
hereof, all functions now vested in the director of locomotive
inspection, assistant directors of locomotive inspection, and district
inspectors of locomotives, including the functions so vested by the Act
of February 17, 1911, ch. 103, 36 Stat. 913, as amended (45 U.S.C.
22-29; 30-34), and by section 2 of the Act of March 4, 1915, ch. 169,
38 Stat. 1192, as amended (45 U.S.C. 30), are hereby transferred to the
Interstate Commerce Commission.
05 USC Sec. 2. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
(a) All offices of director of locomotive inspection, assistant
director of locomotive inspection, and district inspector of
locomotives, provided for in the Acts referred to above (45 U.S.C.
22-34), are hereby abolished. The Interstate Commerce Commission shall
make such provisions as it deems to be necessary respecting the winding
up of any outstanding affairs of the officers whose offices are
abolished by the provisions of this reorganization plan.
(b) The functions with respect to dividing the territory comprising
the several States and the District of Columbia into fifty locomotive
boiler-inspection districts, vested in the director of locomotive
inspection by section 4 of the above-mentioned Act of February 17, 1911
(45 U.S.C. 26), are hereby abolished.
05 USC Sec. 3. Performance of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
The Interstate Commerce Commission may from time to time make such
provisions as it shall deem appropriate authorizing the performance by
any officer, employee, or organizational entity under the Commission of
any function transferred to the Commission by the provisions of section
1 of this reorganization plan, but the Commission may not make any such
provision which is in conflict with section 17(2) of the Interstate
Commerce Act (49 U.S.C. 10304, 10305).
05 USC Sec. 4. Records, Property and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
(a) Consonant with section 4 of the Reorganization Act of 1949, as
amended and this reorganization plan, the Interstate Commerce Commission
shall make such provisions as it shall deem necessary respecting the
transfer or other disposition of the records and property which are
affected by a reorganization contained in this reorganization plan.
(b) Unexpended balances of appropriations, allocations, and other
funds, available or to be made available for the Interstate Commerce
Commission for expenses necessary to carry out locomotive inspection
activities, shall continue to be available therefor under this
reorganization plan.
(c) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the foregoing provisions of this section shall be carried out in such
manner as he shall direct and by such agencies as he shall designate.
05 USC Sec. 5. Personnel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
(a) The Interstate Commerce Commission may employ and compensate such
personnel as may be necessary to carry out the functions transferred to
the Commission by this reorganization plan under the classified civil
service and pursuant to the Classification Act of 1949, as amended (5
U.S.C. 5101 et seq., 5331 et seq.).
(b) The Interstate Commerce Commission shall appoint to a position
under the classified civil service, without change in grade or salary,
each person who immediately prior to the taking effect of this
reorganization plan held the office of district inspector of
locomotives. Such appointments shall be deemed to be made without any
break in the service of any individual concerned and the provisions of
this reorganization plan shall not be deemed to effect an involuntary
separation of any district inspector of locomotives for the purposes of
section 6(d) of the Civil Service Retirement Act (5 U.S.C. 2256(d)) (5
U.S.C. 8336) or for the purposes of any other provision of law.
All functions, powers, and duties of the Interstate Commerce
Commission and of the Chairman, members, officers, and offices thereof,
under Reorg. Plan No. 3 of 1965, relating generally to safety
appliances and equipment on railroad engines and cars, and the
protection of employees and travelers, were transferred to and vested in
the Secretary of Transportation by Pub. L. 89-670, Oct. 15, 1966, 80
Stat. 931. See 49 App. U.S.C. 1655(e)(1)(G).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1965
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1965, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganization of the locomotive inspection activities of
certain personnel employed by or attached to the Interstate Commerce
Commission.
I have stressed that we must reorganize and modernize the
Government's organization structure in order to focus responsibilities,
increase efficiency, and meet present-day needs more effectively. The
reorganization plan, which accords with recommendations made to me by
the Interstate Commerce Commission, supports these objectives. It will
make possible necessary changes in the organization and administration
of the Commission's railroad safety operations.
The Commission's ability to organize and carry out most effectively
its responsibilities for railroad safety is now severely limited by
certain anachronistic provisions of the locomotive inspection statutes.
These provisions go back to an earlier period before steam locomotives
were replaced almost completely by diesel engines. At that time
locomotive boilers were temperamental and dangerous and special measures
were required to enforce adequate safety standards. Present law
specifies in detail the method of appointing locomotive inspectors, the
functions to be performed by them, and the organization structure for
administering inspection activities. While these provisions may have
been suited to conditions 50 years ago, they are clearly inappropriate
today.
Progress in railroad technology has not eliminated the need for
locomotive inspection. Locomotive inspection is still essential for the
safety of employees, passengers, and cargo. The Interstate Commerce
Commission, however, properly should not be held to account for the
performance of this important function as long as it lacks authority to
make those changes in organization and operations which it deems
necessary to meet current safety needs and to promote maximum economy
and efficiency. The primary purpose of the accompanying reorganization
plan is to terminate outdated arrangements which now stand in the way of
the most effective management of the Commission's railroad safety
program.
Organizational flexibility is at present restricted by the statutory
requirement that there be 50 locomotive inspection districts and at
least 1 inspector for each such district. The number of inspectors and
districts cannot be adjusted to accommodate to changes in workload or
other relevant factors.
Locomotive inspection is rigidly separated from related railroad
safety activities performed under the Interstate Commerce Commission.
The locomotive inspection statutes restrict inspectors of locomotives to
the inspection of locomotives only and prevent the inspection of
locomotives (except brakes and safety appliances) by other Commission
railroad safety personnel. Thus, the Commission is prevented from
making the most effective utilization of its total staff of locomotive
and train inspectors. In order to eliminate the present uneconomical
duplicate visits to railroad yards and otherwise to promote the most
economical and effective administration of its railroad safety
responsibilities, the Commission should have the authority to assign
staff to duties for which they may be qualified by training and
experience. The reorganization plan will make this possible.
Organizational flexibility is hampered further by the provision for
Presidential appointment and Senate confirmation of a director and two
assistant directors of locomotive inspection. Originally, these
officials were to be selected with reference to their practical
knowledge of the construction and repair of boilers. Later amendments
broadened their responsibilities to embrace all parts of the locomotive
and tender. These clearly are not policymaking positions, warranting
Presidential appointment. As is now the case with other comparable
positions where appointments should be based primarily on professional
and technical qualifications, personnel supervising locomotive
inspection functions should be appointed under the classified civil
service.
By eliminating the present cumbersome restrictions on inspection
districts, the duties of locomotive inspectors, and the appointment of
the director and assistant directors of locomotive inspection, the plan
will make it possible for the Commission to utilize its personnel more
efficiently, integrate the work performed by locomotive inspectors with
that performed by other Commission railroad safety inspectors, and take
full advantage of recent improvements in the organization of the
Commission's central office and field activities.
Upon the taking effect of the reorganization plan --
(1) All functions of the director of locomotive inspection, the
assistant directors of locomotive inspection, and district locomotive
inspectors will be transferred to the Interstate Commerce Commission.
Suitable powers of delegation with respect to the functions so
transferred will be conferred upon the Commission.
(2) The position of director of locomotive inspection, the two
positions of assistant director of locomotive inspection, and all
positions of district locomotive inspector will be abolished. The
Commission will be required to appoint to a position under the
classified civil service, as provided in the reorganization plan, each
person who immediately prior to the taking effect of the plan held the
office of district inspector of locomotives; such appointments will be
deemed to be made without any break in service.
(3) The function of dividing the territory comprising the several
States and the District of Columbia into 50 locomotive-boiler-inspection
districts will be abolished.
After investigation, I have found and hereby declare that each
reorganization included in the reorganization plan transmitted herewith
is necessary to accomplish one or more of the purposes set forth in
section 2(a) of the Reorganization Act of 1949, as amended. I have also
found and hereby declare that, by reason of the reorganizations made by
the reorganization plan, it is necessary to include in the plan the
provisions contained in section 5 thereof. The rates of compensation
thereunder are those which I have found to prevail in respect of
comparable positions in the executive branch of the Government.
The statutory authority for the exercise of the functions to be
abolished by section 2(b) of the reorganization plan is contained in
section 4 of the act of February 17, 1911 (ch. 103, 36 Stat. 914, as
amended).
The reorganizations provided for in the reorganization plan will
produce some immediate savings and significant long-range economies.
The latter will result from future improvements in the organization and
administration of the affected functions made possible by the plan.
Since the plan will open the way for the more effective utilization of
safety inspection staffs of the Interstate Commerce Commission, it will
yield a significantly increased measure of safety inspection activity
for each dollar spent for this purpose. It is, however, impracticable
to specify or itemize at this time the reductions of expenditures which
it is probable will be brought about by the taking effect of the
reorganizations included in the reorganization plan.
Under the accompanying reorganization plan, all essential Government
railroad safety services to the traveling public and employees will
continue to be performed. The plan provides urgently needed
modernization of the organization and procedures in the Interstate
Commerce Commission's railroad safety program. I recommend that the
Congress allow the reorganization plan to become effective.
Lyndon B. Johnson.
The White House, May 27, 1965.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
05 USC REORGANIZATION PLAN NO. 4 OF 1965
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
amended Pub. L. 90-83, 10(c), Sept. 11, 1967, 81
Stat. 224
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 27, 1965, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Part I
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
All functions of each of the following-named bodies, together with
all functions of the Chairman and of other officers of each thereof, are
hereby transferred to the President of the United States:
(a) The National Housing Council, provided for in section 6 of
Reorganization Plan No. 3 of 1947 (61 Stat. 955) as affected by (i)
section 502(a) of the Housing Act of 1948 (62 Stat. 1283; 12 U.S.C.
1701c), (ii) section 603 of the Housing Act of 1949 (63 Stat. 440; 12
U.S.C. 1701i) and by (iii) section 615 of the Defense Housing and
Community Facilities and Services Act of 1951 (65 Stat. 317; 12 U.S.C.
1701i-1).
(b) The National Advisory Council on International Monetary and
Financial Problems, provided for in section 4 of the Bretton Woods
Agreements Act, 59 Stat. 512, as amended (22 U.S.C. 286b).
(c) The Board of the Foreign Service, provided for in section 211 of
the Foreign Service Act of 1946, 60 Stat. 1001 (22 U.S.C. 826) (see 22
U.S.C. 3930).
(d) The Board of Examiners for the Foreign Service, provided for in
section 212 of the Foreign Service Act of 1946 (22 U.S.C. 827) (see 22
U.S.C. 3931).
(e) The Civilian-Military Liaison Committee, provided for in section
204 of the National Aeronautics and Space Act of 1958, 72 Stat. 431, as
amended (42 U.S.C. 2474).
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
The President may from time to time make such provisions as he may
deem appropriate authorizing the performance of the functions
transferred by the provisions of section 1 of this reorganization plan
by any other officers of the executive branch of the Government or by
any agencies or employees of that branch.
05 USC Sec. 3. Abolition of Bodies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
(a) Each of the bodies referred to in paragraphs (a) to (e),
inclusive, of section 1 of this reorganization plan is hereby abolished.
(b) The President shall make or cause to be made such provisions as
may be necessary with respect to the winding up of any outstanding
affairs of the bodies abolished by the provisions of section 3 of this
reorganization plan.
05 USC Part II
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
05 USC Section 11. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
(a) (Repealed. Pub. L. 90-83, 10(c), Sept. 11, 1967, 81 Stat. 224.
Subsection transferred to the Chairman of the United States Civil
Service Commission all functions of the Advisory Council on Group
Insurance, provided for in section 12(a) of the Federal Employees' Group
Life Insurance Act of 1954, 68 Stat. 742 (5 U.S.C. 2101(a)) (5 U.S.C.
8713(a)(1)-(3)).
(b) There are hereby transferred to the Administrator of the Small
Business Administration all functions of the Loan Policy Board of the
Small Business Administration, provided for in section 4(d) of the Small
Business Act, 72 Stat. 385 (15 U.S.C. 633(d)).
(c) There are hereby transferred to the Secretary of the Interior all
functions of the advisory board provided for in section 2(a) of the Act
of August 20, 1937, 50 Stat. 732, as amended (16 U.S.C. 832a(a)),
commonly referred to as the Bonneville Power Advisory Board.
(d) There are hereby transferred to the Attorney General all
functions of the Awards Board provided for in section 3 of the Atomic
Weapons Rewards Act of 1955, 69 Stat. 365 (50 U.S.C. 47b).
(e) The transfers made by subsections (a) to (d), inclusive, of this
section shall be deemed to include all functions of the Chairman and of
other officers of the respective transferor bodies referred to in those
subsections. (Subsection repealed by Pub. L. 90-83, 10(c), Sept. 11,
1967, 81 Stat. 224, insofar as applicable to subsection (a) of this
section.)
05 USC Sec. 12. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
Each officer to whom functions are transferred by the provisions of
section 11 of this reorganization plan may from time to time make such
provisions as he may deem appropriate authorizing the performance of the
functions so transferred to him by his subordinate officers, employees,
or agencies. (Section repealed by Pub. L. 90-83, 10 (c), Sept. 11,
1967, 81 Stat. 224, insofar as applicable to section 11(a) of this
Reorg. Plan.)
05 USC Sec. 13. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
(a) Each of the bodies the functions of which are transferred by the
provisions of section 11 of this reorganization plan is hereby
abolished. Each officer to whom functions are transferred by those
provisions shall make such provisions as may be necessary with respect
to the winding up of any outstanding affairs of the body or bodies the
functions of which are so transferred to him.
(b) The functions vested in the Secretary of Health, Education, and
Welfare by the provisions of section 7(b) of the Juvenile Delinquency
and Youth Offenses Control Act of 1961, 75 Stat. 574 (42 U.S.C.
(former) 2546(b), are hereby abolished. (Section repealed by Pub. L.
90-83, 10(c), Sept. 11, 1967, 81 Stat. 224, insofar as applicable to
section 11(a) of this Reorg. Plan.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1965
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1965, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganizations of various committees and other similar
bodies.
The strength and vitality of our democracy depends in major part upon
the Federal Government's adaptability, on its capacity for fast flexible
response to changing needs imposed by changing circumstances. If we are
to maintain this capacity, we must have a government that is streamlined
and capable of quickly adjusting and readjusting its organization and
operating procedures to take up and surmount new challenges.
As government grows more complex and programs increasingly cut across
traditional agency lines, we must exercise special care to prevent the
continuance of obsolete interagency committees and other coordinating
devices which waste time and delay action and the undue proliferation of
new committees. Interagency committees are a valuable and often
indispensable means for facilitating coordination, but we should be sure
that a committee is the most efficient way to accomplish a given task
and that it is structured to meet current needs effectively.
At my direction, guidelines for the management of interagency
committees have been established. I have recently asked the heads of
departments and agencies to give their personal attention to a complete
review of all the interagency committees in which their agencies
participate to determine which ones might be eliminated, consolidated or
otherwise reorganized. We will take appropriate action to obtain
essential improvements in the organization and use of those committees
which have been established by the executive branch.
The reorganizations accomplished by the reorganization plan
transmitted herewith will enable us to take similar action with respect
to a number of committees which have been established by statute. In
many instances the statutory provisions creating these committees are
very specific as to membership and describe in detail the functions to
be performed. These provisions are rarely sufficiently flexible to
permit the membership or role of the committees to be accommodated to
changing circumstances or to permit their termination when they have
outlived their usefulness.
The accompanying reorganization plan will abolish nine statutory
committees. In each case the responsibility for providing suitable
arrangements to assure effective consultation and coordination is placed
in a specific official. Wherever the continuing need for and usefulness
of a committee has been demonstrated, I would anticipate the
establishment of a successor committee along he general lines of the
body now provided by law. Certainly prompt action will be taken to
create successor committees to such bodies as the Board of Foreign
Service and the National Advisory Council on International Monetary and
Financial Problems. But we will have the flexibility promptly to make
such changes in functions and membership as might be required to
eliminate overlapping and duplication and to adjust to the development
of new programs and shifts in executive branch responsibilities.
A number of the committees affected by the reorganization plan are
advisory to the President or have functions which are closely related to
responsibilities already vested in the President. The functions of
those committees will be transferred to the President by the
reorganization plan. The functions of the others will be transferred to
the appropriate individual agency heads.
The management and control of interagency committees have been a
matter of growing concern to both the executive branch and the Congress.
The taking effect of the reorganization plan will contribute
significantly to better management of interagency committees and will
assist efforts to simplify and modernize coordinating arrangements
within the executive branch.
Executive Order No. 10940 of May 11, 1961, provides for the
President's Committee on Juvenile Delinquency and Youth Crime. The
Secretary of Health, Education, and Welfare is required to consult with
that committee on matters of general policy and procedure arising in the
administration of the Juvenile Delinquency and Youth Offenses Control
Act of 1961 and to consider certain recommendations of that committee
(42 U.S.C. 2546(b)). To require the Secretary by law to consult with a
committee established by Executive order is clearly anomalous. The plan
abolishes the relevant functions of the Secretary with respect to
consulting and considering the recommendations of the President's
Committee. The reorganization plan does not otherwise affect the
Committee; it has no effect upon Executive Order No. 10940. The
statutory authority for the exercise of the functions to be abolished by
section 13(b) of the reorganization plan is contained in section 7(b) of
the Juvenile Delinquency and Youth Offenses Control Act of 1961 (75
Stat. 574).
After investigation I have found and hereby declare that each
reorganization included in Reorganization Plan No. 4 of 1965 is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended.
Although the reorganizations provided for in the reorganization plan
will not of themselves result in immediate savings, the improvement
achieved in administration will in the future allow the performance of
the affected functions at lower costs and in a more timely manner than
at present. It is, however, impracticable to specify or itemize at this
time the reductions of expenditures which it is probable will be brought
about by the taking effect of the reorganizations included in the
reorganization plan.
I recommend that the Congress allow the accompanying reorganization
plan to become effective.
Lyndon B. Johnson.
The White House, May 27, 1965.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1965
05 USC REORGANIZATION PLAN NO. 5 OF 1965
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1965
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 27, 1965, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Abolition of Committees
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1965
There are hereby abolished all functions of the (divisional)
committees provided for in section 8 of the National Science Foundation
Act of 1950 (64 Stat. 152; 42 U.S.C. 1867), all functions with respect
to the appointment of committees under that section, and all committees
now existing under that section. The Director of the National Science
Foundation shall make such provisions as he shall deem necessary
respecting the winding up of any outstanding affairs of the committees
abolished by the section.
05 USC Sec. 2. Authority To Delegate
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1965
The Director of the National Science Foundation may from time to time
make such provisions as he shall deem appropriate authorizing the
performance by any other officer, or by any agency or employee, of the
National Science Foundation of any of his functions (including functions
delegated to him by the National Science Board).
(Amendments by Pub. L. 90-407, July 18, 1968, 82 Stat. 360, intended
to continue in effect the existing offices, procedures, and organization
of the National Science Foundation as provided by 42 U.S.C. 1861 et
seq., part II of Reorg. Plan No. 2 of 1962, and Reorg. Plan No. 5 of
1965, but on and after July 18, 1968, part II of Reorg. Plan No. 2 of
1962, and Reorg. Plan No. 5 of 1965, as being of no force or affect, and
nothing in Pub. L. 90-407 as altering or affecting any transfers of
functions made by part I of Reorg. Plan No. 2 of 1962, see section 16
of Pub. L. 90-407, set out as Continuation of Existing Offices,
Procedures, and Organization of the National Science Foundation note
under 42 U.S.C. 1862).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1965
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 5 of 1965, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended, and providing for certain reorganizations relating to the
National Science Foundation.
The plan contains two reorganization measures. First, all committees
provided for in section 8 of the National Science Foundation Act of 1950
would be abolished. That section provides that there shall be a
committee for each division of the Foundation, having not less than five
members who are appointed by the National Science Board for 2-year
terms. Section 8, as affected by section 23(b)(3) of Reorganization
Plan No. 2 of 1962 (76 Stat. 1255), directs each such committee to make
recommendations to and advise and consult with the Director of the
National Science Foundation with respect to matters relating to the
program of its division. Originally the Foundation had three such
committees, corresponding to its three divisions. With the growth of
the Foundation, five additional divisions have been established;
consequently the Foundation, in accordance with the requirements of
section 8, now has eight divisional committees. This multiplication in
the number of committees has proved cumbersome. For example, three
committees are now concerned with scientific personnel and education
matters instead of the original one committee, even though one committee
is all that is required to meet the Foundation's needs in this area.
The elimination of the various statutory divisional committees will
simplify the structure of the Foundation and improve its administration.
The second reorganization measure contained in the accompanying
reorganization plan would empower the Director of the National Science
Foundation to delegate functions vested in him by law or delegated to
him by the National Science Board. The expanding responsibilities of
the Foundation and the Director indicate that it is necessary that the
Director clearly have such authority.
Upon the taking effect of the reorganization plan, the National
Science Foundation will institute such new arrangements, in lieu of the
divisional committees now required by law, as it deems appropriate.
Such new arrangements may include the establishment of committees under
section 6 of the National Science Foundation Act of 1950 and such other
devices for obtaining advice as may be available to the Foundation.
After investigation, I have found and hereby declare that each
reorganization included in the reorganization plan transmitted herewith
is necessary to accomplish one or more of the purposes set forth in
section 2(a) of the Reorganization Act of 1949, as amended.
The reorganization plan will permit more effective management of the
affairs of the National Science Foundation. It is, however,
impracticable to specify or itemize at this time the reductions of
expenditures which it is probable will be brought about by the taking
effect of the reorganizations included in the reorganization plan.
The statutory authority for the exercise of certain functions which
would be abolished by section 1 of the reorganization plan is contained
in section 8 of the National Science Foundation Act of 1950, 64 Stat,
152.
I recommend that the Congress allow the reorganization plan to become
effective.
Lyndon B. Johnson.
The White House, May 27, 1965.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
05 USC REORGANIZATION PLAN NO. 1 OF 1966
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, February 10, 1966, pursuant to
the provisions of the Reorganization Act of 1949, 63 Stat. 203, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Service
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
Subject to the provisions of this reorganization plan, the Community
Relations Service now existing in the Department of Commerce under the
Civil Rights Act of 1964 (Pub. L. No. 88-352, July 2, 1964) (see Short
Title note under 42 U.S.C. 2000a) including the office of Director
thereof, is hereby transferred to the Department of Justice.
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
All functions of the Community Relations Service, and all functions
of the Director of the Community Relations Service, together with all
functions of the Secretary of Commerce and the Department of Commerce
with respect thereto, are hereby transferred to the Attorney General.
05 USC Sec. 3. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
(a) Section 1 hereof shall be deemed to transfer to the Department of
Justice the personnel, property, and records of the Community Relations
Service and the unexpended balances of appropriations, allocations, and
other funds available or to be made available to the Service.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers referred to in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1966
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 1 of 1966, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganization of community relations functions in the
area of civil rights.
After a careful review of the activities of the Federal agencies
involved in the field of civil rights, it became clear that the
elimination of duplication and undesirable overlap required the
consolidation of certain functions.
As a first step, I issued Executive Orders 11246 and 11247 on
September 24, 1965.
Executive Order 11246 simplified and clarified executive branch
assignments of responsibility for enforcing civil rights policies and
placed responsibility for the Government-wide coordination of the
enforcement activities of executive agencies in the Secretary of Labor
with respect to employment by Federal contractors and in the Civil
Service Commission with respect to employment by Federal agencies.
Executive Order 11247 directed the Attorney General to assist Federal
agencies in coordinating their enforcement activities with respect to
title VI of the Civil Rights Act of 1964, which prohibits discrimination
in federally assisted programs.
As a further step for strengthening the operation and coordination of
our civil rights programs, I now recommend transfer of the functions of
the Community Relations Service, established in the Department of
Commerce under title X of the Civil Rights Act of 1964, to the Attorney
General and transfer of the Service, including the Office of Director,
to the Department of Justice.
The Community Relations Service was located in the Department of
Commerce by the Congress on the assumption that a primary need would be
the conciliation of disputes arising out of the public accommodations
title of the act. That decision was appropriate on the basis of
information available at that time. The need for conciliation in this
area has not been as great as anticipated because of the voluntary
progress that has been made by businessmen and business organizations.
To be effective, assistance to communities in the identification and
conciliation of disputes should be closely and tightly coordinated.
Thus, in any particular situation that arises within a community,
representatives of Federal agencies whose programs are involved should
coordinate their efforts through a single agency. In recent years, the
Civil Rights Division of the Justice Department has played such a
coordinating role in many situations, and has done so with great
effectiveness.
Placing the Community Relations Service within the Justice Department
will enhance the ability of the Justice Department to mediate and
conciliate and will insure that the Federal Government speaks with a
unified voice in those tense situations where the good offices of the
Federal Government are called upon to assist.
In this, as in other areas of Federal operations, we will move more
surely and rapidly toward our objectives if we improve Federal
organization and the arrangements for interagency coordination. The
accompanying reorganization plan has that purpose.
The present distribution of Federal civil rights responsibilities
clearly indicates that the activities of the Community Relations Service
will fit most appropriately in the Department of Justice.
The Department of Justice has primary program responsibilities in
civil rights matters and deep and broad experience in the conciliation
of civil rights disputes. Congress has assigned it a major role in the
implementation of the Civil Rights Acts of 1957, 1960, and 1964, and the
Voting Rights Act of 1965. The Department of Justice performs related
functions under other acts of Congress. Most of these responsibilities
require not only litigation, but also efforts at persuasion,
negotiation, and explanation, especially with local governments and law
enforcement authorities. In addition, under the Law Enforcement
Assistance Act the Department will be supporting local programs in the
area of police-community relations.
The test of the effectiveness of an enforcement agency is not how
many legal actions are initiated and won, but whether there is
compliance with the law. Thus, every such agency necessarily engages in
extensive efforts to obtain compliance with the law and the avoidance of
disputes. In fact, title VI of the Civil Rights Act of 1964 requires
each agency concerned to attempt to obtain compliance by voluntary means
before taking further action.
Among the heads of Cabinet departments the President looks
principally to the Attorney General for advice and judgment on civil
rights issues. The latter is expected to be familiar with civil rights
problems in all parts of the Nation and to make recommendations for
executive and legislative action.
The Attorney General already has responsibility with respect to a
major portion of Federal conciliation efforts in the civil rights field.
Under Executive Order 11247, he coordinates the Government-wide
enforcement of title VI of the Civil Rights Act of 1964, which relies
heavily on the achievement of compliance through persuasion and
negotiation.
In the light of these facts, the accompanying reorganization plan
would transfer the functions of the Community Relations Service and of
its Director to the Attorney General. In so providing, the plan, of
course, follows the established pattern of Federal organization by
vesting all the transferred powers in the head of the department. The
Attorney General will provide for the organization of the Community
Relations Service as a separate unit within the Department of Justice.
The functions transferred by the reorganization plan would be carried
out with full regard for the provisions of section 1003 of title X of
the Civil Rights Act of 1964 relating to (1) cooperation with
appropriate State or local, public, or private agencies; (2) the
confidentiality of information acquired with the understanding that it
would be so held; and (3) the limitation on the performance of
investigative or prosecutive functions by personnel of the Service.
This transfer will benefit both the Department of Justice and the
Community Relations Service in the fulfillment of their existing
functions.
The Attorney General will benefit in his role as the President's
adviser by obtaining an opportunity to anticipate and meet problems
before the need for legal action arises.
The Community Relations Service, brought into closer relationship
with the Attorney General and the Civil Rights Division of the
Department of Justice, will gain by becoming a primary resource in a
coordinated effort in civil rights under the leadership of the Attorney
General. The Community Relations Service will have direct access to the
extensive information, experience, staff, and facilities within the
Department and in other Federal agencies.
Finally, the responsibility for coordinating major Government
activities under the Civil Rights Act aimed at voluntary and peaceful
resolution of discriminatory practices will be centered in one
department. Thus, the reorganization will permit the most efficient and
effective utilization of resources in this field. Together the Service
and the Department will have a larger capacity for accomplishment than
they do apart.
Although the reorganizations provided for in the reorganization plan
will not of themselves result in immediate savings, the improvement
achieved in administration will permit a fuller and more effective
utilization of manpower and will in the future allow the performance of
the affected functions at lower costs than would otherwise be possible.
After investigation I have found and hereby declare that each
organization included in Reorganization Plan No. 1 of 1966 is necessary
to accomplish one or more of the purposes set forth in section 2(a) of
the Reorganization Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
Lyndon B. Johnson.
The White House, February 10, 1966.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
05 USC REORGANIZATION PLAN NO. 2 OF 1966
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
amended Pub. L. 90-86, 10(c), Sept. 11, 1967, 81
Stat. 224
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled February 28, 1966, pursuant to
the provisions of the Reorganization Act of 1949, 63 Stat. 203, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfers of Functions and Agencies
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
(a) Except as otherwise provided in this section, all functions of
the Secretary of Health, Education, and Welfare and of the Department of
Health, Education, and Welfare under the Federal Water Pollution Control
Act, as amended, hereinafter referred to as the Act (33 U.S.C. 466 et
seq.) (see 33 U.S.C. 1251 et seq.), including all functions of other
officers, or of employees or agencies, of that Department under the Act,
are hereby transferred to the Secretary of the Interior.
(b) The Federal Water Pollution Control Administration is hereby
transferred to the Department of the Interior.
(c)(1) The Water Pollution Control Advisory Board, together with its
functions, is hereby transferred to the Department of the Interior.
(2) The functions of the Secretary of Health, Education, and Welfare
(including those of his designee) under section 9 of the Act shall be
deemed to be hereby transferred to the Secretary of the Interior.
(3) The Secretary of Health, Education, and Welfare shall be an
additional member of the said Board as provided for by section 9 of the
Act and as modified by this reorganization plan.
(d)(1) The Hearing Boards provided for in sections 10(c)(4) and 10(f)
of the Act including any Boards so provided for which may be in
existence on the effective date of this reorganization plan, together
with their respective functions, are hereby transferred to the
Department of the Interior.
(2) The functions of the Secretary of Health, Education, and Welfare
under the said sections 10(c)(4) and 10(f) shall be deemed to be hereby
transferred to the Secretary of the Interior.
(3) The Secretary of the Interior shall give the Secretary of Health,
Education, and Welfare opportunity to select a member of each Hearing
Board appointed pursuant to sections 10(c)(4) and 10(f) of the Act as
modified by this reorganization plan.
(e) There are excepted from the transfers effected by subsection (a)
of this section (1) the functions of the Secretary of Health, Education,
and Welfare and the Assistant Secretary of Health, Education, and
Welfare under clause (2) of the second sentence of section 1(b) of the
Act, and (2) so much of the functions of the Secretary of Health,
Education, and Welfare under section 3(b)(2) of the Act as related to
public health aspects.
(f) The functions of the Surgeon General under section 2(k) of the
Water Quality Act of 1965 (79 Stat. 905) are transferred to the
Secretary of Health, Education, and Welfare. Within 90 days after this
reorganization plan becomes effective, the Secretary of the Interior and
the Secretary of Health, Education, and Welfare shall present to the
President for his approval an interdepartmental agreement providing in
detail for the implementation of the consultations provided for by said
section 2(k). Such interdepartmental agreement may be modified from
time to time by the two Secretaries with the approval of the President.
(g) The functions of the Secretary of Health, Education, and Welfare
under sections 2(b), (c), and (g) of the Water Quality Act of 1965 are
hereby transferred to the Secretary of the Interior: Provided, That the
Secretary of the Interior may exercise the authority to provide further
periods for the transfer to classified positions in the Federal Water
Pollution Control Administration of commissioned officers of the Public
Health Service under said section 2(b) only with the concurrence of the
Secretary of Health, Education, and Welfare.
(h) The functions of the Secretary of Health, Education, and Welfare
under the following provisions of law are hereby transferred to the
Secretary of the Interior:
(1) Section 702(a) of the Housing and Urban Development Act of 1965
(79 Stat. 490) (42 U.S.C. 3102(a)).
(2) Section 212 of the Appalachian Regional Development Act of 1965
(79 Stat. 16) (40 App. U.S.C.).
(3) Section 106 of the Public Works and Economic Development Act of
1965 (79 Stat. 554) (42 U.S.C. 3136).
05 USC Sec. 2. Assistant Secretary of the Interior
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
There shall be in the Department of the Interior one additional
Assistant Secretary of the Interior, who shall be appointed by the
President, by and with the advice and consent of the Senate, who shall,
except as the Secretary of the Interior may direct otherwise, assist the
Secretary in the discharge of the functions transferred to him
hereunder, who shall perform such other duties as the Secretary shall
from time to time prescribe. (As amended Pub. L. 90-83, 10(c), Sept.
11, 1967, 81 Stat. 224.)
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
The provisions of sections 2 and 5 of Reorganization Plan No. 3 of
1950 (64 Stat. 1262) shall be applicable to the functions transferred
hereunder to the Secretary of the Interior to the same extent as they
are applicable to the functions transferred to the Secretary thereunder.
05 USC Sec. 4. Incidental Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds, employed,
used, held, available, or to be made available in connection with the
functions transferred to the Secretary of the Interior or the Department
of the Interior by this reorganization plan as the Director of the
Bureau of the Budget shall determine shall be transferred to the
Department of the Interior at such time or times as the Director shall
direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers referred to in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
(c) This reorganization plan shall not impair the transfer rights and
benefits of commissioned officers of the Public Health Service provided
by section 2 of the Water Quality Act of 1965.
05 USC Sec. 5. Abolition of Office
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
(a) There is hereby abolished that office of Assistant Secretary of
Health, Education, and Welfare the incumbent of which is on date of the
transmittal of this reorganization plan to the Congress the Assistant
Secretary of Health, Education, and Welfare designated by the Secretary
of Health, Education, and Welfare under the provisions of section 1(b)
of the Act.
(b) The Secretary of Health, Education, and Welfare shall make such
provisions as he shall deem to be necessary respecting the winding up of
any outstanding affairs of the Assistant Secretary whose office is
abolished by subsection (a) of this section.
(All functions of the Secretary of the Interior and the Department of
the Interior administered through the Federal Water Quality
Administration, all functions which were transferred to the Secretary of
the Interior by Reorg. Plan No. 2 of 1966, and all functions vested in
the Secretary of the Interior or the Department of the Interior by the
Federal Water Pollution Control Act (see Short Title note set out under
33 U.S.C. 1251) were transferred to the Administrator of the
Environmental Protection Agency by Reorg. Plan No. 3 of 1970, 2(a)(1),
eff. Dec. 2, 1970, 35 F.R. 15623, 84 Stat. 2086.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1966
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1966, prepared in
accordance with the provisions of the Reorganization Act of 1949, as
amended, and providing for reorganization of certain water pollution
control functions.
Thirty-five years ago Justice Oliver Wendell Holmes said: ''A river
is more than an amenity, it is a treasure.''
Only recently has the truth of this observation entered the public
conscience. For we now recognize that the Nation's rivers, far from
being treasured, have been carelessly neglected for too long.
Today we face a harsh reality. Our waters are burdened with blight.
We know that every river system in America suffers from some degree of
pollution. This menace is growing more serious with every passing day.
We have just begun to take the steps to clean and restore our waters.
The task is immense. The journey will be long.
If our new programs are to succeed we must combine our efforts --
Federal, State, local, and private -- in new and creative partnerships.
The attack against water pollution should be unified and coordinated.
It should be carried forward as an integral part of comprehensive
planning for the development of river basins.
But, most importantly, the Government's management structure must be
strengthened and reshaped to meet the challenges that lie ahead.
In my February 23 message on the quality of our environment I stated:
''* * * we must reorganize the Federal effort. In the past, the
Federal anti-pollution effort has been organizationally separate from
water conservation and use programs.
''One agency should assume leadership in our clean water effort.
''That agency should be the Department of the Interior.''
The Department of the Interior, for many years, has been concerned
with the comprehensive management and development of the Nation's water
resources.
It plans, constructs, and operates multiple-purpose water and related
land resources, projects.
It carries on research and development on the removal of minerals
from water.
It administers the Water Resources Research Act.
The Secretary of the Interior also serves as Chairman of the Water
Resources Council responsible for coordinating river basin planning.
Under the Clean Rivers Restoration Act of 1966 and other legislation
which I have recently proposed, the Secretary will become the focal
point for Federal efforts in this area.
It is wise management to place under his control the related
resources and authority now in the Department of Health, Education, and
Welfare.
The reorganization plan maintains a proper and effective role for the
Department of Health, Education, and Welfare with respect to the health
aspects of pollution. At the same time it places in the Department of
the Interior all of the necessary tools to move forward the drive to
clean America's waters.
The reorganization plan herewith transmitted will transfer to the
Secretary of the Interior the functions of the Department of Health,
Education, and Welfare under the Federal Water Pollution Control Act
except for responsibilities relating to public health for which the
Department of Health, Education, and Welfare has special competence.
That Department will retain responsibility under section 3(b) of the act
for advising on public health questions involved in determinations by
Federal agencies of the need for and value of the inclusion of storage
for water quality control in Federal reservoirs. The Federal Water
Pollution Control Administration would be transferred to the Department
of the Interior.
The Secretary of the Interior in administering the act will also be
required to consult with the Secretary of Health, Education, and Welfare
on public health aspects relating to water pollution. This consultative
responsibility is now vested in the Surgeon General by section 2(k) of
the Water Quality Act of 1965. The plan transfers that responsibility
to the Secretary of Health, Education, and Welfare.
The Water Pollution Control Advisory Board and the hearing boards
provided for in the act would be transferred to the Department of the
Interior, together with their respective functions. The reorganization
plan also makes the Secretary of Health, Education, and Welfare a member
of the Advisory Board and gives him the opportunity to select a member
of each hearing board.
The reorganization plan would in no way impair the rights and
benefits of commissioned officers of the Public Health Service who may
transfer to the Water Pollution Control Administration.
The reorganization to be accomplished by the plan transmitted
herewith will enable the Federal Government to organize for action
against pollution on a river basin basis under the unified leadership of
the Secretary of the Interior.
After investigation, I have found and hereby declare that each
reorganization included in the accompanying reorganization plan is
necessary to accomplish one or more of the purposes set forth in section
2(a) of the Reorganization Act of 1949, as amended. I have also found
and hereby declare that it is necessary to include in the accompanying
reorganization plan, by reason of the reorganizations made thereby,
provision for the membership of the Secretary of Health, Education, and
Welfare on the Water Pollution Control Advisory Board and for the
appointment and compensation of an additional Assistant Secretary of the
Interior. The rate of compensation fixed for that officer is that which
I have found to prevail in respect of comparable officers in the
executive branch of the Government.
The reorganizations provided for in the reorganization plan
transmitted herewith will produce significant long-range savings and
economies by reason of the efficiencies in organization and in the
elimination of duplication of effort it will bring about. It is,
however, impracticable to specify or itemize at this time the reductions
of expenditures which it is probable will be brought about by the taking
effect of the reorganizations included in the reorganization plan.
I recommend that the Congress allow the accompanying plan to become
effective.
Lyndon B. Johnson.
The White House, February 28, 1966.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
05 USC REORGANIZATION PLAN NO. 3 OF 1966
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 25, 1966, pursuant to
the provisions of the Reorganization Act of 1949, 63 Stat. 203, as
amended (see 5 U.S.C. 901 et seq.).
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
(a) Except as otherwise provided in subsection (b) of this section,
there are hereby transferred to the Secretary of Health, Education, and
Welfare (hereinafter referred to as the Secretary) all functions of the
Public Health Service, of the Surgeon General of the Public Health
Service, and of all other officers and employees of the Public Health
Service, and all functions of all agencies of or in the Public Health
Service.
(b) This section shall not apply to the functions vested by law in
any advisory council, board, or committee of or in the Public Health
Service which is established by law or is required by law to be
established.
05 USC Sec. 2. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
The Secretary may from time to time make such provisions as he shall
deem appropriate authorizing the performance of any of the functions
transferred to him by the provisions of this reorganization plan by any
officer, employee, or agency of the Public Health Service or of the
Department of Health, Education, and Welfare.
05 USC Sec. 3. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
(a) The following agencies of the Public Health Service are hereby
abolished:
(1) The Bureau of Medical Services, including the office of Chief of
the Bureau of Medical Services.
(2) The Bureau of State Services, including the office of Chief of
the Bureau of State Services.
(3) The agency designated as the National Institutes of Health (42
U.S.C. 203), including the office of Director of the National Institutes
of Health (42 U.S.C. 206(b)) but excluding the several research
Institutes in the agency designated as the National Institutes of
Health.
(4) The agency designated as the Office of the Surgeon General (42
U.S.C. 203(1)), together with the office held by the Deputy Surgeon
General (42 U.S.C. 206(a)).
(b) The Secretary shall make such provisions as he shall deem
necessary respecting the winding up of any outstanding affairs of the
agencies abolished by the provisions of this section.
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
As he may deem necessary in order to carry out the provisions of this
reorganization plan, the Secretary may from time to time effect
transfers within the Department of Health, Education, and Welfare of any
of the records, property, personnel and unexpended balances (available
or to be made available) of appropriations, allocations, and other funds
of the Department which relate to functions affected by this
reorganization plan.
(The Secretary and Department of Health, Education, and Welfare were
redesignated the Secretary and Department of Health and Human Services,
respectively, by 20 U.S.C. 3508.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1966
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1966, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for reorganization of health functions of the Department of
Health, Education, and Welfare.
Today we face new challenges and unparalleled opportunities in the
field of health. Building on the progress of the past several years, we
have truly begun to match the achievements our medicine to the needs of
our people.
The task ahead is immense. As a nation, we will unceasingly pursue
our research and learning, our training and building, our testing and
treatment. But now our concern must also turn to the organization of
our Federal health programs.
As citizens we are entitled to the very best health services our
resources can provide.
As taxpayers, we demand the most efficient and economic health
organizations that can be devised.
I ask Congress to approve a reorganization plan to bring new strength
to the administration of Federal health programs.
I propose a series of changes in the organization of the Public
Health Service that will bring to all Americans a structure modern in
design, more efficient in operation and better prepared to meet the
great and growing needs of the future. Through such improvements we can
achieve the full promise of the landmark health legislation enacted by
the 89th Congress.
I do not propose these changes lightly. They follow a period of
careful deliberation. For many months the Secretary of Health,
Education, and Welfare and the Surgeon General have consulted leading
experts in the Nation -- physicians, administrators, scientists, and
public health specialists. They have confirmed my belief that
modernization and reorganization of the Public Health Service are
urgently required and long overdue.
The Public Health Service is an operating agency of the Department of
Health, Education, and Welfare. It is the principal arm of the Federal
Government in the field of health. Its programs are among those most
vital to our well-being.
Since 1953 more than 50 new programs have been placed in the Public
Health Service. Its budget over the past 12 years has increased tenfold
-- from $250 million to $2.4 billion.
Today the organization of the Public Health Service is clearly
obsolete. The requirement that new and expanding programs be
administered through an organizational structure established by law more
than two decades ago stands as a major obstacle to the fulfillment of
our Nation's health goals.
As presently constituted, the Public Health Service is composed of
four major components:
National Institutes of Health.
Bureau of State Services.
Bureau of Medical Services.
Office of the Surgeon General.
Under present law, Public Health Service functions must be assigned
only to these four components.
This structure was designed to provide separate administrative
arrangements for health research, programs of State and local aid,
health services, and executive staff resources. At a time when these
functions could be neatly compartmentalized, the structure was adequate.
But today the situation is different.
Under recent legislation many new programs provide for an integrated
attack on specific disease problems or health hazards in the environment
by combining health services, State and local aid, and research. Each
new program of this type necessarily is assigned to one of the three
operating components of the Public Health Service. Yet none of these
components is intended to administer programs involving such a variety
of approaches.
Our health problems are difficult enough without having them
complicated by outmoded organizational arrangements.
But if we merely take the step of integrating the four agencies
within the Public Health Service we will not go far enough. More is
required.
The Department of Health, Education, and Welfare performs major
health or health-related functions which are not carried out through the
Public Health Service, although they are closely related to its
functions. Among these are:
Health insurance for the aged, administered through the Social
Security Administration;
Medical assistance for the needy, administered through the Welfare
Administration;
Regulation of the manufacture, labeling, and distribution of drugs,
carried out through the Food and Drug Administration; and
Grants-in-aid to States for vocational rehabilitation of the
handicapped, administered by the Vocational Rehabilitation
Administration.
Expenditures for health and health-related programs of the Department
administered outside the Public Health Service have increased from $44
million in 1953 to an estimated $5.4 billion in 1967.
As the head of the Department, the Secretary of Health, Education,
and Welfare is responsible for the administration and coordination of
all the Department's health functions. He has clear authority over the
programs I have just mentioned.
But today he lacks this essential authority over the Public Health
Service. The functions of that agency are vested in the Surgeon General
and not in the Secretary.
This diffusion of responsibility is unsound and unwise.
To secure the highest possible level of health services for the
American people the Secretary of Health, Education, and Welfare must be
given the authority to establish -- and modify as necessary -- the
organizational structure for Public Health Service programs.
He must also have the authority to coordinate health functions
throughout the Department. The reorganization plan I propose will
accomplish these purposes. It will provide the Secretary with the
flexibility to create new and responsive organizational arrangements to
keep pace with the changing and dynamic nature of our health programs.
My views in this respect follow a basic principle of good government
set by the Hoover Commission in 1949 when it recommended that ''the
Department head should be given authority to determine the organization
within his Department.''
In summary, the reorganization plan would:
Transfer to the Secretary of Health, Education, and Welfare the
functions now vested in the Surgeon General of the Public Health Service
and in its various subordinate units (this transfer will not affect
certain statutory advisory bodies such as the National Advisory Cancer
and Heart Councils);
Abolish the four principal statutory components of the Public Health
Service, including the offices held by their heads (the Bureau of
Medical Services, the Bureau of State Services, the National Institutes
of Health exclusive of its several research institutes such as the
National Cancer and Heart Institutes, and the Office of the Surgeon
General); and
Authorize the Secretary to assign the functions transferred to him by
the plan to officials and entities of the Public Health Service and to
other agencies of the Department as he deems appropriate.
Thus, the Secretary would be --
Enabled to assure that all health functions of the Department are
carried out as effectively and economically as possible;
Given authority commensurate with his responsibility; and
Made responsible in fact for matters for which he is now, in any
case, held accountable by the President, the Congress, and the people.
I have found, after investigation, that each reorganization included
in the accompanying reorganization plan is necessary to accomplish one
or more of the purposes set forth in section 2(a) of the Reorganization
Act of 1949, as amended.
Should the reorganizations in the accompanying reorganization plan
take effect, they will make possible more effective and efficient
administration of the affected health programs. It is, however, not
practicable at this time to itemize the reductions in expenditures which
may result.
I strongly recommend that the Congress allow the reorganization plan
to become effective.
Lyndon B. Johnson.
The White House, April 25, 1966.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1966
05 USC REORGANIZATION PLAN NO. 4 OF 1966
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1966
Prepared by the President and Transmitted to the Senate and the House
of Representatives in Congress Assembled, June 13, 1966, Pursuant to the
Provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
All those functions of the Board of Commissioners of the District of
Columbia which were vested in the municipal architect of the District of
Columbia by the provisions of the Act of August 24, 1912, c. 355, 37
Stat. 437 (20 U.S.C. 84; D.C. Code (former) 8-134), in respect of
buildings of the National Zoological Park, and all functions of that
Board which were vested in the engineer of bridges of the District of
Columbia by those provisions in respect of bridges of the National
Zoological Park, are hereby transferred to the Smithsonian Institution.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1966
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1966, prepared in
accordance with the Reorganization Act of 1949, as amended, and
providing for a reorganization relating to the National Zoological Park
located in the District of Columbia.
Today, all responsibilities for the administration of the park are
vested in the Smithsonian Institution with one exception -- the function
of preparing plans and specifications for the construction of buildings
and bridges at the zoo. That statutory responsibility is now conducted
by the Board of Commissioners of the District of Columbia.
Under the accompanying reorganization plan, the responsibility for
the preparation of these plans and specifications would be transferred
from the District of Columbia Board of Commissioners to the Smithsonian.
The complete administration of the park would then be vested in one
agency -- the Smithsonian Institution. This will allow the more
efficient and effective development and management of the park.
In 1912, the functions to be transferred were vested in the Municipal
Architect of the District of Columbia and in the Engineers of the
Bridges of the District of Columbia. In 1952, they were transferred to
the Board of Commissioners.
When the 1912 act was passed, the District of Columbia shared the
costs of capital improvements in the National Zoological Park. In 1961,
it ceased sharing these costs, and the Federal Government assumed,
complete responsibility for financing the improvements. Accordingly,
the District government retains no capital improvement responsibilities
for the National Zoological Park except those functions relating to
construction plans and specifications for buildings and bridges, as
specified in the 1912 statutes. Upon the transfer of these remaining
functions to the Smithsonian Institution, the administration of the
National Zoological Park will, at last, be fully centered in one agency.
It is not practicable at this time, however, to itemize the resulting
reduction in expenditures.
I have found, after investigation, that each reorganization included
in the accompanying reorganization plan is necessary to accomplish one
or more of the purposes set forth in section 2(a) of the Reorganization
Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
Lyndon B. Johnson.
The White House, June 13, 1966.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1966
05 USC REORGANIZATION PLAN NO. 5 OF 1966
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1966
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 29, 1966, pursuant to the
provisions of the Reorganization Act of 1949, 63 Stat. 203, as amended
(see 5 U.S.C. 901 et seq.).
05 USC Section 1. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1966
The National Capital Regional Planning Council (66 Stat. 783),
together with all of its functions, is hereby abolished.
05 USC Sec. 2. Liquidation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1966
The National Capital Planning Commission shall make such provisions
as it shall deem necessary respecting the winding up of the outstanding
affairs of the National Capital Regional Planning Council.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 5 OF 1966
To the Congress of the United States:
I am transmitting Reorganization Plan No. 5 of 1966, prepared in
accordance with the Reorganization Act of 1949, as amended.
The time has come to recognize the readiness of local governments in
the Washington area to undertake a role which is properly and rightfully
theirs. To that end, I am submitting a reorganization plan to abolish
the National Capital Regional Planning Council.
Comprehensive regional planning is vital to the orderly development
of our metropolitan areas. Nowhere is it more important than in the
National Capital region.
To be most effective, regional planning must be a responsibility of
the area's State and local governments acting together to solve mutual
problems of growth and change. It should not be a Federal function,
although the Federal Government should support and advance it.
The need for cooperative planning was recognized years ago in the
National Capital region. The establishment of the National Capital
Regional Planning Council in 1952 to prepare a comprehensive development
plan was a major step in meeting that need.
However, the Council was designed for conditions which no longer
exist. It was established by Federal law as a Federal agency financed
by Federal funds because the various local jurisdictions then felt they
were not in a position to provide the financing necessary for areawide
comprehensive planning.
The situation that existed in 1952 has been changed by two major
developments --
The founding of the Metropolitan Washington Council of Governments;
and
The inauguration of a nationwide urban planning assistance program,
commonly referred to as the ''701 Program.''
The Metropolitan Washington Council of Governments, established in
1957, is a voluntary association of elected officials of local
governments in the area. It has a competent professional staff and has
done constructive work on areawide development matters. It had a budget
of nearly a quarter of a million dollars for fiscal year 1965, mostly
derived from local government contributions, and has developed to the
point where it can fully carry out the State and local aspects of
regional planning.
The urban planning assistance program provides for Federal financing
of two-thirds of the cost of metropolitan planning. The National
Capital Regional Planning Council, as a Federal agency, is not eligible
for assistance under this program. The Metropolitan Washington Council
of Governments, however, became eligible for that assistance under the
terms of the Housing and Urban Development Act of 1965. Accordingly,
the elected local governments of the National Capital region have
declared their intention of undertaking the responsibility for area-wide
comprehensive planning through the Council of Governments.
The reorganization plan will not alter the basic responsibilities of
the National Capital Planning Commission. That Commission will continue
to represent the Federal interest in the planning and development of the
region. Indeed, its work should increase as comprehensive regional
planning by the Council of Governments is accelerated. In accord with
the reorganization plan, the Commission will work closely with the
Council of Governments in regional planning. The Commission will also
deal directly with the suburban jurisdictions and assume the liaison
functions now exercised by the National Capital Regional Planning
Council.
The reorganization plan will improve existing organizational
arrangements of and promote more effective and efficient planning for
the National Capital region.
It will also result in long-range savings to the Federal Government.
The regional planning effort of the Council of Governments is supported
in part by local contributions. The same work done by the National
Capital Regional Planning Council has been supported totally with
Federal funds. The plan will eliminate this overlapping effort.
Annual savings of at least $25,000 should result from the
reorganization plan.
The functions to be abolished by the reorganization plan are provided
for in sections 2(e), 3, 4, 5(d), and 6(b) of the act approved June 6,
1924, entitled ''An Act providing for a comprehensive development of the
park and playground system of the National Capital'' (43 Stat. 463), as
amended (66 Stat. 783, 40 U.S.C. 71a(e), 71b, 71c, 71d(d), and 71e(b)).
I have found, after investigation, that each reorganization included
in the accompanying reorganization plan is necessary to accomplish one
or more of the purposes set forth in section 2(a) of the Reorganization
Act of 1949, as amended.
I recommend that the Congress allow the reorganization plan to become
effective.
Lyndon B. Johnson.
The White House, June 29, 1966.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1967
05 USC REORGANIZATION PLAN NO. 1 OF 1967
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1967
Reorganization Plan No. 1 of 1967, 32 F.R. 7049, 81 Stat. 947,
which transferred certain functions relating to ship mortgages from the
Secretary of Commerce to the Secretary of Transportation, was repealed
by Pub. L. 100-710, title I, 106(b)(4), Nov. 23, 1988, 102 Stat.
4752.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1967
05 USC REORGANIZATION PLAN NO. 2 OF 1967
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1967
Reorganization Plan No. 2 of 1967, which proposed to strengthen the
operations of the Tariff Commission by transferring to its chairman
certain routine executive and administrative functions, was submitted to
Congress on March 9, 1967, and was disapproved by the Senate on May 15,
1967.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
05 USC REORGANIZATION PLAN NO. 3 OF 1967 /1/
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
1968, 82 Stat. 1315
Prepared by the President and Transmitted to the Senate and the House
of Representatives in Congress Assembled, June 1, 1967, Pursuant to the
Provisions of Chapter 9 of Title 5 of the United States Code. Except
for Part IV and sections 501, 502, and 503 the plan became effective
August 11, 1967. Part IV and sections 501, 502, and 503 became
effective November 3, 1967, when the nine members of the District of
Columbia Council, took office.
/1/ D.C. Code citations in this Reorganization Plan are based on the
1967 edition. See Parallel Reference Table in 1981 edition of the D.C.
Code for corresponding citations.
05 USC Part I. General Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
Section 101. Definitions. (a) As used in this reorganization plan,
the term ''the Corporation'' means the body-corporate for municipal
purposes created a government by the name of the ''District of
Columbia.''
(b) References in this reorganization plan to any provision of the
District of Columbia Code are references to the provisions of statutory
law codified under that provision and include the said provision as
amended, modified, or supplemented prior to the effective date of this
reorganization plan (including modifications made by Reorganization Plan
No. 5 of 1952 (66 Stat. 824)).
Sec. 102. Reorganization. The Corporation is hereby reorganized as
provided in the following Parts of this reorganization plan.
05 USC Part II. District of Columbia Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
Sec. 201. Establishment of the Council. (a) There is hereby
established in the Corporation a Council which shall be known as the
''District of Columbia Council'' (hereinafter referred to as the
Council).
(b) The Council shall be composed of a Chairman of the Council, a
Vice Chairman of the Council, and seven other members, all of whom shall
be appointed by the President of the United States, by and with the
advice and consent of the Senate. At the time of his appointment each
member of the Council shall be a citizen of the United States, shall
have been an actual resident of the District of Columbia for three years
next preceding his appointment, and shall during that period have
claimed residence nowhere else. The Council shall be nonpartisan and no
more than six of its members shall be adherents of any one political
party. Appointments to the Council shall be made with a view toward
achieving a Council membership which will be broadly representative of
the District of Columbia community.
(c) One or more of the nine Council members hereinabove provided for
may be appointed from among (1) retired civilian employees of the
Government, (2) retired personnel of the armed services of the United
States, and (3) retired personnel of the Corporation. Any person so
appointed shall be eligible to receive the compensation provided for in
section 204 hereof and appointment hereunder shall not affect his right
to receive annuity, pension, or retired pay to which he is otherwise
entitled.
(d) Three of the appointments first made under this section shall be
for terms expiring February 1, 1968, three shall be for terms expiring
February 1, 1969, and three shall be for terms expiring February 1,
1970; and thereafter appointments shall be made for terms of three
years. Any appointment made to fill a vacancy shall be made only for
the unexpired balance of the term. Any member of the Council may
continue to serve as such member after the expiration of his term of
office until his successor is appointed and qualifies. Any member of
the Council may be removed by the President of the United States for
neglect of duty or malfeasance in office or when the member has been
found guilty of a felony or conduct involving moral turpitude.
(e) Each member of the Council before entering upon the discharge of
his duties as such member shall take an oath or affirmation to support
the Constitution of the United States and to faithfully discharge the
duties imposed upon him as such member.
(f) Five members of the Council shall constitute a quorum for the
transaction of business of the Council, except that four members shall
constitute a quorum whenever two or more Council memberships are vacant.
Sec. 202. Acting Chairman. During the absence or disability of the
Chairman of the Council, or whenever there be no Chairman, the Vice
Chairman shall act as Chairman of the Council.
Sec. 203. Secretary of the Council. (a) There is hereby established
the office of the Secretary of the Council. The Secretary shall be
appointed by the Council from time to time.
(b) The Secretary shall perform such duties, and shall provide such
services for the Council and its members, as the Council may prescribe.
Personnel appointed to assist the Secretary in carrying out his
responsibilities under this section shall be appointed by the Secretary
subject to the approval of the Council.
Sec. 204. Compensation. The Chairman of the Council shall receive
compensation at the rate of $10,000 per annum, the Vice Chairman shall
receive compensation at the rate of $9,000 per annum, and each other
member of the Council shall receive compensation at the rate of $7,500
per annum. The Secretary of the Council shall receive compensation
determined in accordance with the classification laws as amended from
time to time.
Sec. 205. Performance of functions of the Council. (a) The Council
is hereby authorized to make from time to time such provisions as it
deems appropriate to authorize the performance of any of its functions
by the Commissioner of the District of Columbia (hereinafter provided
for).
(b) The Council is hereby authorized to make from time to time,
subject to the concurrence of the Commissioner of the District of
Columbia, such provisions as it deems appropriate to authorize the
performance of any of its functions by any officer, agency, or employee
of the Corporation except the courts thereof.
(c) All functions provided for in regulations of the Council
(including existing regulations continued in force without action by the
Council) which are to be carried out by any officer, employee, or
agency, who or which is in other respects under the jurisdiction of the
Commissioner of the District of Columbia shall be carried out by such
officer, employee, or agency under the direction and control of the
Commissioner.
05 USC Part III. Commissioner of the District of Columbia
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
Sec. 301. Establishment of office of Commissioner. (a) There is
hereby established in the Corporation an office with the title of
''Commissioner of the District of Columbia.'' The officer who holds that
office is hereinafter referred to as the Commissioner.
(b) The Commissioner shall be appointed by the President of the
United States, by and with the advice and consent of the Senate. The
Commissioner shall at the time of his appointment be a citizen of the
United States. Before entering upon the discharge of his duties the
Commissioner shall take an oath or affirmation to support the
Constitution of the United States and faithfully discharge the duties
imposed upon him as Commissioner. The Commissioner shall receive
compensation at the rate now or hereafter prescribed by law for offices
and positions of Level III of the Executive Schedule Pay Rates (5 U.S.C.
5314). Whenever both a Commissioner and an Assistant to the Commissioner
appointed under section 302 hereof are in office at least one of them
shall have been an actual resident of the District of Columbia for three
years next preceding his appointment and have during that period claimed
residence nowhere else. Both the Commissioner and the Assistant to the
Commissioner shall reside in the District of Columbia during the time
each holds office.
(c) The first appointment of a Commissioner hereunder shall be for a
term expiring on February 1, 1969, and thereafter each appointment shall
be made for a term of four years. Any appointment made to fill a
vacancy in the office shall be made only for the unexpired balance of
the term. A Commissioner may continue to serve as such after the
expiration of his term of office until his successor is appointed and
qualifies. The Commissioner is subject to removal by the President of
the United States.
(d) The President may from time to time (1) designate officials of
the Corporation (including the Chairman, the Vice Chairman, and the
other members of the Council provided for in Part II of this
reorganization plan if the President so elects) to act as Commissioner
during the absence or disability of the Commissioner or in the event of
a vacancy in the office of Commissioner, and (2) prescribe the order of
succession in which the officials so designated shall so act.
Sec. 302. Assistant to the Commissioner. There is hereby established
in the Corporation a new office which shall have the title ''Assistant
to the Commissioner of the District of Columbia.'' Such assistant (1)
shall be appointed by the President of the United States, by and with
the advice and consent of the Senate, (2) shall receive compensation at
the rate now or hereafter prescribed by law for offices and positions of
Level V of the Executive Schedule Pay Rates (5 U.S.C. 5316), and (3)
shall assist the Commissioner as the Commissioner may direct in
connection with the carrying out of the functions of the Commissioner.
Sec. 303. Establishment of other new offices. There are hereby
established in the Corporation so many agencies and offices, with such
names or titles, as the Commissioner shall from time to time determine.
The said offices shall be filled by appointment by, or under the
authority of, the Commissioner. Each officer so appointed shall perform
the functions delegated or otherwise assigned to him in pursuance of
this reorganization plan and shall receive compensation to be fixed in
accordance with the classification laws as amended from time to time.
Sec. 304. Transfer of personnel, property, records, and funds. With
respect to personnel, property, records, and unexpended balances of
appropriations, allocations and other funds, available or to be made
available, relating to functions transferred by the provisions of this
reorganization plan, the Commissioner may from time to time effect such
transfers between the agencies of the Corporation (including transfers
between the Commissioner and any other agency of the corporation) as he
may deem necessary in order to carry out the provisions of this
reorganization plan.
Sec. 305. Performance of functions of Commissioner. The Commissioner
is hereby authorized to make from time to time such provisions as he
deems appropriate to authorize performance of his functions by any other
officer, or by any employee or agency, of the Corporation except the
courts thereof.
05 USC Part IV. Transfers of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
Sec. 401. Transfer of functions to Commissioner. Except as otherwise
provided in this reorganization plan, all functions of the Board of
Commissioners of the District of Columbia, including all functions of
the President of that Board and all functions of each other member of
that Board and including also the executive power vested therein (D.C.
Code, sec. 1-218), are hereby transferred to the Commissioner of the
District of Columbia.
Sec. 402. Transfer of functions to Council. The following regulatory
and other functions now vested in the Board of Commissioners of the
District of Columbia are hereby transferred to the Council (subject to
the provisions of section 406 of this reorganization plan):
05 USC 1. general provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(1) Making and modifying police regulations under D.C. Code, sec.
1-224 (including the prescribing of penalties under paragraph
''Eleventh'' thereof).
(2) Prescribing penalties under D.C. Code, sec. 1-224a.
(3) Making and modifying regulations to regulate the keeping and
leashing of dogs, and to regulate or prohibit the running at large of
dogs, including penalties for violations of such regulations, under D.C.
Code, sec. 1-224b.
(4) Making regulations under D.C. Code, secs. 1-226 and 1-227.
(5) Making building regulations under D.C. Code, sec. 1-228.
(6) Making and publishing such orders as may be necessary to regulate
the construction, repair and operation of elevators and prescribing such
means of security as may be found necessary to protect life and limb
under D.C. Code, sec. 1-229.
(7) Issuing proclamations related to the control of rabies under D.C.
Code, sec. 1-230.
(8) Making regulations relating to outdoor signs and other forms of
exterior advertising under D.C. Code, sec. 1-231.
(9) With respect to the functions transferred to the Council by the
provisions of this reorganization plan, (i) making investigations or
examinations of municipal matters, and (ii) administering oaths to
witnesses, under D.C. Code, sec. 1-237.
(10) Reporting annually to the Congress concerning the functions
transferred to the Council by the provisions of this reorganization plan
under D.C. Code, sec. 1-238.
(11) Making regulations to provide for the waiver of payment of fees
(by persons in the military service of the United States) under D.C.
Code, sec. 1-244(a).
(12) Making and adopting regulations relating to the furnishing and
keeping in force a bond by persons, firms, or corporations engaged in
the business of plumbing or gas fitting, or of installing, maintaining,
or repairing heating, ventilating, air-conditioning, or mechanical
refrigerating apparatus, equipment, appliances, systems, or parts
thereof, or of installing, maintaining, or repairing apparatus,
equipment, fixtures, appliances, or wiring, using or conducting electric
current under D.C. Code, sec. 1-244(b).
(13) Prescribing regulations for the examination of the
qualifications and fitness of applicants for licenses to engage in the
business referred to in the immediately preceding paragraph hereof under
D.C. Code, sec. 1-244(b).
(14) Naming highways and naming and renaming circles, bridges,
buildings, or other public places or properties under D.C. Code, sec.
1-244(f).
(15) Prescribing penalties under D.C. Code, sec. 1-244(h).
(16) Fixing and changing periods for which licenses, certificates, or
registrations may be issued under D.C. Code, sec. 1-257.
(17) Prescribing regulations relating to holidays for District of
Columbia employees under D.C. Code, sec. 1-260.
(18) The reception and entertainment of officials of foreign, State,
local, or Federal governments and other dignitaries and eminent persons
visiting in or returning to the District of Columbia under D.C. Code,
sec. 1-262.
(19) Prescribing penalties under D.C. Code, sec. 1-264.
(20) Prescribing rules and regulations relating to notaries public
under D.C. Code, sec. 1-501.
(21) Making and publishing general orders regulating the platting and
subdividing of lands and grounds under D.C. Code, sec. 1-613.
(22) Prescribing a schedule of fees for surveyor's services under
D.C. Code, sec. 1-629.
(23) Exempting certain boilers from provision prohibiting using steam
boilers without first obtaining certificate of inspection under D.C.
Code, sec. 1-705.
(24) Making regulations to carry out the provisions of the Act of
June 25, 1936 under section 14 of that Act (D.C. Code, sec. 1-715).
(25) Making rules and regulations respecting the production, use, and
control of electricity, and prescribing fees, under D.C. Code, sec.
1-719.
(26) Making and modifying regulations governing plumbing, house
drainage, and sewers, and making and modifying regulations governing the
examinations, registration, and licensing of plumbers and the practice
of the business of plumbing and gas fitting, under D.C. Code, sec.
1-725.
(27) Establishing fees for permits to connect buildings, premises, or
establishments with sewer, water, or gas mains, or other underground
structures, and establishing fees for permits granted to make
excavations, under D.C. Code, sec. 1-726.
(28) Consulting concerning the formation of one or more citizen
advisory councils under D.C. Code, sec. 1-1004(e) (40 U.S.C. 71c(e)).
(29) Defining and redefining the central area of the District of
Columbia under D.C. Code, sec. 1-1005(c) (40 U.S.C. 71d(c)).
(30) Approving a major thoroughfare plan or parts thereof or
revisions thereof, and proposing revision of the major thoroughfare plan
or parts thereof, under D.C. Code, sec. 1-1006(a) (40 U.S.C. 71e(a)).
(31) Consulting with National Capital Planning Commission prior to
final adoption of the thoroughfare plan under D.C. Code, sec. 1-1006(b)
(40 U.S.C. 71e(b)).
(32) Submitting a copy of the District's advance program of capital
improvements to the National Capital Planning Commission under D.C.
Code, sec. 1-1007 (40 U.S.C. 71f).
(33) With respect to each inaugural period: (i) making regulations
necessary to secure the preservation of public order and protection of
life, health, and property, (ii) making regulations respecting the
standing, movement, and operation of vehicles, (iii) fixing conditions
with respect to licenses to peddlers and vendors, and (iv) fixing fees
for the privilege of selling goods, wares, and merchandise, under D.C.
Code, sec. 1-1202 (36 U.S.C. 722).
05 USC 2. regulation of professions, occupations, etc.
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(34) Making and altering rules for the conduct of business of agency
administering, and for the execution and enforcement of, the Healing
Arts Practice Act of 1928, under D.C. Code, sec. 2-103, and adopting
and altering a common seal thereunder.
(35) Establishing minimum standards of preprofessional and
professional education in the healing art and establishing minimum
standards for hospitals for interne training under D.C. Code, sec.
2-103a(a).
(36) Adopting and promulgating rules and regulations prescribing (i)
the terms and conditions under which a tissue bank license may be issued
and renewed, (ii) the fees to be paid by the issuance and renewal of
such licenses, (iii) the duration of such licenses, (iv) the grounds for
the suspension and revocation of such licenses, (v) the operation of
tissue banks, (vi) the conditions under which tissue may be processed,
preserved, stored, and transported, and (vii) the making, keeping, and
disposition of records by tissue banks and by other persons under D.C.
Code, sec. 2-253(b).
(37) Making and adopting rules and regulations to effect the purposes
of the Act of July 2, 1940, relating to the licensing of dentists and
the practice of dentistry (including the making of rules regulating
professional announcements and the number of offices of a licensed
dentist and including also the prescribing of rules and regulations to
permit the use in hospitals of dental internes) under D.C. Code, sec.
2-302.
(38) Adopting and amending by-laws carrying into effect the Act of
February 9, 1907, relating to the registration of graduate nurses, under
D.C. Code, secs. 2-403 and 2-406.
(39) Fixing, under D.C. Code, sec. 2-408, the fees referred to in
clause (c) thereof.
(40) Adopting and prescribing rules and regulations to carry into
effect the Act of September 6, 1960, and prescribing minimum curricula
and standards for schools and programs, under D.C. Code, sec. 2-427(a).
(41) Obtaining or requiring the furnishing of information under oath
or affirmation or otherwise necessary to assist in prescribing any
regulation under the Act of September 6, 1960 under D.C. Code, sec.
2-427(b).
(42) With respect to the functions transferred by the paragraph
immediately preceding this paragraph, administering oaths and
affirmations, requiring by subpoena or otherwise the attendance and
testimony of witnesses and the production of documents, and making
application to the Court for an order requiring obedience thereto under
D.C. Code, sec. 2-427(b).
(43) Determining the qualifications, prescribing the terms of office,
and fixing the compensation of members of the physical therapists
examining board under D.C. Code, sec. 2-455.
(44) Adopting and prescribing rules and regulations to carry into
effect the Act of September 22, 1961, under D.C. Code, sec. 2-456(a).
(45) Obtaining or requiring the furnishing of information under oath
or affirmation or otherwise necessary to assist in prescribing any
regulation under the Act of September 22, 1961 under D.C. Code, sec.
2-456(b).
(46) With respect to the functions transferred by the paragraph
immediately preceding this paragraph, administering oaths and
affirmations, requiring by subpoena or otherwise the attendance and
testimony of witnesses and the production of documents, and making
application to the Court for an order requiring obedience thereto, under
D.C. Code, sec. 2-456(b).
(47) Changing the periods for which registrations as physical
therapists or renewals thereof may be issued under D.C. Code, sec.
2-461(a).
(48) Altering, amending, or otherwise changing educational standards
(relating to optometrists) under D.C. Code, sec. 2-512.
(49) Making and altering rules for the conduct of business of agency
administering, and for the execution and enforcement of, the Act of May
7, 1906, under D.C. Code, sec. 2-608.
(50) Adopting rules and regulations respecting the eligibility of
candidates for admission to the practice of podiatry and the scope of
examinations, under D.C. Code, sec. 2-702, and adopting a seal
thereunder.
(51) Making, altering, and amending rules and regulations to carry
into effect the provisions of the Act of February 1, 1907, relating to
veterinarians, and requiring the giving of bond and prescribing the form
and penalty thereof, under D.C. Code, sec. 2-802.
(52) Determining, authorizing, and directing the subjects to be
included in examinations for veterinarians under D.C. Code, sec. 2-803.
(53) Making reciprocal arrangements with authorities of the several
states and territories of the United States concerning the licensing of
veterinarians under D.C. Code, sec. 2-804.
(54) Making rules for the examination and registration of applicants
for (architects') certificates under D.C. Code, sec. 2-1001.
(55) Fixing fees, relating to architects and applicants under D.C.
Code, sec. 2-1023.
(56) With respect to the functions transferred by paragraphs (54) and
(55), above, requiring the attendance of persons and the production of
books and papers, requiring persons to testify, issuing subpoenas, and
referring matters to a judge, under D.C. Code, sec. 2-1029.
(57) Adopting rules and sanitary regulations to carry out the
provisions of the Act of June 7, 1938 (relating to barbers) under D.C.
Code, sec. 2-1103.
(58) Making and issuing regulations (relating to the posting of
prices in barber shops and violations of such regulations) under D.C.
Code, sec. 2-1114a.
(59) Making and amending rules and regulations to carry out the
purposes of the Act of December 20, 1944 (relating to boxing contests
and exhibitions), under D.C. Code, sec. 2-1212.
(60) Making rules and regulations to carry out the provisions of the
Act of June 7, 1938 (relating to cosmetologists) under D.C. Code, sec.
2-1303.
(61) Fixing fees for licenses (relating to plumbers) under D.C.
Code, sec. 2-1405.
(62) Providing rules and regulations (relating to examinations for
steam and other operating engineers), and prescribing tests to which
engines and steam boilers shall be subjected, under D.C. Code, sec.
2-1502.
(63) All authority and responsibilities of the Board of Commissioners
of the District of Columbia under D.C. Code, secs. 2-1724, 2-1727, and
2-1728 (relating to the District of Columbia Stadium).
(64) Regulating the certification of engineers-in-training, and
prescribing examinations for the purpose of testing the applicant's
knowledge, under D.C. Code, sec. 2-1808(c).
(65) Prescribing a certificate for issuance to applicants who meet
requirements for certification as engineers-in-training under D.C.
Code, sec. 2-1808(j).
(66) Adopting an official seal under D.C. Code, sec. 2-1808(l).
(67) Adopting, amending, rescinding, and promulgating administrative
rules and regulations to carry into effect the Act of September 19,
1950, under D.C. Code, sec. 2-1808(n).
(68) With respect to other functions transferred to the Council by
the provisions of this reorganization plan, requiring the attendance of
witnesses and the production of books and papers, requiring witnesses to
testify, issuing subpenas, and referring matters to a judge under D.C.
Code, sec. 2-1808(o).
(69) Fixing the form and amount of bond required to be furnished
under D.C. Code, sec. 2-1813.
(70) Prescribing additional information to be contained in
applications for pawnbrokers' licenses under D.C. Code, sec.
2-2003(b)(4).
(71) Making rules and regulations for the enforcement of the Act of
August 6, 1965, under D.C. Code, sec. 2-2007(a)
(72) Determining or fixing a maximum rate of interest for pawnbroker
loans and redetermining and refixing any such maximum rate under D.C.
Code, sec. 2-2009(a).
(73) Making rules and regulations to carry out the Act of August 6,
1956 (relating to pawnbrokers) under D.C. Code, sec. 2-2017.
(74) Prescribing by regulation the form of and the information to be
contained in solicitor information cards, and prescribing the manner of
reproduction and authentication of such cards, under D.C. Code, sec.
2-2102(a)(7).
(75) Prescribing by regulation the terms and conditions for exempting
solicitations from certain provisions of the Act of July 10, 1957 under
D.C. Code, sec. 2-2103(d).
(76) Prescribing the form or forms of application for certificate of
refrigeration, and requiring by regulation the information to be
contained in each such application, under D.C. Code, sec. 2-2104(a).
(77) Promulgating regulations to carry out the Act of July 10, 1957
(relating to charitable solicitations) under D.C. Code, sec. 2-2110.
(78) Requiring the furnishing of bond as a condition to the issuance
of license to engage in the home improvement business under D.C. Code,
sec. 2-2301.
(79) Establishing classes and subclasses of persons licensed to
engage in the home improvement business, and specifying the amount and
conditions of the bond or other security to be deposited by each member
of any such class or subclass, under D.C. Code, sec. 2-2302(a).
(80) By regulation, requiring applicants for licenses or licensees
(i) to furnish and keep in force a bond or bonds or other security, and
(ii) to procure and keep in force public liability insurance or property
damage insurance, or both, under D.C. Code, secs. 2-2302(a)(1) and (2).
05 USC 3. public welfare
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(81) Making rules and regulations relating to the admission of
persons to institutions under D.C. Code, sec. 3-108.
(82) Establishing rules for receiving and temporarily caring for
children under D.C. Code, sec. 3-116.
(83) Establishing rules and regulations to carry out the provisions
of the Act of October 15, 1962 (relating to public assistance) under
D.C. Code, sec. 3-202(b)(2).
(84) Approving regulations in accordance with which shall be
determined the amount of public assistance which any person shall
receive under D.C. Code, sec. 3-204(a).
(85) Prescribing the manner and form in which application for public
assistance shall be made, under D.C. Code, sec. 3-205.
(86) Prescribing regulations governing the custody, use, and
preservation of records, papers, files and communications relating to
public assistance under D.C. Code, sec. 3-211(a).
(87) Approving rules and regulations relating to funeral expenses
under D.C. Code, sec. 3-213.
(88) Prescribing rules and regulations in accordance with which
hearings shall be conducted under D.C. Code, sec. 3-214.
05 USC 4. police and fire
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(89) Subdividing the Metropolitan Police District into police
districts and precincts under D.C. Code, sec. 4-102.
(90) Determining and fixing limits of age for appointments to the
police department under D.C. Code, sec. 4-107.
(91) Prescribing general regulations regarding special policemen
under D.C. Code, sec. 4-115.
(92) Making rules and regulations under D.C. Code, sec. 4-117.
(93) Making and modifying rules and regulations for the proper
government, conduct, discipline, and good name of the Metropolitan
Police force, and fixing penalties, under D.C. Code, sec. 4-121.
(94) Making and amending rules of procedures before trial boards
under D.C. Code, sec. 4-122.
(95) Changing, altering, amending, or abolishing rules and
regulations of the Metropolitan Police force under the last proviso of
D.C. Code, sec. 4-122.
(96) Providing rules for uniform clothing of the police force under
D.C. Code, sec. 4-130.
(97) Prescribing the area constituting the ''Washington, District of
Columbia, metropolitan district'' under D.C. Code, sec. 4-132a(b).
(98) Causing the Metropolitan Police force to keep records under D.C.
Code, sec. 4-134(5).
(99) Determining traffic violations and other petty offenses with
respect to which records are not required to be kept under D.C. Code,
sec. 4-134a(a).
(100) Making rules and regulations regarding the written return of
arrests under D.C. Code, sec. 4-142.
(101) Making rules and regulations in reference to the detention of
witnesses under D.C. Code, sec. 4-144.
(102) Providing by regulation for disposition of property under the
proviso of D.C. Code, sec. 4-156(e).
(103) Determining by regulation the disposition of property under
D.C. Code, sec. 4-159(c).
(104) Determining, by regulation, disposition of property under D.C.
Code, sec. 4-160(a).
(105) By regulation requiring that bonds be furnished and kept in
force by persons licensed as private detectives under D.C. Code, sec.
4-171a.
(106) Fixing amounts of bonds obtained to secure against loss
resulting from any act of dishonesty or other act by any officer of the
Metropolitan Police force under D.C. Code, sec. 4-186.
(107) Making, altering, or amending rules and regulations relating to
officers and members of the fire department, and changing the rules and
regulations of the fire department promulgated before June 20, 1906,
under D.C. Code, sec. 4-402.
(108) Determining and fixing limits of age for original appointments
to the fire department under D.C. Code, sec. 4-403.
(109) Prescribing rules and regulations for installing in suburbs
extra apparatus and appliances belonging to the fire department under
D.C. Code, sec. 4-411.
(110) Entering into and renewing reciprocal agreements under D.C.
Code, sec. 4-414(a).
(111) Promulgating rules and regulations regarding the selection and
reporting of the names of privates and sergeants possessed of
outstanding efficiency under D.C. Code, sec. 4-802.
(112) Promulgating regulations regarding additional compensation for
working on holidays under D.C. Code, sec. 4-807.
(113) Designating holidays with respect to officers and members of
the Metropolitan Police force and the Fire Department under D.C. Code,
sec. 4-808.
(114) Promulgating regulations to carry out the intent and purposes
of the Act of August 1, 1958, under D.C. Code, sec. 4-835.
(115) (Pub. L. 90-623, 7(b), Oct. 22, 1968, 82 Stat. 1315, provided
that paragraph was to have no further effect. Paragraph covered the
promulgation of regulations (regarding determination whether injury or
disease resulted from the performance of duty) under D.C. Code, sec.
4-909(b) (5 U.S.C. 6324(b)).)
05 USC 5. building restrictions and regulations
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(116) Making regulations for the care and preservation of parkings
(established under the Act of June 21, 1906) under D.C. Code, sec.
5-205.
(117) Determining numbers and material, type, and construction of
fire escapes under D.C. Code, sec. 5-301.
(118) Adopting regulations to accomplish the purposes and carry into
effect the provisions of the Act of March 19, 1906 (relating to fire
escapes and safety) under D.C. Code, sec. 5-304.
(119) Promulgating regulations requiring the provision, installation,
and maintenance of means of egress, guide signs, guide lights, exit
lights, hall and stairway lights, standpipes, fire extinguishers, alarm
gongs, striking stations, and other appliances under D.C. Code, sec.
5-317.
(120) Regulating the maximum height of buildings on blocks
immediately adjacent to public buildings or to the side of any public
building for which plans have been prepared and money appropriated at
the time of the application for the permit to construct the building
under D.C. Code, sec. 5-405.
(121) Preparing (in consultation with the National Capital Planning
Commission) plats defining the areas within which applications for
building permits shall be submitted to the Commission of Fine Arts under
D.C. Code, sec. 5-411.
(122) Approving boundaries of project areas and redevelopment plans
and modifications of redevelopment plans under D.C. Code, secs. 5-705
and 5-711.
(123) Approving the entering by the District of Columbia
Redevelopment Land Agency into contracts and agreements, relating to
financial assistance, under D.C. Code, sec. 5-717a(a).
(124) Approving the acceptance by the District of Columbia
Redevelopment Land Agency of advances of funds for surveys and plans,
and approving transfers of funds by that Agency to the National Capital
Planning Commission, under D.C. Code, sec. 5-717a(b).
(125) Entering into agreements with the District of Columbia
Redevelopment Land Agency respecting certain cash payments from funds of
the District of Columbia under D.C. Code, sec. 5-717a(d).
(126) Approving releases, modifications, and departures from features
and details of approved redevelopment plans under D.C. Code, sec.
5-718(a).
(127) Transferring all right, title, and interest in and to part or
all of certain property to the District of Columbia Redevelopment Land
Agency under D.C. Code, sec. 5-720.
(128) Determining whether such property is necessary to the
development of the southwest section in accordance with an approved
urban renewal plan, determining how much of the property is necessary to
carry out such urban renewal plan, and transferring and donating to the
Agency all right, title, and interest of the United States in and to the
property under D.C. Code, sec. 5-721.
(129) Transferring to the District of Columbia Redevelopment Land
Agency jurisdiction regarding transferred property under D.C. Code, sec.
5-722.
(130) Prescribing regulations for making relocation payments to
individuals, families, business concerns, and non-profit organizations
for their moving expenses and actual direct losses caused by their
displacement from real property acquired for public works projects under
D.C. Code, sec. 5-729.
(131) Making regulations to carry out the purposes of the Act of
October 6, 1964 under D.C. Code, sec. 5-732.
(132) Adopting regulations to bring horizontal property regimes into
compliance with the laws and regulations in effect in the District of
Columbia under D.C. Code, sec. 5-928.
05 USC 6. health and safety
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(133) Altering, amending, or repealing ordinances of the former Board
of Health which were legalized by the Act of April 24, 1880 under D.C.
Code, sec. 6-114.
(134) Promulgating rules and regulations to prevent and control the
spread of communicable diseases under D.C. Code, sec. 6-118.
(135) By regulation, denominating the diseases within the meaning of
''communicable diseases'' under D.C. Code, sec. 6-119.
(136) Prescribing penalties for violation of communicable disease
regulations under D.C. Code, sec. 6-119h.
(137) Making rules and regulations governing the certification of the
given name of a child under D.C. Code, sec. 6-301(a).
(138) Adopting rules and regulations governing the filing of reports
of births and the issuance of delayed birth certificates under D.C.
Code, sec. 6-301(b).
(139) Making regulations for the collection and disposition of
garbage and annexing penalties to such regulations under D.C. Code, sec.
6-501.
(140) Making regulations to carry out the purposes of the Act of
March 4, 1929 (relating to combustible refuse) under D.C. Code, sec.
6-507.
(141) Specifying fees for disposing of combustible material in
incinerators built by the District of Columbia, and designating routes
for hauling or transporting the material, under D.C. Code, sec. 6-511.
(142) Prescribing by regulation the manner of describing, on mattress
tags, material used in mattresses under D.C. Code, sec. 6-603.
(143) Making regulations to regulate the design, construction, and
maintenance of disposal systems, and the handling, storage, treatment,
and disposal of wastes, under D.C. Code, sec. 6-703.
(144) Making and promulgating classifications and regulations for the
installation and operation of combustion and other devices susceptible
for use in such manner as to violate purposes of smoke prevention law,
amending or rescinding such regulations, and promulgating amended or
additional regulations under D.C. Code, sec. 6-802.
(145) Making rules and regulations to carry out authority to take
measures for the protection of persons and property under D.C. Code,
sec. 6-1009 (preamble).
(146) Making regulations to govern the establishment, maintenance,
and operation of civil defense units and organizations and the
discipline of the members thereof under D.C. Code, sec. 6-1009(a).
(147) Prescribing penalties for violations of regulations promulgated
pursuant to the Act of December 26, 1941 under D.C. Code, sec. 6-1010.
(148) Promulgating regulations requiring that cancer, sarcoma,
lymphoma (including Hodgkin's disease), leukemia, and all other
malignant growths be reported under D.C. Code, sec. 6-1301.
(149) Prescribing a penalty or fine for the violation of any
regulation promulgated under the Act of July 27, 1951 under D.C. Code,
sec. 6-1304.
05 USC 7. highways, streets, and bridges
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(150) Making regulations for keeping in repair streets, avenues,
alleys, sewers, and other works under D.C. Code, sec. 7-101.
(151) Changing the name of any street, road, avenue, or other highway
when there is duplication of names under D.C. Code, sec. 7-106.
(152) Naming or renaming streets, avenues, alleys, highways, and
reservations under D.C. Code, sec. 7-107.
(153) Determining the extent to which plans for the extension of a
permanent system of highways may be out of conformity with the street
plan of the city of Washington under D.C. Code, sec. 7-108.
(154) Naming streets, avenues, alleys, and reservations under D.C.
Code, secs. 7-112 and 7-116.
(155) Abandoning or readjusting streets or proposed streets (in order
to provide grounds for educational, religious, or similar institutions)
under D.C. Code, sec. 7-113.
(156) Determining the extent to which plans for the extension of
highways may be out of conformity with street plan, and naming streets,
avenues, alleys, and reservations, under D.C. Code, sec. 7-116.
(157) Accepting the dedication of streets, prescribing regulations in
regard to the height of parking and the projection of buildings beyond
the building line, and making determinations respecting the District of
Columbia having right-of-way through parking, under D.C. Code, sec.
7-117.
(158) Determining the extent to which new highway plans may be out of
conformity with the street plan under D.C. Code, sec. 7-122.
(159) Opening, extending, or widening streets, avenues, roads, or
highways under D.C. Code, sec. 7-201.
(160) Closing alleys or parts of alleys under D.C. Code, sec. 7-302.
(161) Accepting the dedication of alleys, and closing existing
alleys, under D.C. Code, sec. 7-303.
(162) Closing alleys or parts of alleys under D.C. Code, sec. 7-304.
(163) Closing alleys under D.C. Code, sec. 7-305.
(164) Making orders declaring existing alleyways closed and opening
new substitute alleyways, under D.C. Code, sec. 7-306.
(165) Making an order canceling existing subdivision of any square
and obliterating alleys therein under D.C. Code, sec. 7-308.
(166) Closing alleys or parts of alleys under D.C. Code, sec. 7-309.
(167) Setting land aside for alley purposes under D.C. Code, sec.
7-310.
(168) Closing any street, road, highway, or alley, or any part of any
thereof (including the making of the required finding thereon) under
D.C. Code, sec. 7-401.
(169) Making regulations for the safety of the public using bridges
and for the lighting and the police control of bridges under D.C. Code,
sec. 7-501.
(170) Ordering the removal of abandoned street railway tracks,
settling claims against D.C. Transit System, Inc., for the paving of
abandoning track areas, and determining terms and conditions as to time
of payment or payments under D.C. Code, sec. 7-604a.
(171) Regulating the location and depth of gas mains under D.C.
Code, sec. 7-706.
(172) Jurisdiction and control over MacArthur Boulevard (formerly
Conduit Road) and levying assessments for public improvements, under
D.C. Code, sec. 7-1201 (40 U.S.C. 53a).
(173) Denominating portions of streets as business streets, and
prescribing general regulations, under D.C. Code, sec. 7-1205.
(174) Granting a Railroad Company permission to lay, maintain, and
use sidetracks and sidings under D.C. Code, sec. 7-1210.
(175) Approving the point or points at which additional stations or
depots may be constructed, established, and maintained, and approving
plans for connecting tracks and elevated structures, under D.C. Code,
sec. 7-1212.
(176) Approving the construction of railroad tracks and appurtenant
turnouts, branch tracks, and sidings under D.C. Code, sec. 7-1218; and
approving plans for the construction of branch sidings under the Act of
September 26, 1961 (D.C. Code, note at sec. 7-1218).
(177) Approving the location and construction of railroad tracks,
turnouts, branch tracks, spurs, and sidings under D.C. Code, sec.
7-1219.
(178) Approving wage rates fixed and adjusted from time to time by a
wage board, under D.C. Code, sec. 7-1236.
05 USC 8. parks
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(179) Setting aside space in the streets and avenues for park
purposes, denominating portions of streets as business streets, and
prescribing general regulations under D.C. Code, sec. 8-108.
(180) Jurisdiction and control of the street parking in streets and
avenues under D.C. Code, sec. 8-110.
(181) Transferring jurisdiction over properties or parts thereof to
Federal authorities, and accepting from Federal authorities jurisdiction
over properties or parts thereof, under D.C. Code, sec. 8-115 (40
U.S.C. 122).
(182) Making rules and regulations for the management of a public
convenience station, and fixing charges for the use of such station
under D.C. Code, sec. 8-138.
(183) Making rules and regulations for the management of public
convenience stations, and fixing charges for the use of the
conveniences, under D.C. Code, sec. 8-140.
(184) Accepting land and dedications of land under D.C. Code, sec.
8-162.
(185) Making regulations relating to a beach and dressing houses
under D.C. Code, sec. 8-168.
05 USC 9. public buildings and grounds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(186) Making rules and regulations for the Government and control of
wharves, piers, bulkheads, structures, adjacent waters, basins, slips,
docks, and land under water under D.C. Code, sec. 9-101.
(187) Making rules and regulations for the Government and proper care
of property and annexing penalties to said rules and regulations, and
making rules and regulations in regard to building and repairing
wharves, the rental thereof, and the rate of wharfage, under D.C. Code,
sec. 9-102.
(188) Fixing penalties of bonds of employees under D.C. Code, sec.
9-134(a).
(189) Prescribing by regulation the uniform and identification badge
to be worn by individuals under D.C. Code, sec. 9-134(b).
(190) Making and amending regulations for the protection of life and
property in or on institutional buildings or grounds under D.C. Code,
sec. 9-135.
(191) Acquiring certain squares and reservations, including buildings
and other structures thereon, as a site for a municipal center, and
closing and vacating portions of streets and alleys, under D.C. Code,
sec. 9-201.
(192) Making the finding that real estate is no longer required for a
public purpose, under D.C. Code, sec. 9-301 (40 U.S.C. 72c).
(193) Exchanging District-owned land or part thereof under D.C.
Code, sec. 9-401.
05 USC 10. weights, measures, and markets
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(194) Prescribing the manner of approving and sealing, stamping, or
marking devices or appliances under D.C. Code, sec. 10-103.
(195) Establishing and allowing variation, tolerances, and
exemptions, as to small packages, under D.C. Code, sec. 10-117.
(196) Fixing standard loads by which split wood may be sold under
D.C. Code, sec. 10-118.
(197) Establishing tolerances and specifications for scales, weights,
measures, weighing or measuring instruments or devices, and containers
under D.C. Code, sec. 10-127.
(198) Prescribing regulations governing the granting of licenses for
the location of public scales, and approving and fixing fees, under D.C.
Code, sec. 10-128.
(199) Making regulations for the control, regulation, and supervision
of markets under D.C. Code, sec. 10-130.
(200) Making regulations for the control, regulation, and operation
of the municipal fish wharf and market under D.C. Code, sec. 10-135.
(201) Making and promulgating rules and regulations for the control
and operation of the wholesale farmers' produce market, and establishing
a scale of charges, under D.C. Code, sec. 10-137.
05 USC 11. feeble-minded persons
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(202) Adopting regulations relating to receiving feeble-minded
persons into the District Training School under D.C. Code, sec.
21-1102.
(203) Prescribing general conditions for granting paroles to patients
under D.C. Code, sec. 21-1120.
05 USC 12. criminal offenses
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(204) Restricting, prohibiting, regulating, and controlling hunting
and fishing and the taking, possession, and sale of wild animals under
D.C. Code, sec. 22-1628.
(205) Prescribing regulations regarding the disposal of property
under D.C. Code, sec. 22-1630(a) (last sentence).
(206) Making, altering, and amending harbor regulations under D.C.
Code, sec. 22-1701.
(207) Establishing rules and regulations for the administration of
the Act of August 12, 1937 (relating to the marketing and labeling of
packages of potatoes) under D.C. Code, sec. 22-3409.
(208) Making rules and regulations to carry out the Act of December
16, 1941 (relating to food which is unwholesome or unfit for use) under
D.C. Code, sec. 22-3419.
05 USC 13. execution fees
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(209) Fixing the fees of an executioner and his assistants for
services under D.C. Code, sec. 23-702.
05 USC 14. prisoners; institutions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(210) Rules and regulations permitting the discharge of parolees
under D.C. Code, sec. 24-204(b).
(211) Prescribing regulations for employment of persons sentenced to
imprisonment in the jail under D.C. Code, sec. 24-412.
(212) Prescribing regulations regarding the sale of surplus products
under D.C. Code, sec. 24-418.
(213) Rules and regulations for the government of institutions under
D.C. Code, sec. 24-442.
05 USC 15. alcoholic beverages
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(214) Prescribing other authority under D.C. Code, sec. 25-106 (last
sentence).
(215) Prescribing, making, altering, and amending rules and
regulations under D.C. Code, sec. 25-107.
(216) Promulgating regulations under D.C. Code, sec. 25-111(c).
(217) Requiring by regulation that no licensee holding a retailer's
license, Class A, B, C, D, or E shall transport any alcoholic beverage
into the District of Columbia, permitting such importation under a
special permit or permits, prescribing the terms, conditions, and manner
of issuance of such permit or permits, and suspending, amending,
revoking, or abolishing any such regulations, permit, or system of
permits under D.C. Code, sec. 25-112.
(218) Promulgating regulations to permit owners of warehouse receipts
to withdraw bonded liquors under D.C. Code, sec. 25-115(c).
(219) Suspending or revoking in whole or in part the requirements of
D.C. Code, sec. 25-123, under D.C. Code, sec. 25-123(c).
(220) Prescribing by regulation methods or devices or both for the
assessment, evidencing of payment, and collection of taxes under D.C.
Code, sec. 25-124(c)(3).
(221) Requiring that the immediate container of each beverage contain
the license number of each licensee who sells or offers for sale such
beverages under D.C. Code, sec. 25-125(g).
(222) Prescribing the manner of collection and payment of tax on beer
under D.C. Code, sec. 25-138.
05 USC 16. charters of incorporation; money lending
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(223) Granting or refusing a charter of incorporation under D.C.
Code, sec. 26-305.
(224) Making rules and regulations for the conduct of business of
making loans, and for the enforcement of the Act of February 4, 1913,
under D.C. Code, sec. 26-611.
05 USC 17. tissue banks; crematorium
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(225) By regulations, authorizing tissue banks and others to remove,
transport, and dispose of tissue from dead bodies of human beings
without permit under D.C. Code, sec. 27-119a.
(226) Making rules for the proper maintenance and operation of a
public crematorium under D.C. Code, sec. 27-130.
05 USC 18. standard time
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(227) Advancing the standard time applicable to the District of
Columbia under D.C. Code, secs. 28-2711 and 28-2804.
05 USC 19. corporations
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(228) Approving newspapers in which persons may give notice of
intention to present to Congress bills for incorporation or for
alteration or extension of corporation charters under D.C. Code, sec.
29-102.
(229) Fixing fees relating to process under D.C. Code, sec.
29-933(e)(2).
(230) Making rules and regulations relating to service of process
under D.C. Code, sec. 29-933(e)(5).
(231) Providing an official seal under D.C. Code, sec. 29-935(c).
(232) Making and modifying regulations to carry out the Act of June
8, 1954, and prescribing penalties for the violation of any such
regulations, under D.C. Code, sec. 29-935(f).
(233) Determining fee which shall be charged for furnishing a
certificate as to the status of a corporation or as to the existence or
nonexistence of facts relating to corporations under D.C. Code, sec.
29-936(b)(21).
(234) Making regulations providing for fees for services under D.C.
Code, sec. 29-1092(s).
(235) Making and modifying regulations to carry out the provisions of
the Act of August 6, 1962, and prescribing penalties for the violation
of any such regulation, under D.C. Code, sec. 29-1093(e).
05 USC 20. education
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(236) Approving amounts fixed by the Board of Education to be paid
for non-residents to cover the expense of tuition and costs of textbooks
and school supplies under D.C. Code, sec. 31-307(b).
(237) Approving regulations made by the Board of Education to carry
out the intent and purposes of the Act of September 8, 1960 under D.C.
Code, sec. 31-308 (a).
(238) Making rules and regulations for the purpose of carrying into
full force and effect the provisions of the Act of January 15, 1920
under D.C. Code, sec. 31-717.
(239) Prescribing regulations regarding the deposit of additional
sums by any teacher, and prescribing table of mortality, under D.C.
Code, sec. 31-721.
(240) Making rules and regulations for the purpose of carrying the
provisions of the Act of August 7, 1946 into full force and effect under
D.C. Code, sec. 31-736.
(241) Making regulations concerning (i) the form of application by
officers of any medical or dental college for registration and a permit
to commence or continue business, (ii) the evidence to be adduced in
support thereof, and (iii) the method of taking such evidence, giving
notice of hearings upon applications, holding hearings, and making
inquiries under D.C. Code, sec. 31-902.
(242) Closing streets and alleys under D.C. Code, sec. 31-1108.
(243) Promulgating rules and regulations governing the manner in
which the District duties relating to surplus property shall be carried
out, including the fixing of fees to be charged for services, under D.C.
Code, sec. 31-1302.
(244) All functions vested in the Board of Commissioners of the
District of Columbia by D.C. Code, sec. 31-1522(b).
05 USC 21. institutions, agencies, and services
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(245) Promulgating regulations to govern the establishment and
maintenance of private hospitals and asylums, and regulating the
issuance, suspension, and revocation of licenses, under D.C. Code, sec.
32-304.
(246) Making rules and regulations under D.C. Code, sec. 32-306.
(247) Establishing rates and regulations respecting the admission of
pay patients under D.C. Code, sec. 32-308.
(248) Establishing rates and regulations respecting the admission of
pay patients under D.C. Code, sec. 32-309.
(249) Establishing rates and regulations respecting the admission of
patients under D.C. Code, sec. 32-310.
(250) Establishing rates and regulations respecting the admission of
pay patients under D.C. Code, sec. 32-313.
(251) Prescribing rates for furnishing clinical services, drugs,
pharmaceutical preparations, or x-ray service, and determining the
necessity of using appropriations without regard to the rates
prescribed, under D.C. Code, sec. 32-322.
(252) Establishing standards of indigency for admission of patients
to municipal hospitals, and establishing rates at which, and regulations
under which, emergency and semi-indigent patients may be admitted to
wards of Gallinger Municipal Hospital on a full- or part-pay basis,
under D.C. Code, sec. 32-326.
(253) Making rules and regulations for enforcing discipline, for
imparting instruction or preserving health, and for the physical,
intellectual, and moral training of the inmates of the institution for
the custody, care, education, training, and treatment of feebleminded
persons under D.C. Code, sec. 32-604.
(254) Approving rules and regulations, and approving amendments of
rules and regulations prescribing standards of placement, care, and
services to be required of child-placing agencies under D.C. Code, sec.
32-783.
(255) Making, altering, amending, and changing bylaws, rules and
regulations for the government of the National Training School for
Girls, its officers, teachers, employees, and inmates, the employment,
discipline, instruction, education, removal, and absolute temporary, or
conditional release of girls committed to the school under D.C. Code,
sec. 32-904.
(256) Prescribing regulations respecting the sale of surplus products
under D.C. Code, sec. 32-1009.
(257) Establishing rates and regulations respecting the care and
treatment of any patients under D.C. Code, sec. 32-1010.
05 USC 22. food and drugs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(258) Preparing rules and regulations with regard to the proper
method of collecting and examining drugs and articles of food, under
D.C. Code, sec. 33-104.
(259) Making regulations to protect the milk, cream, and ice cream
supply of the District of Columbia under D.C. Code, sec. 33-307.
(260) Prescribing regulations under which milk and cream shall be
pasteurized under D.C. Code, sec. 33-315.
(261) By regulation, including places other than creameries or
receiving stations under the provisions of section 17 of the Act of
February 27, 1925 under D.C. Code, sec. 33-317 (second sentence).
(262) Making rules and regulations for the administration and
enforcement of the Narcotic Drug Act of June 20, 1938 under D.C. Code,
sec. 33-405.
(263) Making rules and regulations to carry out the purposes of the
Act of July 3, 1943 under D.C. Code, sec. 33-502.
(264) After reasonable public notice and opportunity for a hearing,
finding and declaring drugs or compounds, preparations, or mixtures
thereof to be habit-forming, excessively stimulating, or to have a
dangerously toxic, or hypnotic or somnifacient effect on the body of a
human or animal under D.C. Code, sec. 33-701(1)(C).
(265) After reasonable public notice and opportunity for hearing,
declaring by rule or regulation duly promulgated that a compound,
mixture, or preparation of barbituric acid, its salts and derivatives to
have or contain no habit-forming properties and not to have a
dangerously toxic or hypnotic or somnifacient effect on the body of a
human or animal under D.C. Code, sec. 33-703(1).
(266) After reasonable public notice and opportunity for hearing,
finding and declaring by rule or regulation duly promulgated that a
compound, mixture, or preparation of amphetamine, desoxyphedrine,
phenolethylamine, or their salts or derivatives to contain in addition
to such drug or its salts and derivatives some other drug or drugs
causing it to possess other than an excessively stimulating effect upon
the central nervous system and to have no habit-forming properties or
dangerously toxic effect upon the body of a human or animal under D.C.
Code, sec. 33-703(2).
(267) Promulgating regulations for the administration and enforcement
of the Act of July 24, 1956 under D.C. Code, sec. 33-707
05 USC 23. insurance
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(268) Making rules and regulations to make the conduct of each
company in the same line of insurance conform in doing business in the
District under D.C. Code, sec. 35-102.
(269) Prescribing rules and regulations for the hearing of appeals
(of health, accident, and life insurance companies) under D.C. Code,
sec. 35-202.
(270) Requiring, under D.C. Code, sec. 35-407, that at least once in
the month of March in each year a summary of the annual financial
statement filed thereunder be published in a daily newspaper.
(271) Making and prescribing rules and regulations (subject to the
approval of the court) under D.C. Code, sec. 35-419 (penultimate
paragraph).
(272) Requiring information, in addition to that specified in the
statute, to be included in applications filed for licensing as life
insurance general agent, agent, or solicitor under D.C. Code, sec.
35-425.
(273) Requiring information, in addition to that specified in the
statute, to be included in applications for licensing as a life
insurance broker under D.C. Code, sec. 35-428.
(274) Prescribing rules and regulations governing inspectors of
elections held by policy holders of domestic stock life insurance
companies for the purpose of converting to a mutual company under D.C.
Code, sec. 35-519.
(275) Issuing rules and regulations to carry out the purposes of
section 41 of the Act of June 19, 1934 under D.C. Code, sec. 35-541(f).
(276) Making rules and regulations concerning the procedure for the
filing or submission of policies under D.C. Code, sec. 35-712-3(f);
and making rules and regulations concerning the provisions in
supplemental contracts and the submission and approval of such contracts
under D.C. Code, sec. 35-712 (last proviso).
(277) Making rules and regulations necessary in making effective the
provisions of the Fire and Casualty Act of October 9, 1940 under D.C.
Code, sec. 35-1304.
(278) Approving agreements and bylaws established by the rating
bureau for its governance, approving rules and regulations adopted by
the rating bureau to carry out its functions, and approving amendments
to such agreements, bylaws, rules, and regulations under D.C. Code, sec.
35-1404.
(279) Making and promulgating (i) regulations governing the
enforcement of the provisions of the Act of May 20, 1948 (providing for
regulation of casualty and other insurance rates), (ii) regulations
necessary in making that Act effective, and (iii) rules for making
compilations of statistical data available to companies and rating
organizations under D.C. Code, sec. 35-1508.
05 USC 24. labor
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(280) Adopting and promulgating regulations defining terms under
section 10 of the Act of February 24, 1914 (sec. 3, Public Law 89-684,
approved October 15, 1966) (D.C. Code, sec. 36-309a).
(281) Making and revising regulations, including definition of terms,
under section 8 of title I of the Act of September 19, 1918 (Public Law
89-684, approved October 15, 1966) (D.C. Code, sec. 36-408).
(282) Prescribing by regulation records or information necessary or
appropriate for the enforcement of the provisions of the Act of
September 19, 1918, as amended by Public Law 89-684, approved October
15, 1966, or of the regulations or orders issued thereunder, under
section 11 of that Act (D.C. Code, sec. 36-411).
(283) (i) Determining and fixing standards of safety in employment,
places of employment, in the use of devices and safeguards, and in the
use of practices, means, methods, operations, and processes of
employment, and (ii) promulgating general rules and regulations and
fixing minimum safety requirements, under D.C. Code, sec. 36-433.
(284) Adopting and promulgating rules and regulations under D.C.
Code, sec. 36-434.
(285) Promulgating regulations defining and delimiting the term ''any
person employed in a bona fide executive, administrative, or
professional capacity'' under D.C. Code, sec. 36-601(b).
05 USC 25. motor vehicles
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(286) Providing by regulation for the issuance of (i) registration
certificates and identification tags, (ii) duplicate, registration
certificates or duplicate identification tags and (iii) special use
identification tags under D.C. Code, sec. 40-102(b); and promulgating
thereunder the regulations referred to in paragraphs (1) and (4)
thereof.
(287) Extending the effective period of registration of motor
vehicles under D.C. Code, sec. 40-102(c).
(288) Prescribing regulations to carry out provisions of law
respecting registration of, and identification tags for, motor vehicles
and trailers, under D.C. Code, sec. 40-102(e).
(289) Prescribing rules and regulations respecting the revocation or
suspension of dealers' registrations and dealers' identification tags,
including return of such tags, under D.C. Code, sec. 40-102(f).
(290) Prescribing tags treated with special reflective materials and
fixing the additional fee charged in connection therewith under D.C.
Code, sec. 40-103(a).
(291) Determining the percentage of fees for registration of motor
vehicles and trailers to be credited to the General Fund of the District
of Columbia under D.C. Code, sec. 40-103(d).
(292) Prescribing regulations relating to the issuance of motor
vehicle operators' permits and to extending the validity of certain
motor vehicle operators' permits under D.C. Code, secs. 40-301(a)(1)
and (6).
(293) Prescribing by regulation matter to be stated on each motor
vehicle operator's permit under D.C. Code, sec. 40-301(b).
(294) Making rules and regulations for the administration of the
Motor Vehicle Safety Responsibility Act of the District of Columbia
under D.C. Code, sec. 40-419.
(295) Making, modifying, and repealing rules and regulations under
D.C. Code, sec. 40-603(a).
(296) Making and modifying regulations in respect to brakes, horns,
lights, mufflers, and other equipment, the inspection of the same; the
registering, reregistering, titling, retitling, transferring of titles,
and revocation of the certificate of title to motor vehicles and
trailers, under D.C. Code, sec. 40-603(c).
(297) Making, modifying, and repealing rules and regulations in
respect to the movement of traffic, speed, length, weight, height,
width, routing, and parking of vehicles, the establishment and location
of hack stands, and the establishment and location of parking areas for
use of members of Congress and Government officials, under D.C. Code,
sec. 40-603(e).
(298) Making regulations with respect to the control of traffic under
D.C. Code, sec. 40-603(f).
(299) Prescribing penalties under D.C. Code, sec. 40-603(g).
(300) Designating and reserving parking spaces for the use of members
of the Congress under D.C. Code, sec. 40-604 (40 U.S.C. 60a).
(301) Permitting parking of motor vehicles in the Municipal Center,
selecting officers and employees whose vehicles may be parked there, and
making regulations for the control of the parking of such vehicles,
including authority to prescribe fees and charges for the privilege of
parking of such vehicles, under D.C. Code, sec. 40-604a(a).
(302) Permitting the public to park motor vehicles in a portion or
portions of the Municipal Center, setting aside the portion or portions
of that Center for such purpose, making regulations for the control of
parking in the portion or portions so set aside (including the authority
to restrict the privilege of parking therein to persons having business
in the Municipal Center), making regulations to prohibit parking in all
portions of the Municipal Center not set apart for such purposes, and
prescribing fees and charges for the privilege of parking motor
vehicles, under D.C. Code, sec. 40-604a(b).
(303) Prescribing penalties under D.C. Code, sec. 40-604a(c).
(304) Making rules and regulations for the control of the parking of
vehicles, and prescribing fees for the privilege of parking vehicles
under D.C. Code, sec. 40-616.
(305) Making regulations necessary in the furtherance of the purposes
of D.C. Code, sec. 40-617 under the last sentence thereof.
(306) Establishing and revising uniform schedules of rates to be
charged for use of space in each parking facility, providing rate
differentials, prescribing and promulgating rules and regulations for
the carrying out of the provisions of the District of Columbia Motor
Vehicle Parking Facility Act of 1942, determining the time within which
the cost of acquiring and improving the property shall be liquidated,
and providing for the acquisition and improvement of other necessary
parking facilities under D.C. Code, sec. 40-804(d).
(307) Making rules and regulations for the control of parking of
vehicles, and prescribing fees for the parking of vehicles, under D.C.
Code, sec. 40-804(e).
(308) Fixing the amount of collateral to be deposited under D.C.
Code, sec. 40-810.
(309) Including fees within the definition of the term ''Governmental
charges'' under D.C. Code, sec. 40-901(4).
(310) By regulation or order, determining, fixing, redetermining, and
refixing, maximum finance charges under D.C. Code, sec. 40-902(d).
(311) Making regulations to carry out the purposes of section 2 of
the Act of April 22, 1960 under D.C. Code, sec. 40-902(e)(1).
(312) Making additional regulations under D.C. Code, sec.
40-902(e)(2).
(313) Making classifications under D.C. Code, sec. 40- 902(e)(3).
(314) By regulation, (i) prohibiting the inclusion of certain
provisions in any retail installment contract, and (ii) providing that
waivers or purported waivers shall be void and of no effect, under D.C.
Code, sec. 40-902(f).
(315) Prescribing by regulation security required of licensed
persons, establishing classes and subclasses of persons, specifying the
amount and conditions of the bond to be deposited by each of the members
of any such class or subclasses, and by regulation requiring applicants
for licenses (i) to furnish and keep in force a bond or other security,
(ii) to procure and keep in force public liability insurance and
property damage insurance, or both, and (iii) to appoint an attorney for
the service of process and notices under D.C. Code, sec. 40-903(a).
(316) Promulgating regulations to carry out the purposes of Act,
regulating retail installment sales of motor vehicles under D.C. Code,
sec. 40-905.
05 USC 26. public utilities
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(317) Fixing regulations under which electric light companies may be
authorized to construct, use and extend conduits, and prescribing
regulations under which electric lighting companies may extend
underground conduits and wires, under D.C. Code, sec. 43-1101.
(318) Prescribing conditions and regulations to permit the erection
of poles and the stringing of overhead wires thereon under D.C. Code,
sec. 43-1105.
(319) Making regulations concerning granting of permits for repair,
enlargement, and extension of electric-lighting conduits under D.C.
Code, sec. 43-1106.
(320) Making regulations concerning granting of permits for repair,
enlargement, and extension of electric-lighting conduits under D.C.
Code, sec. 43-1107.
(321) Prescribing regulations under D.C. Code, sec. 43-1406.
(322) Prescribing regulations under D.C. Code, sec. 43-1414.
(323) Making regulations for the proper distribution of water under
D.C. Code, sec. 43-1503.
(324) Determining the frequency of levying and collecting water rates
under D.C. Code, sec. 43-1504.
(325) Fixing the rates charged for water and water services under
D.C. Code, sec. 43-1520c.
(326) Establishing charges for the provision of sanitary sewer
service under D.C. Code, secs. 43-1605 and 43-1606.
(327) Promulgating regulations to effectuate purposes of Title II of
the Act of May 18, 1954 under D.C. Code, sec. 43-1608.
(328) Imposing additional charges for unpaid sanitary sewer service
charge under D.C. Code, sec. 43-1609.
(329) Making rules and regulations to carry out provisions of Public
Works Act of 1954 under D.C. Code, sec. 43-1618.
(330) Prescribing regulations respecting the operation and
maintenance of the Potomac Interceptor under D.C. Code, sec.
43-1621(a).
05 USC 27. passenger motor vehicles for hire
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(331) Approving form of, and terms and conditions of filing, evidence
under D.C. Code, sec. 44-301.
(332) Making rules and regulations governing the writing of
insurance, the making of bonds, and the business of insuring or bonding
risks under D.C. Code, sec. 44-302.
05 USC 28. real property
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(333) Prescribing by regulations extensions of time under D.C. Code,
sec. 45-723(d)(1).
(334) Prescribing by regulation methods or devices, or both, for the
evidencing of payment and the collection of taxes under D.C. Code, sec.
45-736.
(335) Prescribing rules and regulations to carry out the purposes of
subchapter II of chapter 7 of title 45 of the D.C. Code, under D.C.
Code, sec. 45-737.
(336) Adopting a seal and prescribing the design engraved thereon,
and making, revising, or repealing regulations to carry out the
provisions of chapter 14 of title 45 of the D.C. Code, under D.C. Code,
sec. 45-1403.
(337) Requiring proof of the honesty, truthfulness, and integrity of
the applicant under D.C. Code, sec. 45-1405.
05 USC 29. social security
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(338) Prescribing regulations for estimating and determining the
reasonable cash value of remuneration in any medium other than cash and
for estimating and determining the reasonable amount of gratuities under
D.C. Code, sec. 46-301(c).
(339) Prescribing by regulation the period of time as equivalent to a
calendar quarter under D.C. Code, sec. 46-301(k).
(340) Prescribing the period of time to be used for the term
''month'' under D.C. Code, sec. 46-301(n).
(341) Prescribing by regulation the period of seven consecutive days
to be used as a ''week'' under D.C. Code, sec. 46-301(o).
(342) Prescribing regulations specifying time within which employers
shall make a return of, and pay contributions accrued with respect to,
wages paid during preceding calendar quarter with respect to employment
under D.C. Code, sec. 46-304(b).
(343) Prescribing regulations respecting issuance of certificate of
release of lien for taxes under D.C. Code, sec. 46-304(e).
(344) Prescribing the extent to which rulings, regulations, or
decisions shall be applied without retroactive effect under D.C. Code,
sec. 46-304(k).
(345) Prescribing regulations regarding reduction of benefits under
D.C. Code, sec. 46-307(c).
(346) Prescribing regulations regarding the making of claims for
benefits under D.C. Code, sec. 46-309(a).
(347) Prescribing regulations specifying the frequency and manner of
registration and inquiries for work, and by regulation waiving or
altering requirements for benefits, under D.C. Code, sec. 46-309(d).
(348) Prescribing regulations governing determinations as to what
constitutes leaving work voluntarily without good cause under D.C.
Code, sec. 46-310(a).
(349) Prescribing regulations under D.C. Code, sec. 46-310(c).
(350) Prescribing regulations under D.C. Code, sec. 46-310(e).
(351) Prescribing regulations under D.C. Code, sec. 46-311(a).
(352) Prescribing regulations under D.C. Code, sec. 46-311(e).
(353) Prescribing regulations under D.C. Code, sec. 46-311(e).
(354) Fixing rate of fees allowed witnesses under D.C. Code, sec.
46-311(g).
(355) Requiring bonds of employees under D.C. Code, sec. 46-313(a).
(356) Making regulations to carry out the provisions of chapter 3 of
title 46 of the D.C. Code under D.C. Code, sec. 46-313(b).
(357) By regulations prescribing restrictions, subject to which
information may be made available, under D.C. Code, sec. 46-313(f).
(358) Entering into reciprocal arrangements under D.C. Code, sec.
46-316(a).
(359) Prescribing work records to be kept, under D.C. Code, sec.
46-317(a).
05 USC 30. taxation and fiscal affairs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(360) Fixing amounts of bonds under D.C. Code, secs. 47-113c and
47-120a.
(361) Requiring the giving of bond under D.C. Code, sec. 47-122.
(362) Requiring the giving of bond under D.C. Code, sec. 47-303.
(363) Ascertaining, determining, and fixing annually rate of taxation
under D.C. Code, sec. 47-501.
(364) Determining whether any money raised in any fiscal year in
excess of the needs for that year shall be available in the succeeding
year for the purpose of meeting expenses or for enabling the fixing of a
lower rate of taxation for the year following, or both, under D.C.
Code, sec. 47-503.
(365) Reporting annually to the Congress the use being made of
property specifically exempted from taxation, and any changes in such
use, with recommendations, under D.C. Code, sec. 47-801a(e).
(366) Making and promulgating rules and regulations to carry out the
intent and purposes of the Act of December 24, 1942 under D.C. Code,
sec. 47-801f.
(367) Fixing date of sale of real property on which taxes are levied
and in arrears under D.C. Code, sec. 47-1001.
(368) Requiring by regulation the times and manner of reporting
income and the information to be reported under D.C. Code, sec.
47-1577a(b)(17) (last paragraph) (Public Law 89-591).
(369) Promulgating rules and regulations permitting as a deduction
from gross income allowances for depletion of natural resources under
D.C. Code, sec. 47-1557b (a)(7).
(370) Including in regulations tax table for elective use in
connection with paying the tax under D.C. Code, sec. 47-1567b(b).
(371) Prescribing regulation or regulations for determining under
formula or formulas provided therein the portion of net income subject
to tax under the District of Columbia Income and Franchise Tax Act of
1947 under D.C. Code, sec. 47-1580a.
(372) Prescribing and promulgating all regulations referred to in
D.C. Code, sec. 47-1586g.
(373) Prescribing and publishing rules and regulations for the
enforcement of the District of Columbia Income and Franchise Tax Act of
1947 under D.C. Code, sec. 47-1595.
(374) Making rules and regulations to carry out the provisions of the
District of Columbia Revenue Act of 1956 under D.C. Code, sec.
47-1595a.
(375) Making rules and regulations for enforcement of law imposing
inheritance and estate taxes and providing for granting extensions of
time under D.C. Code, sec. 47-1618.
(376) Prescribing regulations relating to issuing certificate
releasing property from lien under D.C. Code, sec. 47-1623.
(377) Entering into a compact and issuing rules and regulations for
the implementation of such compact under section 103 of Public Law
89-11, approved April 14, 1965 (79 Stat. 60) (D.C. Code, sec. 47-1901
note).
(378) Entering into an agreement, issuing rules and regulations for
the implementation of such agreement, making exemptions from the
coverage of the agreement, making changes in methods of reporting, and
giving notice of withdrawal from the agreement, under sections 202, 203,
and 205 of Public Law 89-11, approved April 14, 1965 (79 Stat. 65, 66).
(379) Promulgating regulations requiring information to be contained
in applications under D.C. Code, sec. 47-1903(a)(5).
(380) Making regulations for the administration of the Act of April
23, 1924 (imposing tax on motor-vehicle fuels), and affixing thereto
fines and penalties, under D.C. Code, sec. 47-1916.
(381) Determining penal sum of bond to be deposited by applicants for
licenses under D.C. Code, sec. 47-2102.
(382) Adopting seal under D.C. Code, sec. 47-2301.
(383) Prescribing regulations for the public decency under D.C.
Code, sec. 47-2328.
(384) Classifying buildings, and requiring licenses, under D.C.
Code, sec. 47-2328.
(385) Directing as to the identification tags to be borne by licensed
vehicles under D.C. Code, sec. 47-2331(f).
(386) Making and modifying regulations governing the conduct of
licensed vendors under D.C. Code, sec. 47-2336.
(387) Making regulations for the examination of applicants for
licenses under D.C. Code, sec. 47-2338.
(388) Classifying dealers in secondhand personal property under D.C.
Code, sec. 47-2339.
(389) Making and promulgating regulations under D.C. Code, sec.
47-2340.
(390) Making regulations for the government and conduct of the
business of licensed private detectives under D.C. Code, sec.
47-2341(d).
(391) Requiring a license of businesses or callings other than those
specified in the Act and modifying any provision of the Act, under D.C.
Code, sec. 47-2344.
(392) Prescribing additional subjects in which applicants for license
as undertaker shall be examined under D.C. Code, sec. 47-2344a(b).
(393) Promulgating and altering rules and regulations under D.C.
Code, sec. 47-2344a(d)(6).
(394) Making regulations under D.C. Code, sec. 47-2345(a).
(395) Providing by regulation that any inspection shall be made
either prior or subsequent to the issuance of a license under D.C.
Code, sec. 47-2345(b).
(396) Requiring that a class or subclasses of licenses give bond, and
fixing the amount of such bond, under D.C. Code, sec. 47-2345(c).
(397) Making rules and regulations to carry out the provisions of the
District of Columbia Revenue Act of 1937, and prescribing and publishing
rules and regulations for the enforcement of the Revenue Act of 1939,
under D.C. Code, sec. 47-2502.
(398) Prescribing amounts to be added to sales prices and collected
from purchasers under D.C. Code, sec. 47-2604(a).
(399) Prescribing regulations governing refunds to vendors of amounts
repaid to purchasers under D.C. Code, sec. 47-2617(a).
(400) Making, adopting, and amending regulations under D.C. Code,
sec. 47-2620.
(401) Prescribing methods for determining the gross proceeds from
sales made or services rendered and for the allocation of such sales and
services into taxable and nontaxable sales under D.C. Code, sec.
47-2621(c).
(402) Requiring vendors to keep detailed records, and to furnish
information, under D.C. Code, sec. 47-2621(d).
(403) Requiring vendors to file bond, determining the sureties
necessary, and the duration of the bond under D.C. Code, sec. 47-2708.
(404) Requiring purchasers to include in monthly returns (relating to
compensating-use tax) information necessary for the computation and
collection of the tax under D.C. Code, sec. 47-2711(a).
(405) Requiring returns of purchasers to be made for periods and upon
dates other than those specified in the Act, and specifying such periods
and dates, under D.C. Code, sec. 47-2711(b).
(406) By regulation, including wrapper within the definition of
''original package'' under D.C. Code, sec. 47-2801(g).
(407) By regulation, permitting tax stamps to be affixed other than
to original packages, and approving regulations prescribing the manner
of cancellation of stamps, under D.C. Code, sec. 47-2802(c).
(408) Prescribing stamps denoting payment of tax, under D.C. Code,
sec. 47-2802(d).
(409) By regulation permitting licensees to pay tax by imprinting
impressions upon original packages by the use of metering devices under
D.C. Code, sec. 47-2802(h).
(410) By regulation, prescribing terms and conditions for allowing
discount from the face value of tax stamps under D.C. Code, sec.
47-2802(i).
(411) Approving regulations permitting cigarettes to be sold in
number less than the number contained in the original package, and
fixing fee for retailer's license, under D.C. Code, sec. 47-2805(A).
(412) By regulation, requiring that a separate license be obtained
for each vending machine or permitting a blanket license for one or more
machines, prescribing that evidence of licensing of machines be attached
to each machine by means of markers, stickers, or otherwise, and fixing
the annual fee for licenses, under D.C. Code, sec. 47-2805(B).
(413) By regulation, authorizing the issuance of a license for a
place outside the District of Columbia and authorizing the terms and
conditions therefor, and fixing the annual fee for license, under D.C.
Code, sec. 47-2805 (C)(3).
(414) Fixing by regulation periods for which licenses shall remain in
effect, under D.C. Code, sec. 47-2806.
(415) Making rules and regulations to carry out the provisions of
chapter 28 of title 47 of the D.C. Code, under D.C. Code, sec. 47-2808.
(416) Prescribing regulations respecting refunds or allowances as
credit on purchase of new tax stamps under D.C. Code, sec. 47-2811(a).
(417) Promulgating regulations to carry out the purposes of the Act
of September 1, 1959 under D.C. Code, sec. 47-3009.
05 USC 31. miscellaneous
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
(418) Promulgating rules and regulations with respect to the
solicitation and voting of proxies, consents, and authorizations under
section 2(a) of the Act of April 18, 1966 (Public Law 89-402; 80 Stat.
123) (D.C. Code, sec. 35-222(a)).
(419) By rules and regulations, exempting a transaction or
transactions, under section 3(b) (last sentence) of the Act of April 18,
1966 (Public Law 89-402; 80 Stat. 124) (D.C. Code, sec. 35-223(b)).
(420) By rules and regulations, defining and prescribing terms and
conditions under section 3(d) (last sentence) of the Act of April 18,
1966 (Public Law 89-402; 80 Stat. 124) (D.C. Code, sec. 35-223(d)).
(421) Adopting, prescribing, and making the rules and regulations
referred to in sections 3(e), 3(f), and 3(h) of the Act of April 18,
1966 (Public Law 89-402; 80 Stat. 124; 125) (D.C. Code, sec.
35-223(e), (f), (h)).
(422) Making regulations to secure the preservation of public order
and protection of life, health, and property, making special regulations
respecting the standing, movement, and operation of vehicles, and fixing
fees for special licenses, under the first section of the Act of July
19, 1966 (Public Law 89-514; 80 Stat. 320).
(423) Adopting rules and regulations to carry out the purposes of the
District of Columbia Certified Public Accountancy Act of 1966 (Public
Law 89-578, approved September 16, 1966), under section 5 of that Act
(80 Stat. 787) (D.C. Code, sec. 2-914).
(424) Making rules and regulations to carry out the District of
Columbia Revenue Act of 1966 (Public Law 89-610, approved September 30,
1966) under section 1005 of that Act (80 Stat. 859) (D.C. Code, sec.
25-124 note).
(425) Appointing two directors of the Washington Metropolitan Area
Transit Authority (80 Stat. 1326) (D.C. Code, sec. 1-1431 note). Those
directors shall be appointed from among a group of individuals
consisting of the following: (1) The members of the District of
Columbia Council, (2) the Commissioner of the District of Columbia, and
(3) the Assistant to the Commissioner of the District of Columbia
(provided for in section 302 of this reorganization plan).
(426) Promulgating rules and regulations for the administration of
the work release program under section 5 of the District of Columbia
Work Release Act (Public Law 89-803; 80 Stat. 1519) (D.C. Code, sec.
24-464).
(427) (Pub. L. 90-623, 7(b), Oct. 22, 1968, 82 Stat. 1315, provided
that paragraph was to have no further effect. Paragraph covered the
fixing of stipends of student employees under 5 U.S.C. 5352).
(428) (Pub. L. 90-623, 7(b), Oct. 22, 1968, 82 Stat. 1315, provided
that paragraph was to have no further effect. Paragraph covered the
fixing of the value of accommodates to be deducted from stipends under 5
U.S.C. 5353).
(429) (Pub. L. 90-623, 7(b), Oct. 22, 1968, 82 Stat. 1315, provided
that paragraph was to have no further effect. Paragraph covered the
prescribing and issuing, or provision for the prescribing and issuing,
of regulations under 5 U.S.C. 5527(b)).
(430) Prescribing regulations for the destruction of animals or live
poultry affected with contagious, infectious, or communicable disease,
and for the proper disposition of their hides and carcasses, and
prescribing regulations for disinfection and other regulations, under
section 8 of the Act of May 29, 1884, c. 60, 23 Stat. 33, as amended
(21 U.S.C. 130) (D.C. Code, sec. 1-230a).
(431) Agreeing to the closing and vacating of alleys and portions of
streets under section 8(b) of the Public Buildings Act of 1959, P.L.
86-249, 73 Stat. 481, as amended (40 U.S.C. 607(b)).
(432) The functions under Title VI of the Act of October 14, 1940,
c.862, as amended (42 U.S.C. 1581-1590) which are now vested in the
Board of Commissioners of the District of Columbia pursuant to the
provisions of section 610 of that Act, as amended (42 U.S.C. 1590).
Sec. 403. Budget. Functions with respect to requests for regular,
supplemental, or deficiency appropriations for the District of Columbia
(made in pursuance of section 214 of the Budget and Accounting Act,
1921, as amended (31 U.S.C. 22) (31 U.S.C. 1108(b)(1)) or in pursuance
of any other provision of law) are hereby transferred so as to accord
with the following:
(a) The Commissioner of the District of Columbia shall prepare such
requests and submit them to the District of Columbia Council.
(b) If the Council approves the requests so submitted, without
revision, it shall return them to the Commissioner and the Commissioner
shall submit them to the Bureau of the Budget.
(c) If the Council revises the requests so submitted to the Council,
it shall return them, with the revisions, to the Commissioner. If the
Commissioner concurs in the revisions he shall submit the revised
requests to the Bureau of the Budget.
(d) If the Commissioner does not concur in any one or more of the
revisions proposed by the Council he shall return the requests, together
with the Council's revisions, to the Council and append a statement of
the reasons for not concurring. If the Council, by a three-fourths vote
of its members present and voting insists upon any one or more of its
original revisions, it shall return the requests and the revisions upon
which it insists to the Commissioner within five days and so inform him,
and he shall submit the requests, incorporating the revisions upon which
the Council insists, to the Bureau of the Budget. If such a
three-fourths vote does not prevail or the Council does not act on the
requests, the Council shall return the requests to the Commissioner and
he shall submit them (without the revisions) to the Bureau of the
Budget.
(e) If the Council does not approve or revise the requests within
thirty days next following their receipts, the requests shall be deemed
to be approved by the Council.
(f) The authority of the Commissioner under section 305 of this
reorganization plan (to delegate functions) shall not extend to his
functions under this section of concurring or not concurring in
revisions of requests proposed by the Council.
Sec. 404. Zoning Commission. Functions of the members of the Board
of Commissioners of the District of Columbia with respect to serving as
members of the Zoning Commission (D.C. Code, sec. 5-412) are hereby
transferred as follows:
(a) Those of the President of the Board of Commissioners are
transferred to the Chairman of the District of Columbia Council.
(b) Those of the Engineer Commissioner are transferred to the
Commissioner of the District of Columbia.
(c) Those of the other member of the Board of Commissioners are
transferred to the Vice Chairman of the Council.
Sec. 405. Officers of the Corporation. The functions of the
Commissioners of the District of Columbia with respect to being officers
of the Corporation under D.C. Code, sec. 1-103 are hereby transferred
to the members of the District of Columbia Council and to the
Commissioner of the District of Columbia in such manner as to accord
with the transfers of functions to the Council and the Commissioner,
respectively, as effected by the provisions of the foregoing sections of
Part IV of this reorganization plan.
Sec. 406. Approval or disapproval by Commissioner. (a) Each and
every action taken by the Council in pursuance of authority transferred
to it by the provisions of this reorganization plan in respect of rules
or regulations (exclusive of rules and regulations respecting the
internal organization or functioning of the Council or the appointment
or direction of personnel employed by the Council) or in respect of
penalties or taxes shall be promptly presented to the Commissioner of
the District of Columbia (provided for in Part III of this
reorganization plan) for his approval or disapproval.
(b) If the Commissioner approves an action of the Council presented
to him under subsection (a) of this section, that action shall become
effective immediately or at such later time as may be specified in the
action of the Council.
(c) If the Commissioner neither approves nor disapproves an action of
the Council before the expiration of the first period of ten calendar
days following the date on which the action is presented to him by the
Council, the action of the Council shall become effective without the
approval of the Commissioner upon the expiration of the ten-day period
or at such later time as may be specified in the action of the Council.
(d) Where the Commissioner disapproves an action of the Council
before the expiration of the first period of ten calendar days following
the date on which the action is presented to him by the Council, he
shall return the action to the Council before such expiration together
with a statement of the reasons for his disapproval. No action so
returned shall become effective, except that such an action shall become
effective if the Council re-adopts the action by a three-fourths vote of
the Council members present and voting within thirty days next following
the return of the action to the Council. Any action which becomes
effective under the subsection shall be effective upon the readoption
thereof by the Council or upon such later date as may be specified in
the action of the Council.
(e) The authority of the Commissioner under section 305 of this
reorganization plan (to delegate functions) shall not extend to his
functions under the foregoing subsections of section 406.
05 USC Part V. Miscellaneous Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
Sec. 501. Status of certain agencies. (a) Functions now vested in
any agency listed in subsection (b) of this section, or in any officer
or body of or under such agency, shall remain so vested; but all
functions of the Board of Commissioners of the District of Columbia, and
all functions of the President of that Board or of any other member of
the Board, relating to the listed agency or its functions or to an
officer or body thereof or to the functions of such officer or body
shall be deemed to be transferred by Part IV of this reorganization
plan.
(b) The following agencies of the Corporation are the agencies
referred to subsection (a) of this section:
(1) Board of Education (including the public school system)
(2) Board of Library Trustees (including the public libraries)
(3) Recreation Board
(4) Public Service Commission
(5) Zoning Commission
(6) Zoning Advisory Council
(7) Board of Zoning Adjustment
(8) Office of the Recorder of Deeds
(9) Armory Board
Sec. 502. Incidental transfers. (a) The personnel, property,
records, and unexpended balances of appropriations, allocations, and
other funds employed, used, held, available, or to be made available in
connection with the offices of the Board of Commissioners of the
District of Columbia or in connection with the offices of the
commissioners composing that Board shall be transferred as follows at
such time or times as the Director of the Bureau of the Budget shall
direct:
(1) So much thereof as the Director of the Bureau of the Budget shall
determine to relate primarily to functions transferred to the District
of Columbia Council by the provisions of this reorganization plan shall
be transferred to that Council.
(2) All other thereof shall be transferred to the Commissioner of the
District of Columbia.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers referred to in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
(c) Unless and until other provision is made in pursuance of section
304 of this reorganization plan or by law, personnel, property, records,
and unexpended balances of appropriations, allocations, and other funds
which are now under the jurisdiction of the Board of Commissioners of
the District of Columbia and are not affected by the provisions of
subsection (a) of this section shall continue to be attached to or
available for the several agencies of the Corporation.
Sec. 503. Abolitions. (a) Without prejudice to the continuation of
the Corporation, there is hereby abolished the Board of Commissioners of
the District of Columbia.
(b) The abolition effected by subsection (a) of this section includes
the abolition of the office held by an officer of the Corps of Engineers
of the United States Army as the Engineer Commissioner of the District
of Columbia (10 U.S.C. 3534(a); D.C. Code, sec. 1-201) and the two
other offices of Commissioner of the District of Columbia, but nothing
in this reorganization plan shall preclude the detail by the President
of not more than three officers assigned to the Corps of Engineers to
assist the Commissioner of the District of Columbia in discharging his
duties (10 U.S.C. 3534(b); D.C. Code, sec. 1-212).
(c) The joint board authorized and created by section 6(e) of the Act
of March 3, 1925, 43 Stat. 1121, as amended (D.C. Code, sec.
40-603(e)), together with its functions, is hereby abolished.
(d) The Commissioner of the District of Columbia shall make such
provisions as he may deem necessary with respect to winding up the
affairs of (1) the Board of Commissioners of the District of Columbia,
and (2) the joint board on traffic.
Sec. 504. Effective dates. (a) Except as otherwise provided in
subsection (b) of this section, the provisions of this reorganization
plan shall take effect on the date determined under section 906(a) of
title 5 of the United States Code.
(b) Part IV and sections 501, 502, and 503 of this reorganization
plan shall take effect when for the first time there are in office under
this reorganization plan both (1) the Commissioner provided for in Part
III hereof, and (2) not less than six members of the Council provided
for in Part II hereof or on such later date as may be specified by the
President of the United States.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1967
To the Congress of the United States:
I am transmitting Reorganization Plan No. 3 of 1967 to provide a
better government for the citizens of the Nation's Capital.
The explosive growth of the District of Columbia challenges the city
on every front -- from schools and hospitals, courts and police, to
housing and transportation, recreation and job opportunities. If the
District is to meet these tests and fulfill the needs of its citizens,
it must, as I said in my message on the National Capital, ''have the
most responsive and efficient government we are capable of providing.''
The plan I submit today is more than a matter of routine
reorganization. Its vital purpose is to bring Twentieth Century
government to the Capital of this Nation: to strengthen and modernize
the government of the District of Columbia; to make it as efficient and
effective as possible.
The present form of District government was designed almost a century
ago for a community of 150,000 people. The District government then
employed less than 500 persons and administered a budget of less than
four million dollars.
Today Washington has a population of 800,000. It is the center of
the country's fastest growing metropolitan area with a population of 2.5
million. The District's Government now employs some 30,000 people and
the proposed 1968 budget is more than half a billion dollars.
The machinery designed more than 90 years ago to govern a small
community is now obsolete. The commission form of government --
unorthodox when the Congress accepted it as a temporary measure in 1874
-- provides neither effective nor efficient government for the Nation's
Capital. That form of government has long since been abandoned by the
few cities which adopted it around the turn of the century. Today none
of the Nation's 27 largest cities and only two of the country's 47
cities with populations exceeding 300,000 have a government of divided
authority.
The District of Columbia is governed by three Commissioners. Each
Commissioner is the chief executive -- the mayor -- but for only a part
of the government. Yet, the problems of the District of Columbia, like
those of any major city, cannot be neatly broken into three parts. Any
effort to control crime, for example, cuts across virtually every
function of government -- from police and corrections to housing,
education, health and employment. An effective attack on the problem
requires action by two or more Commissioners and the Departments for
which they are separately responsible -- a time-consuming and often
costly process.
The District has been fortunate in the caliber and dedication of the
men who have served as Commissioners, but it can no longer afford
divided executive authority. Its government must be able to respond
promptly and effectively to new demands and new conditions. This
requires clear-cut executive authority and flexible government machinery
-- not divided authority which too often results in prolonged
negotiations and inaction.
The problem of divided executive authority in the District is
aggravated by the additional non-executive responsibilities now borne by
the Commissioners. As a member of the Board of Commissioners, each must
now make rules and regulations on matters with which he is not otherwise
concerned as an executive. Some of these quasi-legislative
responsibilities -- such as police regulations and property taxation --
are of great importance to the city. Many -- such as the naming of
streets and the labeling of potato packages -- are merely
time-consuming. None should require a substantial portion of the time
of the chief executive of a major city.
The reorganization plan I propose would remedy these deficiencies in
the present form of government. It would:
-- Unify executive and administrative authority. -- Eliminate
competing and sometimes conflicting assignments of
responsibility.
-- Provide for the informed exercise of quasi-legislative
functions through a Council which would be bipartisan and representative
of the community.
-- Permit the single Commissioner to organize the District
government to provide effective day-to-day administration.
Under the plan, subject to Senate confirmation, the President would
appoint a single Commissioner as chief executive and a bipartisan
Council of nine members. The Commissioner would serve a four-year term,
corresponding to that of the President. Council members would serve
three-year terms, with three members to be appointed each year. The
staggered terms would insure continuity of experience on the Council.
The plan would abolish the present Board of Commissioners of the
District of Columbia. Its powers and responsibilities would be
apportioned between the single Commissioner and the Council.
The Commissioner would be assigned the executive functions now vested
in the Board of Commissioners. He would be given responsibility and
authority to organize and manage the District government, to administer
its programs and to prepare its budget. The plan also provides for an
Assistant to the Commissioner to help him carry out these
responsibilities.
The Council would be assigned the quasi-legislative functions now
performed by the Board of Commissioners. The plan describes more than
430 functions which would be transferred to the Council. These include
major responsibilities such as the approval of boundaries and plans for
urban renewal, establishment of rules governing the licensing of
professions, and setting of rates for property taxation. The Council
would also be empowered to review and revise the Commissioner's budget
before submission to the President.
Since the plan was announced in my Message on the Nation's Capital,
we have been working to strengthen the Office of Commissioner and the
Council. Out of this process of refinement four key changes have
emerged, and have been incorporated into the plan.
First, the plan would authorize the Commissioner to veto actions of
the Council with which he disagrees. The Council, in turn, could
override such a veto by a three-fourths vote of its members. This
provides due recognition for the responsibilities of the chief
executive, while at the same time preserving the right of the Council to
act on matters of overriding importance.
Second, the terms of Council members would be set at three years
instead of two. The reduction in turnover and increase in experience
would add strength to the Council.
Third, the salaries of the Chairman, Vice Chairman and Council
members would be increased to reflect their important responsibilities.
Finally, the plan recognizes that the machinery of the District's
government, no matter how modern, cannot realize its highest purpose
unless it is infused with the most experienced, informed and able
leadership.
The 800,000 citizens of the District of Columbia deserve nothing less
than such leadership, not only as a matter of fundamental right but
because the District occupies a special and central role in the affairs
of the Nation.
The best talent available must be found for the key posts of
Commissioner and Assistant to the Commissioner. The Commissioner is the
chief executive of the District of Columbia. The Assistant to the
Commissioner will be his chief aide, his deputy, and will perform such
duties as the Commissioner may prescribe.
In the search for leadership necessary in these crucial posts, the
President and the Congress must balance the need to draw from the best
talent in the Nation with the need for local experience and local
involvement that are such valuable assets to enlightened municipal
government. The plan therefore provides for the Presidential
appointment of both these men, subject to Senate confirmation, with the
requirement that at least one of them to be a resident of the District
for three years prior to appointment.
We would be indifferent to the cause of good government if the search
and selection of the Commissioner and his Assistant were confined only
to those who reside within the geographic boundaries of the District.
This plan does not take that course. It provides a wide range of choice
-- opening the field not only to those who reside in the District, but
to those who live in other parts of the Nation. At the same time, the
plan assures that local experience will be well represented in the
highest councils of the District Government.
Not only must either of the top executive positions be filled with a
District resident, but each member of the nine-man Council must have
been a resident of the District for at least three years prior to
appointment.
Moreover, in selecting the Commissioner, I will look first to the
residents of the District and I hope that he can be found here.
Of all the benefits of the plan, one stands out in particular -- the
strong leadership it provides as the cornerstone of support for any
effective attack against crime. With that leadership and with the
continued commitment and devotion of its police, the District can move
with a greater sense of sureness and purpose against the spectre of
crime that haunts the streets and shops of the Nation's Capital.
Of all the duties of the new single Commissioner none will be more
important than his leadership in a renewed community effort to stem the
rising tide of crime in the District.
The reorganization plan has been prepared in accordance with chapter
9 of title 5 of the United States Code. At my direction, it has been
discussed with each member of the interested Committees of Congress or
with their Staff Assistants. I have found, after investigation, that
each reorganization included in the plan is necessary to accomplish one
or more of the purposes set forth in section 901(a) of title 5 of the
United States Code.
I have also found that it is necessary to include in the plan, by
reason of the reorganization made, provisions for the appointment and
compensation of the new officers specified in sections 201, 203 and
301-303 of the plan. The rates of compensation fixed for these officers
are comparable to those fixed for officers in the executive branch of
the Government having similar responsibilities.
The functions which would be abolished by the provisions of section
503(c) of the reorganization plan are provided for in subsection (e) of
Section 6 of the Act of March 3, 1925, 43 Stat. 1121, as amended (D.C.
Code, sec. 40-603(e)).
The plan would not impair the corporate status of the District of
Columbia government. Nor would it in any way detract from the powers
which the Congress exercises with respect to the District.
This reorganization plan would provide improved management of the
municipal responsibilities vested by Congress in the government of the
District of Columbia. It would bring savings to the District taxpayers
and the Federal Government, although overall costs will not be less
because of the increasing scale and complexity of municipal government.
The precise amount of such savings cannot be itemized at this time.
The proposed reorganization is in no way a substitute for home rule.
As I stated in my Message on the Nation's Capital, the plan will give
the District a better organized and more efficient government . . . but
only home rule will provide the District with a democratic government --
of, by and for its citizens.
I remain convinced more strongly than ever that Home Rule is still
the truest course. We must continue to work toward that day -- when the
citizens of the District will have the right to frame their own laws,
manage their own affairs, and choose their own leaders. Only then can
we redeem that historic pledge to give the District of Columbia full
membership in the American Union.
I recommend that the Congress allow the reorganization plan to become
effective.
Lyndon B. Johnson.
The White House, June 1, 1967.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
05 USC REORGANIZATION PLAN NO. 1 OF 1968
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
amended Pub. L. 90-623, 7(c), Oct. 22, 1968, 82
Stat. 1316; Reorg. Plan No. 2 of 1973, 3, eff.
July 1, 1973, 38 F.R. 15932, 87 Stat. 1091
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, February 7, 1968, pursuant to
the provisions of chapter 9 of title 5 of the United States Code.
05 USC Section 1. Transfer of Functions From Treasury Department
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
There are hereby transferred to the Attorney General:
(a) Those functions of the Secretary of the Treasury which are
administered through or with respect to the Bureau of Narcotics.
(b) All functions of the Bureau of Narcotics, of the Commissioner of
Narcotics, and of all other officers, employees and agencies of the
Bureau of Narcotics.
(c) So much of other functions or parts of functions of the Secretary
of the Treasury and the Department of the Treasury as is incidental to
or necessary for the performance of the functions transferred by
paragraphs (a) and (b) of this section.
05 USC Sec. 2. Transfer of Functions From the Department of Health,
Education, and Welfare
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
There are hereby transferred to the Attorney General:
(a) The functions of the Secretary of Health, Education, and Welfare
under the Drug Abuse Control Amendments of 1965 (Public Law 89-74; 79
Stat. 226) (see Short Title note under 21 U.S.C. 301), except the
function of regulating the counterfeiting of those drugs which are not
controlled ''depressant or stimulant'' drugs.
(b) So much of other functions or parts of functions of the Secretary
of Health, Education, and Welfare, and of the Department of Health,
Education, and Welfare, as is incidental to or necessary for the
performance of the functions transferred by paragraph (a) of this
section.
05 USC Sec. 3. Bureau of Narcotics and Dangerous Drugs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
(a) (Repealed. Reorg. Plan No. 2 of 1973, 3, eff. July 1, 1973, 38
F.R. 15932, 87 Stat. 1091. Subsection established the Bureau of
Narcotics and Dangerous Drugs in the Department of Justice and provided
that it be headed by a Director appointed by the Attorney General.)
(b) There are hereby established in the Department of Justice, in
addition to the positions transferred to that Department by this Plan,
four new positions, appointment to which shall be made by the Attorney
General in the competitive service. Two of those positions shall have
compensation at the rate now or hereafter provided for GS-18 positions
of the General Schedule and the other two shall have compensation at the
rate now or hereafter provided for GS-16 positions of the General
Schedule (5 U.S.C. 5332). Each such position shall have such title and
duties as the Attorney General shall prescribe.
05 USC Sec. 4. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
The Bureau of Narcotics in the Department of the Treasury, including
the office of Commissioner of Narcotics (21 U.S.C. (former) 161), is
hereby abolished. The Secretary of the Treasury shall make such
provision as he may deem necessary with respect to terminating those
affairs of the Bureau of Narcotics not otherwise provided for in this
reorganization plan.
05 USC Sec. 5. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
The Attorney General may from time to time make such provisions as he
shall deem appropriate authorizing the performance of any of the
functions transferred to him by the provisions of this reorganization
plan by any officer, employee, or organizational entity of the
Department of Justice.
05 USC Sec. 6. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
(a) There are hereby transferred to the Department of Justice all of
the positions, personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds, available or to be made
available, (1) of the Bureau of Narcotics, and (2) of the Bureau of Drug
Abuse Control of the Department of Health, Education, and Welfare.
(b) There shall be transferred to the Department of Justice, at such
time or times as the Director of the Bureau of the Budget shall direct,
so much as the Director shall determine of other positions, personnel,
property, records and unexpended balances of appropriations,
allocations, and other funds of the Department of the Treasury and of
the Department of Health, Education, and Welfare employed, used, held,
available or to be made available in connection with functions
transferred by the provisions of this reorganization plan.
(c) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided in this section shall be carried out in such
manner as he may direct and by such agencies as he shall designate.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1968
To the Congress of the United States:
In my first Reorganization Plan of 1968, I call for the creation of a
new and powerful Bureau of Narcotics and Dangerous Drugs.
With this action, America will serve notice to the pusher and the
peddler that their criminal acts must stop.
No matter how well organized they are, we will be better organized.
No matter how well they have concealed their activities, we will root
them out.
Today, Federal investigation and enforcement of our narcotics laws
are fragmented. One major element -- the Bureau of Narcotics -- is in
the Treasury Department and responsible for the control of marihuana and
narcotics such as heroin. Another -- the Bureau of Drug Abuse Control
-- is in the Department of Health, Education, and Welfare, and is
responsible for the control of dangerous drugs including depressants,
stimulants, and hallucinogens such as LSD.
Neither is located in the agency which is primarily concerned with
Federal law enforcement -- the Department of Justice.
This separation of responsibilities -- despite the relentless and
dedicated efforts of the agents of each Bureau -- has complicated and
hindered our response to a national menace.
For example, more than nine out of ten seizures of LSD made by the
Bureau of Drug Abuse Control have also turned up marihuana -- but that
Bureau has no jurisdiction over marihuana.
In many instances, we are confronted by well organized, disciplined
and resourceful criminals who reap huge profits at the expense of their
unfortunate victims.
The response of the Federal Government must be unified. And it must
be total.
Today, in my Message on Crime, I recommended strong new laws to
control dangerous drugs. I also recommended an increase of more than
thirty percent in the number of Federal agents enforcing the narcotic
and dangerous drug laws.
I now propose that a single Bureau of Narcotics and Dangerous Drugs
be established in the Department of Justice to administer those laws and
to bring to the American people the most efficient and effective Federal
enforcement machinery we can devise.
Under this Reorganization Plan the Attorney General will have full
authority and responsibility for enforcing the Federal laws relating to
narcotics and dangerous drugs. The new Bureau of Narcotics and
Dangerous Drugs, to be headed by a Director appointed by the Attorney
General, will:
-- consolidate the authority and preserve the experience and
manpower of the Bureau of Narcotics and the Bureau of Drug Abuse
Control.
-- work with states and local governments in their crackdown on
illegal trade in drugs and narcotics, and help to train local agents and
investigators.
-- maintain worldwide operations, working closely with other
nations, to suppress the trade in illicit narcotics and marihuana.
-- conduct an extensive campaign of research and a nationwide
public education program on drug abuse and its tragic effects.
The Plan I forward today moves in the direction recommended by two
distinguished groups:
-- the 1949 Hoover Commission. -- the 1963 Presidential Advisory
Commission on Narcotic and Drug
Abuse.
This Administration and this Congress have the will and the
determination to stop the illicit traffic in drugs.
But we need more than the will and the determination. We need a
modern and efficient instrument of Government to transform our plans
into action. That is what this Reorganization Plan calls for.
The Plan has been prepared in accordance with chapter 9 of title 5 of
the United States Code.
I have found, after investigation, that each reorganization included
in the plan is necessary to accomplish one or more of the purposes set
forth in section 901(a) of title 5 of the United States Code.
I have also found that, by reason of these reorganizations, it is
necessary to include in the accompanying plan provisions for the
appointment and compensation of the five new positions as specified in
section 3 of the plan. The rates of compensation fixed for these new
positions are those which I have found to prevail in respect of
comparable positions in the Executive Branch of the Government.
Should the reorganization I propose take effect, they will make
possible more effective and efficient administration of Federal law
enforcement functions. It is not practicable at this time, however, to
itemize the reduction in expenditures which may result.
I recommend that the Congress allow this urgently needed and
important Reorganization Plan to become effective.
Lyndon B. Johnson.
The White House, February 7, 1968.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
05 USC REORGANIZATION PLAN NO. 2 OF 1968
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
amended Pub. L. 90-623, 7(d), Oct. 22, 1968, 82
Stat. 1316; Pub. L. 97-449, 7(b), Jan. 12, 1983,
96 Stat. 2445
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, February 26, 1968, pursuant to
the provisions of chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
(a) There are hereby transferred to the Secretary of Transportation:
(1) The functions of the Secretary of Housing and Urban Development
and the Department of Housing and Urban Development under the Urban Mass
Transportation Act of 1964 (now Federal Transit Act) (78 Stat. 302; 49
U.S.C. 1601-1611) (49 App. U.S.C. 1601 et seq.), except that there is
reserved to the Secretary of Housing and Urban Development (i) the
authority to make grants for or undertake such projects or activities
under sections 6(a), 9, and 11 of that Act (49 U.S.C. 1605(a); 1607a;
1607c) (49 App. U.S.C. 1605(a); former 1607a; 1607c) as primarily
concern the relationship of urban transportation systems to the
comprehensively planned development of urban areas, or the role of
transportation planning in overall urban planning, and (ii) so much of
the functions under sections 3, 4, and 5 of the Act (49 U.S.C.
1602-1604) (49 App. U.S.C. 1602, 1603, 1604) as will enable the
Secretary of Housing and Urban Development (A) to advise and assist the
Secretary of Transportation in making findings and determinations under
clause (1) of section 3(c), the first sentence of section 4(a), and
clause (1) of section 5 of the Act, and (B) to establish jointly with
the Secretary of Transportation the criteria referred to in the first
sentence of section 4(a) of the Act.
(2) Other functions of the Secretary of Housing and Urban
Development, and functions of the Department of Housing and Urban
Development or of any agency or officer thereof, all to the extent that
they are incidental to or necessary for the performance of the functions
transferred by section 1(a)(1) of this reorganization plan, including,
to such extent, the functions of the Secretary of Housing and Urban
Development and the Department of Housing and Urban Development under
(i) title II of the Housing Amendments of 1955 (69 Stat. 642; 42 U.S.C.
1491-1497), insofar as functions thereunder involve assistance
specifically authorized for mass transportation facilities or equipment,
and (ii) title IV of the Housing and Urban Development Act of 1965 (79
Stat. 485; 42 U.S.C. 3071-3074).
(3) The functions of the Department of Housing and Urban Development
under section 3(b) of the Act of November 6, 1966 (P.L. 89-774; 80
Stat. 1352; 40 U.S.C. 672(b)).
(b) Any reference in this reorganization plan to any provision of law
shall be deemed to include, as may be appropriate, reference thereto as
amended.
05 USC Sec. 2. Delegation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
(Repealed. Pub. L. 97-449, 7(b), Jan. 12, 1983, 96 Stat. 2445.
Section authorized the Secretary of Transportation to delegate any of
the functions transferred to him by this reorganization plan to such
officers and employees of the Department of Transportation as he
designated, and authorized successive redelegations of such functions.)
05 USC Sec. 3. Urban Mass Transportation Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
(Repealed. Pub. L. 97-449, 7(b), Jan. 12, 1983, 96 Stat. 2445.
Section established within the Department of Transportation an Urban
Mass Transportation Administration headed by an Urban Mass
Transportation Administrator appointed by the President, by and with the
advice and consent of the Senate, with the Administrator to perform such
duties as the Secretary of Transportation would prescribe. Section had
been amended by Pub. L. 90-623, 7(d), Oct. 22, 1968, 82 Stat. 1316, to
render of no further effect provision setting the compensation of the
Urban Mass Transportation Administrator at the rate provided for Level
III of the Executive Schedule Pay Rates (5 U.S.C. 5314).)
05 USC Sec. 4. Interim Administrator
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
The President may authorize any person who immediately prior to the
effective date of this reorganization plan holds a position in the
executive branch of the government to act as Urban Mass Transportation
Administrator until the office of Administrator is for the first time
filled pursuant to the provisions of section 3(b) of this reorganization
plan or by recess appointment, as the case may be. The person so
designated shall be entitled to the compensation attached to the
position he regularly holds.
05 USC Sec. 5. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred to the Secretary of Transportation by this
reorganization plan as the Director of the Bureau of the Budget shall
determine shall be transferred from the Department of Housing and Urban
Development to the Department of Transportation at such time or times as
the Director shall direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided for in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
05 USC Sec. 6. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
The provisions of this reorganization plan shall take effect at the
close of June 30, 1968, or at the time determined under the provisions
of section 906(a) of title 5 of the United States Code, whichever is
later.
(The Urban Mass Transportation Act of 1964 changed to the Federal
Transit Act by Pub. L. 102-240, title III, 3003(a), Dec. 18, 1991, 105
Stat. 2088, set out as a note under section 1601 of Title 49, Appendix,
transportation, and the Urban Mass Transportation Administration changed
to the Federal Transit Administration by Pub. L. 102-240, title III,
3004(a), Dec. 18, 1991, 105 Stat. 2088, set out as a note under section
107 of Title 49, Transportation.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1968
To the Congress of the United States:
As long as he has lived in cities, man has struggled with the problem
of urban transportation. But:
-- Never before have these problems affected so many of our
citizens.
-- Never before has transportation been so important to the
development of our urban centers.
-- Never before have residents of urban areas faced a clearer
choice concerning urban transportation -- shall it dominate and restrict
enjoyment of all the values of urban living, or shall it be shaped to
bring convenience and efficiency to our citizens in urban areas.
How America and its cities solve the transportation problem depends
largely on our two newest Federal Departments -- the Department of
Transportation and the Department of Housing and Urban Development.
-- The Department of Housing and Urban Development is responsible
for the character of all urban development.
-- The Department of Transportation is concerned specifically
with all the modes of transportation and their efficient inter
relationship.
At present, responsibility for program assistance for urban highways
and urban airports, and urban mass transportation is divided between the
Department of Transportation and the Department of Housing and Urban
Development. As a result:
-- Federal coordination of transportation systems assistance is
more difficult that it need be.
-- Communities which have measured their own needs and developed
comprehensive transportation proposals must deal with at least two
federal agencies to carry out their programs.
To combine efficiently the facilities and services necessary for our
urban centers and to improve transportation within our cities, State and
local government agencies should be able to look to a single federal
agency for program assistance and support. The large future cost of
transportation facilities and services to the Federal Government, to
State and local governments, and to the transportation industry makes
side investments and efficient transportation systems essential.
An urban transportation system must:
-- combine a basic system of efficient, responsive mass transit
with all other forms and systems of urban, regional, and inter-city
transportation;
-- conform to and support balanced urban development.
In this, my second reorganization plan of 1968, I ask the Congress to
transfer urban mass transportation programs to the Secretary of
Transportation and to establish an Urban Mass Transportation
Administration within the Department of Transportation to strengthen the
organizational capacity of the Federal Government to achieve these
objectives.
The plan transfers to and unifies in a new Urban Mass Transportation
Administration in the Department of Transportation those functions which
involve urban mass transportation project assistance and related
research and development activities. Because urban research and
planning and transportation research and planning are closely related,
however, the plan provides that the Department of Housing and Urban
Development perform an important role in connection with transportation
research and planning insofar as they have significant impact on urban
development.
We expect the Department of Transportation to provide leadership in
transportation policy and assistance. The Department of Housing and
Urban Development will provide leadership in comprehensive planning at
the local level that includes transportation planning and relates it to
broader urban development objectives.
The transfer of urban mass transportation programs will not diminish
the overall responsibilities of the Department of Housing and Urban
Development with respect to our cities. Rather, adequate authority is
reserved to that Department to enable it to join with the Department of
Transportation to assure that urban transportation develops as an
integral component of the broader development of growing urban areas.
The new Urban Mass Transportation Administration in the Department of
Transportation, working with other elements of the Department, will
consolidate and focus our efforts to develop and employ the most modern
transportation technology in the solution of the transportation problems
of our cities.
The reorganization plan provides for an Administrator at the head of
the Administration who would be appointed by the President, by and with
the advice and consent of the Senate. The Administrator would report
directly to the Secretary of Transportation and take his place in the
Department with the heads of the Federal Aviation Administration,
Federal Highway Administration, Federal Railroad Administration and the
Coast Guard.
I have found, after investigation, that each reorganization included
in the reorganization plan transmitted herewith is necessary to
accomplish one or more of the purposes set forth in section 901(a) of
title 5 of the United States Code.
I have also found that it is necessary to include in the accompanying
plan, by reason of these reorganizations, provisions for the appointment
and compensation of the new officer specified in section 3(b) of the
plan. The rate of compensation fixed for this officer is comparable to
those fixed for officers in the Executive Branch of the Government
having similar responsibilities.
The reorganizations included in this plan will provide more effective
management of transportation programs. It is not feasible to itemize
the reduction in expenditures which the plan will achieve, but I have no
doubt that this reorganization will preserve and strengthen overall
comprehensive planning for developing urban areas while simultaneously
insuring more efficient transportation systems for our cities than would
otherwise have occurred.
I strongly urge that the Congress allow the reorganization plan to
become effective.
Lyndon B. Johnson.
The White House, February 26, 1968.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
05 USC REORGANIZATION PLAN NO. 3 OF 1968
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1968, pursuant to
the provisions of chapter 9 of title 5 of the United States Code.
05 USC Section 1. Definitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
(a) As used in this reorganization plan, the term ''the Recreation
Board'' means the District of Columbia Recreation Board provided for in
D.C. Code, sec. 8-201 and in other law.
(b) References in this reorganization plan to any provision of the
District of Columbia Code are references to the provisions of statutory
law codified under that provision and include the said provision as
amended, modified, or supplemented prior to the effective date of this
reorganization plan.
05 USC Sec. 2. Transfer of Functions to Commissioner
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
There are hereby transferred to the Commissioner of the District of
Columbia all functions of the Recreation Board or of its chairman and
members and all functions of the Superintendent of Recreation (appointed
pursuant to D.C. Code, sec. 8-209) (D.C. Code 8-212).
05 USC Sec. 3. Delegations
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
The functions transferred by the provisions of section 2 hereof shall
be subject to the provisions of section 305 of Reorganization Plan No.
3 of 1967 (32 F.R. 11671).
05 USC Sec. 4. Incidental transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
(a) All personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds employed, held, used,
available, or to be made available in connection with the functions of
the Recreation Board or the Superintendent of Recreation are hereby
transferred to the Commissioner of the District of Columbia.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem to be necessary in order to effectuate
the transfers provided in subsection (a) of this section shall be
carried out in such manner as he may direct and by such agencies as he
shall designate.
05 USC Sec. 5. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
The Recreation Board, together with the position of Superintendent of
Recreation, is hereby abolished. The Commissioner of the District of
Columbia shall make such provisions as he may deem necessary with
respect to winding up the outstanding affairs of the Recreation Board
and the Superintendent of Recreation.
05 USC Sec. 6. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
The provisions of this reorganization plan shall take effect at the
close of June 30, 1968 or on the date determined under section 906(a) of
title 5 of the United States Code, whichever is later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1968
To the Congress of the United States:
In the past few years Congress and the President have pledged to make
the Nation's Capital a model of excellence for America: in government,
in housing, in city planning, in law enforcement, in transportation.
But the equality of any city is not just a matter of efficiency and
public order. If it is to be truly great, the city must be lively and
inviting -- a place of beauty and pleasure.
The city's life is lived not only in its buildings, but in its pools,
playgrounds and recreation centers, in the places where the young gather
to find excitement and delight, where the old come to find relaxation,
fresh air, companionship.
In Washington, recreation is a vital element of the city's school
enrichment activities, its model city project and its summer programs.
But the D.C. Recreation Department is not an integral part of the
District Government. With its six-member independent board, the
autonomy of the Department prevents the D.C. Commissioner from providing
policy supervision to the city's recreation activities and from relating
them to other community service programs -- in health, education, child
care, and conservation.
There is no reason to distinguish between recreation and other
community service programs now vested in the Commissioner.
Accordingly, I am today submitting to the Congress Reorganization
Plan No. 3 of 1968. This plan brings recreation programs under the
authority of the D.C. Commissioner. It enables the new City Government
to make recreation an integral part of its strategy to bring more and
better community services to the people who live in the city.
The Plan achieves these objectives by abolishing the present
Recreation Board and the Office of the Superintendent of Recreation. It
transfers their functions to the D.C. Commissioner.
The accompanying reorganization plan has been prepared in accordance
with chapter 9 of title 5 of the United States Code. I have found,
after investigation, that each reorganization included in the plan is
necessary to accomplish one or more of the purposes set forth in section
901(a) of title 5 of the United States Code.
Closer coordination of recreation with other municipal improvement
programs of the District Government and the improved efficiency of
recreation management will produce a higher return on the taxpayer's
investment in recreation programs, though the amount of savings cannot
be estimated at this time.
I urge the Congress to permit this reorganization plan to take
effect.
Lyndon B. Johnson.
The White House, March 13, 1968.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
05 USC REORGANIZATION PLAN NO. 4 OF 1968
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 13, 1968, pursuant to
the provisions of chapter 9 of title 5 of the United States Code.
05 USC Section 1. Appointments
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
(a) The functions of the President of the United States with respect
to appointing certain members of the Board of Directors of the District
of Columbia Redevelopment Land Agency (D.C. Code, sec. 5-703) (D.C. Code
5-803) are hereby transferred to the Commissioner of the District of
Columbia.
(b) Nothing in this reorganization plan shall be deemed to terminate
the tenure of any member of the Board of Directors of the District of
Columbia Redevelopment Land Agency now in office.
05 USC Sec. 2. Relationship of Board of Directors and Commissioner
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
(a) There are transferred from the Board of Directors of the District
of Columbia Redevelopment Land Agency to the Commissioner of the
District of Columbia the functions of adopting, prescribing, amending
and repealing bylaws, rules, and regulations for the exercise of the
powers of the Board under D.C. Code, secs. 5-701 to 5-719 (D.C. Code
5-801 to 5-820) or governing the manner in which its business may be
conducted (D.C. Code, sec. 5-703(b)) (D.C. Code 5-803(b)).
(b) Any part of the functions transferred by this section may be
delegated by the Commissioner to the Board.
05 USC Sec. 3. References to District of Columbia Code
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
References in this reorganization plan to any provision of the
District of Columbia Code are references to the provisions of statutory
law codified under that provision and include the said provision as
amended, modified, or supplemented prior to the effective date of this
reorganization plan.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1968
To the Congress of the United States:
Urban Renewal is a vital weapon in the Nation's attack on urban
blight and physical decay. In the firm hands of a local executive
determined to improve the face of his city, it is a powerful tool of
reform.
In the District of Columbia, urban renewal is managed by a Federal
Agency, the D.C. Redevelopment Land Agency, headed by an independent
five-man Board of Directors. Although the District Government pays the
entire local share of the costs of urban renewal and although the
Commissioner of the District of Columbia appoints three of the five
members of the RLA Board, the Agency need not follow the Commissioner's
leadership or administrative direction.
To strengthen the D.C. Commissioner's authority to initiate and guide
the administration of urban renewal, I am today transmitting to the
Congress Reorganization Plan No. 4 of 1968. This plan:
-- gives the D.C. Commissioner the authority to appoint all five
members of the RLA Board, by transferring to him the appointment
function now vested in the President;
-- transfers to him the authority to prescribe the rules and
regulations governing the conduct of business by RLA. This function is
now vested in the Board of Directors.
Urban Renewal involves slum clearance, demolition, the relocation of
families, the provision of new housing, the stimulation of
rehabilitation and new employment. Throughout the Nation, it is clear
that authority and leadership by the local chief executive is essential
to weld together the full range of municipal functions and community
service programs to change conditions in city slums.
In our Capital City the hopes for a balanced New Town and new housing
development on the Fort Lincoln site in Northeast Washington, the
rebuilding of the Shaw neighborhood, and a successful Model Cities
program hinge on the leadership of the D.C. Commissioner. Members of the
Congress have repeatedly stressed the need to establish the
Commissioner's effective control of all functions essential to local
redevelopment. The attached plan takes a major step toward that
objective.
The Plan does not alter the corporate status of the Redevelopment
Land Agency or any of the authorities now vested by law in the Agency.
The accompanying reorganization plan has been prepared in accordance
with chapter 9 of title 5 of the United State Code. I have found, after
investigation, that each reorganization included in the plan is
necessary to accomplish one or more of the purposes set forth in section
901(a) of title 5 of the United States Code.
There are no direct savings deriving from this plan. However, it
will improve the management of programs aimed at reviving the
deteriorated social, economic, and physical structure of this city, our
National Capital. The benefits and savings from a more successful
attack on these problems cannot be estimated in advance, but their
reality cannot be denied.
To achieve our goal of a model Capital, I therefore urge the Congress
to permit this reorganization plan to take effect.
Lyndon B. Johnson.
The White House, March 13, 1968.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1969
05 USC REORGANIZATION PLAN NO. 1 OF 1969
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1969
Reorganization Plan No. 1 of 1969, 34 F.R. 15783, 83 Stat. 859,
which transferred all of the executive and administrative functions of
the Interstate Commerce Commission to the Chairman of the Commission
with respect to the appointment and supervision of personnel, the
distribution of business among the administrative units of the
Commission, and the use and expenditure of funds, was repealed by Pub.
L. 95-473, 4(b), Oct. 17, 1978, 92 Stat. 1466, 1470. See 49 U.S.C.
10301 et seq.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
05 USC REORGANIZATION PLAN NO. 1 OF 1970
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
Prepared by the President and Transmitted to the Senate and the House
of Representatives in Congress Assembled, February 9, 1970, Pursuant to
the Provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
The functions relating to assigning frequencies to radio stations
belonging to and operated by the United States, or to classes thereof,
conferred upon the President by the provisions of section 305(a) of the
Communications Act of 1934, 47 U.S.C. 305(a), are hereby transferred to
the Director of the Office of Telecommunications Policy hereinafter
provided for.
05 USC Sec. 2. Establishment of Office
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
There is hereby established in the Executive Office of the President
the Office of Telecommunications Policy, hereinafter referred to as the
Office.
05 USC Sec. 3. Director and Deputy
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
(a) There shall be at the head of the Office the Director of the
Office of Telecommunications Policy, hereinafter referred to as the
Director. The Director shall be appointed by the President by and with
the advice and consent of the Senate and shall be compensated at the
rate now or hereafter provided for Level III of the Executive Schedule
Pay Rates (5 U.S.C. 5314).
(b) There shall be in the Office a Deputy Director of the Office of
Telecommunications Policy who shall be appointed by the President by and
with the advice and consent of the Senate and shall be compensated at
the rate now or hereafter provided for Level IV of the Executive
Schedule Pay Rates (5 U.S.C. 5315). The Deputy Director shall perform
such functions as the Director may from time to time prescribe and,
unless the President shall designate another person to so act, shall act
as Director during the absence or disability of the Director or in the
event of vacancy in the office of Director.
(c) No person shall while holding office as Director or Deputy
Director engage in any other business, vocation, or employment.
05 USC Sec. 4. Performance of Functions of Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
(a) The Director may appoint employees necessary for the work of the
Office under the classified civil service and fix their compensation in
accordance with the classification laws.
(b) The Director may from time to time make such provisions as he
shall deem appropriate authorizing the performance of any function
transferred to him hereunder by any other officer, or by any
organizational entity or employee, of the Office.
05 USC Sec. 5. Abolition of Office
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
That office of Assistant Director of the Office of Emergency
Preparedness held by the Director of Telecommunications Management under
Executive Order No. 10995 of February 16, 1962, as amended, is
abolished. The Director of the Office of Emergency Preparedness shall
make such provisions as he may deem to be necessary with respect to
winding up any outstanding affairs of the office abolished by the
foregoing provisions of this section.
05 USC Sec. 6. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, held,
or used by, or available or to be made available to, the Office of
Emergency Preparedness in connection with functions affected by the
provisions of this reorganization plan as the Director of the Bureau of
the Budget shall determine shall be transferred to the Office of
Telecommunications Policy at such time or times as he shall direct.
(b) Such further measures and dispositions as the Director of the
Bureau of the Budget shall deem necessary in order to effectuate the
transfers provided for in subsection (a) of this section shall be
carried out in such manner as he shall direct and by such agencies as he
shall designate.
05 USC Sec. 7. Interim Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
The President may authorize any person who immediately prior to the
effective date of this reorganization plan holds a position in the
Executive Office of the President to act as Director of the Office of
Telecommunications Policy until the office of Director is for the first
time filled pursuant to the provisions of section 3 of this
reorganization plan or by recess appointment, as the case may be. The
President may authorize any person who serves in an acting capacity
under the foregoing provisions of this section to receive the
compensation attached to the office of Director. Such compensation, if
authorized, shall be in lieu of, but not in addition to, other
compensation from the United States to which such person may be
entitled.
(The Office of Telecommunications Policy was abolished and its
functions transferred to the President and the Secretary of Commerce by
secs. 3 and 5 of Reorg. Plan No. 1 of 1977.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1970
To the Congress of the United States:
We live in a time when the technology of telecommunications is
undergoing rapid change which will dramatically affect the whole of our
society. It has long been recognized that the executive branch of the
Federal government should be better equipped to deal with the issues
which arise from telecommunications growth. As the largest single user
of the nation's telecommunications facilities, the Federal government
must also manage its internal communications operations in the most
effective manner possible.
Accordingly, I am today transmitting to the Congress Reorganization
Plan No. 1 of 1970, prepared in accordance with chapter 9 of title 5 of
the United States Code.
That plan would establish a new Office of Telecommunications Policy
in the Executive Office of the President. The new unit would be headed
by a Director and a Deputy Director who would be appointed by the
President with the advice and consent of the Senate. The existing
office held by the Director of Telecommunications Management in the
Office of Emergency Preparedness would be abolished.
In addition to the functions which are transferred to it by the
reorganization plan, the new Office would perform certain other duties
which I intend to assign to it by Executive order as soon as the
reorganization plan takes effect. That order would delegate to the new
Office essentially those functions which are now assigned to the
Director of Telecommunications Management. The Office of
Telecommunications Policy would be assisted in its research and analysis
responsibilities by the agencies and departments of the Executive Branch
including another new office, located in the Department of Commerce.
The new Office of Telecommunications Policy would play three
essential roles:
1. It would serve as the President's principal adviser on
telecommunications policy, helping to formulate government policies
concerning a wide range of domestic and international telecommunications
issues and helping to develop plans and programs which take full
advantage of the nation's technological capabilities. The speed of
economic and technological advance in our time means that new questions
concerning communications are constantly arising, questions on which the
government must be well informed and well advised. The new Office will
enable the President and all government officials to share more fully in
the experience, the insights, and the forecasts of government and
non-government experts.
2. The Office of Telecommunications Policy would help formulate
policies and coordinate operations for the Federal government's own vast
communications systems. It would, for example, set guidelines for the
various departments and agencies concerning their communications
equipment and services. It would regularly review the ability of
government communications systems to meet the security needs of the
nation and to perform effectively in time of emergency. The Office
would direct the assignment of those portions of the radio spectrum
which are reserved for government use, carry out responsibilities
conferred on the President by the Communications Satellite Act, advise
State and local governments, and provide policy direction for the
National Communications System.
3. Finally, the new Office would enable the executive branch to speak
with a clearer voice and to act as a more effective partner in
discussions of communications policy with both the Congress and the
Federal Communications Commission. This action would take away none of
the prerogatives or functions assigned to the Federal Communications
Commission by the Congress. It is my hope, however, that the new Office
and the Federal Communications Commission would cooperate in achieving
certain reforms in telecommunications policy, especially in their
procedures for allocating portions of the radio spectrum for government
and civilian use. Our current procedures must be more flexible if they
are to deal adequately with problems such as the worsening spectrum
shortage.
Each reorganization included in the plan which accompanies this
message is necessary to accomplish one or more of the purposes set forth
in section 901(a) of title 5 of the United States Code. In particular,
the plan is responsive to section 901(a)(1), ''to promote the better
execution of the laws, the more effective management of the executive
branch and of its agencies and functions, and the expeditious
administration of the public business;'' and section 901(a)(3), ''to
increase the efficiency of the operations of the government to the
fullest extent practicable.''
The reorganizations provided for in this plan make necessary the
appointment and compensation of new officers, as specified in sections
3(a) and 3(b) of the plan. The rates of compensation fixed for these
officers are comparable to those fixed for other officers in the
executive branch who have similar responsibilities.
This plan should result in the more efficient operation of the
government. It is not practical, however, to itemize or aggregate the
exact expenditure reductions which will result from this action.
The public interest requires that government policies concerning
telecommunications be formulated with as much sophistication and vision
as possible. This reorganization plan -- and the executive order which
would follow it -- are necessary instruments if the government is to
respond adequately to the challenges and opportunities presented by the
rapid pace of change in communications. I urge that the Congress allow
this plan to become effective so that these necessary reforms can be
accomplished.
Richard Nixon.
The White House, February 9, 1970.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
05 USC REORGANIZATION PLAN NO. 2 OF 1970
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
d Pub. L. 97-258, 5(b), Sept. 13,
1982, 96 Stat. 1068, 1085
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress Assembled, March 12, 1970, Pursuant to
the Provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 101. Transfer of Functions to the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
There are hereby transferred to the President of the United States
all functions vested by law (including reorganization plan) in the
Bureau of the Budget or the Director of the Bureau of the Budget.
05 USC Sec. 102. Office of Management and Budget
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section designated the Bureau of the Budget as the Office of
Management and Budget, provided for the officers and their duties, and
provided for performance of the duties of the Director in the event of
absence or disability or a vacancy in the office of Director. See 31
U.S.C. 501 et seq.)
05 USC Sec. 103. Records, Property, Personnel, and Funds
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
(Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat. 1068,
1085. Section provided that the records, property, personnel, and
unexpended balances etc., of the Bureau of the Budget shall become those
of the Office of Management and Budget.)
05 USC Sec. 201. Establishment of the Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
(a) There is hereby established in the Executive Office of the
President a Domestic Council, hereinafter referred to as the Council.
(b) The Council shall be composed of the following:
The President of the United States
The Vice President of the United States
The Attorney General
Secretary of Agriculture
Secretary of Commerce
Secretary of Health, Education, and Welfare
Secretary of Housing and Urban Development
Secretary of the Interior
Secretary of Labor
Secretary of Transportation
Secretary of the Treasury
and such other officers of the Executive Branch as the President may
from time to time direct.
(c) The President of the United States shall preside over meetings of
the Council: Provided, That, in the event of his absence, he may
designate a member of the Council to preside.
05 USC Sec. 202. Functions of the Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
The Council shall perform such functions as the President may from
time to time delegate or assign thereto.
05 USC Sec. 203. Executive Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
The staff of the Council shall be headed by an Executive Director who
shall be an assistant to the President designated by the President. The
Executive Director shall perform such functions as the President may
from time to time direct.
05 USC Sec. 301. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
The provisions of this reorganization plan shall take effect as
provided by section 906(a) of title 5 of the United States Code, or on
July 1, 1970, whichever is later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1970
To the Congress of the United States:
We in government often are quick to call for reform in other
institutions, but slow to reform ourselves. Yet nowhere today is modern
management more needed than in government itself.
In 1939, President Franklin D. Roosevelt proposed and the Congress
accepted a reorganization plan that laid the groundwork for providing
managerial assistance for a modern Presidency.
The plan placed the Bureau of the Budget within the Executive Office
of the President. It made available to the President direct access to
important new management instruments. The purpose of the plan was to
improve the administration of the Government -- to ensure that the
Government could perform ''promptly, effectively, without waste or lost
motion.''
Fulfilling that purpose today is far more difficult -- and more
important -- than it was 30 years ago.
Last April, I created a President's Advisory Council on Executive
Organization and named to it a distinguished group of outstanding
experts headed by Roy L. Ash. I gave the Council a broad charter to
examine ways in which the Executive Branch could be better organized. I
asked it to recommend specific organizational changes that would make
the Executive Branch a more vigorous and more effective instrument for
creating and carrying out the programs that are needed today. The
Council quickly concluded that the place to begin was in the Executive
Office of the President itself. I agree.
The past 30 years have seen enormous changes in the size, structure
and functions of the Federal Government. The budget has grown from less
than $10 billion to $200 billion. The number of civilian employees has
risen from one million to more than two and a half million. Four new
Cabinet departments have been created, along with more than a score of
independent agencies. Domestic policy issues have become increasingly
complex. The interrelationships among Government programs have become
more intricate. Yet the organization of the President's policy and
management arms has not kept pace.
Over three decades, the Executive Office of the President has
mushroomed but not by conscious design. In many areas it does not
provide the kind of staff assistance and support the President needs in
order to deal with the problems of government in the 1970s. We confront
the 1970s with a staff organization geared in large measure to the tasks
of the 1940s and 1950s.
One result, over the years, has been a tendency to enlarge the
immediate White House staff -- that is, the President's personal staff,
as distinct from the institutional structure -- to assist with
management functions for which the President is responsible. This has
blurred the distinction between personal staff and management
institutions; it has left key management functions to be performed only
intermittently and some not at all. It has perpetuated outdated
structures.
Another result has been, paradoxically, to inhibit the delegation of
authority to Departments and agencies.
A President whose programs are carefully coordinated, whose
information system keeps him adequately informed, and whose
organizational assignments are plainly set out, can delegate authority
with security and confidence. A President whose office is deficient in
these respects will be inclined, instead, to retain close control of
operating responsibilities which he cannot and should not handle.
Improving the management processes of the President's own office,
therefore, is a key element in improving the management of the entire
Executive Branch, and in strengthening the authority of its Departments
and agencies. By providing the tools that are needed to reduce
duplication, to monitor performance and to promote greater efficiency
throughout the Executive Branch, this also will enable us to give the
country not only more effective but also more economical government --
which it deserves.
To provide the management tools and policy mechanisms needed for the
1970s, I am today transmitting to the Congress Reorganization Plan No.
2 of 1970, prepared in accordance with Chapter 9 of Title 5 of the
United States Code.
This plan draws not only on the work of the Ash Council itself, but
also on the work of others that preceded -- including the pioneering
Brownlow Committee of 1936, the two Hoover Commissions, the Rockefeller
Committee, and other Presidential task forces.
Essentially, the plan recognizes that two closely connected but
basically separate functions both center in the President's office:
policy determination and executive management. This involves (1) what
government should do, and (2) how it goes about doing it.
My proposed reorganization creates a new entity to deal with each of
these functions:
-- It establishes a Domestic Council, to coordinate policy
formulation in the domestic area. This Cabinet group would be provided
with an institutional staff, and to a considerable degree would be a
domestic counterpart to the National Security Council.
-- It establishes an Office of Management and Budget, which would
be the President's principal arm for the exercise of his managerial
functions.
The Domestic Council will be primarily concerned with what we do;
the Office of Management and Budget will be primarily concerned with how
we do it, and how well we do it.
The past year's experience with the Council for Urban Affairs has
shown how immensely valuable a Cabinet-level council can be as a forum
for both discussion and action on policy matters that cut across
departmental jurisdictions.
The Domestic Council will be chaired by the President. Under the
plan, its membership will include the Vice President, and the
Secretaries of the Treasury, Interior, Agriculture, Commerce, Labor,
Health, Education and Welfare, Housing and Urban Development, and
Transportation, and the Attorney General. I also intend to designate as
members the Director of the Office of Economic Opportunity and, while he
remains a member of the Cabinet, the Postmaster General. (Although I
continue to hope that the Congress will adopt my proposal to create, in
place of the Post Office Department, a self-sufficient postal
authority.) The President could add other Branch officials at his
discretion.
The Council will be supported by a staff under an Executive Director
who will also be one of the President's assistants. Like the National
Security Council staff, this staff will work in close coordination with
the President's personal staff but will have its own institutional
identity. By being established on a permanent, institutional basis, it
will be designed to develop and employ the ''institutional memory'' so
essential if continuity is to be maintained, and if experience is to
play its proper role in the policy-making process.
There does not now exist an organized, institutionally-staffed group
charged with advising the President on the total range of domestic
policy. The Domestic Council will fill that need. Under the
President's direction, it will also be charged with integrating the
various aspects of domestic policy into a consistent whole.
Among the specific policy functions in which I intend the Domestic
Council to take the lead are these:
-- Assessing national needs, collecting information and
developing forecasts, for the purpose of defining national goals and
objectives.
-- Identifying alternative ways of achieving these objectives,
and recommending consistent, integrated sets of policy choices.
-- Providing rapid response to Presidential needs for policy
advice on pressing domestic issues.
-- Coordinating the establishment of national priorities for the
allocation of available resources.
-- Maintaining a continuous review of the conduct of ongoing
programs from a policy standpoint, and proposing reforms as needed.
Much of the Council's work will be accomplished by temporary, ad hoc
project committees. These might take a variety of forms, such as task
forces, planning groups or advisory bodies. They can be established
with varying degrees of formality, and can be set up to deal either with
broad program areas or with specific problems. The committees will draw
for staff support on Department and agency experts, supplemented by the
Council's own staff and that of the Office of Management and Budget.
Establishment of the Domestic Council draws on the experience gained
during the past year with the Council for Urban Affairs, the Cabinet
Committee on the Environment and the Council for Rural Affairs. The
principal key to the operation of these Councils has been the effective
functioning of their various subcommittees. The Councils themselves
will be consolidated into the Domestic Council. Urban, Rural and
Environment subcommittees of the Domestic Council will be strengthened,
using access to the Domestic Council staff.
Overall, the Domestic Council will provide the President with a
streamlined, consolidated domestic policy arm, adequately staffed, and
highly flexible in its operation. It also will provide a structure
through which departmental initiatives can be more fully considered, and
expert advice from the Departments and agencies more fully utilized.
Under the reorganization plan, the technical and formal means by
which the Office of Management and Budget is created is by
re-designating the Bureau of the Budget as the Office of Management and
Budget. The functions currently vested by law in the Bureau, or in its
director, are transferred to the President, with the provision that he
can then re-delegate them.
As soon as the reorganization plan takes effect, I intend to delegate
those statutory functions to the Director of the new Office of
Management and Budget, including those under section 212 of the Budget
and Accounting Act, 1921.
However, creation of the Office of Management and Budget represents
far more than a mere change of name for the Bureau of the Budget. It
represents a basic change in concept and emphasis, reflecting the
broader management needs of the Office of the President.
The new Office will still perform the key function of assisting the
President in the preparation of the annual Federal budget and overseeing
its execution. It will draw upon the skills and experience of the
extraordinarily able and dedicated career staff developed by the Bureau
of the Budget. But preparation of the budget as such will no longer be
its dominant, overriding concern.
While the budget function remains a vital tool of management, it will
be strengthened by the greater emphasis the new office will place on
fiscal analysis. The budget function is only one of several important
management tools that the President must now have. He must also have a
substantially enhanced institutional staff capability in other areas of
executive management -- particularly in program evaluation and
coordination, improvement of Executive Branch organization, information
and management systems, and development of executive talent. Under this
plan, strengthened capability in these areas will be provided partly
through internal reorganization, and it will also require additional
staff resources.
The new Office of Management and Budget will place much greater
emphasis on the evaluation of program performance: on assessing the
extent to which programs are actually achieving their intended results,
and delivering the intended services to the intended recipients. This
is needed on a continuing basis, not as a one-time effort. Program
evaluation will remain a function of the individual agencies as it is
today. However, a single agency cannot fairly be expected to judge
overall effectiveness in programs that cross agency lines -- and the
difference between agency and Presidential perspectives requires a
capacity in the Executive Office to evaluate program performance
whenever appropriate.
The new Office will expand efforts to improve inter-agency
cooperation in the field. Washington-based coordinators will help work
out interagency problems at the operating level, and assist in
developing efficient coordinating mechanisms throughout the country.
The success of these efforts depends on the experience, persuasion and
understanding of an Office which will be an expediter and catalyst. The
Office will also respond to requests from State and local governments
for assistance on intergovernmental programs. It will work closely with
the Vice President and the Office of Intergovernmental Relations.
Improvement of Government organization, information and management
systems will be a major function of the Office of Management and Budget.
It will maintain a continuous review of the organizational structures
and management processes of the Executive Branch, and recommend needed
changes. It will take the lead in developing new information systems to
provide the President with the performance and other data that he needs
but does not now get. When new programs are launched, it will seek to
ensure that they are not simply forced into or grafted onto existing
organizational structures that may not be appropriate. Resistance to
organizational change is one of the chief obstacles to effective
government; the new Office will seek to ensure that organization keeps
abreast of program needs.
The new Office will also take the lead in devising programs for the
development of career executive talent throughout the Government. Not
the least of the President's needs as Chief Executive is direct
capability in the Executive Office for insuring that talented executives
are used to the full extent of their abilities. Effective, coordinated
efforts for executive manpower development have been hampered by the
lack of a system for forecasting the needs for executive talent and
appraising leadership potential. Both are crucial to the success of an
enterprise -- whether private or public.
The Office of Management and Budget will be charged with advising the
President on the development of new programs to recruit, train,
motivate, deploy, and evaluate the men and women who make up the top
ranks of the civil service, in the broadest sense of that term. It will
not deal with individuals, but will rely on the talented professionals
of the Civil Service Commission and the Departments and agencies
themselves to administer these programs. Under the leadership of the
Office of Management and Budget there will be joint efforts to see to it
that all executive talent is well utilized wherever it may be needed
throughout the Executive Branch, and to assure that executive training
and motivation meet not only today's needs but those of the years ahead.
Finally, the new Office will continue the Legislative Reference
functions now performed by the Bureau of the Budget, drawing together
agency reactions on all proposed legislation, and helping develop
legislation to carry out the President's program. It also will continue
the Bureau's work of improving and coordinating Federal statistical
services.
The people deserve a more responsive and more effective Government.
The times require it. These changes will help provide it.
Each reorganization included in the plan which accompanies this
message is necessary to accomplish one or more of the purposes set forth
in Section 901(a) of Title 5 of the United States Code. In particular,
the plan is responsive to Section 901(a)(1), ''to promote the better
execution of the laws, the more effective management of the Executive
Branch and of its agencies and functions, and the expeditious
administration of the public business;'' and Section 901(a)(3), ''to
increase the efficiency of the operations of the Government to the
fullest extent practicable.''
The reorganizations provided for in this plan make necessary the
appointment and compensation of new officers, as specified in Section
102(c) of the plan. The rates of compensation fixed for these officers
are comparable to those fixed for other officers in the Executive Branch
who have similar responsibilities.
While this plan will result in a modest increase in direct
expenditures, its strengthening of the Executive Office of the President
will bring significant indirect savings, and at the same time will help
ensure that people actually receive the return they deserve for every
dollar the Government spends. The savings will result from the improved
efficiency these changes will provide throughout the Executive Branch --
and also from curtailing the waste that results when programs simply
fail to achieve their objectives. It is not practical, however, to
itemize or aggregate these indirect expenditure reductions which will
result from the reorganization.
I expect to follow with other reorganization plans, quite possibly
including ones that will affect other activities of the Executive Office
of the President. Our studies are continuing. But this by itself is a
reorganization of major significance, and a key to the more effective
functioning of the entire Executive Branch.
These changes would provide an improved system of policy making and
coordination, a strengthened capacity to perform those functions that
are now the central concerns of the Bureau of the Budget, and a more
effective set of management tools for the performance of other functions
that have been rapidly increasing in importance.
The reorganization will not only improve the staff resources
available to the President, but will also strengthen the advisory roles
of those members of the Cabinet principally concerned with domestic
affairs. By providing a means of formulation integrated and systematic
recommendations on major domestic policy issues, the plan serves not
only the needs of the President but also the interests of the Congress.
This reorganization plan is of major importance to the functioning of
modern government. The national interest requires it. I urge that the
Congress allow it to become effective.
Richard Nixon.
The White House, March 12, 1970.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
05 USC REORGANIZATION PLAN NO. 3 OF 1970
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
amended Pub. L. 98-80, 2(a)(2), (b)(2), (c)(2)(C),
Aug. 23, 1983, 97 Stat. 485, 486
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, July 9, 1970, pursuant to the
provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Establishment of Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
(a) There is hereby established the Environmental Protection Agency,
hereinafter referred to as the ''Agency.''
(b) There shall be at the head of the Agency the Administrator of the
Environmental Protection Agency, hereinafter referred to as the
''Administrator.'' The Administrator shall be appointed by the
President, by and with the advice and consent of the Senate.
(c) There shall be in the Agency a Deputy Administrator of the
Environmental Protection Agency who shall be appointed by the President,
by and with the advice and consent of the Senate. The Deputy
Administrator shall perform such functions as the Administrator shall
from time to time assign or delegate, and shall act as Administrator
during the absence or disability of the Administrator or in the event of
a vacancy in the office of Administrator.
(d) There shall be in the Agency not to exceed five Assistant
Administrators of the Environmental Protection Agency who shall be
appointed by the President, by and with the advice and consent of the
Senate. Each Assistant Administrator shall perform such functions as
the Administrator shall from time to time assign or delegate. (As
amended Pub. L. 98-80, 2(a)(2), (b)(2), (c)(2)(C), Aug. 23, 1983, 97
Stat. 485, 486.)
05 USC Sec. 2. Transfers to Environmental Protection Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
(a) There are hereby transferred to the Administrator:
(1) All functions vested by law in the Secretary of the Interior and
the Department of the Interior which are administered through the
Federal Water Quality Administration, all functions which were
transferred to the Secretary of the Interior by Reorganization Plan No.
2 of 1966 (80 Stat. 1608), and all functions vested in the Secretary of
the Interior or the Department of the Interior by the Federal Water
Pollution Control Act or by provisions of law amendatory or
supplementary thereof (see 33 U.S.C. 1251 et seq.).
(2)(i) The functions vested in the Secretary of the Interior by the
Act of August 1, 1958, 72 Stat. 479, 16 U.S.C. 742d-1 (being an Act
relating to studies on the effects of insecticides, herbicides,
fungicides, and pesticides upon the fish and wildlife resources of the
United States), and (ii) the functions vested by law in the Secretary of
the Interior and the Department of the Interior which are administered
by the Gulf Breeze Biological Laboratory of the Bureau of Commercial
Fisheries at Gulf Breeze, Florida.
(3) The functions vested by law in the Secretary of Health,
Education, and Welfare or in the Department of Health, Education, and
Welfare which are administered through the Environmental Health Service,
including the functions exercised by the following components thereof:
(i) The National Air Pollution Control Administration,
(ii) The Environmental Control Administration:
(A) Bureau of Solid Waste Management,
(B) Bureau of Water Hygiene,
(C) Bureau of Radiological Health,
except that functions carried out by the following components of the
Environmental Control Administration of the Environmental Health Service
are not transferred: (i) Bureau of Community Environmental Management,
(ii) Bureau of Occupational Safety and Health, and (iii) Bureau of
Radiological Health, insofar as the functions carried out by the latter
Bureau pertain to (A) regulation of radiation from consumer products,
including electronic product radiation, (B) radiation as used in the
healing arts, (C) occupational exposures to radiation, and (D) research,
technical assistance, and training related to clauses (A), (B), and (C).
(4) The functions vested in the Secretary of Health, Education, and
Welfare of establishing tolerances for pesticide chemicals under the
Federal Food, Drug, and Cosmetic Act, as amended, 21 U.S.C. 346, 346a,
and 348, together with authority, in connection with the functions
transferred, (i) to monitor compliance with the tolerances and the
effectiveness of surveillance and enforcement, and (ii) to provide
technical assistance to the States and conduct research under the
Federal Food, Drug, and Cosmetic Act, as amended (21 U.S.C. 301 et
seq.), and the Public Health Service Act, as amended (42 U.S.C. 201 et
seq.).
(5) So much of the functions of the Council on Environmental Quality
under section 204(5) of the National Environmental Policy Act of 1969
(Public Law 91-190 approved January 1, 1970, 83 Stat. 855) (42 U.S.C.
4344(5)), as pertains to ecological systems.
(6) The functions of the Atomic Energy Commission under the Atomic
Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.), administered
through its Division of Radiation Protection Standards, to the extent
that such functions of the Commission consist of establishing generally
applicable environmental standards for the protection of the general
environment from radioactive material. As used herein, standards mean
limits on radiation exposures or levels, or concentrations or quantities
of radioactive material, in the general environment outside the
boundaries of locations under the control of persons possessing or using
radioactive material.
(7) All functions of the Federal Radiation Council (42 U.S.C.
2021(h)).
(8)(i) The functions of the Secretary of Agriculture and the
Department of Agriculture under the Federal Insecticide, Fungicide, and
Rodenticide Act, as amended (7 U.S.C. 135-135k) (7 U.S.C. 136 et seq.),
(ii) the functions of the Secretary of Agriculture and the Department of
Agriculture under section 408(l) of the Federal Food, Drug, and Cosmetic
Act, as amended (21 U.S.C. 346a(l)), and (iii) the functions vested by
law in the Secretary of Agriculture and the Department of Agriculture
which are administered through the Environmental Quality Branch of the
Plant Protection Division of the Agricultural Research Service.
(9) So much of the functions of the transferor officers and agencies
referred to in or affected by the foregoing provisions of this section
as is incidental to or necessary for the performance by or under the
Administrator of the functions transferred by those provisions or
relates primarily to those functions. The transfers to the
Administrator made by this section shall be deemed to include the
transfer of (1) authority, provided by law, to prescribe regulations
relating primarily to the transferred functions, and (2) the functions
vested in the Secretary of the Interior and the Secretary of Health,
Education, and Welfare by section 169(d)(1)(B) and (3) of the Internal
Revenue Code of 1954 (as enacted by section 704 of the Tax Reform Act of
1969, 83 Stat. 668); but shall be deemed to exclude the transfer of the
functions of the Bureau of Reclamation under section 3(b)(1) of the
Water Pollution Control Act (33 U.S.C. 466a(b)(1)).
(b) There are hereby transferred to the Agency:
(1) From the Department of the Interior, (i) the Water Pollution
Control Advisory Board (33 U.S.C. 466f) (see 33 U.S.C. 1363), together
with its functions, and (ii) the hearing boards provided for in sections
10(c)(4) and 10(f) of the Federal Water Pollution Control Act, as
amended (33 U.S.C. 466g(c)(4); 466g(f)). The functions of the Secretary
of the Interior with respect to being or designating the Chairman of the
Water Pollution Control Advisory Board are hereby transferred to the
Administrator.
(2) From the Department of Health, Education, and Welfare, the Air
Quality Advisory Board (42 U.S.C. 1857e) (42 U.S.C. 7417), together with
its functions. The functions of the Secretary of Health, Education, and
Welfare with respect to being a member and the Chairman of that Board
are hereby transferred to the Administrator.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
The Administrator may from time to time make such provisions as he
shall deem appropriate authorizing the performance of any of the
functions transferred to him by the provisions of this reorganization
plan by any other officer, or by any organizational entity or employee,
of the Agency.
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred to the Administrator or the Agency by this
reorganization plan as the Director of the Office of Management and
Budget shall determine shall be transferred to the Agency at such time
or times as the Director shall direct.
(b) Such further measures and dispositions as the Director of Office
of Management and Budget shall deem to be necessary in order to
effectuate the transfers referred to in subsection (a) of this section
shall be carried out in such manner as he shall direct and by such
agencies as he shall designate.
05 USC Sec. 5. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
(a) The President may authorize any person who immediately prior to
the effective date of this reorganization plan held a position in the
executive branch of the Government to act as Administrator until the
office of Administrator is for the first time filled pursuant to the
provisions of this reorganization plan or by recess appointment, as the
case may be.
(b) The President may similarly authorize any such person to act as
Deputy Administrator, authorize any such person to act as Assistant
Administrator, and authorize any such person to act as the head of any
principal constituent organizational entity of the Administration.
(c) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect of which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
05 USC Sec. 6. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
(a) Subject to the provisions of this reorganization plan, the
following, exclusive of any functions, are hereby abolished:
(1) The Federal Water Quality Administration in the Department of the
Interior (33 U.S.C. (former) 466-1).
(2) The Federal Radiation Council (73 Stat. 690; 42 U.S.C.
2021(h)).
(b) Such provisions as may be necessary with respect to terminating
any outstanding affairs shall be made by the Secretary of the Interior
in the case of the Federal Water Quality Administration and by the
Administrator of General Services in the case of the Federal Radiation
Council.
05 USC Sec. 7. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
The provisions of this reorganization plan shall take effect sixty
days after the date they would take effect under 5 U.S.C. 906(a) in the
absence of this section.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1970, prepared in
accordance with chapter 9 of title 5 of the United States Code and
providing for an Environmental Protection Agency. My reasons for
transmitting this plan are stated in a more extended accompanying
message.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 3 of 1970 is
necessary to accomplish one or more of the purposes set forth in section
901(a) of title 5 of the United States Code. In particular, the plan is
responsive to section 901(a)(1), ''to promote the better execution of
the laws, the more effective management of the executive branch and of
its agencies and functions, and the expeditious administration of the
public business;'' and section 901(a)(3), ''to increase the efficiency
of the operations of the Government to the fullest extent practicable.''
The reorganizations provided for in the plan make necessary the
appointment and compensation of new officers as specified in section 1
of the plan. The rates of compensation fixed for these officers are
comparable to those fixed for other officers in the executive branch who
have similar responsibilities.
Section 907 of title 5 of the United States Code will operate to
preserve administrative proceedings, including any public hearing
proceedings, related to the transferred functions, which are pending
immediately prior to the taking effect of the reorganization plan.
The reorganization plan should result in more efficient operation of
the Government. It is not practical, however, to itemize or aggregate
the exact expenditure reductions which will result from this action.
Richard Nixon.
The White House, July 9, 1970.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
To the Congress of the United States:
As concern with the condition of our physical environment has
intensified, it has become increasingly clear that we need to know more
about the total environment -- land, water and air. It also has become
increasingly clear that only by reorganizing our Federal efforts can we
develop that knowledge, and effectively ensure the protection,
development and enhancement of the total environment itself.
The Government's environmentally-related activities have grown up
piecemeal over the years. The time has come to organize them rationally
and systematically. As a major step in this direction, I am
transmitting today two reorganization plans: one to establish an
Environmental Protection Agency, and one to establish, within the
Department of Commerce, a National Oceanic and Atmospheric
Administration.
Our national government today is not structured to make a coordinated
attack on the pollutants which debase the air we breathe, the water we
drink, and the land that grows our food. Indeed, the present
governmental structure for dealing with environmental pollution often
defies effective and concerted action.
Despite its complexity, for pollution control purposes the
environment must be perceived as a single, interrelated system. Present
assignments of departmental responsibilities do not reflect this
interrelatedness.
Many agency missions, for example, are designed primarily along media
lines -- air, water, and land. Yet the sources of air, water, and land
pollution are interrelated and often interchangeable. A single source
may pollute the air with smoke and chemicals, the land with solid
wastes, and a river or lake with chemical and other wastes. Control of
the air pollution may produce more solid wastes, which then pollute the
land or water. Control of the water-polluting effluent may convert it
into solid wastes, which must be disposed of on land.
Similarly, some pollutants -- chemicals, radiation, pesticides --
appear in all media. Successful control of them at present requires the
coordinated efforts of a variety of separate agencies and departments.
The results are not always successful.
A far more effective approach to pollution control would:
-- Identify pollutants. -- Trace them through the entire
ecological chain, observing and
recording changes in form as they occur.
-- Determine the total exposure of man and his environment. --
Examine interactions among forms of pollution. -- Identify where
in the ecological chain interdiction would be
most appropriate.
In organizational terms, this requires pulling together into one
agency a variety of research, monitoring, standard-setting and
enforcement activities now scattered through several departments and
agencies. It also requires that the new agency include sufficient
support elements -- in research and in aids to State and local
anti-pollution programs, for example -- to give it the needed strength
and potential for carrying out its mission. The new agency would also,
of course, draw upon the results of research conducted by other
agencies.
05 USC components of the epa
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
Under the terms of Reorganization Plan No. 3, the following would be
moved to the new Environmental Protection Agency:
-- The functions carried out by the Federal Water Quality
Administration (from the Department of the Interior).
-- Functions with respect to pesticides studies now vested in the
Department of the Interior.
-- The functions carried out by the National Air Pollution
Control Administration (from the Department of Health, Education, and
Welfare).
-- The functions carried out by the Bureau of Solid Waste
Management and the Bureau of Water Hygiene, and portions of the
functions carried out by the Bureau of Radiological Health of the
Environmental Control Administration (from the Department of Health,
Education, and Welfare).
-- Certain functions with respect to pesticides carried out by
the Food and Drug Administration (from the Department of Health,
Education, and Welfare).
-- Authority to perform studies relating to ecological system now
vested in the Council on Environmental Quality.
-- Certain functions respecting radiation criteria and standards
now vested in the Atomic Energy Commission and the Federal Radiation
Council.
-- Functions respecting pesticides registration and related
activities now carried out by the Agricultural Research Service (from
the Department of Agriculture).
With its broad mandate, EPA would also develop competence in areas of
environmental protection that have not previously been given enough
attention, such, for example, as the problem of noise, and it would
provide an organization to which new programs in these areas could be
added.
In brief, these are the principal functions to be transferred:
Federal Water Quality Administration. -- Charged with the control of
pollutants which impair water quality, it is broadly concerned with the
impact of degraded water quality. It performs a wide variety of
functions, including research, standard-setting and enforcement, and
provides construction grants and technical assistance.
Certain pesticides research authority from the Department of the
Interior. -- Authority for research on the effects of pesticides on fish
and wildlife would be provided to the EPA through transfer of the
specialized research authority of the pesticides act enacted in 1958.
Interior would retain its responsibility to do research on all factors
affecting fish and wildlife. Under this provision, only one laboratory
would be transferred to the EPA -- the Gulf Breeze Biological Laboratory
of the Bureau of Commercial Fisheries. The EPA would work closely with
the fish and wildlife laboratories remaining with the Bureau of Sport
Fisheries and Wildlife.
National Air Pollution Control Administration. -- As the principal
Federal agency concerned with air pollution, it conducts research on the
effects of air pollution, operates a monitoring network, and promulgates
criteria which serve as the basis for setting air quality standards.
Its regulatory functions are similar to those of the Federal Water
Quality Administration. NAPCA is responsible for administering the
Clean Air Act, which involves designating air quality regions, approving
State standards, and providing financial and technical assistance to
State Control agencies to enable them to comply with the Act's
provisions. It also sets and enforces Federal automotive emission
standards.
Elements of the Environmental Control Administration. -- ECA is the
focal point within HEW for evaluation and control of a broad range of
environmental health problems, including water quality, solid wastes,
and radiation. Programs in the ECA involve research, development of
criteria and standards, and the administration of planning and
demonstration grants. From the ECA, the activities of the Bureaus of
Water Hygiene and Solid Waste Management and portions of the activities
of the Bureau of Radiological Health would be transferred. Other
functions of the ECA including those related to the regulation of
radiation from consumer products and occupational safety and health
would remain in HEW.
Pesticides research and standard-setting programs of the Food and
Drug Administration. -- FDA's pesticides program consists of setting and
enforcing standards which limit pesticide residues in food. EPA would
have the authority to set pesticide standards and to monitor compliance
with them, as well as to conduct related research. However, as an
integral part of its food protection activities, FDA, would retain its
authority to remove from the market food with excess pesticide residues.
General ecological research from the Council on Environmental
Quality. -- This authority to perform studies and research relating to
ecological systems would be in addition to EPA's other specific research
authorities, and it would help EPA to measure the impact of pollutants.
The Council on Environmental Quality would retain its authority to
conduct studies and research relating to environmental quality.
Environmental radiation standards programs. -- The Atomic Energy
Commission is now responsible for establishing environmental radiation
standards and emission limits for radioactivity. Those standards have
been based largely on broad guidelines recommended by the Federal
Radiation Council. The Atomic Energy Commission's authority to set
standards for the protection of the general environment from radioactive
material would be transferred to the Environmental Protection Agency.
The functions of the Federal Radiation Council would also be
transferred. AEC would retain responsibility for the implementation and
enforcement of radiation standards through its licensing authority.
Pesticides registration program of the Agricultural Research Service.
-- The Department of Agriculture is currently responsible for several
distinct functions related to pesticides use. It conducts research on
the efficacy of various pesticides as related to other pest control
methods and on the effects of pesticides on non-target plants,
livestock, and poultry. It registers pesticides, monitors their
persistence and carries out an educational program on pesticide use
through the extension service. It conducts extensive pest control
programs which utilize pesticides.
By transferring the Department of Agriculture's pesticides
registration and monitoring function to the EPA and merging it with the
pesticides programs being transferred from HEW and Interior, the new
agency would be given a broad capability for control over the
introduction of pesticides into the environment.
The Department of Agriculture would continue to conduct research on
the effectiveness of pesticides. The Department would furnish this
information to the EPA, which would have the responsibility for actually
licensing pesticides for use after considering environmental and health
effects. Thus the new agency would be able to make use of the expertise
of the Department.
05 USC advantages of reorganization
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
This reorganization would permit response to environmental problems
in a manner beyond the previous capability of our pollution control
programs. The EPA would have the capacity to do research on important
pollutants irrespective of the media in which they appear, and on the
impact of these pollutants on the total environment. Both by itself and
together with other agencies, the EPA would monitor the condition of the
environment -- biological as well as physical. With these data, the EPA
would be able to establish quantitative ''environmental baselines'' --
critical if we are to measure adequately the success or failure of our
pollution abatement efforts.
As no disjointed array of separate programs can, the EPA would be
able -- in concert with the States -- to set and enforce standards for
air and water quality and for individual pollutants. This consolidation
of pollution control authorities would help assure that we do not create
new environmental problems in the process of controlling existing ones.
Industries seeking to minimize the adverse impact of their activities on
the environment would be assured of consistent standards covering the
full range of their waste disposal problems. As the States develop and
expand their own pollution control programs, they would be able to look
to one agency to support their efforts with financial and technical
assistance and training.
In proposing that the Environmental Protection Agency be set up as a
separate new agency, I am making an exception to one of my own
principles: that, as a matter of effective and orderly administration,
additional new independent agencies normally should not be created. In
this case, however, the arguments against placing environmental
protection activities under the jurisdiction of one or another of the
existing departments and agencies are compelling.
In the first place, almost every part of government is concerned with
the environment in some way, and affects it in some way. Yet each
department also has its own primary mission -- such as resource
development, transportation, health, defense, urban growth or
agriculture -- which necessarily affects its own view of environmental
questions.
In the second place, if the critical standard-setting functions were
centralized within any one existing department, it would require that
department constantly to make decisions affecting other departments --
in which, whether fairly or unfairly, its own objectivity as an
impartial arbiter could be called into question.
Because environmental protection cuts across so many jurisdictions,
and because arresting environmental deterioration is of great importance
to the quality of life in our country and the world, I believe that in
this case a strong, independent agency is needed. That agency would, of
course, work closely with and draw upon the expertise and assistance of
other agencies having experience in the environmental area.
05 USC roles and functions of epa
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
The principal roles and functions of the EPA would include:
-- The establishment and enforcement of environmental protection
standards consistent with national environmental goals.
-- The conduct of research on the adverse effects of pollution
and on methods and equipment for controlling it, the gathering of
information on pollution, and the use of this information in
strengthening environmental protection programs and recommending policy
changes.
-- Assisting others, through grants, technical assistance and
other means in arresting pollution of the environment.
-- Assisting the Council on Environmental Quality in developing
and recommending to the President new policies for the protection of the
environment.
One natural question concerns the relationship between the EPA and
the Council on Environmental Quality, recently established by Act of
Congress.
It is my intention and expectation that the two will work in close
harmony, reinforcing each other's mission. Essentially, the Council is
a top-level advisory group which might be compared with the Council of
Economic Advisers), while the EPA would be an operating, ''line''
organization. The Council will continue to be a part of the Executive
Office of the President and will perform its overall coordinating and
advisory roles with respect to all Federal programs related to
environmental quality.
The Council, then, is concerned with all aspects of environmental
quality -- wildlife preservation, parklands, land use, and population
growth, as well as pollution. The EPA would be charged with protecting
the environment by abating pollution. In short, the Council focuses on
what our broad policies in the environmental field should be; the EPA
would focus on setting and enforcing pollution control standards. The
two are not competing, but complementary -- and taken together, they
should give us, for the first time, the means to mount an effectively
coordinated campaign against environmental degradation in all of its
many forms.
The oceans and the atmosphere are interacting parts of the total
environmental system upon which we depend not only for the quality of
our lives, but for life itself.
We face immediate and compelling needs for better protection of life
and property from natural hazards, and for a better understanding of the
total environment -- an understanding which will enable us more
effectively to monitor and predict its actions, and ultimately, perhaps
to exercise some degree of control over them.
We also face a compelling need for exploration and development
leading to the intelligent use of our marine resources. The global
oceans, which constitute nearly three-fourths of the surface of our
planet, are today the least-understood, the least-developed, and the
least-protected part of our earth. Food from the oceans will
increasingly be a key element in the world's fight against hunger. The
mineral resources of the ocean beds and of the oceans themselves, are
being increasingly tapped to meet the growing world demand. We must
understand the nature of these resources, and assure their development
without either contaminating the marine environment or upsetting its
balance.
Establishment of the National Oceanic and Atmospheric Administration
-- NOAA -- within the Department of Commerce would enable us to approach
these tasks in a coordinated way. By employing a unified approach to
the problems of the oceans and atmosphere, we can increase our knowledge
and expand our opportunities not only in those areas, but in the third
major component of our environment, the solid earth, as well.
Scattered through various Federal departments and agencies, we
already have the scientific, technological, and administrative resources
to make an effective, unified approach possible. What we need is to
bring them together. Establishment of NOAA would do so.
By far the largest of the components being merged would be the
Commerce Department's Environmental Science Services Administration
(ESSA), with some 10,000 employees (70 percent of NOAA's total personnel
strength) and estimated Fiscal 1970 expenditures of almost $200 million.
Placing NOAA within the Department of Commerce therefore entails the
least dislocation, while also placing it within a department which has
traditionally been a center for service activities in the scientific and
technological area.
05 USC components of noaa
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
Under terms of Reorganization Plan No. 4, the programs of the
following organizations would be moved into NOAA:
-- The Environmental Science Services Administration (from within
the Department of Commerce).
-- Elements of the Bureau of Commercial Fisheries (from the
Department of the Interior).
-- The marine sport fish program of the Bureau of Sport Fisheries
and Wildlife (from the Department of the Interior).
-- The Marine Minerals Technology Center of the Bureau of Mines
(from the Department of the Interior).
-- The Office of Sea Grant Programs (from the National Science
Foundation).
-- Elements of the U.S. Lake Survey (from the Department of the
Army).
In addition, by executive action, the programs of the following
organizations would be transferred to NOAA:
-- The National Oceanographic Data Center (from the Department of
the Navy).
-- The National Oceanographic Instrumentation Center (from the
Department of the Navy).
-- The National Data Buoy Project (from the Department of
Transportation).
In brief, these are the principal functions of the programs and
agencies to be combined:
(ESSA) comprises the following components:
-- The Weather Bureau (weather, marine, river and flood
forecasting and warning).
-- The Coast and Geodetic Survey (earth and marine description,
mapping and charting).
-- The Environmental Data Service (storage and retrieval of
environmental data).
-- The National Environmental Satellite Center (observation of
the global environment from earth-orbiting satellites).
-- The ESSA Research Laboratories (research on physical
environmental problems).
ESSA's activities include observing and predicting the state of the
oceans, the state of the lower and upper atmosphere, and the size and
shape of the earth. It maintains the nation's warning systems for such
natural hazards as hurricanes, tornadoes, floods, earthquakes and
seismic sea waves. It provides information for national defense,
agriculture, transportation and industry.
ESSA monitors atmospheric, oceanic and geophysical phenomena on a
global basis, through an unparalleled complex of air, ocean, earth and
space facilities. It also prepares aeronautical and marine maps and
charts.
Bureau of Commercial Fisheries and marine sport fish activities. --
Those fishery activities of the Department of the Interior's U.S. Fish
and Wildlife Service which are ocean related and those which are
directed toward commercial fishing would be transferred. The Fish and
Wildlife Service's Bureau of Commercial Fisheries has the dual function
of strengthening the fishing industry and promoting conservation of
fishery stocks. It conducts research on important marine species and on
fundamental oceanography, and operates a fleet of oceanographic vessels
and a number of laboratories. Most of its activities would be
transferred. From the Fish and Wildlife Service's Bureau of Sport
Fisheries and Wildlife, the marine sport fishing program would be
transferred. This involves five supporting laboratories and three ships
engaged in activities to enhance marine sport fishing opportunities.
The Marine Minerals Technology Center is concerned with the
development of marine mining technology.
Office of Sea Grant Programs. -- The Sea Grant Program was authorized
in 1966 to permit the Federal Government to assist the academic and
industrial communities in developing marine resources and technology.
It aims at strengthening education and training of marine specialists,
supporting applied research in the recovery and use of marine resources,
and developing extension and advisory services. The Office carries out
these objectives by making grants to selected academic institutions.
The U.S. Lake Survey has two primary missions. It prepares and
publishes navigation charts of the Great Lakes and tributary waters and
conducts research on a variety of hydraulic and hydrologic phenomena of
the Great Lakes' waters. Its activities are very similar to those
conducted along the Atlantic and Pacific coasts by ESSA's Coast and
Geodetic Survey.
The National Oceanographic Data Center is responsible for the
collection and dissemination of oceanographic data accumulated by all
Federal agencies.
The National Oceanographic Instrumentation Center provides a central
Federal service for the calibration and testing of oceanographic
instruments.
The National Data Buoy Development Project was established to
determine the feasibility of deploying a system of automatic ocean buoys
to obtain oceanic and atmospheric data.
05 USC role of noaa
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1970
Drawing these activities together into a single agency would make
possible a balanced Federal program to improve our understanding of the
resources of the sea, and permit their development and use while
guarding against the sort of thoughtless exploitation that in the past
laid waste to so many of our precious natural assets. It would make
possible a consolidated program for achieving a more comprehensive
understanding of oceanic and atmospheric phenomena, which so greatly
affect our lives and activities. It would facilitate the cooperation
between public and private interests that can best serve the interests
of all.
I expect that NOAA would exercise leadership in developing a national
oceanic and atmospheric program of research and development. It would
coordinate its own scientific and technical resources with the technical
and operational capabilities of other government agencies and private
institutions. As important, NOAA would continue to provide those
services to other agencies of government, industry and private
individuals which have become essential to the efficient operation of
our transportation systems, our agriculture and our national security.
I expect it to maintain continuing and close liaison with the new
Environmental Protection Agency and the Council on Environmental Quality
as part of an effort to ensure that environmental questions are dealt
with in their totality and that they benefit from the full range of the
government's technical and human resources.
Authorities who have studied this matter, including the Commission on
Marine Science, Engineering and Resources, strongly recommended the
creation of a National Advisory Committee for the Oceans. I agree.
Consequently, I will request, upon approval of the plan, that the
Secretary of Commerce establish a National Advisory Committee for the
Oceans and the Atmosphere to advise him on the progress of governmental
and private programs in achieving the nation's oceanic and atmospheric
objectives.
The reorganizations which I am here proposing afford both the
Congress and the Executive Branch an opportunity to re-evaluate the
adequacy of existing program authorities involved in these
consolidations. As these two new organizations come into being, we may
well find that supplementary legislation to perfect their authorities
will be necessary. I look forward to working with the Congress in this
task.
In formulating these reorganization plans, I have been greatly aided
by the work of the President's Advisory Council on Executive
Organization (the Ash Council), the Commission on Marine Science,
Engineering and Resources (the Stratton Commission, appointed by
President Johnson), my special task force on oceanography headed by Dr.
James Wakelin, and by the information developed during both House and
Senate hearings on proposed NOAA legislation.
Many of those who have advised me have proposed additional
reorganizations, and it may well be that in the future I shall recommend
further changes. For the present, however, I think the two
reorganizations transmitted today represent a sound and significant
beginning. I also think that in practical terms, in this sensitive and
rapidly developing area, it is better to proceed a step at a time -- and
thus to be sure that we are not caught up in a form of organizational
indigestion from trying to rearrange too much at once. As we see how
these changes work out, we will gain a better understanding of what
further changes -- in addition to these -- might be desirable.
Ultimately, our objective should be to insure that the nation's
environmental and resource protection activities are so organized as to
maximize both the effective coordination of all and the effective
functioning of each.
The Congress, the Administration and the public all share a profound
commitment to the rescue of our natural environment, and the
preservation of the Earth as a place both habitable by and hospitable to
man. With its acceptance of these reorganization plans, the Congress
will help us fulfill that commitment.
Richard Nixon.
The White House, July 9, 1970.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
05 USC REORGANIZATION PLAN NO. 4 OF 1970
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
amended Pub. L. 94-461, 4(c)(1), Oct. 8, 1976, 90
Stat. 1969; Pub. L. 95-219, 3(a)(1), Dec. 28,
1977, 91 Stat. 1613; Pub. L. 98-498, title III,
320(c)(3), Oct. 19, 1984, 98 Stat. 2309; Pub. L.
99-659, title IV, 407(d), Nov. 14, 1986, 100 Stat.
3739
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, July 9, 1970, pursuant to the
provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfers to Secretary of Commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
The following are hereby transferred to the Secretary of Commerce:
(a) All functions vested by law in the Bureau of Commercial Fisheries
of the Department of the Interior or in its head, together with all
functions vested by law in the Secretary of the Interior or the
Department of the Interior which are administered through that Bureau or
are primarily related to the Bureau, exclusive of functions with respect
to (1) Great Lakes fishery research and activities related to the Great
Lakes Fisheries Commission, (2) Missouri River Reservoir research, (3)
the Gulf Breeze Biological Laboratory of the said Bureau at Gulf Breeze,
Florida, and (4) Trans-Alaska pipeline investigations.
(b) The functions vested in the Secretary of the Interior by the Act
of September 22, 1959 (Public Law 86-359, 73 Stat. 642, 16 U.S.C.
760e-760g; relating to migratory marine species of game fish).
(c) The functions vested by law in the Secretary of the Interior, or
in the Department of the Interior or in any officer or instrumentality
of that Department, which are administered through the Marine Minerals
Technology Center of the Bureau of Mines.
(d) All functions vested in the National Science Foundation by the
National Sea Grant College and Program Act of 1966 (80 Stat. 998), as
amended (33 U.S.C. 1121 et seq.).
(e) Those functions vested in the Secretary of Defense or in any
officer, employee, or organizational entity of the Department of Defense
by the provision of Public Law 91-144, 83 Stat. 326, under the heading
''Operation and maintenance, general'' with respect to ''surveys and
charting of northern and northwestern lakes and connecting waters,'' or
by other law, which come under the mission assigned as of July 1, 1969,
to the United States Army Engineer District, Lake Survey, Corps of
Engineers, Department of the Army and relate to (1) the conduct of
hydrographic surveys of the Great Lakes and their outflow rivers, Lake
Champlain, New York State Barge Canals, and the Minnesota-Ontario border
lakes, and the compilation and publication of navigation charts,
including recreational aspects, and the Great Lakes Pilot for the
benefit and use of the public, (2) the conception, planning, and conduct
of basic research and development in the fields of water motion, water
characteristics, water quantity, and ice and snow, and (3) the
publication of data and the results of research projects in forms useful
to the Corps of Engineers and the public, and the operation of a
Regional Data Center for the collection, coordination, analysis, and the
furnishing to interested agencies of data relating to water resources of
the Great Lakes.
(f) So much of the functions of the transferor officers and agencies
referred to in or affected by the foregoing provisions of this section
as is incidental to or necessary for the performance by or under the
Secretary of Commerce of the functions transferred by those provisions
or relates primarily to those functions. The transfers to the Secretary
of Commerce made by this section shall be deemed to include the transfer
of authority, provided by law, to prescribe regulations relating
primarily to the transferred functions.
05 USC Sec. 2. Establishment of Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
(a) There is hereby established in the Department of Commerce an
agency which shall be known as the National Oceanic and Atmospheric
Administration, hereinafter referred to as the ''Administration.''
(b) There shall be at the head of the Administration the
Administrator of the National Oceanic and Atmospheric Administration,
hereinafter referred to as the ''Administrator.'' The Administrator
shall be appointed by the President, by and with the advice and consent
of the Senate, and shall be compensated at the rate now or hereafter
provided for Level III of the Executive Schedule Pay Rates (5 U.S.C.
5314).
(c) There shall be in the Administration a Deputy Administrator of
the National Oceanic and Atmospheric Administration who shall be
appointed by the President, by and with the advice and consent of the
Senate, and shall be compensated at the rate now or hereafter provided
for Level IV of the Executive Schedule Pay Rates (5 U.S.C. 5315). The
Deputy Administrator shall perform such functions as the Administrator
shall from time to time assign or delegate, and shall act as
Administrator during the absence or disability of the Administrator or
in the event of a vacancy in the office of Administrator.
(d) There shall be in the Administration a Chief Scientist of the
National Oceanic and Atmospheric Administration who shall be appointed
by the President, by and with the advice and consent of the Senate, and
shall be compensated at the rate now or hereafter provided for Level V
of the Executive Schedule Pay Rates (5 U.S.C. 5316). The Chief Scientist
shall be the principal scientific adviser to the Administrator, and
shall perform such other duties as the Administrator may direct. The
Chief Scientist shall be an individual who is, by reason of scientific
education and experience, knowledgeable in the principles of oceanic,
atmospheric, or other scientific disciplines important to the work of
the Administration. (As amended Pub. L. 94-461, 4(c)(1), Oct. 8, 1976,
90 Stat. 1969; Pub. L. 99-659, title IV, 407(d), Nov. 14, 1986, 100
Stat. 3739.)
(e)(1) There shall be in the Administration a General Counsel and
five Assistant Administrators, one of whom shall be the Assistant
Administrator for Coastal Zone Management and one of whom shall be the
Assistant Administrator for Fisheries. The General Counsel and each
Assistant Administrator shall be appointed by the Secretary, subject to
approval of the President, and shall be compensated at a rate now or
hereafter provided for level V of the Executive Schedule Pay Rates (5
U.S.C. 5316).
(2) The General Counsel shall serve as the chief legal officer for
all legal matters which may arise in connection with the conduct of the
functions of the Administration.
(3) The Assistant Administrator for Coastal Zone Management shall be
an individual who is, by reason of background and experience, especially
qualified to direct the implementation and administration of the Coastal
Zone Management Act of 1972 (16 U.S.C. 1451 et seq.).
(4) The Assistant Administrator for Fisheries shall be responsible
for all matters related to living marine resources which may arise in
connection with the conduct of the functions of the Administration. (As
amended Pub. L. 95-219, 3(a)(1), Dec. 28, 1977, 91 Stat. 1613.)
(f) The President may appoint in the Administration, by and with the
advice and consent of the Senate, two commissioned officers to serve at
any one time as the designated heads of two principal constituent
organizational entities of the Administration, or the President may
designate one such officer as the head of such an organizational entity
and the other as head of the commissioned corps of the Administration.
Any such designation shall create a vacancy on the active list and the
officer while serving under this subsection shall have the rank, pay,
and allowances of a rear admiral (upper half).
(g) Any commissioned officer of the Administration who has served
under (d) or (f) and is retired while so serving or is retired after the
completion of such service while serving in a lower rank or grade, shall
be retired with the rank, pay, and allowances authorized by law for the
highest grade and rank held by him; but any such officer, upon
termination of his appointment in a rank above that of captain, shall,
unless appointed or assigned to some other position for which a higher
rank or grade is provided, revert to the grade and number he would have
occupied had he not served in a rank above that of captain and such
officer shall be an extra number in that grade.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
The provisions of sections 2 and 4 of Reorganization Plan No. 5 of
1950 (64 Stat. 1263) shall be applicable to the functions transferred
hereunder to the Secretary of Commerce.
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred to the Secretary of Commerce by this
reorganization plan as the Director of the Office of Management and
Budget shall determine shall be transferred to the Department of
Commerce at such time or times as the Director shall direct.
(b) Such further measures and dispositions as the Director of the
Office of Management and Budget shall deem to be necessary in order to
effectuate the transfers referred to in subsection (a) of this section
shall be carried out in such manner as he shall direct and by such
agencies as he shall designate.
(c) The personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds of the Environmental
Science Services Administration shall become personnel, property,
records, and unexpended balances of the National Oceanic and Atmospheric
Administration or of such other organizational entity or entities of the
Department of Commerce as the Secretary of Commerce shall determine.
(d) The Commissioned Officer Corps of the Environmental Science
Services Administration shall become the Commissioned Officer Corps of
the National Oceanic and Atmospheric Administration. Members of the
Corps, including those appointed hereafter, shall be entitled to all
rights, privileges, and benefits heretofore available under any law to
commissioned officers of the Environmental Science Services
Administration, including those rights, privileges, and benefits
heretofore accorded by law to commissioned officers of the former Coast
and Geodetic Survey.
(e) Any personnel, property, records, and unexpended balances of
appropriations, allocations, and other funds of the Bureau of Commercial
Fisheries not otherwise transferred shall become personnel, property,
records, and unexpended balances of such organizational entity or
entities of the Department of the Interior as the Secretary of the
Interior shall determine.
05 USC Sec. 5. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
(a) The President may authorize any person who immediately prior to
the effective date of this reorganization plan held a position in the
executive branch of the Government to act as Administrator until the
office of Administrator is for the first time filled pursuant to
provisions of this reorganization plan or by recess appointment, as the
case may be.
(b) The President may similarly authorize any such person to act as
Deputy Administrator and authorize any such person to act as Associate
Administrator.
(c) The President may similarly authorize a member of the former
Commissioned Officer Corps of the Environmental Science Services
Administration to act as the head of one principal constituent
organizational entity of the Administration.
(d) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect of which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
05 USC Sec. 6. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
(a) Subject to the provisions of this reorganization plan, the
following, exclusive of any functions, are hereby abolished:
(1) The Environmental Science Services Administration in the
Department of Commerce (established by Reorganization Plan No. 2 of
1965, 79 Stat. 1318), including the offices of Administrator of the
Environmental Science Administration and Deputy Administrator of the
Environmental Science Services Administration.
(2) The Bureau of Commercial Fisheries in the Department of the
Interior (16 U.S.C. 742b), including the office of Director of the
Bureau of Commercial Fisheries.
(b) Such provisions as may be necessary with respect to terminating
any outstanding affairs shall be made by the Secretary of Commerce in
the case of the Environmental Science Services Administration and by the
Secretary of the Interior in the case of the Bureau of Commercial
Fisheries.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1970
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 4 of 1970, prepared in
accordance with chapter 9 of title 5 of the United States Code. The
plan would transfer to the Secretary of Commerce various functions
relating to the oceans and atmosphere, including commercial fishery
functions, and would establish a National Oceanic and Atmospheric
Administration in the Department of Commerce. My reasons for
transmitting this plan are stated in a more extended accompanying
message.
After investigation, I have found and hereby declare that each
reorganization included in Reorganization Plan No. 4 of 1970 is
necessary to accomplish one or more of the purposes set forth in section
901(a) of title 5 of the United States Code. In particular, the plan is
responsive to section 901(a)(1), ''to promote the better execution of
the laws, the more effective management of the executive branch and of
its agencies and functions, and the expeditious administration of the
public business;'' and section 901(a)(3) ''to increase the efficiency of
the operations of the Government to the fullest extent practicable.''
The reorganizations provided for in the plan make necessary the
appointment and compensation of new officers as specified in section 2
of the plan. The rates of compensation fixed for these officers are
comparable to those fixed for other officers in the executive branch who
have similar responsibilities.
The reorganization plan should result in the more efficient operation
of the Government. It is not practical, however, to itemize or
aggregate the exact expenditure reductions which will result from this
action.
Richard Nixon.
The White House, July 9, 1970.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
05 USC REORGANIZATION PLAN NO. 1 OF 1971
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
amended Pub. L. 93-313, title VI, 601(a), Oct. 1,
1973, 87 Stat. 416
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 24, 1971, pursuant to
the provisions of chapter 9 of title 5 of the United States Code.
05 USC Section 1. Establishment of Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
(Superseded. Pub. L. 93-113, title VI, 601(a), Oct. 1, 1973, 87
Stat. 416. Section established the ''Action'' Agency and is covered by
42 U.S.C. 5041.)
05 USC Sec. 2. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
(a) (Superseded. Pub. L. 93-113, title VI, 601(a), Oct. 1, 1973, 87
Stat. 416. Subsec. (a) transferred to the Director of Action the
functions of the Director of the Office of Economic Opportunity under 42
U.S.C. 2991 to 2994d, the functions of the Secretary of Health,
Education, and Welfare under 42 U.S.C. 3044 to 3044e, the functions of
the Small Business Administration under 15 U.S.C. 637(b), and other
functions incidental to or necessary for the performance of the
foregoing functions, including functions conferred upon the Director of
the Office of Economic Opportunity by 42 U.S.C. 2941. Subject matter is
covered by 42 U.S.C. 4951 et seq. and 5041 note.)
(b) The function conferred upon the Director of the Peace Corps by
section 4(c)(4) of the Peace Corps Act, as amended (22 U.S.C.
2503(c)(4)), is hereby transferred to the President of the United
States.
05 USC Sec. 3. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
(Superseded. Pub. L. 93-113, title VI, 601(a), Oct. 1, 1973, 87
Stat. 416. Section related to performance of transferred functions.)
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
(Superseded. Pub. L. 93-113, title VI, 601(a), Oct. 1, 1973, 87
Stat. 416. Section related to incidental transfers.)
05 USC Sec. 5. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
(a) The President may authorize any person who immediately prior to
the effective date of this reorganization plan held a position in the
executive branch of the Government to act as Director of Action until
the office of Director is for the first time filled pursuant to the
provisions of this reorganization plan or by recess appointment, as the
case may be.
(b) The President may similarly authorize any such person to act as
Deputy Director, authorize any such person to act as Associate Director,
and authorize any such person to act as the head of any principal
constituent organizational entity of Action.
(c) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect of which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
05 USC Sec. 6. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
The provisions of this reorganization plan shall take effect as
provided by section 906(a) of title 5 of the United States Code, or on
July 1, 1971, whichever is later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1971
To the Congress of the United States:
America is a nation unique in the political history of the world.
More than any other nation, it is the sum of the energies and efforts of
all of its people. The American tradition of voluntary involvement --
of freely committing one's time and talents in the search for civic
improvement and social progress -- gives an extra dimension to the
meaning of democracy. In the past decade the Federal Government has
built on this tradition by developing channels for joining the spirit of
voluntary citizen service in America with public needs, both
domestically and abroad. Many of these efforts have had marked success.
But the circumstances in which these efforts were conceived have
changed.
National and international needs have altered. The opportunities for
voluntary service must be adapted and improved to meet these new needs.
Recognizing that private channels of voluntary action are a vital
source of strength in our national life, I have supported the
establishment and development of the National Center for Voluntary
Action. The National Center is a private, non-profit partner in the
effort to generate and encourage volunteer service. The Center works to
promote the establishment of local Voluntary Action Centers, as well as
to assist in the expansion of voluntary action organizations already in
existence. It stimulates voluntary action by providing information on
successful voluntary efforts, and it assists in directing those who wish
to volunteer services to areas and endeavors in which their services are
needed.
The National Center for Voluntary Action is functioning now to fill a
vital need in the private voluntary sector. Now we must turn our
attention to bringing government volunteer programs into line with new
national priorities and new opportunities for meeting those priorities.
We must take full advantage of the lessons of the past decade, and we
must build on the experience of that period if we are to realize the
full potential of voluntary citizen service. This is no longer a matter
of choice. We cannot afford to misuse or ignore the considerable
talents and energies of our people. In the coming years, the continued
progress of our society is going to depend increasingly upon the
willingness of more Americans to participate in voluntary service and
upon our ability to channel their service effectively.
One matter of consequence to the problems of properly channeling
volunteer services and expanding government's role in the development of
volunteer resources is the proliferation of government volunteer
programs. It was perhaps inevitable that these programs would be
generated almost at random across the spectrum of government concern for
human needs. This occurred in a period when the Federal Government was
still attempting to define its relationship with, and its purposes in,
the area of voluntary service. Now the role of government has been
confirmed and its responsibilities and obligations are clear. Meeting
these responsibilities and obligations will be a long, difficult, and
challenging adventure. But it is an adventure we can look to with
excitement and with the knowledge that the only sure source of failure
can be a failure of the will of the American people. I do not believe
it will fail.
The foundation for a greatly expanded government contribution to
volunteer service already exists. Now we must consolidate that
foundation in order to build on it. To accomplish this, I propose a
reorganization of the present volunteer service system. Accordingly, I
herewith transmit to the Congress Reorganization Plan No. 1 of 1971,
prepared in accordance with chapter 9 of title 5 of the United States
Code. Reorganization would bring together within a single agency a
number of voluntary action programs presently scattered throughout the
executive branch of the Federal Government. The new agency would be
called Action.
Under the reorganization plan Action would administer the functions
of the following programs:
-- Volunteers in Service to America: VISTA volunteers work in
domestic poverty areas to help the poor break the poverty cycle.
-- Auxiliary and Special Volunteer Programs in the Office of
Economic Opportunity: At present the National Student Volunteer Program
is administered under this authority. This program stimulates student
voluntary action programs which deal with the problems of the poor.
-- Foster Grandparents: This program provides opportunities for
the elderly poor to assist needy children.
-- Retired Senior Volunteer Program: RSVP provides opportunities
for retired persons to perform voluntary services in their communities.
-- Service Corps of Retired Executives: SCORE provides
opportunities for retired businessmen to assist in the development of
small businesses.
-- Active Corps of Executives: ACE provides opportunities for
working businessmen to assist in the development of small businesses.
After investigation I have found and hereby declare that each
reorganization included in the accompanying reorganization plan is
necessary to accomplish one or more of the purposes set forth in section
901(a) of title 5 of the United States Code. In particular, the plan is
responsive to section 901(a)(1), ''to promote the better execution of
the laws, the more effective management of the executive branch and of
its agencies and functions, and the expeditious administration of the
public business;'' and section 901(a)(3), ''to increase the efficiency
of the operations of the Government to the fullest extent practicable.''
The reorganizations provided for in the plan make necessary the
appointment and compensation of new officers as specified in section 1
of the plan. The rates of compensation fixed for these officers would
be comparable to those fixed for officers in the executive branch who
have similar responsibilities.
The reorganization plan should result in more efficient operation of
the Government. It is not practical, however, to itemize or aggregate
the exact expenditure reductions which would result from this action.
Upon the establishment of Action, I would delegate to it the
principal authority for the Peace Corps now vested in me as President
and delegated to the Secretary of State. In addition, the function of
the Office of Voluntary Action, now operating in the Department of
Housing and Urban Development, would be transferred to the new agency by
executive action.
Finally, I will submit legislation which would include the transfer
of the functions of the Teacher Corps from the Department of Health,
Education, and Welfare to the new agency. This legislation would expand
authority to develop new uses of volunteer talents, it would provide a
citizens' advisory board to work with the director of the new agency,
and it would provide authority to match private contributions.
Although reorganization is only a step, it is the essential first
step toward the goal of a system of volunteer service which uses to the
fullest advantages the power of all the American people to serve the
purposes of the American nation.
In pursuing this goal the new agency would, first, expand the testing
and development of innovations in voluntary actions. Health services,
housing the environment, educational development, manpower and community
planning are just a few of the areas in which we would act to accomplish
more through voluntary service, and I intend to ask for additional funds
and additional authority for Action to explore new approaches to these
and other problems.
In the future, we are going to have to find new ways for more people
to fulfill themselves and to lead satisfying and productive lives. The
problems are of concern even now, but they must be put in perspective
quickly because they will soon be upon us. I believe at least some of
the answers will be found in volunteer service. Action would work to
find those answers and apply them.
Second, there are many Americans who want to contribute to our
national life through voluntary citizen service, but who cannot serve
full time. Their contributions must not be wasted. Volunteers in
full-time service would work with part-time volunteers and the new
agency would develop and provide opportunities for more people to give
part-time service.
Third, Action would bring together in one place programs which appeal
predominantly to younger Americans with those that appeal to older
Americans, and would work to bring the energy, the innovative spirit,
the experience, and the skills of each to bear on specific problems.
The generations in America share America's problems -- they must share
in the search for solutions so that we all may share in the benefits of
our solutions.
Fourth, Action would develop programs for combining foreign service
with domestic service to accommodate volunteers interested in such an
opportunity. I believe that young people in particular would be
interested in the chance for this experience and would greatly benefit
from it. I know there would be great value, for example, in permitting
those who have served the needs of the poor abroad to turn their skills
and experience to helping the poor at home, and vice versa. In
addition, if volunteers are to reap the full benefit of serving, and if
they are to be able to provide others the full benefit of their service,
then we must open the doors to a fuller exchange of ideas and
experiences between overseas and domestic volunteer efforts. These
exchanges would considerably enhance the value of the experience gained
in these endeavors by broadening the areas in which that experience is
applied.
Fifth, at the present time valuable professional skills offered in
voluntary service are too frequently limited by narrow categorical
programs when their broader application is urgently needed. For
example, the contributions of businessmen made through SCORE and ACE are
provided only through the Small Business Administration. We know that
the skills of business can be used in many areas where they are not used
presently. Action would open new channels for service and would permit
a more extensive utilization of business and other vocational and
professional abilities.
Finally, by centralizing administrative functions of the volunteer
services, the new agency would provide a more effective system of
recruitment, training, and placement of full-time volunteers than the
present circumstances permit. It would provide a single source of
information and assistance for those who seek to volunteer full-time
service. And it would permit more effective management of services than
is currently possible in the administration of volunteer programs, as
well as the more efficient use of resources.
In restructuring our system of volunteer services, we can accomplish
the goals which I have set forth. But we must do more than this. We
must restructure our thinking about volunteer services. We must
determine how to use our volunteer resources to accomplish more than
they accomplish now. We need an increased effort to stimulate broader
volunteer service, to involve more volunteers, and to involve them not
simply as foot-soldiers in massive enterprises directed from the top,
but in those often small and local efforts that show immediate results,
that give immediate satisfaction -- those efforts that return to
citizens a sense of having a hand in the business of building America.
Part of our rethinking of this matter must look to the past so that we
may properly meet the needs of the present and prepare for the
possibilities of the future.
Volunteer service in poverty areas is a case in point. We already
have considerable experience in dealing with the problems of poverty
through the use of volunteers. Now we must build upon this experience
and find new ways to use more effectively the volunteers presently
serving in poverty areas, as well as in all other areas, and to
stimulate new programs so that additional numbers of volunteers can
assist in the solution of community and national problems.
In line with this effort to build on what we have learned. Action
would function with particular concern for these basic principles:
-- It would encourage local initiative, and would support local
programs to solve local problems.
-- Where appropriate, the new agency would assign volunteers to
assist, and work under the technical supervision of other Federal
agencies, State and local agencies or organizations, and private
sponsors.
-- The services of local part-time volunteers would be sought and
supported in the effort to accomplish specific jobs. They would be
assisted, when necessary, by full-time volunteers.
-- Universities and colleges, State, city and private
organizations must be engaged in the effort to broaden opportunities for
volunteer service and under the new agency they would be assisted in
these efforts.
-- Finally, to meet the increasing need for skilled volunteers,
Action would give increased emphasis to recruiting and applying the
skills of trained craftsmen and professional workers.
To insure that the new agency has financial resources to begin
working toward the goals I have outlined, I will seek for this agency an
additional $20 million above the budget requests I have already
submitted for the component agencies. These funds would be directed
primarily to finding new ways to use volunteer services.
The early nineteenth century observer of America, Alexis de
Tocqueville, was intrigued by the propensity of Americans to join
together in promoting common purposes. ''As soon as several of the
inhabitants of the United States have taken up an opinion or a feeling
which they wish to promote in the world, they look out for mutual
assistance, and as soon as they have found one another out, they
combine. From that moment they are no longer isolated men, but a power
seen from afar * * *.''
Though we have seen the success of Government volunteer efforts in
the past ten years, I believe voluntary citizen service is still little
more than a power seen from afar. In relation to its potential, this
power is virtually undeveloped. We must develop it.
There are those today, as there always will be, who find infinite
fault with life in this Nation and who conveniently forget that they
share responsibility for the quality of life we lead. But our needs are
too great for this attitude to be accepted. America belongs to all of
its people. We are all responsible for the direction this Nation will
take in the century ahead, for the quality of life we will lead and our
children will lead. We are all responsible, whether we choose to be or
not, for the survival and the success of the American experience and the
American dream.
So there is little room for the luxury of making complaints without
making commitments.
America must enlist the ideals, the energy, the experience, and the
skills of its people on a larger scale than it ever has in the past. We
must insure that these efforts be used to maximum advantage. We must
insure that the desire to serve be linked with the opportunity to serve.
We must match the vision of youth with the wisdom of experience. We
must apply the understanding gained from foreign service to domestic
needs, and we must extend what we learn in domestic service to other
nations. And in all these endeavors, I believe, we can bring the power
seen from afar to focus clearly on the problems and the promise of our
time.
Richard Nixon.
The White House, March 24, 1971.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
05 USC REORGANIZATION PLAN NO. 1 OF 1973
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
amended Pub. L. 94-282, title V, 502, May 11, 1976,
90 Stat. 472
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, January 26, 1973, pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfer of Functions to the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
Except as provided in section 3(a)(2) of this reorganization plan,
there are hereby transferred to the President of the United States all
functions vested by law in the Office of Emergency Preparedness or the
Director of the Office of Emergency Preparedness after the effective
date of Reorganization Plan No. 1 of 1958.
Sec. 2. (Repealed. Pub. L. 94-282, title V, 502, May 11, 1976, 90
Stat. 472. Section transferred to the Director of the National Science
Foundation all functions vested by law in the Office of Science and
Technology or the Director or Deputy Director of the Office of Science
and Technology.)
05 USC Sec. 3. Abolitions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
(a) The following are hereby abolished:
(1) The Office of Emergency Preparedness including the offices of
Director, Deputy Director, and all offices of Assistant Director, and
Regional Director of the Office of Emergency Preparedness provided for
by sections 2 and 3 of Reorganization Plan No. 1 of 1958 (5 U.S.C.,
App.).
(2) The functions of the Director of the Office of Emergency
Preparedness with respect to being a member of the National Security
Council.
(3) The Civil Defense Advisory Council, created by section 102(a) of
the Federal Civil Defense Act of 1950 (50 U.S.C. App. 2272(a)), together
with its functions.
(4) The National Aeronautics and Space Council, created by section
201 of the National Aeronautics and Space Act of 1958 (42 U.S.C. 2471),
including the office of Executive Secretary of the Council, together
with its functions.
(5) The Office of Science and Technology, including the offices of
Director and Deputy Director, provided for by sections 1 and 2 of
Reorganization Plan No. 2 of 1962 (5 U.S.C., App.).
(b) The Director of the Office of Management and Budget shall make
such provisions as he shall deem necessary respecting the winding up of
any outstanding affairs of the agencies abolished by the provisions of
this section.
05 USC Sec. 4. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred by sections 1 and 2 of this reorganization plan as
the Director of the Office of Management and Budget shall determine
shall be transferred at such time or times as he shall direct for use in
connection with the functions transferred.
(b) Such further measures and dispositions as the Director of the
Office of Management and Budget shall deem to be necessary in order to
effectuate the transfers referred to in subsection (a) of this section
shall be carried out in such manner as he shall direct and by such
agencies as he shall designate.
05 USC Sec. 5. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
The provisions of this reorganization plan shall take effect as
provided by section 906(a) of title 5 of the United States Code, or on
July 1, 1973, whichever is later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1973
To the Congress of the United States:
On January 5 I announced a three-part program to streamline the
executive branch of the Federal Government. By concentrating less
responsibility in the President's immediate staff and more in the hands
of the departments and agencies, this program should significantly
improve the services of the Government. I believe these reforms have
become so urgently necessary that I intend, with the cooperation of the
Congress, to pursue them with all of the resources of my office during
the coming year.
The first part of this program is a renewed drive to achieve passage
of my legislative proposals to overhaul the Cabinet departments.
Secondly, I have appointed three Cabinet Secretaries as Counsellors to
the President with coordinating responsibilities in the broad areas of
human resources, natural resources, and community development, and five
Assistants to the President with special responsibilities in the areas
of domestic affairs, economic affairs, foreign affairs, executive
management, and operations of the White House.
The third part of this program is a sharp reduction in the overall
size of the Executive Office of the President and a reorientation of
that office back to its original mission as a staff for top-level policy
formation and monitoring of policy execution in broad functional areas.
The Executive Office of the President should no longer be encumbered
with the task of managing or administering programs which can be run
more effectively by the departments and agencies. I have therefore
concluded that a number of specialized operational and program functions
should be shifted out of the Executive Office into the line departments
and agencies of the Government. Reorganization Plan No. 1 of 1973,
transmitted herewith, would effect such changes with respect to
emergency preparedness functions and scientific and technological
affairs.
When the National Science Foundation was established by an act of the
Congress in 1950, its statutory responsibilities included evaluation of
the Government's scientific research programs and development of basic
science policy. In the late 1950's however, with the effectiveness of
the U.S. science effort under serious scrutiny as a result of sputnik,
the post of Science Advisor to the President was established. The White
House became increasingly involved in the evaluation and coordination of
research and development programs and in science policy matters, and
that involvement was institutionalized in 1962 when a reorganization
plan established the Office of Science and Technology within the
Executive Office of the President, through transfer of authorities
formerly vested in the National Science Foundation.
With advice and assistance from OST during the past decade, the
scientific and technological capability of the Government has been
markedly strengthened. This administration is firmly committed to
sustained, broad-based national effort in science and technology, as I
made plain last year in the first special message on the subject ever
sent by a President to the Congress. The research and development
capability of the various executive departments and agencies, civilian
as well as defense, has been upgraded. The National Science Foundation
has broadened from its earlier concentration on basic research support
to take on a significant role in applied research as well. It has
matured in its ability to play a coordinating and evaluative role within
the Government and between the public and private sectors.
I have therefore concluded that it is timely and appropriate to
transfer to the Director of the National Science Foundation all
functions presently vested in the Office of Science and Technology, and
to abolish that office. Reorganization Plan No. 1 would effect these
changes.
The multi-disciplinary staff resources of the Foundation will provide
analytic capabilities for performance of the transferred functions. In
addition, the Director of the Foundation will be able to draw on
expertise from all of the Federal agencies, as well as from outside the
Government, for assistance in carrying out his new responsibilities.
It is also my intention, after the transfer of responsibilities is
effected, to ask Dr. H. Guyford Stever, the current Director of the
Foundation, to take on the additional post of Science Adviser. In this
capacity, he would advise and assist the White House, Office of
Management and Budget, Domestic Council, and other entities within the
Executive Office of the President on matters where scientific and
technological expertise is called for, and would act as the President's
representative in selected cooperative programs in international
scientific affairs, including chairing such joint bodies as the
U.S.-U.S.S.R. Joint Commission on Scientific and Technical Cooperation.
In the case of national security, the Department of Defense has
strong capabilities for assessing weapons needs and for undertaking new
weapons development, and the President will continue to draw primarily
on this source for advice regarding military technology. The President
in special situations also may seek independent studies or assessments
concerning military technology from within or outside the Federal
establishment, using the machinery of the National Security Council for
this purpose, as well as the Science Adviser when appropriate.
In one special area of technology -- space and aeronautics -- a
coordinating council has existed within the Executive Office of the
President since 1958. This body, the National Aeronautics and Space
Council, met a major need during the evolution of our nation's space
program. Vice President Agnew has served with distinction as its
chairman for the past four years. At my request, beginning in 1969, the
Vice President also chaired a special Space Task Group charged with
developing strategy alternatives for a balanced U.S. space program in
the coming years.
As a result of this work, basic policy issues in the United States
space effort have been resolved, and the necessary interagency
relationships have been established. I have therefore concluded, with
the Vice President's concurrence, that the Council can be discontinued.
Needed policy coordination can now be achieved through the resources of
the executive departments and agencies, such as the National Aeronautics
and Space Administration, augmented by some of the former Council staff.
Accordingly, my reorganization plan proposes the abolition of the
National Aeronautics and Space Council.
The organization within the Executive Office of the President which
has been known in recent years as the Office of Emergency Preparedness
dates back, through its numerous predecessor agencies, more than 20
years. It has performed valuable functions in developing plans for
emergency preparedness, in administering Federal disaster relief, and in
overseeing and assisting the agencies in this area.
OEP's work as a coordinating and supervisory authority in this field
has in fact been so effective -- particularly under the leadership of
General George A. Lincoln, its director for the past four years, who
retired earlier this month after an exceptional military and public
service career -- that the line departments and agencies which in the
past have shared in the performance of the various preparedness
functions now possess the capability to assume full responsibility for
those functions. In the interest of efficiency and economy, we can now
further streamline the Executive Office of the President by formally
relocating those responsibilities and closing the Office of Emergency
Preparedness.
I propose to accomplish this reform in two steps. First,
Reorganization Plan No. 1 would transfer to the President all functions
previously vested by law in the Office or its Director, except the
Director's role as a member of the National Security Council, which
would be abolished; and it would abolish the Office of Emergency
Preparedness.
The functions to be transferred to the President from OEP are largely
incidental to emergency authorities already vested in him. They include
functions under the Disaster Relief Act of 1970 (42 U.S.C. 4401 et
seq.); the function of determining whether a major disaster has
occurred within the meaning of (1) Section 7 of the Act of September 30,
1950, as amended, 20 U.S.C. 241-1, or (2) Section 762(a) of the Higher
Education Act of 1965, as added by Section 161(a) of the Education
Amendments of 1972, Public Law 92-318, 86 Stat. 288 at 299 (relating to
the furnishing by the Commissioner of Education of disaster relief
assistance for educational purposes) (20 U.S.C. 1132d-1); and
functions under Section 232 of the Trade Expansion Act of 1962, as
amended (19 U.S.C. 1862), with respect to the conduct of investigations
to determine the effects on national security of the importation of
certain articles.
The Civil Defense Advisory Council within OEP would also be abolished
by this plan, as changes in domestic and international conditions since
its establishment in 1950 have now obviated the need for a standing
council of this type. Should advice of the kind the Council has
provided be required again in the future, State and local officials and
experts in the field can be consulted on an ad hoc basis.
Second, as soon as the plan became effective, I would delegate OEP's
former functions as follows:
All OEP responsibilities having to do with preparedness for and
relief of civil emergencies and disasters would be transferred to the
Department of Housing and Urban Development. This would provide greater
field capabilities for coordination of Federal disaster assistance with
that provided by States and local communities, and would be in keeping
with the objective of creating a broad, new Department of Community
Development.
OEP's responsibilities for measures to ensure the continuity of civil
government operations in the event of major military attack would be
reassigned to the General Services Administration, as would
responsibility for resource mobilization including the management of
national security stockpiles, with policy guidance in both cases to be
provided by the National Security Council, and with economic
considerations relating to changes in stockpile levels to be coordinated
by the Council on Economic Policy.
Investigations of imports which might threaten the national security
-- assigned to OEP by Section 232 of the Trade Expansion Act of 1962 (19
U.S.C. 1862) -- would be reassigned to the Treasury Department, whose
other trade studies give it a readymade capability in this field; the
National Security Council would maintain its supervisory role over
strategic imports.
Those disaster relief authorities which have been reserved to the
President in the past, such as the authority to declare major disasters,
will continue to be exercised by him under these new arrangements. In
emergency situations calling for rapid interagency coordination, the
Federal response will be coordinated by the Executive Office of the
President under the general supervision of the Assistant to the
President in charge of executive management.
The Oil Policy Committee will continue to function as in the past,
unaffected by this reorganization, except that I will designate the
Deputy Secretary of the Treasury as chairman in place of the Director of
OEP. The committee will operate under the general supervision of the
Assistant to the President in charge of economic affairs.
After investigation, I have found that each action included in the
accompanying plan is necessary to accomplish one or more of the purposes
set forth in Section 901(a) of title 5 of the United States Code. In
particular, the plan is responsive to the intention of the Congress as
expressed in Section 901(a)(1), ''to promote better execution of the
laws, more effective management of the executive branch and of its
agencies and functions, and expeditious administration of the public
business;'' and in Section 901(a)(3), ''to increase the efficiency of
the operations of the Government to the fullest extent practicable;''
and in Section 901(a)(5), ''to reduce the number of agencies by
consolidating those having similar functions under a single head, and to
abolish such agencies or functions as may not be necessary for the
efficient conduct of the Government.''
While it is not practicable to specify all of the expenditure
reductions and other economies which will result from the actions
proposed, personnel and budget savings from abolition of the National
Aeronautics and Space Council and the Office of Science and Technology
alone will exceed $2 million annually, and additional savings should
result from a reduction of Executive Pay Schedule positions now
associated with other transferred and delegated functions.
The plan has as its one logically consistent subject matter the
streamlining of the Executive Office of the President and the
disposition of major responsibilities currently conducted in the
Executive Office of the President, which can better be performed
elsewhere or abolished.
The functions which would be abolished by this plan, and the
statutory authorities for each, are:
(1) the functions of the Director of the Office of Emergency
Preparedness with respect to being a member of the National Security
Council (Sec. 101, National Security Act of 1947, as amended, 50 U.S.C.
402; and Sec. 4, Reorganization Plan No. 1 of 1958);
(2) the functions of the Civil Defense Advisory Council (Sec. 102(a)
Federal Civil Defense Act of 1950; 50 U.S.C. App. 2272(a)); and
(3) the functions of the National Aeronautics and Space Council (Sec.
201, National Aeronautics and Space Act of 1958; 42 U.S.C. 2471).
The proposed reorganization is a necessary part of the restructuring
of the Executive Office of the President. It would provide through the
Director of the National Science Foundation a strong focus for Federal
efforts to encourage the development and application of science and
technology to meet national needs. It would mean better preparedness
for and swifter response to civil emergencies, and more reliable
precautions against threats to the national security. The leaner and
less diffuse Presidential staff structure which would result would
enhance the President's ability to do his job and would advance the
interests of the Congress as well.
I am confident that this reorganization plan would significantly
increase the overall efficiency and effectiveness of the Federal
Government. I urge the Congress to allow it to become effective.
Richard Nixon.
The White House, January 26, 1973.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
05 USC REORGANIZATION PLAN NO. 2 OF 1973
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
amended Pub. L. 93-253, 1, Mar. 16, 1974, 88 Stat.
50
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, March 28, 1973, pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfers to the Attorney General
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
There are hereby transferred from the Secretary of the Treasury, the
Department of the Treasury, and any other officer or any agency of the
Department of the Treasury, to the Attorney General all intelligence,
investigative, and law enforcement functions, vested by law in the
Secretary, the Department, officers, or agencies which relate to the
suppression of illicit traffic in narcotics, dangerous drugs, or
marihuana, except that the Secretary shall retain, and continue to
perform, those functions, to the extent that they relate to searches and
seizures of illicit narcotics, dangerous drugs, or marihuana or to the
apprehension or detention of persons in connection therewith, at regular
inspection locations at ports of entry or anywhere along the land or
water borders of the United States: Provided, that any illicit
narcotics, dangerous drugs, marihuana, or related evidence seized, and
any person apprehended or detained by the Secretary or any officer of
the Department of the Treasury, pursuant to the authority retained in
them by virtue of this section, shall be turned over forthwith to the
jurisdiction of the Attorney General: Provided further, that nothing in
this section shall be construed as limiting in any way any authority
vested by law in the Secretary of the Treasury, the Department of the
Treasury, or any other officer or any agency of that Department on the
effective date of this Plan with respect to contraband other than
illicit narcotics, dangerous drugs, and marihuana: and Provided
further, that nothing in this section shall be construed as limiting in
any way any authority the Attorney General, the Department of Justice,
or any other officer or any agency of that Department may otherwise have
to make investigations or engage in law enforcement activities,
including activities relating to the suppression of illicit traffic in
narcotics, dangerous drugs, and marihuana, at ports of entry or along
the land and water borders of the United States.
05 USC Sec. 2. Transfers to the Secretary of the Treasury
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
(Repealed. Pub. L. 93-253, 1(a)(1), (b), Mar. 16, 1974, 88 Stat.
50, eff. July 1, 1973. Section had provided for transfer to Secretary of
Treasury of functions vested in Attorney General, Department of Justice,
or any other officer of such Department respecting inspection at ports
of entry of persons, and documents of persons, entering or leaving the
United States.)
05 USC Sec. 3. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
The Bureau of Narcotics and Dangerous Drugs, including the Office of
Director thereof, is hereby abolished, and section 3(a) of
Reorganization Plan No. 1 of 1968 is hereby repealed. The Attorney
General shall make such provision as he may deem necessary with respect
to terminating those affairs of the Bureau of Narcotics and Dangerous
Drugs not otherwise provided for in the Reorganization Plan.
05 USC Sec. 4. Drug Enforcement Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
There is established in the Department of Justice an agency which
shall be known as the Drug Enforcement Administration, hereinafter
referred to as ''the Administration.''
05 USC Sec. 5. Officers of the Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
(a) There shall be at the head of the Administration the
Administrator of Drug Enforcement, hereinafter referred to as ''the
Administrator.'' The Administrator shall be appointed by the President
by and with the advice and consent of the Senate, and shall receive
compensation at the rate now or hereafter prescribed by law for
positions of level III of the Executive Schedule Pay Rates (5 U.S.C.
5314). He shall perform such functions as the Attorney General shall
from time to time direct.
(b) There shall be in the Administration a Deputy Administrator of
the Drug Enforcement Administration, hereinafter referred to as ''the
Deputy Administrator,'' who shall be appointed by the President by and
with the advice and consent of the Senate, shall perform such functions
as the Attorney General may from time to time direct, and shall receive
compensation at the rate now or hereafter prescribed by law for
positions of level V of the Executive Schedule Pay Rates (5 U.S.C.
5316).
(c) The Deputy Administrator or such other official of the Department
of Justice as the Attorney General shall from time to time designate
shall act as Administrator during the absence or disability of the
Administrator or in the event of a vacancy in the office of
Administrator.
05 USC Sec. 6. Performance of Transferred Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
The Attorney General may from time to time make such provisions as he
shall deem appropriate authorizing the performance of any of the
functions transferred to him by the provisions of this Reorganization
Plan by any officer, employee, or agency of the Department of Justice.
(Section, former subsec. (a) designation, and subsec. (b) providing
for performance of functions transferred to Secretary of Treasury by any
officer, employee, or agency of Treasury Department, repealed by Pub. L.
93-253, 1(a)(2), (b), Mar. 16, 1974, 88 Stat. 50, eff. July 1, 1973.)
05 USC Sec. 7. Coordination
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
The Attorney General, acting through the Administrator and such other
officials of the Department of Justice as he may designate, shall
provide for the coordination of all drug law enforcement functions
vested in the Attorney General so as to assure maximum cooperation
between and among the Administration, the Federal Bureau of
Investigation, and other units of the Department involved in the
performance of these and related functions.
05 USC Sec. 8. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available or to be made available in connection with the functions
transferred to the Attorney General by this Reorganization Plan as the
Director of the Office of Management and Budget shall determine shall be
transferred to the Department of Justice at such time or times as the
Director shall direct.
(b) Such further measures and dispositions as the Director of the
Office of Management and Budget shall deem to be necessary in order to
effectuate transfers referred to in subsection (a) of this section shall
be carried out in such manner as he shall direct and by such Federal
agencies as he shall designate.
05 USC Sec. 9. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
(a) The President may authorize any person who, immediately prior to
the effective date of this Reorganization Plan, held a position in the
Executive Branch of the Government to act as Administrator until the
office of Administrator is for the first time filled pursuant to the
provisions of this Reorganization Plan or by recess appointment as the
case may be.
(b) The President may similarly authorize any such person to act as
Deputy Administrator.
(c) The President may authorize any person who serves in an acting
capacity under the foregoing provisions of this section to receive the
compensation attached to the office in respect to which he so serves.
Such compensation, if authorized, shall be in lieu of, but not in
addition to, other compensation from the United States to which such
person may be entitled.
05 USC Sec. 10. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
The provisions of this Reorganization Plan shall take effect as
provided by section 906(a) of title 5 of the United States Code or on
July 1, 1973, whichever is later.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1973
To the Congress of the United States:
Drug abuse is one of the most vicious and corrosive forces attacking
the foundations of American society today. It is a major cause of crime
and a merciless destroyer of human lives. We must fight it with all of
the resources at our command.
This Administration has declared all-out, global war on the drug
menace. As I reported to the Congress earlier this month in my State of
the Union message, there is evidence of significant progress on a number
of fronts in that war.
Both the rate of new addiction to heroin and the number of
narcotic-related deaths showed an encouraging downturn last year. More
drug addicts and abusers are in treatment and rehabilitation programs
than ever before.
Progress in pinching off the supply of illicit drugs was evident in
last year's stepped-up volume of drug seizures worldwide -- which more
than doubled in 1972 over the 1971 level.
Arrests of traffickers have risen by more than one-third since 1971.
Prompt Congressional action on my proposal for mandatory minimum
sentences for pushers of hard drugs will help ensure that convictions
stemming from such arrests lead to actual imprisonment of the guilty.
Notwithstanding these gains, much more must be done. The resilience
of the international drug trade remains grimly impressive -- current
estimates suggest that we still intercept only a small fraction of all
the heroin and cocaine entering this country. Local police still find
that more than one of every three suspects arrested for street crimes is
a narcotic abuser or addict. And the total number of Americans addicted
to narcotics, suffering terribly themselves and inflicting their
suffering on countless others, still stands in the hundreds of
thousands.
Seeking ways to intensify our counter-offensive against this menace,
I am asking the Congress today to join with this Administration in
strengthening and streamlining the Federal drug law enforcement effort.
Funding for this effort has increased sevenfold during the past five
years, from $36 million in fiscal year 1969 to $257 million in fiscal
year 1974 -- more money is not the most pressing enforcement need at
present. Nor is there a primary need for more manpower working on the
problem, over 2100 new agents having already been added to the Federal
drug enforcement agencies under this Administration, an increase of more
than 250 percent over the 1969 level.
The enforcement work could benefit significantly, however, from
consolidation of our anti-drug forces under a single unified command.
Right now the Federal Government is fighting the war on drug abuse under
a distinct handicap, for its efforts are those of a loosely confederated
alliance facing a resourceful, elusive, worldwide enemy. Admiral Mahan,
the master naval strategist, described this handicap precisely when he
wrote that ''Granting the same aggregate of force, it is never as great
in two hands as in one, because it is not perfectly concentrated.''
More specifically, the drug law enforcement activities of the United
States now are not merely in two hands but in half a dozen. Within the
Department of Justice, with no overall direction below the level of the
Attorney General, these fragmented forces include the Bureau of
Narcotics and Dangerous Drugs, the Office for Drug Abuse Law
Enforcement, the Office of National Narcotics Intelligence, and certain
activities of the Law Enforcement Assistance Administration. The
Treasury Department is also heavily engaged in enforcement work through
the Bureau of Customs.
This aggregation of Federal activities has grown up rapidly over the
past few years in response to the urgent need for stronger anti-drug
measures. It has enabled us to make a very encouraging beginning in the
accelerated drug enforcement drive of this Administration.
But it also has serious operational and organizational shortcomings.
Certainly the cold-blooded underworld networks that funnel narcotics
from suppliers all over the world into the veins of American drug
victims are no respecters of the bureaucratic dividing lines that now
complicate our anti-drug efforts. On the contrary, these modern-day
slave traders can derive only advantage from the limitations of the
existing organizational patchwork. Experience has now given us a good
basis for correcting those limitations, and it is time to do so.
I therefore propose creation of a single, comprehensive Federal
agency within the Department of Justice to lead the war against illicit
drug traffic.
Reorganization Plan No. 2 of 1973, which I am transmitting to the
Congress with this message, would establish such an agency, to be called
the Drug Enforcement Administration. It would be headed by an
Administrator reporting directly to the Attorney General.
The Drug Enforcement Administration would carry out the following
anti-drug functions, and would absorb the associated manpower and
budgets:
-- All functions of the Bureau of Narcotics and Dangerous Drugs
(which would be abolished as a separate entity by the reorganization
plan);
-- Those functions of the Bureau of Customs pertaining to drug
investigations and intelligence (to be transferred from the Treasury
Department to the Attorney General by the reorganization plan);
-- All functions of the Office for Drug Abuse Law Enforcement;
and
-- All functions of the Office of National Narcotics
Intelligence.
Merger of the latter two organizations into the new agency would be
effected by an executive order dissolving them and transferring their
functions, to take effect upon approval of Reorganization Plan No. 2 by
the Congress. Drug law enforcement research currently funded by the Law
Enforcement Assistance Administration and other agencies would also be
transferred to the new agency by executive action.
The major responsibilities of the Drug Enforcement Administration
would thus include:
-- development of overall Federal drug law enforcement strategy,
programs, planning, and evaluation;
-- full investigation and preparation for prosecution of suspects
for violations under all Federal drug trafficking laws;
-- full investigation and preparation for prosecution of suspects
connected with illicit drugs seized at U.S. ports-of-entry and
international borders;
-- conduct of all relations with drug law enforcement officials
of foreign governments, under the policy guidance of the Cabinet
Committee on International Narcotics Control;
-- full coordination and cooperation with State and local law
enforcement officials on joint drug enforcement efforts; and
-- regulation of the legal manufacture of drugs and other
controlled substances under Federal regulations.
The Attorney General, working closely with the Administrator of this
new agency, would have authority to make needed program adjustments. He
would take steps within the Department of Justice to ensure that high
priority emphasis is placed on the prosecution and sentencing of drug
traffickers following their apprehension by the enforcement
organization. He would also have the authority and responsibility for
securing the fullest possible cooperation -- particularly with respect
to collection of drug intelligence -- from all Federal departments and
agencies which can contribute to the anti-drug work, including the
Internal Revenue Service and the Federal Bureau of Investigation.
My proposals would make possible a more effective anti-drug role for
the FBI, especially in dealing with the relationship between drug
trafficking and organized crime. I intend to see that the resources of
the FBI are fully committed to assist in supporting the new Drug
Enforcement Administration.
The consolidation effected under Reorganization Plan No. 2 would
reinforce the basic law enforcement and criminal justice mission of the
Department of Justice. With worldwide drug law enforcement
responsibilities no longer divided among several organizations in two
different Cabinet departments, more complete and cumulative drug law
enforcement intelligence could be compiled. Patterns of international
and domestic illicit drug production, distribution, and sale could be
more directly compared and interpreted. Case-by-case drug law
enforcement activities could be more comprehensively linked,
cross-referenced, and coordinated into a single, organic enforcement
operation. In short, drug law enforcement officers would be able to
spend more time going after the traffickers and less time coordinating
with one another.
Such progress could be especially helpful on the international front.
Narcotics control action plans, developed under the leadership of the
Cabinet Committee on International Narcotics Control, are now being
carried out by U.S. officials in cooperation with host governments in 59
countries around the world. This wide-ranging effort to cut off drug
supplies before they ever reach U.S. borders or streets is just now
beginning to bear fruit. We can enhance its effectiveness, with little
disruption of ongoing enforcement activities, by merging both the highly
effective narcotics force of overseas Customs agents and the rapidly
developing international activities of the Bureau of Narcotics and
Dangerous Drugs into the Drug Enforcement Administration. The new
agency would work closely with the Cabinet Committee under the active
leadership of the U.S. Ambassador in each country where anti-drug
programs are underway.
Two years ago, when I established the Special Action Office for Drug
Abuse Prevention within the Executive Office of the President, we gained
an organization with the necessary resources, breadth, and leadership
capacity to begin dealing decisively with the ''demand'' side of the
drug abuse problem -- treatment and rehabilitation for those who have
been drug victims, and preventive programs for potential drug abusers.
This year, by permitting my reorganization proposals to take effect, the
Congress can help provide a similar capability on the ''supply'' side.
The proposed Drug Enforcement Administration, working as a team with the
Special Action Office, would arm Americans with a potent one-two punch
to help us fight back against the deadly menace of drug abuse. I ask
full Congressional cooperation in its establishment.
No heroin or cocaine is produced within the United States; domestic
availability of these substances results solely from their illegal
importation. The careful and complete inspection of all persons and
goods coming into the United States is therefore an integral part of
effective Federal drug law enforcement.
At the present time, however, Federal responsibility for conducting
port-of-entry inspections is awkwardly divided among several Cabinet
departments. The principal agencies involved are the Treasury
Department's Bureau of Customs, which inspects goods, and the Justice
Department's Immigration and Naturalization Service, which inspects
persons and their papers. The two utilize separate inspection
procedures, hold differing views of inspection priorities, and employ
dissimilar personnel management practices.
To reduce the possibility that illicit drugs will escape detection at
ports-of-entry because of divided responsibility, and to enhance the
effectiveness of the Drug Enforcement Administration, the reorganization
plan which I am proposing today would transfer to the Secretary of the
Treasury all functions currently vested in Justice Department officials
to inspect persons, or the documents of persons.
When the plan takes effect, it is my intention to direct the
Secretary of the Treasury to use the resources so transferred --
including some 1,000 employees of the Immigration and Naturalization
Service -- to augment the staff and budget of the Bureau of Customs.
The Bureau's primary responsibilities would then include:
-- inspection of all persons and goods entering the United
States;
-- valuation of goods being imported, and assessment of
appropriate tariff duties;
-- interception of contraband being smuggled into the United
States;
-- enforcement of U.S. laws governing the international movement
of goods, except the investigation of contraband drugs and narcotics;
and
-- turning over the investigation responsibility for all drug law
enforcement cases to the Department of Justice.
The reorganization would thus group most port-of-entry inspection
functions in a single Cabinet department. It would reduce the need for
much day-to-day interdepartmental coordination, allow more efficient
staffing at some field locations, and remove the basis for damaging
inter-agency rivalries. It would also give the Secretary of the
Treasury the authority and flexibility to meet changing requirements in
inspecting the international flow of people and goods. An important
by-product of the change would be more convenient service for travellers
entering and leaving the country.
For these reasons, I am convinced that inspection activities at U.S.
ports-of-entry can more effectively support our drug law enforcement
efforts if concentrated in a single agency. The processing of persons
at ports-of-entry is too closely interrelated with the inspection of
goods to remain organizationally separated from it any longer. Both
types of inspections have numerous objectives besides drug law
enforcement, so it is logical to vest them in the Treasury Department,
which has long had the principal responsibility for port-of-entry
inspection of goods, including goods being transported in connection
with persons. As long as the inspections are conducted with full
awareness of related drug concerns it is neither necessary nor desirable
that they be made a responsibility of the primary drug enforcement
organization.
After investigation, I have found that each action included in
Reorganization Plan No. 2 of 1973 is necessary to accomplish one or
more of the purposes set forth in Section 901(a) of Title 5 of the
United States Code. In particular, the plan is responsive to the
intention of the Congress as expressed in Section 901(a)(1): ''to
promote better execution of the laws, more effective management of the
executive branch and of its agencies and functions, and expeditious
administration of the public business;'' Section 901(a)(3): ''to
increase the efficiency of the operations of the Government to the
fullest extent practicable;'' Section 901(a)(5): ''to reduce the number
of agencies by consolidating those having similar functions under a
single head, and to abolish such agencies or functions as may not be
necessary for the efficient conduct of the Government;'' and Section
901(a)(6): ''to eliminate overlapping and duplication of effort.''
As required by law, the plan has one logically consistent subject
matter: consolidation of Federal drug law enforcement activities in a
manner designed to increase their effectiveness.
The plan would establish in the Department of Justice a new
Administration designated as the Drug Enforcement Administration. The
reorganizations provided for in the plan make necessary the appointment
and compensation of new officers as specified in Section 5 of the plan.
The rates of compensation fixed for these officers would be comparable
to those fixed for officers in the executive branch who have similar
responsibilities.
While it is not practicable to specify all of the expenditure
reductions and other economies which may result from the actions
proposed, some savings may be anticipated in administrative costs now
associated with the functions being transferred and consolidated.
The proposed reorganization is a necessary step in upgrading the
effectiveness of our Nation's drug law enforcement effort. Both of the
proposed changes would build on the strengths of established agencies,
yielding maximum gains in the battle against drug abuse with minimum
loss of time and momentum in the transition.
I am confident that this reorganization plan would significantly
increase the overall efficiency and effectiveness of the Federal
Government. I urge the Congress to allow it to become effective.
Richard Nixon.
The White House, March 28, 1973.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
05 USC REORGANIZATION PLAN NO. 1 OF 1977
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
97-195, 1(c)(5), June 16, 1982, 96 Stat. 115
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, July 15, 1977, /1/ pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
/1/ As amended Sept. 15, 1977.
05 USC Section 1. Redesignation of Domestic Council Staff
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
The Domestic Council staff is hereby designated the Domestic Policy
Staff and shall consist of such staff personnel as are determined by the
President to be necessary to assure that the needs of the President for
prompt and comprehensive advice are met with respect to matters of
economic and domestic policy. The staff shall continue to be headed by
an Executive Director who shall be an Assistant to the President,
designated by the President, as provided in Section 203 of
Reorganization Plan No. 2 of 1970. The Executive Director shall
perform such functions as the President may from time to time direct.
05 USC Sec. 2. Establishment of an Office of Administration
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
There is hereby established in the Executive Office of the President
the Office of Administration which shall be headed by the President.
There shall be a Director of the Office of Administration. The Director
shall be appointed by the President and shall serve as chief
administrative officer of the Office of Administration. The President
is authorized to fix the compensation and duties of the Director.
The Office of Administration shall provide components of the
Executive Office of the President with such administrative services as
the President shall from time to time direct.
05 USC Sec. 3. Abolition of Components
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
The following components of the Executive Office of the President are
hereby abolished:
A. The Domestic Council;
B. The Office of Drug Abuse Policy;
C. The Office of Telecommunications Policy; and
D. The Economic Opportunity Council.
05 USC Sec. 4. Appointment of the Assistant Secretary of Commerce for
Communications and Information
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
There shall be in the Department of Commerce an Assistant Secretary
for Communications and Information who shall be appointed by the
President, by and with the advice and consent of the Senate. (As
amended Pub. L. 97-195, 1(c)(5), June 16, 1982, 96 Stat. 115.)
05 USC Sec. 5. Transfers of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
The following functions shall be transferred:
A. All functions vested in the Director of the Office of Science and
Technology Policy and in the Office of Science and Technology Policy
pursuant to sections 205(a)(2), 206 and 209 of the National Science and
Technology Policy, Organization, and Priorities Act of 1976 (Public Law
94-282; 90 Stat. 459) (42 U.S.C. 6614(a)(2), 6615 and 6618), are hereby
transferred to the Director of the National Science Foundation. The
Intergovernmental Science, Engineering, and Technology Advisory Panel,
the President's Committee on Science and Technology, and the Federal
Coordinating Council for Science, Engineering and Technology,
established in accordance with the provisions of Titles II, III, IV of
the National Science and Technology Policy, Organization, and Priorities
Act of 1976 (42 U.S.C. 6611 et seq., 6631 et seq., and 6651 et seq.),
are hereby abolished, and their functions transferred to the President.
B. Those functions of the Office of Telecommunications Policy and of
its Director relating to:
(1) the preparation of Presidential telecommunications policy options
including, but not limited to those related to the procurement and
management of Federal telecommunications systems, national security, and
emergency matters; and
(2) disposition of appeals from assignments of radio frequencies to
stations of the United States Government;
are hereby transferred to the President who may delegate such
functions within the Executive Office of the President as the President
may from time to time deem desirable. All other functions of the Office
of Telecommunications Policy and of its Director are hereby transferred
to the Secretary of Commerce who shall provide for the performance of
such functions.
C. The functions of the Office of Drug Abuse Policy and its Director
are hereby transferred to the President, who may delegate such functions
within the Executive Office of the President as the President may from
time to time deem desirable.
D. The functions of the Domestic Council are hereby transferred to
the President, who may delegate such functions within the Executive
Office of the President as the President may from time to time deem
desirable.
E. Those functions of the Council on Environmental Quality and the
Office of Environmental Quality relating to the evaluation provided for
by Section 11 of the Federal Nonnuclear Energy Research and Development
Act of 1974 (Public Law 93-577, 88 Stat. 1878) (42 U.S.C. 5910), are
hereby transferred to the Administrator of the Environmental Protection
Agency.
F. Those functions of the Office of Management and Budget and its
Director relating to the Committee Management Secretariat (Public Law
92-463, 86 Stat. 770, as amended by Public Law 94-409, 90 Stat. 1247)
(see section 7 of the Federal Advisory Committee Act, Pub. L. 92-463,
Oct. 6, 1972, 86 Stat. 770, set out in this Appendix) are hereby
transferred to the Administrator of General Services.
G. The functions of the Economic Opportunity Council are hereby
transferred to the President, who may delegate such functions within the
Executive Office of the President as the President may from time to time
deem desirable.
05 USC Sec. 6. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
So much of the personnel, property, records, and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
department, agency, or component at such time or times as the Director
of the Office of Management and Budget shall provide, except that no
such unexpended balances transferred shall be used for purposes other
than those for which the appropriation was originally made. The
Director of the Office of Management and Budget shall provide for
terminating the affairs of all agencies abolished herein and for such
further measures and dispositions as such Director deems necessary to
effectuate the purposes of this Reorganization Plan.
05 USC Sec. 7. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
This Reorganization Plan shall become effective at such time or times
on or before April 1, 1978, as the President shall specify, but no
sooner than the earliest time allowable under Section 906 of Title 5 of
the United States Code.
(For Executive Orders setting effective dates of various provisions
of Reorg. Plan No. 1 of 1977 pursuant to section 7 thereof, and further
implementing such Reorg. Plan, see notes set out preceding 3 U.S.C.
101.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
To the Congress of the United States:
I herewith transmit my plan for the Reorganization of the Executive
Office of the President (EOP), Reorganization Plan No. 1 of 1977. This
plan is the first of a series I intend to submit under the
reorganization authority vested in me by the Reorganization Act of 1977
(Public Law 95-17) (5 U.S.C. 901-912). It adheres to the purposes set
forth in Section 901(a) of the Act (5 U.S.C. 901(a)).
This plan in conjunction with the other steps I am taking will:
Eliminate seven of the seventeen units now within the EOP and modify
the rest. There were 19 units when I took office; the President's
Foreign Intelligence Advisory Board and the Economic Policy Board have
already been abolished. Thus with this plan I will have eliminated nine
of 19 EOP units.
Reduce EOP staffing by about 250 which includes the White House staff
reduction of 134 or 28 percent which I have already ordered.
Improve efficiency by centralizing administrative functions; and
Improve the process by which information is provided for Presidential
decisionmaking.
These recommendations arise from a careful, systematic study of the
EOP. They are based on the premise that the EOP exists to serve the
President and should be structured to meet his needs. They will reduce
waste and cost while improving the service the President, and the
nation, receive from the EOP.
The EOP now consists of the immediate White House Office, the Vice
President's Office, the Office of Management and Budget, and fourteen
other agencies. The EOP has a budget authority of about $80,000,000 and
1,712 full time employees.
The White House Office concentrates on close personal support
including policy and political advice and administrative and operational
services. The Office of the Vice President provides similar support to
him. OMB's primary mission is to develop and implement the budget; it
also carries out a number of management and reorganization activities.
Three EOP units have responsibility for policy development:
National Security Council.
Domestic Council.
Council on International Economic Policy.
The other 11 are more specialized offices that offer analysis and
advice, help develop policy in certain areas, or carry out special
projects. These are:
Council of Economic Advisers.
Council on Wage and Price Stability.
Office of the Special Representative for Trade Negotiations.
Council on Environmental Quality.
Office of Science and Technology Policy.
Office of Drug Abuse Policy.
Office of Telecommunications Policy.
Intelligence Oversight Board.
Federal Property Council.
Energy Resources Council.
Economic Opportunity Council.
To make the EOP more effective, four steps are necessary:
I. Strengthen management of policy issues.
II. Limit the EOP, wherever possible, to functions directly related
to the President's work.
III. Centralize administrative services.
IV. Reduce size of White House and EOP staffs.
05 USC i. strengthen process management of policy issues
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
Perhaps the most important function of the President's staff is to
make sure he has the wide variety of views and facts he needs to make
decisions. By building a more orderly system for collecting information
and advice, the President can make sure that he will hear all the views
he should -- and hear them in time. To better insure that this happens,
I am taking the following actions to:
Institute for domestic and economic issues, a system similar to the
Presidential Review Memorandum process currently used for National
Security issues.
Create a committee of Presidential advisers, chaired by the Vice
President, to set priorities among issues and oversee their staffing.
Assure that Presidential decision memoranda on policy issues are
coordinated with Cabinet and EOP advisers most involved with the issue.
Consolidate under the Staff Secretary the two current White House
paper circulation systems.
Appoint a group of advisers to review the decisionmaking process
periodically.
Give the Assistant to the President for Domestic Affairs and Policy
clear responsibility for managing the way in which domestic and most
economic policy issues are prepared for Presidential decision.
Assign follow-up responsibility for Presidential decisions as
follows: immediate follow-up will be handled by the NSC or Domestic
Policy Staff most directly involved in the issue; long term follow-up
on selected issues will be handled by the Assistant to the President for
Intergovernmental Relations.
These actions recognize that the White House and Executive Office
staff must use their proximity to the President to insure that the full
resources of the government and the public are brought to bear on
Presidential decisions in a timely fashion. It is my purpose in
instituting these changes to strengthen Cabinet participation in
Presidential decisions.
05 USC ii. rationalize eop structure by limiting eop, wherever
possible, to functions which bear a close relationship to the work of
the president
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
As the President's principal staff institution, there are several
major things the EOP must do:
Provide day-to-day operational support (e.g. scheduling,
appointments) and help the President communicate with the public, the
Congress, and the press.
Manage the budget and coordinate Administration positions on matters
before the Congress.
Manage the Presidential decisionmaking processes efficiently and
fairly, and bring the President the widest possible range of opinions.
Help the President: plan and set priorities; monitor and evaluate
progress toward achieving the President's objectives; understand and
resolve major conflicts among line subordinates; manage crises,
especially in national security matters.
In order to restructure the EOP around these basic functions, the
functions of seven units should be discontinued or transferred, and ten
units, including the White House Office, should be retained but
modified.
Seven units should be discontinued or their functions transferred.
These are:
1. Office of Drug Abuse Policy.
2. Office of Telecommunications Policy.
3. Council on International Economic Policy.
4. Federal Property Council.
5. Energy Resources Council.
6. Economic Opportunity Council.
7. Domestic Council.
The functions of the Office of Drug Abuse Policy (ODAP) can be
performed by a smaller staff reporting to a Presidential adviser in the
EOP. The Office itself will be discontinued.
Much of the work done by the Office of Telecommunications Policy
(OTP) can be more effectively performed outside the EOP. It is
important that the EOP have the capacity to resolve differences and that
the President have immediate advice on telecommunications and
information policy, especially on national security, emergency
preparedness and privacy issues. This only requires a small staff
within EOP. The Office of Management and Budget would take
responsibility for Federal telecommunications procurement and management
policy and arbitration of interagency disputes about frequency
allocation. All other functions except developing Presidential policy
options would be transferred to a new office within the Department of
Commerce, headed by a new Assistant Secretary for Communications and
Information, who will perform many of the functions previously performed
by the head of the OTP.
I propose that the Economic Opportunity Council be discontinued; it
is dormant and its only active function (preparation of the Catalogue of
Federal Domestic Assistance) is being performed by OMB. Three other
units are also inactive and should be discontinued: Council on
International Economic Policy, the Federal Property Council, and the
Energy Resources Council.
The Domestic Council should be abolished. It has rarely functioned
as a Council, because it is too large and its membership too diverse to
make decisions efficiently. Its functions have been performed entirely
by its staff. This Domestic Policy Staff should report to the Assistant
to the President for Domestic Affairs and Policy. Under the policy
process system described earlier, they should manage the process which
coordinates the making of domestic and most economic policy. They
should work closely with the Cabinet departments and agencies to insure
that the views of the Cabinet and agency heads are brought to the
President before decisions are made.
The ten EOP units which will continue with some modification are:
1. White House Office.
2. Office of the Vice President.
3. Office of Management and Budget.
4. Council on Environmental Quality.
5. Council of Economic Advisers.
6. Office of Science and Technology Policy.
7. Office of the Special Representative for Trade Negotiations.
8. National Security Council.
9. Intelligence Oversight Board.
10. Council on Wage and Price Stability.
The operations of the Office of the Vice President reflect the
combination of constitutional, statutory, and Presidentially assigned
duties that make it unique among EOP units. Because his interests and
assignments cover the same range as the President's, the Vice President
requires a staff with expertise in diverse areas. Its basic functions
should not be changed. However, I propose that certain support
functions -- involving accounting, personnel services, and supply -- be
transferred to a centralized EOP Administrative Unit.
The Office of Management and Budget would remain as a separate entity
in the EOP, but some functional changes should be made. Four functions
should be transferred from OMB to other parts of the government:
Administration to the new EOP Central Administrative Unit;
Executive Department/Labor Relations (except for Pay Agent, Executive
Level Pools, and Legislative Analysis) to the Civil Service Commission;
Advisory Committee Management Secretariat to the General Services
Administration;
Statistical Policy (except Forms Clearance) to the Department of
Commerce.
I have asked the OMB to reorganize its management arm to emphasize
major Presidential initiatives, such as reorganization, program
evaluation, paperwork reduction, and regulatory reform.
The Council on Environmental Quality (CEQ) should remain in the EOP
as an environmental adviser to the President. The CEQ's major purpose
is to provide an independent assessment of our policies for improving
the environment. Toward this end, it will analyze long term trends and
conditions in the environment. It will advise OMB on the reorganization
of natural resources functions within the Federal Government. The
Council will retain the functions it now has under NEPA and Executive
Order No. 11514 with the exception of routine review of the adequacy of
impact statements and the administrative aspects of their receipt and
handling. The EPA will take over CEQ's evaluation responsibility under
the Federal Nonnuclear Energy Research Development Act of 1974 (section
5901 et seq. of Title 42, The Public Health and Welfare). The CEQ will
continue to review and publish the Annual Report on Environmental
Quality.
The strength of the Council of Economic Advisers (CEA) lies in its
economic analysis of current policy choices. It also presents objective
economic data, makes macroeconomic forecasts, and analyzes economic
trends and their impact on the national economy. It will continue with
a small reduction in staff.
The Office of Science and Technology Policy (OSTP) should retain
those science, engineering, and technology functions which can be so
useful in helping the President and his advisers make decisions about
policy and budget issues. Instead of the Intergovernmental Science,
Engineering, and Technology Advisory Panels, the President should rely
on an intergovernmental relations working group, chaired by the Science
Adviser. The Federal Coordinating Council on Science and Technology
should operate as a sub-Cabinet working group chaired by the Science
Adviser. The reorganization work of the President's Committee on
Science and Technology would be part of the overall reorganization
effort. The responsibility for preparing certain reports should be
transferred to the National Science Foundation.
The proposal places manageable limits on OSTP's broad mandate while
emphasizing functions that support the President.
The Office of the Special Representative for Trade Negotiations (STR)
is now operating effectively and will be retained essentially as is.
With the difficult negotiations now underway in Geneva, the benefits of
transferring the STR to another agency are outweighed by the potential
reduction in its effectiveness as an international negotiator.
The National Security Council (NSC) will be retained in its present
form and its staff slightly reduced.
Intelligence Oversight Board (IOB) should be retained to insure that
abuses of the past are not repeated and to emphasize Presidential
concerns regarding intelligence issues.
The Council of Wage and Price Stability (COWPS) is a necessary weapon
in the continuing fight against inflation and will be retained. To be
sure that its work is closely coordinated with the economic analyses
performed by the Council of Economic Advisers (CEA), COWPS should be
directed by the Chairman of CEA.
05 USC iii. centralize administrative functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
About 380 (22 percent) of the full-time, permanent EOP personnel
perform administrative support services in EOP units. Most EOP units
besides the White House and OMB are too small to provide a full
complement of administrative services. They depend on the White House,
OMB, GSA, other federal departments, or several of these sources for
many of these services. This approach is inefficient; the quality is
uneven and the coordination poor. Some services are duplicated, others
inconsistently distributed (excess capacity in some units and
deficiencies in others), and most too costly.
I propose to combine administrative support operations into a Central
Administrative Unit in EOP to provide support in administrative services
common to all EOP entities. It should be a separate EOP entity because
of the need to assure equal access by all other units.
This consolidation will result in:
Saving of roughly 40 positions and about $1.1 million improved and
more innovative services.
A focus for monitoring the efficiency and responsibility of
administrative services.
A base for an effective EOP budget/planning system through which the
President can manage an integrated EOP rather than a collection of
disparate units.
The EOP has never before been organized as a single, unified entity
serving the President. It is only by viewing it as a whole that we can
improve efficiency through steps like the Central Administrative Unit.
05 USC iv. reduce the size of white house and eop staffs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1977
I am reducing the White House staff by 28 percent, from the 485 I
inherited from my predecessor to 351. This involves cuts in my policy
and administrative staffs as well as transfers to the Central
Administrative Unit.
I estimate that this plan and the other steps I am taking will reduce
staff levels in the EOP by about 250, from 1,712 full-time permanent
positions to about 1,460 and will save the taxpayers at least $6
million.
As in the rest of the government, I will be reluctant to add staff
unless necessary to help me do my job better.
I ask that you support me in improving the operations of the
Executive Office of the President by approving the attached
reorganization plan.
In summary this plan would:
Abolish the Domestic Council and establish a Domestic Policy Staff.
Establish within the EOP a Central Administrative Unit.
Transfer certain functions of the Council on Environmental Quality to
the President for redelegation.
Abolish the Office of Drug Abuse Policy and vest functions in the
President for redelegation.
Abolish the Office of Telecommunications Policy and transfer
functions to the Department of Commerce and to the President for
redelegation.
Create an Assistant Secretary of Commerce for Communications and
Information.
Vest some Office of Science and Technology Policy functions in the
President for redelegation.
Abolish the Economic Opportunity Council and vest those functions in
the President for redelegation.
Transfer the Committee Management Secretariat function of the Office
of Management and Budget to the President for redelegation.
Make other incidental transfers attendant to those mentioned above.
Each of the changes set forth in the plan accompanying this message
is necessary to accomplish one or more of the purposes set forth in
Section 901(a) of Title 5 of the United States Code. I have taken care
to determine that all functions abolished by the plan are done so only
under statutory authority provided by Section 903(b) of Title 5 of the
United States Code. The provisions in the plan for the appointment and
pay of any head or officer of any agency have been found by me to be
necessary.
As we continue our studies of other parts of the Executive Branch, we
will find more ways to improve services in the EOP and elsewhere. This
plan is only a beginning, but I am confident that it represents a major
step toward a more efficient government that will serve the needs of the
people and the President well.
Jimmy Carter.
The White House, July 15, 1977.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
05 USC REORGANIZATION PLAN NO. 2 OF 1977
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
101-246, title II, 204(c), Feb. 16, 1990, 104 Stat.
50
Prepared by the President and transmitted to the Senate and House of
Representatives in Congress assembled, October 11, 1977, /1/ pursuant to
the provisions of chapter 9 of title 5 of the United States Code. /2/
/1/ Actually transmitted Oct. 12, 1977.
/2/ As amended Nov. 1, 1977, and Nov. 3, 1977.
05 USC Section 1. Establishment of the International Communication
Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
There is hereby established in the executive branch an agency to be
known as the International Communication Agency (the ''Agency'').
05 USC Sec. 2. Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
The Agency shall be headed by a Director (the ''Director''), who
shall serve as the principal advisor to the President, the National
Security Council, and the Secretary of State on the functions vested in
the Director. The Director shall report to the President and the
Secretary of State. Under the direction of the Secretary of State, the
Director shall have primary responsibility within the Government for the
exercise of the functions vested in the Director. The Director shall be
appointed by the President, by and with the advice and consent of the
Senate, and shall be entitled to receive compensation at the rate now or
hereafter prescribed by law for Level II of the Executive Schedule (5
U.S.C. 5313).
05 USC Sec. 3. Deputy Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
A Deputy Director shall be appointed by the President, by and with
the advice and consent of the Senate. The Deputy Director shall act
for, and exercise the powers of, the Director during the Director's
absence or disability or during a vacancy in said office and, in
addition, shall perform such duties and exercise such powers as the
Director may from time to time prescribe. The Deputy Director shall be
entitled to receive compensation at the rate now or hereafter prescribed
by law for Level III of the Executive Schedule (5 U.S.C. 5314).
05 USC Sec. 4. Associate Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
The President, by and with the advice and consent of the Senate, may
appoint four Associate Directors, who shall perform such duties and
exercise such powers as the Director may from time to time prescribe.
One Associate Director shall be known as the Associate Director for
Educational and Cultural Affairs and one Associate Director shall be
known as the Associate Director for Broadcasting. Each Associate
Director shall be entitled to receive compensation at the rate now or
hereafter prescribed by law for Level IV of the Executive Schedule (5
U.S.C. 5315).
05 USC Sec. 5. Performance of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
The Director may establish within the Agency bureaus, offices,
divisions and other units. The Director may from time to time make
provision for the performance of any function of the Director by any
officer, employee or unit of the Agency.
05 USC Sec. 6. Negotiations
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
(a) Under the direction of the Secretary of State, the Director shall
prepare for, manage and conduct negotiations with representatives of
foreign states or international organizations on matters for which
responsibility is vested in the Director or in the Agency.
(b) For the purpose of conducting such negotiations, or for the
purpose of exercising any other authority vested in the Director or in
the Agency, the Director may
(1) consult and communicate with or direct the consultation and
communication with representatives of other nations or of international
organizations; and
(2) communicate in the name of the Secretary of State with diplomatic
representatives of the United States in this country and abroad.
05 USC Sec. 7. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
(a) There are hereby transferred to the Director all functions vested
in the President, the Secretary of State, the Department of State, the
Director of the United States Information Agency, and the United States
Information Agency pursuant to the following:
(1) the United States Information and Educational Exchange Act of
1948, as amended (22 U.S.C. 1431-1479), except to the extent that any
function in sections 302, 401, or 602 (22 U.S.C. 1452, 1456, or 1467) is
vested in the President;
(2) the Mutual Educational and Cultural Exchange Act of 1961, as
amended (22 U.S.C. 2451-2458a), except for: (A) such functions as are
vested by sections 102(b)(6), 102(b)(10), 104(a), 104(e)(1), 104(e)(2),
104(f), 104(g), 105(a), 105(b), 105(c), 106(a), 108 (22 U.S.C.
2452(b)(6), (b)(10), 2454(a), (e)(1), (2), (f), (g), 2455(a), (b), (c),
2456(a), 2458); (B) to the extent that such functions were assigned to
the Secretary of Health, Education and Welfare immediately prior to the
effective date of this Reorganization Plan, sections 104(b), 105(d)(2),
105(f), 106(d), and 106(f) (22 U.S.C. 2454(b), 2455(d)(2), (f), 2456(d),
(f)); and (C) to the extent that any function therein is vested in the
President or the Secretary of State, sections 106(b) and 106(c) (22
U.S.C. 2456(b), (c)).
(3) Public Law 90-494 (22 U.S.C. 929-932, 1221-1234), to the extent
that such functions are vested in the Director of the United States
Information Agency;
(4) Sections 522(3), 692(1), and 803(a)(4) of the Foreign Service Act
of 1946, as amended (22 U.S.C. 922(3), 1037a(1), and 1063(a)(4)), to the
extent such functions are vested in the Director of the United States
Information Agency or in the United States Information Agency.
(5) Section 4 of the United States Information Agency Appropriations
Authorization Act of 1973, Public Law 93-168 (Nov. 29, 1973, 87 Stat.
689);
(6)(A) Sections 107(b), 204 and 205 of the Foreign Relations
Authorization Act, Fiscal Year 1978, Public Law 95-105, 91 Stat. 844
(Aug. 17, 1977); and (B) to the extent such functions are vested in the
Director of the United States Information Agency, section 203 of the
Act;
(7) the Center for Cultural and Technical Interchange Between East
and West Act of 1960 (22 U.S.C. 2054-2057);
(8) Sections 101(a)(15)(J) and 212(e) of the Immigration and
Nationality Act (8 U.S.C. 1101(a)(15)(J), 1182(e));
(9) Section 2(a)(1) of Reorganization Plan No. 8 of 1953 (22 U.S.C.
1461 note);
(10) Section 3(a) of the Arts and Artifacts Indemnity Act (20 U.S.C.
972(a));
(11) Section 7 of the Act of June 15, 1951, c. 138, 65 Stat. 71 (50
U.S.C. App. 2316);
(12) Section 9(b) of the National Foundation on the Arts and
Humanities Act of 1965 (20 U.S.C. 958(b)), to the extent that such
functions are vested in the Secretary of State;
(13) Section 112(a) of the Higher Education Act of 1965 (20 U.S.C.
1009(a)), to the extent such functions are vested in the Department of
State;
(14) Section 3(b)(1) of the Woodrow Wilson Memorial Act of 1968 (20
U.S.C. 80f(b)(1));
(15) Section 201 of Public Law 89-665, as amended by section 201(5)
of Public Law 94-422 (16 U.S.C. 470i(a)(9));
(16) The third proviso in the twenty-third unnumbered paragraph of
title V of Public Law 95-86 (headed ''UNITED STATES INFORMATION AGENCY,
SALARIES AND EXPENSES''), 91 Stat. 440-41 (Aug. 2, 1977);
(17) The twentieth unnumbered paragraph of title I of Public Law
95-86 (headed ''CENTER FOR CULTURAL AND TECHNICAL INTERCHANGE BETWEEN
EAST AND WEST''), 91 Stat. 424;
(18) Sections 4(d)(1)(F), 4(f)(1)(F), 4(g)(1)(F), and 4(h)(1)(F) of
the Foreign Service Buildings Act, 1926, as amended (22 U.S.C.
295(d)(1)(F), 295(f)(1)(F), 295(g)(1)(F), and 295(h)(1)(F)); and
(19) Sections 1, 2, and 3 of the Act of July 9, 1949, c. 301, 63
Stat. 408 (22 U.S.C. 2681-2683).
(b) There are hereby transferred to the Director all functions vested
in the Assistant Secretary of State for Public Affairs pursuant to
Section 2(a) of the John F. Kennedy Center Act (20 U.S.C. 76h(a)).
(c) The Director shall insure that the scholarly integrity and
nonpolitical character of educational and cultural exchange activities
vested in the Director are maintained.
05 USC Sec. 8. Establishment of the United States Advisory Commission
on International Communication, Cultural and Educational Affairs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
(a) There is hereby established an advisory commission, to be known
as the United States Advisory Commission on International Communication,
Cultural and Educational Affairs (the ''Commission'') (the United States
Advisory Commission on Public Diplomacy). The Commission shall consist
of seven members who shall be appointed by the President, by and with
the advice and consent of the Senate. The members of the Commission
shall represent the public interest and shall be selected from the cross
section of educational, communications, cultural, scientific, technical,
public service, labor and business and professional backgrounds. Not
more than four members shall be from any one political party. The term
of each member shall be three years except that of the original seven
appointments, two shall be for a term of one year and two shall be for a
term of two years. Any member appointed to fill a vacancy occurring
prior to the expiration of the term for which a predecessor was
appointed shall be appointed for the remainder of such term. Upon the
expiration of a member's term of office, such member may continue to
serve until a successor is appointed and has qualified. The President
shall designate a member to chair the Commission.
(b) The functions now vested in the United States Advisory Commission
on Information and in the United States Advisory Commission on
International Educational and Cultural Affairs under sections 601
through 603 and 801(6) of the United States Information and Educational
Exchange Act of 1948, as amended (22 U.S.C. 1466-1468, 1471(6)), and
under sections 106(b) and 107 of the Mutual Educational and Cultural
Exchange Act of 1961, as amended (22 U.S.C. 2456(b), 2457),
respectively, are hereby consolidated and vested in the Commission, as
follows:
The Commission shall formulate and recommend to the Director, the
Secretary of State, and the President policies and programs to carry out
the functions vested in the Director or the Agency, and shall appraise
the effectiveness of policies and programs of the Agency. The
Commission shall submit to the Congress, the President, the Secretary of
State and the Director annual reports on programs and activities carried
on by the Agency, including appraisals, where feasible, as to the
effectiveness of the several programs. The Commission shall also
include in such reports such recommendations as shall have been made by
the Commission to the Director for effectuating the purposes of the
Agency, and the action taken to carry out such recommendations. The
Commission may also submit such other reports to the Congress as it
deems appropriate, and shall make reports to the public in the United
States and abroad to develop a better understanding of and support for
the programs conducted by the Agency. The Commission's reports to the
Congress shall include assessments of the degree to which the scholarly
integrity and nonpolitical character of the educational and cultural
exchange activities vested in the Director have been maintained, and
assessments of the attitudes of foreign scholars and governments
regarding such activities.
(c) The Commission shall have no authority with respect to the J.
William Fulbright Foreign Scholarship Board or the United States
National Commission for UNESCO. (As amended Pub. L. 101-246, title II,
204(c), Feb. 16, 1990, 104 Stat. 50.)
(Any provisions of section 8 of Reorg. Plan No. 2 of 1977
inconsistent with 22 U.S.C. 1469 to no longer have legal effect on Jan.
20, 1989, and prohibition limiting membership of individuals from same
political party is repealed, see 22 U.S.C. 1469(d).)
(United States Advisory Commission on International Communication,
Cultural and Educational Affairs was redesignated the United States
Advisory Commission on Public Diplomacy by 22 U.S.C. 1469.)
05 USC Sec. 9. Abolitions and Supersessions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
(a) The following are hereby abolished:
(1) The United States Information Agency, including the offices of
Director, Deputy Director, Deputy Director (Policy and Plans) (5 U.S.C.
5316(67)), Associate Director (Policy and Plans) (5 U.S.C. 5316(103)),
and additional offices created by section 1(d) of Reorganization Plan
No. 8 of 1953 (22 U.S.C. 1461 note), of the United States Information
Agency, provided that, pending the initial appointment of the Director,
Deputy Director and Associate Directors of the Agency their functions
shall be performed temporarily, but not for a period in excess of sixty
(60) days, by such officers of the Department of State or of the United
States Information Agency as the President shall designate;
(2) One of the offices of Assistant Secretary of State provided for
in section 1 of the Act of May 26, 1949, c. 143, 63 Stat. 111, as
amended (22 U.S.C. 2652), and in section 5315(22) of title 5 of the
United States Code;
(3) The United States Advisory Commission on International
Educational and Cultural Affairs (22 U.S.C. 2456(b));
(4) The United States Advisory Commission on Information (22 U.S.C.
1466-1468);
(5) All functions vested in or related to the United States Advisory
Commission on International Educational and Cultural Affairs and the
United States Advisory Commission on Information that are not
transferred to the Director by section 7 or consolidated in the
Commission by section 8 of this Reorganization Plan;
(6) The Advisory Committee on the Arts, all functions thereof, and
all functions relating thereto (22 U.S.C. 2456(c)); and
(7) The functions vested in the Secretary of State by section 3(e) of
the Act of August 1, 1956, c. 841, 70 Stat. 890 (22 U.S.C. 2670(e)).
(b) Sections 1, 2(a)(2), 2(b), 2(c)(3), 3, 4, and 5 of Reorganization
Plan No. 8 of 1953 (22 U.S.C. 1461 note) are hereby superseded.
05 USC Sec. 10. Other Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
So much of the personnel, property, records, and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred or consolidated by this Reorganization Plan, as the Director
of the Office of Management and Budget shall determine, shall be
transferred to the appropriate department, agency, or commission at such
time or times as the Director of the Office of Management and Budget
shall provide, except that no such unexpended balances transferred shall
be used for purposes other than those for which the appropriation was
originally made. The Director of the Office of Management and Budget
shall provide for terminating the affairs of all agencies, commissions,
and offices abolished herein and for such further measures and
dispositions as such Director deems necessary to effectuate the purposes
of this Reorganization Plan.
05 USC Sec. 11. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
This Reorganization Plan shall become effective at such time or
times, on or before July 1, 1978, as the President shall specify, but
not sooner than the earliest time allowable under section 906 of title 5
of the United States Code.
(Pursuant to Ex. Ord. No. 12048, Mar. 27, 1978, 43 F.R. 13361, this
Reorg. Plan is effective July 1, 1978.)
(The International Communication Agency was redesignated the United
States Information Agency and the Director or any other official of the
International Communication Agency redesignated as Director or other
official, as appropriate, of the United States Information Agency, see
section 303 of Pub. L. 97-241, Title III, Aug. 24, 1982, 96 Stat. 291,
set out as a note under section 1461 of Title 22, Foreign Relations and
Intercourse.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1977
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1977 to consolidate
certain international communication, educational and cultural, and
broadcasting activities of the United States Government. I am acting
under the authority vested in me by the Reorganization Act, chapter 9 of
title 5 of the United States Code. I am also acting pursuant to section
501 of the Foreign Relations Authorization Act, Fiscal Year 1978 (Public
Law 95-105) (Aug. 17, 1977, 91 Stat. 857), which provides that my
recommendations for reorganizing these activities be transmitted by
October 31, 1977.
This reorganization will consolidate into a new agency, to be known
as the Agency for International Communication, the functions now
exercised by the State Department's Bureau of Educational and Cultural
Affairs and the United States Information Agency.
The principal aspects of this proposal are:
-- The new agency will take over USIA's international
communications programs (including the Voice of America) and the
international educational and cultural exchange activities now conducted
by the Bureau of Educational and Cultural Affairs.
-- The agency's Director will be the principal advisor on
international information and exchange activities to the President, the
National Security Council, and the Secretary of State. Under the
direction of the Secretary of State, the Director will have primary
responsibility within the Government for the conduct of such activities.
The Director, the Deputy Director and the Associate Directors of the
new agency will be confirmed by the Senate.
-- The two commissions that now advise USIA and the Bureau of
Educational and Cultural Affairs will be combined into a single
seven-member commission. Members of this nonpartisan commission will be
chosen from fields related to the agency's mission. The commissioners
will be appointed by the President and confirmed by the Senate.
The purpose of this reorganization is to broaden our informational,
educational and cultural intercourse with the world, since this is the
major means by which our government can inform others about our country,
and inform ourselves about the rest of the world.
The new Agency for International Communication will play a central
role in building these two-way bridges of understanding between our
people and the other peoples of the world. Only by knowing and
understanding each other's experiences can we find common ground on
which we can examine and resolve our differences.
The new agency will have two distinct but related goals:
To tell the world about our society and policies -- in particular our
commitment to cultural diversity and individual liberty.
To tell ourselves about the world, so as to enrich our own culture as
well as to give us the understanding to deal effectively with problems
among nations.
As the world becomes more and more interdependent, such mutual
understanding becomes increasingly vital. The aim of this
reorganization, therefore, is a more effective dialogue among peoples of
the earth. Americans -- mostly immigrants or the descendants of
immigrants -- are particularly well suited to enter into such an
undertaking. We have already learned much from those who have brought
differing values, perspectives and experiences to our shores. And we
must continue to learn.
Thus the new agency will lay heavy emphasis on listening to others,
so as to learn something of their motivations and aspirations, their
histories and cultures.
Several principles guided me in shaping this reorganization plan.
Among the most important were:
-- Maintaining the integrity of the educational and cultural
exchange programs is imperative. To this end, the plan retains the
Board of Foreign Scholarships, whose strong leadership has done so much
to insure the high quality of the educational exchange program. In
addition, I intend to nominate an Associate Director who will be
responsible for the administration and supervision of educational and
cultural functions consolidated in the new Agency. The responsibilities
presently exercised by the Department of State in relation to the Center
for Technical and Cultural Interchange Between East and West, Inc., will
be transferred to the new agency without alteration.
-- Keeping the Voice of America's news gathering and reporting
functions independent and objective. The Voice's charter, enacted into
law in 1976, provides that ''VOA news will be accurate, objective, and
comprehensive''; that VOA will ''present a balanced and comprehensive
projection of significant American thought and institutions''; and that
VOA will present U.S. policies ''clearly and effectively, and will also
present responsible discussion and opinion on these policies.'' Under
this Administration, VOA will be solely responsible for the content of
news broadcasts -- for there is no more valued coin than candor in the
international marketplace of ideas. I also plan to nominate an
Associate Director who will be responsible for the administration and
supervision of the Voice of America.
-- The new agency's activities must be straightforward, open,
candid, balanced, and representative. They will not be given over to
the advancement of the views of any one group, any one party or any one
Administration. The agency must not operate in a covert, manipulative
or propagandistic way.
-- Rights of U.S. Information Agency and State Department
employees must be respected. In the new agency, their career
achievements will be recognized and the best possible use made of their
professional skills and abilities.
The Director of the new agency will assess and advise on the impact
on worldwide public opinion of American foreign policy decisions. The
Agency will coordinate the international information, educational,
cultural and exchange programs conducted by the U.S. Government and
will be a governmental focal point for private U.S. international
exchange programs. It will also play a leading role within the U.S.
Government in our efforts to remove barriers to the international
exchange of ideas and information.
It is not practicable to specify all of the expenditure reductions
and other economies that will result from the proposed reorganization,
and therefore I do not do so. The reorganization will result in greater
efficiency by unifying in Washington the management of programs which
are already administered in a consolidated manner in the field. For
example, field officers will no longer report to two separate sets of
supervisors and headquarters at home.
This plan abolishes the functions of the Advisory Committee on the
Arts authorized by section 106(c) of the Mutual Educational and Cultural
Exchange Act of 1961, as amended (22 U.S.C. 2456(c)). Also abolished, as
a result of the consolidation of certain functions of the United States
Advisory Commission on Information and the United States Advisory
Commission on International Educational and Cultural Affairs in the
United States Advisory Commission on International Communication,
Cultural and Educational Affairs, are the functions authorized by
section 603 of the United States Information and Educational Exchange
Act of 1948, as amended (22 U.S.C. 1468) (requiring submission by the
United States Advisory Commission on Information of a quarterly report
to the Director of USIA and a semiannual report to the Congress). The
new commission will report annually and at such other times as it deems
appropriate (as does the existing Advisory Commission on International
Educational and Cultural Affairs). Since appointments of all members of
the new commission will be on a nonpartisan basis, as has been the case
with the Advisory Commission on International Educational and Cultural
Affairs, the requirement of section 602(a) of the U.S. Information and
Educational Exchange Act (22 U.S.C. 1467(a)) that not more than three
members of the Advisory Commission on Information shall be of the same
political party is abolished.
Various obsolete or superseded functions under Reorganization Plan
No. 8 of 1953 (22 U.S.C. 1461 note), which created the USIA, are
superseded by this plan. Finally, the Plan abolishes a provision
authorizing the Secretary of State to pay the expenses of transporting
the bodies of participants in exchange programs who die away from home,
since State no longer will conduct such programs (22 U.S.C. 2670(e)).
All functions abolished by the reorganization are done so in compliance
with section 903(b) of title 5 of the United States Code.
After investigation, I have found that this reorganization is
necessary to carry out the policy set forth in section 901(a) of title 5
of the United States Code. The provisions in this Plan for the
appointment and pay of the Director, Deputy Director, and Associate
Directors of the Agency have been found by me to be necessary by reason
of the reorganization made by the plan and are at a rate applicable to
comparable officers in the executive branch.
In presenting this plan, I ask the support of Congress to strengthen
and simplify the machinery by which we carry out these important
functions of the United States Government.
Such action will make us better able to project the great variety and
vitality of American life to those abroad, and to enrich our own lives
with a fuller knowledge of the vitality and variety of other societies.
The new Agency for International Communication will help us
demonstrate ''a decent respect for the opinions of mankind,'' and to
deal intelligently with a world awakening to a new spirit of freedom.
Jimmy Carter.
The White House, October 11, 1977.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
05 USC REORGANIZATION PLAN NO. 1 OF 1978
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, February 23, 1978, pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Section 1. Transfer of Equal Pay Enforcement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
All functions related to enforcing or administering Section 6(d) of
the Fair Labor Standards Act, as amended (29 U.S.C. 206(d)), are hereby
transferred to the Equal Employment Opportunity Commission. Such
functions include, but shall not be limited to, the functions relating
to equal pay administration and enforcement now vested in the Secretary
of Labor, the Administrator of the Wage and Hour Division of the
Department of Labor, and the Civil Service Commission pursuant to
Sections 4(d)(1); 4(f); 9; 11(a), (b), and (c); 16(b) and (c) and 17
of the Fair Labor Standards Act, as amended, (29 U.S.C. 204(d)(1);
204(f); 209; 211(a), (b), and (c); 216(b) and (c) and 217) and
Section 10(b)(1) of the Portal-to-Portal Act of 1947, as amended, (29
U.S.C. 259).
05 USC Sec. 2. Transfer of Age Discrimination Enforcement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
All functions vested in the Secretary of Labor or in the Civil
Service Commission pursuant to Sections 2, 4, 7, 8, 9, 10, 11, 12, 13,
14, and 15 of the Age Discrimination in Employment Act of 1967, as
amended, (29 U.S.C. 621, 623, 626, 627, 628, 629, 630, 631, 632, 633,
and 633a) are hereby transferred to the Equal Employment Opportunity
Commission. All functions related to age discrimination administration
and enforcement pursuant to Sections 6 and 16 of the Age Discrimination
in Employment Act of 1967, as amended, (29 U.S.C. 625 and 634) are
hereby transferred to the Equal Employment Opportunity Commission.
05 USC Sec. 3. Transfer of Equal Opportunity in Federal Employment
Enforcement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
(a) All equal opportunity in Federal employment enforcement and
related functions vested in the Civil Service Commission pursuant to
Section 717(b) and (c) of the Civil Rights Act of 1964, as amended, (42
U.S.C. 2000e-16(b) and (c)), are hereby transferred to the Equal
Employment Opportunity Commission.
(b) The Equal Employment Opportunity Commission may delegate to the
Civil Service Commission or its successor the function of making a
preliminary determination on the issue of discrimination whenever, as a
part of a complaint or appeal before the Civil Service Commission on
other grounds, a Federal employee alleges a violation of Section 717 of
the Civil Rights Act of 1964, as amended, (42 U.S.C. 2000e-16) provided
that the Equal Employment Opportunity Commission retains the function of
making the final determination concerning such issue of discrimination.
05 USC Sec. 4. Transfer of Federal Employment of Handicapped
Individuals Enforcement Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
All Federal employment of handicapped individuals enforcement
functions and related functions vested in the Civil Service Commission
pursuant to Section 501 of the Rehabilitation Act of 1973 (29 U.S.C.
791) are hereby transferred to the Equal Employment Opportunity
Commission. The function of being co-chairman of the Interagency
Committee on Handicapped Employees now vested in the Chairman of the
Civil Service Commission pursuant to Section 501 is hereby transferred
to the Chairman of the Equal Employment Opportunity Commission.
05 USC Sec. 5. Transfer of Public Sector 707 Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
Any function of the Equal Employment Opportunity Commission
concerning initiation of litigation with respect to State or local
government, or political subdivisions under Section 707 of Title VII of
the Civil Rights Act of 1964, as amended, (42 U.S.C. 2000e-6) and all
necessary functions related thereto, including investigation, findings,
notice and an opportunity to resolve the matter without contested
litigation, are hereby transferred to the Attorney General, to be
exercised by him in accordance with procedures consistent with said
Title VII. The Attorney General is authorized to delegate any function
under Section 707 of said Title VII to any officer or employee of the
Department of Justice.
05 USC Sec. 6. Transfer of Functions and Abolition of the Equal
Employment Opportunity Coordinating Council
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
All functions of the Equal Employment Opportunity Coordinating
Council, which was established pursuant to Section 715 of the Civil
Rights Act of 1964, as amended, (42 U.S.C. 2000e-14), are hereby
transferred to the Equal Employment Opportunity Commission. The Equal
Employment Opportunity Coordinating Council is hereby abolished.
05 USC Sec. 7. Savings Provision
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
Administrative proceedings including administrative appeals from the
acts of an executive agency (as defined by Section 105 of Title 5 of the
United States Code) commenced or being conducted by or against such
executive agency will not abate by reason of the taking effect of this
Plan. Consistent with the provisions of this Plan, all such proceedings
shall continue before the Equal Employment Opportunity Commission
otherwise unaffected by the transfers provided by this Plan. Consistent
with the provisions of this Plan, the Equal Employment Opportunity
Commission shall accept appeals from those executive agency actions
which occurred prior to the effective date of this Plan in accordance
with law and regulations in effect on such effective date. Nothing
herein shall affect any right of any person to judicial review under
applicable law.
05 USC Sec. 8. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
So much of the personnel, property, records and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
department, agency, or component at such time or times as the Director
of the Office of Management and Budget shall provide, except that no
such unexpended balances transferred shall be used for purposes other
than those for which the appropriation was originally made. The
Director of the Office of Management and Budget shall provide for
terminating the affairs of the Council abolished herein and for such
further measures and dispositions as such Director deems necessary to
effectuate the purposes of this Reorganization Plan.
05 USC Sec. 9. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
This Reorganization Plan shall become effective at such time or
times, on or before October 1, 1979, as the President shall specify, but
not sooner than the earliest time allowable under Section 906 of Title 5
of the United States Code.
(Pursuant to Ex. Ord. No. 12106, Dec. 26, 1978, 44 F.R. 1053, the
transfer to the Equal Employment Opportunity Commission of certain
functions of the Civil Service Commission relating to enforcement of
equal employment opportunity programs as provided by sections 1 to 4 of
this Reorg. Plan is effective Jan. 1, 1979.)
(Pursuant to Ex. Ord. No. 12144, June 22, 1979, 44 F.R. 37193,
sections 1 and 2 of this Reorg. Plan are effective July 1, 1979, except
for transfer of functions already effective Jan. 1, 1979, under Ex. Ord.
No. 12106 above.)
(Pursuant to Ex. Ord. No. 12068, June 30, 1978, 43 F.R. 28971,
section 5 of this Reorg. Plan is effective July 1, 1978.)
(Pursuant to Ex. Ord. No. 12067, June 30, 1978, 43 F.R. 28967,
section 6 of this Reorg. Plan is effective July 1, 1978.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
To the Congress of the United States:
I am submitting to you today Reorganization Plan No. 1 of 1978.
This Plan makes the Equal Employment Opportunity Commission the
principal Federal agency in fair employment enforcement. Together with
actions I shall take by Executive Order, it consolidates Federal equal
employment opportunity activities and lays, for the first time, the
foundation of a unified, coherent Federal structure to combat job
discrimination in all its forms.
In 1940 President Roosevelt issued the first Executive Order
forbidding discrimination in employment by the Federal government.
Since that time the Congress, the courts and the Executive Branch --
spurred by the courage and sacrifice of many people and organizations --
have taken historic steps to extend equal employment opportunity
protection throughout the private as well as public sector. But each
new prohibition against discrimination unfortunately has brought with it
a further dispersal of Federal equal employment opportunity
responsibility. This fragmentation of authority among a number of
Federal agencies has meant confusion and ineffective enforcement for
employees, regulatory duplication and needless expense for employers.
Fair employment is too vital for haphazard enforcement. My
Administration will aggressively enforce our civil rights laws.
Although discrimination in any area has severe consequences, limiting
economic opportunity affects access to education, housing and health
care. I, therefore, ask you to join with me to reorganize
administration of the civil rights laws and to begin that effort by
reorganizing the enforcement of those laws which ensure an equal
opportunity to a job.
Eighteen government units now exercise important responsibilities
under statutes, Executive Orders and regulations relating to equal
employment opportunity:
The Equal Employment Opportunity Commission (EEOC) enforces Title VII
of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.), which bans
employment discrimination based on race, national origin, sex or
religion. The EEOC acts on individual complaints and also initiates
private sector cases involving a ''pattern or practice'' of
discrimination.
The Department of Labor and 11 other agencies enforce Executive Order
11246 (set out as a note under 42 U.S.C. 2000e). This prohibits
discrimination in employment on the basis of race, national origin, sex,
or religion and requires affirmative action by government contractors.
While the Department now coordinates enforcement of this ''contract
compliance'' program, it is actually administered by eleven other
departments and agencies. The Department also administers those
statutes requiring contractors to take affirmative action to employ
handicapped people, disabled veterans and Vietnam veterans.
In addition, the Labor Department enforces the Equal Pay Act of 1963
(29 U.S.C. 206(d)), which prohibits employers from paying unequal wages
based on sex, and the Age Discrimination in Employment Act of 1967 (29
U.S.C. 621 et seq.), which forbids age discrimination against persons
between the ages of 40 and 65.
The Department of Justice litigates Title VII cases involving public
sector employers -- State and local governments. The Department also
represents the Federal government in lawsuits against Federal
contractors and grant recipients who are in violation of Federal
nondiscrimination prohibitions.
The Civil Service Commission (CSC) enforces Title VII and all other
nondiscrimination and affirmative action requirements for Federal
employment. The CSC rules on complaints filed by individuals and
monitors affirmative action plans submitted annually by other Federal
agencies.
The Equal Employment Opportunity Coordinating Council includes
representatives from EEOC, Labor, Justice, CSC and the Civil Rights
Commission. It is charged with coordinating the Federal equal
employment opportunity enforcement effort and with eliminating overlap
and inconsistent standards.
In addition to these major government units, other agencies enforce
various equal employment opportunity requirements which apply to
specific grant programs. The Department of Treasury, for example,
administers the anti-discrimination prohibitions applicable to
recipients of revenue sharing funds.
These programs have had only limited success. Some of the past
deficiencies include:
-- inconsistent standards of compliance; -- duplicative,
inconsistent paperwork requirements and
investigative efforts;
-- conflicts within agencies between their program
responsibilities and their responsibility to enforce the civil rights
laws;
-- confusion on the part of workers about how and where to seek
redress;
-- lack of accountability.
I am proposing today a series of steps to bring coherence to the
equal employment enforcement effort. These steps, to be accomplished by
the Reorganization Plan and Executive Orders, constitute an important
step toward consolidation of equal employment opportunity enforcement.
They will be implemented over the next two years, so that the agencies
involved may continue their internal reform.
Its experience and broad scope make the EEOC suitable for the role of
principal Federal agency in fair employment enforcement. Located in the
Executive Branch and responsible to the President, the EEOC has
developed considerable expertise in the field of employment
discrimination since Congress created it by the Civil Rights Act of 1964
(42 U.S.C. 2000e-4). The Commission has played a pioneer role in
defining both employment discrimination and its appropriate remedies.
While it has had management problems in past administrations, the
EEOC's new leadership is making substantial progress in correcting them.
In the last seven months the Commission has redesigned its internal
structures and adopted proven management techniques. Early experience
with these procedures indicates a high degree of success in reducing and
expediting new cases. At my direction, the Office of Management and
Budget is actively assisting the EEOC to ensure that these reforms
continue.
The Reorganization Plan I am submitting will accomplish the
following:
On July 1, 1978, abolish the Equal Employment Opportunity
Coordinating Council (42 U.S.C. 2000e-14) and transfer its duties to the
EEOC (no positions or funds shifted).
On October 1, 1978, shift enforcement of equal employment opportunity
for Federal employees from the CSC to the EEOC (100 positions and $6.5
million shifted).
On July 1, 1979, shift responsibility for enforcing both the Equal
Pay Act and the Age Discrimination in Employment Act from the Labor
Department to the EEOC (198 positions and $5.3 million shifted for Equal
Pay; 119 positions and $3.5 million for Age Discrimination).
Clarify the Attorney General's authority to initiate ''pattern or
practice'' suits under Title VII in the public sector.
In addition, I will issue an Executive Order on October 1, 1978, to
consolidate the contract compliance program -- now the responsibility of
Labor and eleven ''compliance agencies'' -- into the Labor Department
(1,517 positions and $33.1 million shifted).
These proposed transfers and consolidations reduce from fifteen to
three the number of Federal agencies having important equal employment
opportunity responsibilities under Title VII of the Civil Rights Act of
1964 and Federal contract compliance provisions.
Each element of my Plan is important to the success of the entire
proposal.
By abolishing the Equal Employment Opportunity Coordinating Council
and transferring its responsibilities to the EEOC, this plan places the
Commission at the center of equal employment opportunity enforcement.
With these new responsibilities, the EEOC can give coherence and
direction to the government's efforts by developing strong uniform
enforcement standards to apply throughout the government: standardized
data collection procedures, joint training programs, programs to ensure
the sharing of enforcement related data among agencies, and methods and
priorities for complaint and compliance reviews. Such direction has
been absent in the Equal Employment Opportunity Coordinating Council.
It should be stressed, however, that affected agencies will be
consulted before EEOC takes any action. When the Plan has been
approved, I intend to issue an Executive Order which will provide for
consultation, as well as a procedure for reviewing major disputed issues
within the Executive Office of the President. The Attorney General's
responsibility to advise the Executive Branch on legal issues will also
be preserved.
Transfer of the Civil Service Commission's equal employment
opportunity responsibilities to EEOC is needed to ensure that: (1)
Federal employees have the same rights and remedies as those in the
private sector and in State and local government; (2) Federal agencies
meet the same standards as are required of other employers; and (3)
potential conflicts between an agency's equal employment opportunity and
personnel management functions are minimized. The Federal government
must not fall below the standard of performance it expects of private
employers.
The Civil Service Commission has in the past been lethargic in
enforcing fair employment requirements within the Federal government.
While the Chairman and other Commissioners I have appointed have already
demonstrated their personal commitment to expanding equal employment
opportunity, responsibility for ensuring fair employment for Federal
employees should rest ultimately with the EEOC.
We must ensure that the transfer in no way undermines the important
objectives of the comprehensive civil service reorganization which will
be submitted to Congress in the near future. When the two plans take
effect, I will direct the EEOC and the CSC to coordinate their
procedures to prevent any duplication and overlap.
The Equal Pay Act now administered by the Labor Department, prohibits
employers from paying unequal wages based on sex. Title VII of the
Civil Rights Act, which is enforced by EEOC, contains a broader ban on
sex discrimination. The transfer of Equal Pay responsibility from the
Labor Department to the EEOC will minimize overlap and centralize
enforcement of statutory prohibitions against sex discrimination in
employment.
The transfer will strengthen efforts to combat sex discrimination.
Such efforts would be enhanced still further by passage of the
legislation pending before you, which I support, that would prohibit
employers from excluding women disabled by pregnancy from participating
in disability programs.
There is now virtually complete overlap in the employers, labor
organizations, and employment agencies covered by Title VII and by the
Age Discrimination in Employment Act. This overlap is burdensome to
employers and confusing to victims of discrimination. The proposed
transfer of the age discrimination program from the Labor Department to
the EEOC will eliminate the duplication.
The Plan I am proposing will not affect the Attorney General's
responsibility to enforce Title VII against State or local governments
or to represent the Federal government in suits against Federal
contractors and grant recipients. In 1972, the Congress determined that
the Attorney General should be involved in suits against State and local
governments. This proposal reinforces that judgment and clarifies the
Attorney General's authority to initiate litigation against State or
local governments engaged in a ''pattern or practice'' of
discrimination. This in no way diminishes the EEOC's existing authority
to investigate complaints filed against State or local governments and,
where appropriate, to refer them to the Attorney General. The Justice
Department and the EEOC will cooperate so that the Department sues on
valid referrals, as well as on its own ''pattern or practice'' cases.
A critical element of my proposals will be accomplished by Executive
Order rather than by the Reorganization Plan. This involves
consolidation in the Labor Department of the responsibility to ensure
that Federal contractors comply with Executive Order 11246.
Consolidation will achieve the following: promote consistent standards,
procedures, and reporting requirements; remove contractors from the
jurisdiction of multiple agencies; prevent an agency's equal employment
objectives from being outweighed by its procurement and construction
objectives; and produce more effective law enforcement through
unification of planning, training and sanctions. By 1981, after I have
had an opportunity to review the manner in which both the EEOC and the
Labor Department are exercising their new responsibilities, I will
determine whether further action is appropriate.
Finally, the responsibility for enforcing grant-related equal
employment provisions will remain with the agencies administering the
grant programs. With the EEOC acting as coordinator of Federal equal
employment programs, we will be able to bring overlap and duplication to
a minimum. We will be able, for example, to see that a university's
employment practices are not subject to duplicative investigations under
both Title IX of the Education Amendments of 1972 (section 1681 et seq.
of Title 20, Education) and the contract compliance program. Because of
the similarities between the Executive Order program and those statutes
requiring Federal contractors to take affirmative action to employ
handicapped individuals and disabled and Vietnam veterans, I have
determined that enforcement of these statutes should remain in the Labor
Department.
Each of the changes set forth in the Reorganization Plan accompanying
this message is necessary to accomplish one or more of the purposes set
forth in Section 901(a) of Title 5 of the United States Code. I have
taken care to determine that all functions abolished by the Plan are
done only under the statutory authority provided by Section 903(b) of
Title 5 of the United States Code.
I do not anticipate that the reorganizations contained in this Plan
will result in any significant change in expenditures. They will result
in a more efficient and manageable enforcement program.
The Plan I am submitting is moderate and measured. It gives the
Equal Employment Opportunity Commission -- an agency dedicated solely to
this purpose -- the primary Federal responsibility in the area of job
discrimination, but it is designed to give this agency sufficient time
to absorb its new responsibilities. This reorganization will produce
consistent agency standards, as well as increased accountability.
Combined with the intense commitment of those charged with these
responsibilities, it will become possible for us to accelerate this
Nation's progress in ensuring equal job opportunities for all our
people.
Jimmy Carter.
The White House, February 23, 1978.
05 USC Reorganization Plans No. 1 and 2 of 1978 Superseded by Civil
Service Reform Act of 1978
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1978
Section 905 of Pub. L. 95-454, Oct. 13, 1978, 92 Stat. 1224,
provided that: ''Any provision in either Reorganization Plan Numbered 1
(set out above) or 2 (set out below) of 1978 inconsistent with any
provision in this Act (see Tables for classification) is hereby
superseded.''
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
05 USC REORGANIZATION PLAN NO. 2 OF 1978
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, May 23, 1978, /1/ pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
/1/ As amended July 11, 1978.
05 USC Section 101. Establishment of the Office of Personnel Management
and its Director and Other Matters
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
There is hereby established as an independent establishment in the
Executive Branch, the Office of Personnel Management (the ''Office'').
The head of the Office shall be the Director of the Office of Personnel
Management (the ''Director''), who shall be appointed by the President,
by and with the advice and consent of the Senate, and shall be
compensated at the rate now or hereafter provided for level II of the
Executive Schedule (5 U.S.C. 5313). The position referred to in 5 U.S.C.
5109(b) is hereby abolished.
05 USC Sec. 102. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
Except as otherwise specified in this Plan, all functions vested by
statute in the United States Civil Service Commission, or the Chairman
of said Commission, or the Boards of Examiners established by 5 U.S.C.
1105 are hereby transferred to the Director of the Office of Personnel
Management.
05 USC Sec. 103. Deputy Director and Associate Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) There shall be within the Office a Deputy Director who shall be
appointed by the President by and with the advice and consent of the
Senate and who shall be compensated at the rate now or hereafter
provided for level III of the Executive Schedule (5 U.S.C. 5314). 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 in the event of a vacancy in the Office of
the Director.
(b) There shall be within the Office not more than five Associate
Directors, who shall be appointed by the Director in the excepted
service, shall have such titles as the Director shall from time to time
determine, and shall receive compensation at the rate now or hereafter
provided for level IV of the Executive Schedule (5 U.S.C. 5315).
05 USC Sec. 104. Functions of the Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The functions of the Director shall include, but not be limited to,
the following:
(a) Aiding the President, as the President may request, in preparing
such rules as the President prescribes, for the administration of
civilian employment now within the jurisdiction of the United States
Civil Service Commission;
(b) Advising the President, as the President may request, on any
matters pertaining to civilian employment now within the jurisdiction of
the United States Civil Service Commission;
(c) Executing, administering and enforcing the Civil Service rules
and regulations of the President and the Office and the statutes
governing the same, and other activities of the Office including
retirement and classification activities except to the extent such
functions remain vested in the Merit Systems Protection Board pursuant
to Section 202 of this Plan, or are transferred to the Special Counsel
pursuant to Section 204 of this Plan. The Director shall provide the
public, where appropriate, a reasonable opportunity to comment and
submit written views on the implementation and interpretation of such
rules and regulations;
(d) Conducting or otherwise providing for studies and research for
the purpose of assuring improvements in personnel management, and
recommending to the President actions to promote an efficient Civil
Service and a systematic application of the merit system principles,
including measures relating to the selection, promotion, transfer,
performance, pay, conditions of service, tenure, and separations of
employees; and
(e) Performing the training responsibilities now performed by the
United States Civil Service Commission as set forth in 5 U.S.C. Chapter
41.
05 USC Sec. 105. Authority To Delegate Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The Director may delegate, from time to time, to the head of any
agency employing persons in the competitive service, the performance of
all or any part of those functions transferred under this Plan to the
Director which relate to employees, or applicants for employment, of
such agency.
05 USC Sec. 201. Merit Systems Protection Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) The United States Civil Service Commission is hereby redesignated
the Merit Systems Protection Board. The Commissioners of the United
States Civil Service Commission are hereby redesignated as members of
the Merit Systems Protection Board (the ''Board'').
(b) The Chairman of the Board shall be its chief executive and
administrative officer. The position of Executive Director, established
by 5 U.S.C. 1103(d), is hereby abolished.
05 USC Sec. 202. Functions of the Merit Systems Protection Board and
Related Matters
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) There shall remain with the Board the hearing, adjudication, and
appeals functions of the United States Civil Service Commission
specified in 5 U.S.C. 1104(b)(4) (except hearings, adjudications and
appeals with respect to examination ratings), and also found in the
following statutes:
(i) 5 U.S.C. 1504-1507, 7325, 5335, 7521, 7701 and 8347(d);
(ii) 38 U.S.C. 2023.
(b) There shall remain with the Board the functions vested in the
United States Civil Service Commission, or its Chairman, pursuant to 5
U.S.C. 1104(a)(5) and (b)(4) to enforce decisions rendered pursuant to
the authorities described in Subsection (a) of this Section.
(c) Any member of the Board may request from the Director, in
connection with a matter then pending before the Board for adjudication,
an advisory opinion concerning interpretation of rules, regulations, or
other policy directives promulgated by the Office of Personnel
Management.
(d) Whenever the interpretation or application of a rule, regulation,
or policy directive of the Office of Personnel Management is at issue in
any hearing, adjudication, or appeal before the Board, the Board shall
promptly notify the Director, and the Director shall have the right to
intervene in such proceedings.
(e) The Board shall designate individuals to chair performance rating
boards established pursuant to 5 U.S.C. 4305.
(f) The Chairman of the Board shall designate representatives to
chair boards of review established pursuant to 5 U.S.C. 3383(b).
(g) The Board may from time to time conduct special studies relating
to the Civil Service, and to other merit systems in the Executive Branch
and report to the President and the Congress whether the public interest
in a workforce free of personnel practices prohibited by law or
regulations is being adequately protected. In carrying out this
function the Board shall make such inquiries as may be necessary, and,
to the extent permitted by law, shall have access to personnel records
or information collected by the Office of Personnel Management and may
require additional reports from other agencies as needed. The Board
shall make such recommendations to the President and the Congress as it
deems appropriate.
(h) The Board may delegate the performance of any of its
administrative functions to any officer or employee of the Board.
(i) The Board shall have the authority to prescribe such regulations
as may be necessary for the performance of its functions. The Board
shall not issue advisory opinions. The Board may issue rules and
regulations, consistent with statutory requirements, defining its review
procedures, including the time limits within which an appeal must be
filed and the rights and responsibilities of the parties to an appeal.
All regulations of the Board shall be published in the Federal Register.
05 USC Sec. 203. Savings Provision
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The Board shall accept appeals from agency actions effected prior to
the effective date of this Plan. On the effective date of Part II of
this Plan, proceedings then before the Federal Employee Appeals
Authority shall continue before the Board; proceedings then before the
Appeals Review Board and proceedings then before the United States Civil
Service Commission on appeal from decisions of the Appeals Review Board
shall continue before the Board; other employee appeals before boards
or other bodies pursuant to law or regulation shall continue to be
processed pursuant to those laws or regulations. Nothing in this
section shall affect the right of a Federal employee to judicial review
under applicable law.
05 USC Sec. 204. The Special Counsel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) There shall be a Special Counsel to the Board appointed for a
term of four years by the President by and with the advice and consent
of the Senate, who shall be compensated as now or hereafter provided for
level IV of the Executive Schedule (5 U.S.C. 5315).
(b) There are hereby transferred to the Special Counsel all functions
with respect to investigations relating to violations of 5 U.S.C.
Chapter 15; 5 U.S.C. Subchapter III of Chapter 73 (Political
Activities); and 5 U.S.C. 552(a)(4)(F) (public information).
(c) The Special Counsel may investigate, pursuant to 5 U.S.C. 1303,
allegations of personnel practices which are prohibited by law or
regulation.
(d) When in the judgment of the Special Counsel, such personnel
practices exist, he shall report his findings and recommendations to the
Chairman of the Merit Systems Protection Board, the agency affected, and
to the Office of Personnel Management, and may report such findings to
the President.
(e) When in the judgment of the Special Counsel, the results of an
investigation would warrant the taking of disciplinary action against an
employee who is within the jurisdiction of the Board, the Special
Counsel shall prepare charges against such employee and present them
with supporting documentation to the Board. Evidence supporting the
need for disciplinary action against a Presidential appointee shall be
submitted by the Special Counsel to the President.
(f) The Special Counsel may appoint personnel necessary to assist in
the performance of his functions.
(g) The Special Counsel shall have the authority to prescribe rules
and regulations relating to the receipt and investigation of matters
under his jurisdiction. Such regulations shall be published in the
Federal Register.
(h) The Special Counsel shall not issue advisory opinions.
05 USC Sec. 301. Establishment of the Federal Labor Relations Authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) There is hereby established, as an independent establishment in
the Executive Branch, the Federal Labor Relations Authority (the
''Authority''). The Authority shall be composed of three members, one
of whom shall be Chairman, not more than two of whom may be adherents of
the same political party, and none of whom may hold another office or
position in the Government of the United States except where provided by
law or by the President.
(b) Members of the Authority shall be appointed by the President, by
and with the advice and consent of the Senate. The President shall
designate one member to serve as Chairman of the Authority, who shall be
compensated at the rate now or hereafter provided for level III of the
Executive Schedule (5 U.S.C. 5314). The other members shall be
compensated at the rate now or hereafter provided for level IV of the
Executive Schedule (5 U.S.C. 5315).
(c) The initial members of the Authority shall be appointed as
follows: one member for a term of two years; one member for a term of
three years; and the Chairman for a term of four years. Thereafter,
each member shall be appointed for a term of four years. An individual
chosen to fill a vacancy shall be appointed for the unexpired term of
the member replaced.
(d) The Authority shall make an annual report on its activities to
the President for transmittal to Congress.
05 USC Sec. 302. Establishment of the General Counsel of the Authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
There shall be a General Counsel of the Authority, who shall be
appointed by the President, by and with the advice and consent of the
Senate for a term of four years, and who shall be compensated at the
rate now or hereafter provided for level V of the Executive Schedule (5
U.S.C. 5316). The General Counsel shall perform such duties as the
Authority shall from time to time prescribe, including but not limited
to the duty of determining and presenting facts required by the
Authority in order to decide unfair labor practice complaints.
05 USC Sec. 303. The Federal Service Impasses Panel
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The Federal Service Impasses Panel, established under Executive Order
11491, as amended (set out under 5 U.S.C. 7101), (the ''Panel'') shall
continue, and shall be a distinct organizational entity within the
Authority.
05 USC Sec. 304. Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
Subject to the provisions of Section 306, the following functions are
hereby transferred:
(a) To the Authority --
(1) The functions of the Federal Labor Relations Council pursuant to
Executive Order 11491, as amended (set out under 5 U.S.C. 7101);
(2) The functions of the Civil Service Commission under Sections 4(a)
and 6(e) of Executive Order 11491, as amended;
(3) The functions of the Assistant Secretary of Labor for
Labor-Management Relations, under Executive Order 11491, as amended,
except for those functions related to alleged violations of the
standards of conduct for labor organizations pursuant to Section 6(a)(4)
of said Executive Order; and,
(b) to the Panel -- the functions and authorities of the
Federal-Service Impasses Panel, pursuant to Executive Order 11491, as
amended.
05 USC Sec. 305. Authority Decisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The decisions of the Authority on any matter within its jurisdiction
shall be final and not subject to judicial review.
05 USC Sec. 306. Other Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
Unless and until modified, revised, or revoked, all policies,
regulations, and procedures established, and decisions issued, under
Executive Order 11491, as amended (set out under 5 U.S.C. 7101), shall
remain in full force and effect. There is hereby expressly reserved to
the President the power to modify the functions transferred to the
Federal Labor Relations Authority and the Federal Service Impasses Panel
pursuant to Section 304 of this Plan.
05 USC Sec. 307. Savings Provision
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
All matters which relate to the functions transferred by Section 304
of this Plan, and which are pending on the effective date of the
establishment of the Authority before the Federal Labor Relations
Council, the Vice Chairman of the Civil Service Commission, or the
Assistant Secretary of Labor for Labor-Management Relations shall
continue before the Authority under such rules and procedures as the
Authority shall prescribe. All such matters pending on the effective
date of the establishment of the Authority before the Panel, shall
continue before the Panel under such rules and procedures as the Panel
shall prescribe.
05 USC Sec. 401. Incidental Transfer
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
So much of the personnel, property, records, and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
agency, or component at such time or times as the Director of the Office
of Management and Budget shall provide, except that no such unexpended
balances transferred shall be used for purposes other than those for
which the appropriation was originally made. The Director of the Office
of Management and Budget shall provide for terminating the affairs of
any agencies abolished herein and for such further measures and
dispositions as such Director deems necessary to effectuate the purposes
of this Reorganization Plan.
05 USC Sec. 402. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
(a) The President may authorize any persons who, immediately prior to
the effective date of this Plan, held positions in the Executive Branch
of the Government, to act as Director of the Office of Personnel
Management, the Deputy Director of the Office of Personnel Management,
the Special Counsel, the Chairman and other members of the Federal Labor
Relations Authority, the Chairman and other members of the Federal
Service Impasses Panel, or the General Counsel of the Authority, until
those offices are for the first time filled pursuant to the provisions
of this Reorganization Plan or by recess appointment, as the case may
be.
(b) The President may authorize any such person to receive the
compensation attached to the Office in respect of which that person so
serves, in lieu of other compensation from the United States.
05 USC Sec. 403. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The provisions of this Reorganization Plan shall become effective at
such time or times, on or before January 1, 1979, as the President shall
specify, but not sooner than the earliest time allowable under Section
906 of Title 5, United States Code.
(Pursuant to Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055, this
Reorg. Plan is generally effective Jan. 1, 1979.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
To the Congress of the United States:
On March 2nd I sent to Congress a Civil Service Reform proposal to
enable the Federal government to improve its service to the American
people.
Today I am submitting another part of my comprehensive proposal to
reform the Federal personnel management system through Reorganization
Plan No. 2 of 1978. The plan will reorganize the Civil Service
Commission and thereby create new institutions to increase the
effectiveness of management and strengthen the protection of employee
rights.
The Civil Service Commission has acquired inherently conflicting
responsibilities: to help manage the Federal Government and to protect
the rights of Federal employees. It has done neither job well. The
Plan would separate the two functions.
05 USC office of personnel management
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The positive personnel management tasks of the government -- such as
training, productivity programs, examinations, and pay and benefits
administration -- would be the responsibility of an Office of Personnel
Management. Its Director, appointed by the President and confirmed by
the Senate, would be responsible for administering Federal personnel
matters except for Presidential appointments. The Director would be the
government's principal representative in Federal labor relations
matters.
05 USC merit systems protection board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
The adjudication and prosecution responsibilities of the Civil
Service Commission will be performed by the Merit Systems Protection
Board. The Board will be headed by a bipartisan panel of three members
appointed to six-year, staggered terms. This Board would be the first
independent and institutionally impartial Federal agency solely for the
protection of Federal employees.
The Plan will create, within the Board, a Special Counsel to
investigate and prosecute political abuses and merit system violations.
Under the civil service reform legislation now being considered by the
Congress, the Counsel would have power to investigate and prevent
reprisals against employees who report illegal acts -- the so-called
''whistleblowers.'' The Council would be appointed by the President and
confirmed by the Senate.
05 USC federal labor relations authority
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1978
An Executive Order now vests existing labor-management relations in a
part-time Federal Labor-Relations Council, comprised of three top
government managers; other important functions are assigned to the
Assistant Secretary of Labor for Labor-Management Relations. This
arrangement is defective because the Council members are part-time, they
come exclusively from the ranks of management and their jurisdiction is
fragmented.
The Plan I submit today would consolidate the central policymaking
functions in labor-management relations now divided between the Council
and the Assistant Secretary into one Federal Labor Relations Authority.
The Authority would be composed of three full-time members appointed by
the President with the advice and consent of the Senate. Its General
Counsel, also appointed by the President and confirmed by the Senate,
would present unfair labor practice complaints. The Plan also provides
for the continuance of the Federal Service Impasses Panel within the
Authority to resolve negotiating impasses between Federal employee
unions and agencies.
The cost of replacing the Civil Service Commission can be paid by our
present resources. The reorganization itself would neither increase nor
decrease the costs of personnel management throughout the government.
But taken together with the substantive reforms I have proposed, this
Plan will greatly improve the government's ability to manage programs,
speed the delivery of Federal services to the public, and aid in
executing other reorganizations I will propose to the Congress, by
improving Federal personnel management.
Each of the provisions of this proposed reorganization would
accomplish one or more of the purposes set forth in 5 U.S.C. 901(a). No
functions are abolished by the Plan, but the offices referred to in 5
U.S.C. 5109(b) and 5 U.S.C. 1103(d) are abolished. The portions of the
Plan providing for the appointment and pay for the head and one or more
officers of the Office of Personnel Management, the Merit Systems
Protection Board, the Federal Labor Relations Authority and the Federal
Service Impasses Panel, are necessary to carry out the reorganization.
The rates of compensation are comparable to those for similar positions
within the Executive Branch.
I am confident that this Plan and the companion civil service reform
legislation will both lead to more effective protection of Federal
employees' legitimate rights and a more rewarding workplace. At the
same time the American people will benefit from a better managed, more
productive and more efficient Federal Government.
Jimmy Carter.
The White House, May 23, 1978.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
05 USC REORGANIZATION PLAN NO. 3 OF 1978
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, June 19, 1978, pursuant to the
provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Sec. 101. Establishment of the Federal Emergency Management
Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There is hereby established as an independent establishment in the
Executive Branch, the Federal Emergency Management Agency (the
''Agency'').
05 USC Sec. 102. The Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
The Agency shall be headed by a Director, who shall be appointed by
the President, by and with the advice and consent of the Senate, and
shall be compensated at the rate now or hereafter prescribed by law for
level II of the Executive Schedule (5 U.S.C. 5313).
05 USC Sec. 103. The Deputy Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There shall be within the Agency a Deputy Director, who shall be
appointed by the President, by and with the advice and consent of the
Senate, and shall be compensated at the rate now or hereafter prescribed
by law for level IV of the Executive Schedule (5 U.S.C. 5315). 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 in the event of a vacancy in the Office of
the Director.
05 USC Sec. 104. Associate Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There shall be within the Agency not more than four Associate
Directors, who shall be appointed by the President, by and with the
advice and consent of the Senate, two of whom shall be compensated at
the rate now or hereafter prescribed by law for level IV of the
Executive Schedule (5 U.S.C. 5315), one of whom shall be compensated at
the rate now or hereafter prescribed by law for level V of the Executive
Schedule (5 U.S.C. 5316) and one of whom shall be compensated at the
rate now or hereafter prescribed by law for GS-18 of the General
Schedule (set out under 5 U.S.C. 5332). The Associate Directors shall
perform such functions as the Director may from time to time prescribe.
05 USC Sec. 105. Regional Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There shall be within the Agency ten regional directors who shall be
appointed by the Director in the excepted service and shall be
compensated at the rate now or hereafter prescribed by law for GS-16 of
the General Schedule (set out under 5 U.S.C. 5332).
05 USC Sec. 106. Performance of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
The Director may establish bureaus, offices, divisions, and other
units within the Agency. The Director may from time to time make
provision for the performance of any function of the Director by any
officer, employee, or unit of the Agency.
05 USC Sec. 201. Fire Prevention
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There are hereby transferred to the Director all functions vested in
the Secretary of Commerce, the Administrator and Deputy Administrator of
the National Fire Prevention and Control Administration, and the
Superintendent of the National Academy for Fire Prevention and Control
pursuant to the Federal Fire Prevention and Control Act of 1974, as
amended, (15 U.S.C. 2201 through 2219); exclusive of the functions set
forth at Sections 18 and 23 of the Federal Fire Prevention and Control
Act (15 U.S.C. 278(f) and 1511).
05 USC Sec. 202. Flood and Other Matters
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There are hereby transferred to the Director all functions vested in
the Secretary of Housing and Urban Development pursuant to the National
Flood Insurance Act of 1968, as amended, and the Flood Disaster
Protection Act of 1973, as amended, (42 U.S.C. 2414 and 42 U.S.C. 4001
through 4128), and Section 1 of the National Insurance Development Act
of 1975, as amended, (89 Stat. 68) (set out as a note under 12 U.S.C.
1749bbb).
05 USC Sec. 203. Emergency Broadcast System
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
There are hereby transferred to the Director all functions concerning
the Emergency Broadcast System, which were transferred to the President
and all such functions transferred to the Secretary of Commerce, by
Reorganization Plan Number 1.
05 USC Sec. 301. Transfer and Abolishment of Agencies and Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
The National Fire Prevention and Control Administration and the
National Academy for Fire Prevention and Control and the positions of
Administrator of said Administration and Superintendent of said Academy
are hereby transferred to the Agency. The position of Deputy
Administrator of said Administration (established by 15 U.S.C. 2204(c))
is hereby abolished.
05 USC Sec. 302. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
So much of the personnel, property, records, and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
agency, or component at such time or times as the Director of the Office
of Management and Budget shall provide, except that no such unexpended
balances transferred shall be used for purposes other than those for
which the appropriation was originally made. The Director of the Office
of Management and Budget shall provide for terminating the affairs of
any agencies abolished herein and for such further measures and
dispositions as such Director deems necessary to effectuate the purposes
of this Reorganization Plan.
05 USC Sec. 303. Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
The President may authorize any persons who, immediately prior to the
effective date of this Plan, held positions in the Executive Branch to
which they were appointed by and with the advice and consent of the
Senate, to act as Director, Deputy Director, and Associate Directors of
the Agency, until those offices are for the first time filled pursuant
to the provisions of this Reorganization Plan or by recess appointment,
as the case may be. The President may authorize any such person to
receive the compensation attached to the office in respect of which that
person so serves, in lieu of other compensation from the United States.
05 USC Sec. 304. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
The provisions of this Reorganization Plan shall become effective at
such time or times, on or before April 1, 1979, as the President shall
specify, but not sooner than the earliest time allowable under Section
906 of Title 5, United States Code.
(Pursuant to Ex. Ord. 12127, Mar. 31, 1979, 44 F.R. 19367, this
Reorg. Plan is effective Apr. 1, 1979).
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1978
To the Congress of the United States:
Today I am transmitting Reorganization Plan No. 3 of 1978. The plan
improves Federal emergency management and assistance. By consolidating
emergency preparedness, mitigation and response activities, it cuts
duplicative administrative costs and strengthens our ability to deal
effectively with emergencies.
The plan, together with changes I will make through Executive action,
would merge five agencies from the Departments of Defense, Commerce,
HUD, and GSA into one new agency.
For the first time, key emergency management and assistance functions
would be unified and made directly accountable to the President and
Congress. This will reduce pressures for increased costs to serve
similar goals.
The present situation has severely hampered Federal support of State
and local emergency organizations and resources, which bear the primary
responsibility for preserving life and property in times of calamity.
This reorganization has been developed in close cooperation with State
and local governments.
If approved by the Congress, the plan will establish the Federal
Emergency Management Agency, whose Director shall report directly to the
President. The National Fire Prevention and Control Administration (in
the Department of Commerce), the Federal Insurance Administration (in
the Department of Housing and Urban Development), and oversight
responsibility for the Federal Emergency Broadcast System (now assigned
in the Executive Office of the President) would be transferred to the
Agency. The Agency's Director, its Deputy Director, and its five
principal program managers would be appointed by the President with the
advice and consent of the Senate.
If the plan takes effect, I will assign to the Federal Emergency
Management Agency all authorities and functions vested by law in the
President and presently delegated to the Defense Civil Preparedness
Agency (in the Department of Defense). This will include certain
engineering and communications support functions for civil defense now
assigned to the U.S. Army.
I will also transfer to the new Agency all authorities and functions
under the Disaster Relief Acts of 1970 and 1974 (42 U.S.C. 4401 et seq.
and 5121 et seq.) now delegated to the Federal Disaster Assistance
Administration in the Department of Housing and Urban Development.
I will also transfer all Presidential authorities and functions now
delegated to the Federal Preparedness Agency in the General Services
Administration, including the establishment of policy for the national
stockpile. The stockpile disposal function, which is statutorily
assigned to the General Services Administration, would remain there.
Once these steps have been taken by Executive Order, these three
agencies would be abolished.
Several additional transfers of emergency preparedness and mitigation
functions would complete the consolidation. These include:
Oversight of the Earthquake Hazards Reduction Program, under Public
Law 95-124 (42 U.S.C. 7701 et seq.), now carried out by the Office of
Science and Technology Policy in the Executive Office of the President.
Coordination of Federal activities to promote dam safety, carried by
the same Office.
Responsibility for assistance to communities in the development of
readiness plans for severe weather-related emergencies, including
floods, hurricanes, and tornadoes.
Coordination of natural and nuclear disaster warning systems.
Coordination of preparedness and planning to reduce the consequences
of major terrorist incidents. This would not alter the present
responsibility of the executive branch for reacting to the incidents
themselves.
This reorganization rests on several fundamental principles:
First, Federal authorities to anticipate, prepare for, and respond to
major civil emergencies should be supervised by one official responsible
to the President and given attention by other officials at the highest
levels.
The new Agency would be in this position. To increase White House
oversight and involvement still further, I shall establish by Executive
Order an Emergency Management Committee, to be chaired by the Federal
Emergency Management Agency Director. Its membership shall be comprised
of the Assistants to the President for National Security, Domestic
Affairs and Policy and Intergovernmental Relations, and the Director,
Office of Management and Budget. It will advise the President on ways
to meet national civil emergencies. It will also oversee and provide
guidance on the management of all Federal emergency authorities,
advising the President on alternative approaches to improve performance
and avoid excessive costs.
Second, an effective civil defense system requires the most efficient
use of all available emergency resources. At the same time, civil
defense systems, organization, and resources must be prepared to cope
with any disasters which threaten our people. The Congress has clearly
recognized this principle in recent changes in the civil defense
legislation.
The communications, warning, evacuation, and public education
processes involved in preparedness for a possible nuclear attack should
be developed, tested, and used for major natural and accidental
disasters as well. Consolidation of civil defense functions in the new
Agency will assure that attack readiness programs are effectively
integrated into the preparedness organizations and programs of State and
local government, private industry, and volunteer organizations.
While serving an important ''all hazards'' readiness and response
role, civil defense must continue to be fully compatible with and be
ready to play an important role in our Nation's overall strategic
policy. Accordingly, to maintain a link between our strategic nuclear
planning and our nuclear attack preparedness planning, I will make the
Secretary of Defense and the National Security Council responsible for
oversight of civil defense related programs and policies of the new
Agency. This will also include appropriate Department of Defense
support in areas like program development, technical support, research,
communications, intelligence and emergency operations.
Third, whenever possible, emergency responsibilities should be
extensions of the regular missions of Federal agencies. The primary
task of the Federal Emergency Management Agency will be to coordinate
and plan for the emergency deployment of resources that have other
routine uses. There is no need to develop a separate set of Federal
skills and capabilities for those rare occasions when catastrophe
occurs.
Fourth, Federal hazard mitigation activities should be closely linked
with emergency preparedness and response functions. This reorganization
would permit more rational decisions on the relative costs and benefits
of alternative approaches to disasters by making the Federal Emergency
Management Agency the focal point of all Federal hazard mitigation
activities and by combining these with the key Federal preparedness and
response functions.
The affected hazard mitigation activities include the Federal
Insurance Administration which seeks to reduce flood losses by assisting
States and local governments in developing appropriate land uses and
building standards and several agencies that presently seek to reduce
fire and earthquake losses through research and education.
Most State and local governments have consolidated emergency
planning, preparedness and response functions on an ''all hazard'' basis
to take advantage of the similarities in preparing for and responding to
the full range of potential emergencies. The Federal Government can and
should follow this lead.
Each of the changes set forth in the plan is necessary to accomplish
one or more of the purposes set forth in section 901(a) of title 5 of
the United States Code. The plan does not call for abolishing any
functions now authorized by law. The provisions in the plan for the
appointment and pay of any head or officer of the new agency have been
found by me to be necessary.
I do not expect these actions to result in any significant changes in
program expenditures for those authorities to be transferred. However,
cost savings of between $10 to $15 million annually can be achieved by
consolidating headquarters and regional facilities and staffs. The
elimination (through attrition) of about 300 jobs is also anticipated.
The emergency planning and response authorities involved in this plan
are vitally important to the security and well-being of our Nation. I
urge the Congress to approve it.
Jimmy Carter.
The White House, June 19, 1978.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
05 USC REORGANIZATION PLAN NO. 4 OF 1978
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
99-514, 2, Oct. 22, 1986, 100 Stat. 2095
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, August 10, 1978, pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code. /1/
/1/ As amended Sept. 20, 1978.
05 USC Section 101. Transfer to the Secretary of the Treasury
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
Except as otherwise provided in Sections 104 and 106 of this Plan,
all authority of the Secretary of Labor to issue the following described
documents pursuant to the statutes hereinafter specified is hereby
transferred to the Secretary of the Treasury:
(a) regulations, rulings, opinions, variances and waivers under Parts
2 (29 U.S.C. 1051 et seq.) and 3 (29 U.S.C. 1081 et seq.) of Subtitle B
of Title I and subsection 1012(c) (set out as a note under 26 U.S.C.
411) of Title II of the Employee Retirement Income Security Act of 1974
(29 U.S.C. 1001 note) (hereinafter referred to as ''ERISA''),
EXCEPT for sections and subsections 201, 203(a)(3)(B), 209, and
301(a) of ERISA (29 U.S.C. 1051, 1053(a)(3)(B), 1059, and 1081(a));
(b) such regulations, rulings, and opinions which are granted to the
Secretary of Labor under Sections 404, 410, 411, 412, and 413 of the
Internal Revenue Code of 1986, as amended (26 U.S.C. 404, 410, 411, 412,
and 413), (hereinafter referred to as the ''Code'').
EXCEPT for subsection 411(a)(3)(B) of the Code (section 411(a)(3)(B)
of Title 26) and the definitions of ''collectively bargained plan'' and
''collective bargaining agreement'' contained in subsections 404
(a)(1)(B) and (a)(1)(C), 410(b)(2)(A) and (b)(2)(B), and 413(a)(1) of
the Code (26 U.S.C. 404(a)(1)(B) and (a)(1)(C), 410(b)(2)(A) and
(b)(2)(B), and 413(a)(1)); and
(c) regulations, rulings, and opinions under subsections 3(19),
3(22), 3(23), 3(24), 3(25), 3(27), 3(28), 3(29), 3(30), and 3(31) of
Subtitle A of Title I of ERISA (29 U.S.C. 1002(19), (22), (23), (24),
(25), (27), (28), (29), (30), and (31)). (As amended Pub. L. 99-514,
2, Oct. 22, 1986, 100 Stat. 2095.)
05 USC Sec. 102. Transfers to the Secretary of Labor
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
Except as otherwise provided in Section 105 of this Plan, all
authority of the Secretary of the Treasury to issue the following
described documents pursuant to the statutes hereinafter specified is
hereby transferred to the Secretary of Labor:
(a) regulations, rulings, opinions, and exemptions under section 4975
of the Code (26 U.S.C. 4975),
EXCEPT for (i) subsections 4975(a), (b), (c)(3), (d)(3), (e)(1), and
(e)(7) of the Code (26 U.S.C. 4975(a), (b), (c)(3), (d)(3), (e)(1), and
(e)(7)); (ii) to the extent necessary for the continued enforcement of
subsections 4975(a) and (b) (26 U.S.C. 4975(a) and (b)) by the Secretary
of the Treasury, subsections 4975(f)(1), (f)(2), (f)(4), (f)(5) and
(f)(6) of the Code (26 U.S.C. 4975(f)(1), (f)(2), (f)(4), (f)(5) and
(f)(6)); and (iii) exemptions with respect to transactions that are
exempted by subsection 404(c) of ERISA (29 U.S.C. 1104(c)) from the
provisions of Part 4 of Subtitle B of Title I of ERISA (29 U.S.C. 1101
et seq.); and
(b) regulations, rulings, and opinions under subsection 2003(c) of
ERISA (set out as a note under 26 U.S.C. 4975),
EXCEPT for subsection 2003(c)(1)(B) (set out in the note under 26
U.S.C. 4975).
05 USC Sec. 103. Coordination Concerning Certain Fiduciary Actions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
In the case of fiduciary actions which are subject to Part 4 of
Subtitle B of Title I of ERISA (29 U.S.C. 1101 et seq.) the Secretary of
the Treasury shall notify the Secretary of Labor prior to the time of
commencing any proceeding to determine whether the action violates the
exclusive benefit rule of subsection 401(a) of the Code (26 U.S.C.
401(a)), but not later than prior to issuing a preliminary notice of
intent to disqualify under that rule, and the Secretary of the Treasury
shall not issue a determination that a plan or trust does not satisfy
the requirements of subsection 401(a) by reason of the exclusive benefit
rule of subsection 401(a), unless within 90 days after the date on which
the Secretary of the Treasury notifies the Secretary of Labor of pending
action, the Secretary of Labor certifies that he has no objection to the
disqualification or the Secretary of Labor fails to respond to the
Secretary of the Treasury. The requirements of this paragraph do not
apply in the case of any termination or jeopardy assessment under
sections 6851 or 6861 of the Code (26 U.S.C. 6851 or 6861) that has been
approved in advance by the Commissioner of Internal Revenue, or, as
delegated, the Assistant Commissioner for Employee Plans and Exempt
Organizations.
05 USC Sec. 104. Enforcement by the Secretary of Labor
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
The transfers provided for in Section 101 of this Plan shall not
affect the ability of the Secretary of Labor, subject to the provisions
of Title III of ERISA (29 U.S.C. 1201 et seq.) relating to jurisdiction,
administration, and enforcement, to engage in enforcement under Section
502 of ERISA (29 U.S.C. 1132) or to exercise the authority set forth
under Title III of ERISA (29 U.S.C. 1201 et seq.), including the ability
to make interpretations necessary to engage in such enforcement or to
exercise such authority. However, in bringing such actions and in
exercising such authority with respect to Parts 2 (29 U.S.C. 1051 et
seq.) and 3 (29 U.S.C. 1081 et seq.) of Subtitle B of Title I of ERISA
and any definitions for which the authority of the Secretary of Labor is
transferred to the Secretary of the Treasury as provided in Section 101
of this Plan, the Secretary of Labor shall be bound by the regulations,
rulings, opinions, variances, and waivers issued by the Secretary of the
Treasury.
05 USC Sec. 105. Enforcement by the Secretary of the Treasury
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
The transfers provided for in Section 102 of this Plan shall not
affect the ability of the Secretary of the Treasury, subject to the
provisions of Title III of ERISA (29 U.S.C. 1201 et seq.) relating to
jurisdiction, administration, and enforcement, (a) to audit plans and
employers and to enforce the excise tax provisions of subsections
4975(a) and 4975(b) of the Code (26 U.S.C. 4975(a) and (b)), to exercise
the authority set forth in subsections 502(b)(1) and 502(h) of ERISA (29
U.S.C. 1132(b)(1) and (h)), or to exercise the authority set forth in
Title III of ERISA (29 U.S.C. 1201 et seq.), including the ability to
make interpretations necessary to audit, to enforce such taxes, and to
exercise such authority; and (b) consistent with the coordination
requirements under Section 103 of this Plan, to disqualify, under
section 401 of the Code (26 U.S.C. 401), a plan subject to Part 4 of
Subtitle B of Title I of ERISA (29 U.S.C. 1101 et seq.), including the
ability to make the interpretations necessary to make such
disqualification. However, in enforcing such excise taxes and, to the
extent applicable, in disqualifying such plans the Secretary of the
Treasury shall be bound by the regulations, rulings, opinions, and
exemptions issued by the Secretary of Labor pursuant to the authority
transferred to the Secretary of Labor as provided in Section 102 of this
Plan.
05 USC Sec. 106. Coordination for Section 101 Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
(a) The Secretary of the Treasury shall not exercise the functions
transferred pursuant to Section 101 of this Plan to issue in proposed or
final form any of the documents described in subsection (b) of this
Section in any case in which such documents would significantly impact
on or substantially affect collectively bargained plans unless, within
100 calendar days after the Secretary of the Treasury notifies the
Secretary of Labor of such proposed action, the Secretary of Labor
certifies that he has no objection or he fails to respond to the
Secretary of the Treasury. The fact of such a notification, except for
such notification for documents described in subsection (b)(iv) of this
Section, from the Secretary of the Treasury to the Secretary of Labor
shall be announced by the Secretary of Labor to the public within ten
days following the date of receipt of the notification by the Secretary
of Labor.
(b) The documents to which this Section applies are:
(i) amendments to regulations issued pursuant to subsections
202(a)(3), 203(b)(2) and (3)(A), 204(b)(3)(A), (C), and (E), and
210(a)(2) of ERISA (29 U.S.C. 1052(a)(3), 1053(b)(2) and (3)(A),
1054(b)(3)(A), (C), and (E), and 1060(a)(2)), and subsections 410(a)(3)
and 411(a)(5), (6)(A), and (b)(3)(A), (C), and (E), 413(b)(4) and (c)(3)
and 414(f) of the Code (26 U.S.C. 410(a)(3) and 411(a)(5), (6)(A), and
(b)(3)(A), (C), and (E), 413(b)(4) and (c)(3) and 414(f));
(ii) regulations issued pursuant to subsections 204(b)(3)(D),
302(c)(8), and 304(a) and (b)(2)(A) of ERISA (29 U.S.C. 1054(b)(3)(D),
1082(c)(8), and 1084(a) and (b)(2)(A)), and subsections 411(b)(3)(D),
412(c)(8), (e), and (f)(2)(A) of the Code (26 U.S.C. 411(b)(3)(D),
412(c)(8), (e), and (f)(2)(A)); and
(iii) revenue rulings (within the meaning of 26 CFR Section
601.201(a)(6)), revenue procedures, and similar publications, if the
rulings, procedures and publications are issued under one of the
statutory provisions listed in (i) and (ii) of this subsection; and
(iv) rulings (within the meaning of 26 CFR Section 601.201(a)(2))
issued prior to the issuance of a published regulation under one of the
statutory provisions listed in (i) and (ii) of this subsection and not
issued under a published Revenue Ruling.
(c) For those documents described in subsections (b)(i), (b)(ii) and
(b)(iii) of this Section, the Secretary of Labor may request the
Secretary of the Treasury to initiate the actions described in this
Section 106 of this Plan.
05 USC Sec. 107. Evaluation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
On or before January 31, 1980, the President will submit to both
Houses of the Congress an evaluation of the extent to which this
Reorganization Plan has alleviated the problems associated with the
present administrative structure under ERISA, accompanied by specific
legislative recommendations for a long-term administrative structure
under ERISA.
05 USC Sec. 108. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
So much of the personnel, property, records, and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
agency, or component at such time or times as the Director of the Office
of Management and Budget shall provide, except that no such unexpended
balances transferred shall be used for purposes other than those for
which the appropriation was originally made. The Director of the Office
of Management and Budget shall provide for terminating the affairs of
any agencies abolished herein and for such further measures and
dispositions as such Director deems necessary to effectuate the purposes
of this Reorganization Plan.
05 USC Sec. 109. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
The provisions of this Reorganization Plan shall become effective at
such time or times, on or before April 30, 1979, as the President shall
specify, but not sooner than the earliest time allowable under Section
906 of Title 5, United States Code.
(Pursuant to Ex. Ord. No. 12108, Dec. 28, 1978, 44 F.R. 1065, this
Reorg. Plan is effective Dec. 31, 1978.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 4 OF 1978
To the Congress of the United States:
Today I am submitting to the Congress my fourth Reorganization Plan
for 1978. This proposal is designed to simplify and improve the
unnecessarily complex administrative requirements of the Employee
Retirement Income Security Act of 1974 (ERISA) (see Short Title note set
out under 29 U.S.C. 1001). The new plan will eliminate overlap and
duplication in the administration of ERISA and help us achieve our goal
of well regulated private pension plans.
ERISA was an essential step in the protection of worker pension
rights. Its administrative provisions, however, have resulted in
bureaucratic confusion and have been justifiably criticized by employers
and unions alike. The biggest problem has been overlapping
jurisdictional authority. Under current ERISA provisions, the
Departments of Treasury and Labor both have authority to issue
regulations and decisions.
This dual jurisdiction has delayed a good many important rulings and,
more importantly, produced bureaucratic runarounds and burdensome
reporting requirements.
The new plan will significantly reduce these problems. In addition,
both Departments are trying to cut red tape and paperwork, to eliminate
unnecessary reporting requirements, and to streamline forms wherever
possible.
Both Departments have already made considerable progress, and both
will continue the effort to simplify their rules and their forms.
The Reorganization Plan is the most significant result of their joint
effort to modify and simplify ERISA. It will eliminate most of the
jurisdictional overlap between Treasury and Labor by making the
following changes:
1) Treasury will have statutory authority for minimum standards. The
new plan puts all responsibility for funding, participation, and vesting
of benefit rights in the Department of Treasury. These standards are
necessary to ensure that employee benefit plans are adequately funded
and that all beneficiary rights are protected. Treasury is the most
appropriate Department to administer these provisions; however, Labor
will continue to have veto power over Treasury decisions that
significantly affect collectively bargained plans.
2) Labor will have statutory authority for fiduciary obligations.
ERISA prohibits transactions in which self-interest or conflict of
interest could occur, but allows certain exemptions from these
prohibitions. Labor will be responsible for overseeing fiduciary conduct
under these provisions.
3) Both Departments will retain enforcement powers. The
Reorganization Plan will continue Treasury's authority to audit plans
and levy tax penalties for any deviation from standards. The plan will
also continue Labor's authority to bring civil action against plans and
fiduciaries. These provisions are retained in order to keep the special
expertise of each Department available. New coordination between the
Departments will eliminate duplicative investigations of alleged
violations.
This reorganization will make an immediate improvement in ERISA's
administration. It will eliminate almost all of the dual and
overlapping authority in the two departments and dramatically cut the
time required to process applications for exemptions from prohibited
transactions.
This plan is an interim arrangement. After the Departments have had
a chance to administer ERISA under this new plan, the Office of
Management and Budget and the Departments will jointly evaluate that
experience. Based on that evaluation, early in 1980, the Administration
will make appropriate legislative proposals to establish a long-term
administrative structure for ERISA.
Each provision in this reorganization will accomplish one or more of
the purposes in Title 5 of U.S.C. 901(a). There will be no change in
expenditure or personnel levels, although a small number of people will
be transferred from the Department of Treasury to the Department of
Labor.
We all recognize that the administration of ERISA has been unduly
burdensome. I am confident that this reorganization will significantly
relieve much of that burden.
This plan is the culmination of our effort to streamline ERISA. It
provides an administrative arrangement that will work.
ERISA has been a symbol of unnecessarily complex government
regulation. I hope this new step will become equally symbolic of my
Administration's commitment to making government more effective and less
intrusive in the lives of our people.
Jimmy Carter.
The White House, August 10, 1978.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
05 USC REORGANIZATION PLAN NO. 1 OF 1979
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
Prepared by the President and transmitted to the Senate and House of
Representatives in Congress assembled, April 2, 1979, pursuant to the
provisions of Chapter 9 of Title 5 of the United States Code.
05 USC Part I. Office of the Federal Inspector and Transfer of
Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
05 USC Sec. 101. Establishment of the Office of Federal Inspector for
the Alaska Natural Gas Transportation System
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
(a) There is hereby established as an independent establishment in
the executive branch, the Office of the Federal Inspector for the Alaska
Natural Gas Transportation System (the ''Office'').
(b) The Office shall be headed by a Federal Inspector for the Alaska
Natural Gas Transportation System (the ''Federal Inspector'') who shall
be appointed by the President, by and with the advice and consent of the
Senate, and shall be compensated at the rate now or hereafter prescribed
by law for Level III of the Executive Schedule (5 U.S.C. 5314), and who
shall serve at the pleasure of the President.
(c) Each Federal agency having statutory responsibilities over any
aspect of the Alaska Natural Gas Transportation System shall appoint an
Agency Authorized Officer to represent that authority on all matters
pertaining to pre-construction, construction, and initial operation of
the system.
05 USC Sec. 102. Transfer of Functions to the Federal Inspector
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
Subject to the provisions of Sections 201, 202, and 203 of this Plan,
all functions insofar as they relate to enforcement of Federal statutes
or regulations and to enforcement of terms, conditions, and stipulations
of grants, certificates, permits and other authorizations issued by
Federal agencies with respect to pre-construction, construction, and
initial operation of an ''approved transportation system'' for transport
of Canadian natural gas and ''Alaskan natural gas,'' as such terms are
defined in the Alaska Natural Gas Transportation Act of 1976 (15 U.S.C.
719 et seq.), hereinafter called the ''Act'', are hereby transferred to
the Federal Inspector. This transfer shall vest in the Federal
Inspector exclusive responsibility for enforcement of all Federal
statutes relevant in any manner to pre-construction, construction, and
initial operation. With respect to each of the statutory authorities
cited below, the transferred functions include all enforcement functions
of the given agencies or their officials under the statutes as may be
related to the enforcement of such terms, conditions, and stipulations,
including but not limited to the specific sections of the statute cited.
''Enforcement'', for purposes of this transfer of functions, includes
monitoring and any other compliance or oversight activities reasonably
related to the enforcement process. These transferred functions
include:
(a) Such enforcement functions of the Administrator or other
appropriate official or entity in the Environmental Protection Agency
related to compliance with: national pollutant discharge elimination
system permits provided for in Section 402 of the Federal Water
Pollution Control Act (33 U.S.C. 1342); spill prevention, containment
and countermeasure plans in Section 311 of the Federal Water Pollution
Control Act (33 U.S.C. 1321); review of the Corps of Engineers' dredged
and fill material permits issued under Section 404 of the Federal Water
Pollution Control Act (33 U.S.C. 1344); new source performance
standards in Section 111 of the Clean Air Act, as amended by the Clean
Air Act Amendments of 1977 (42 U.S.C. 7411); prevention of significant
deterioration review and approval in Sections 160-169 of the Clean Air
Act, as amended by the Clean Air Amendments of 1977 (42 U.S.C. 7470 et
seq.); and the resource conservation and recovery permits issued under
the Resource Conservation and Recovery Act of 1976 (42 U.S.C. 6901 et
seq.);
(b) Such enforcement functions of the Secretary of the Army, the
Chief of Engineers, or other appropriate officer or entity in the Corps
of Engineers of the United States Army related to compliance with:
dredged and fill material permits issued under Section 404 of the
Federal Water Pollution Control Act (33 U.S.C. 1344); and permits for
structures in navigable waters, issued under Section 10 of the Rivers
and Harbors Appropriation Act of 1899 (33 U.S.C. 403);
(c) Such enforcement functions of the Secretary or other appropriate
officer or entity in the Department of Transportation related to
compliance with: the Natural Gas Pipeline Safety Act of 1968, as
amended (49 U.S.C. 1671, et seq.) (49 App. U.S.C. 1671 et seq.) and the
gas pipeline safety regulations issued thereunder; the Federal Aviation
Act of 1958, as amended (49 U.S.C. 1301, et seq.) (49 App. U.S.C. 1301
et seq.) and authorizations and regulations issued thereunder; and
permits for bridges across navigable waters, issued under Section 9 of
the Rivers and Harbors Appropriation Act of 1899 (33 U.S.C. 401);
(d) Such enforcement functions of the Secretary or other appropriate
officer or entity in the Department of Energy and such enforcement
functions of the Commission, Commissioners, or other appropriate officer
or entity in the Federal Energy Regulatory Commission related to
compliance with: the certificates of public convenience and necessity,
issued under Section 7 of the Natural Gas Act, as amended (15 U.S.C.
717f); and authorizations for importation of natural gas from Alberta
as predeliveries of Alaskan gas issued under Section 3 of the Natural
Gas Act, as amended (15 U.S.C. 717b);
(e) Such enforcement functions of the Secretary or other appropriate
officer or entity in the Department of the Interior related to
compliance with: grants of rights-of-way and temporary use permits for
Federal land, issued under Section 28 of the Mineral Leasing Act of 1920
(30 U.S.C. 185); land use permits for temporary use of public lands and
other associated land uses, issued under Sections 302, 501, and 503-511
of the Federal Land Policy and Management Act of 1976 (43 U.S.C. 1732,
1761, and 1763-1771); materials sales contracts under the Materials Act
of 1947 (30 U.S.C. 601-603); rights-of-way across Indian lands, issued
under the Rights of Way Through Indian Lands Act (25 U.S.C. 321, et
seq.); removal permits issued under the Materials Act of 1947 (30
U.S.C. 601-603); approval to cross national wildlife refuges, National
Wildlife Refuge System Administration Act of 1966 (16 U.S.C.
668dd-668jj) and the Upper Mississippi River Wildlife and Fish Refuge
Act (16 U.S.C. 721-731); wildlife consultation in the Fish and
Wildlife Coordination Act (16 U.S.C. 661 et seq.); protection of
certain birds in the Migratory Bird Treaty Act (16 U.S.C. 703 et seq.);
Bald and Golden Eagles Protection Act (16 U.S.C. 668-668d); review of
Corps of Engineers dredged and fill material permits issued under
Section 404 of the Federal Water Pollution Control Act (33 U.S.C. 1344);
rights-of-way across recreation lands issued under the Land and Water
Conservation Fund Act of 1965, as amended (16 U.S.C. 4601-4 -- 4601-11);
historic preservation under the National Historic Preservation Act of
1966 as amended (16 U.S.C. 470-470f); permits issued under the
Antiquities Act of 1906 (16 U.S.C. 432, 433); and system activities
requiring coordination and approval under general authorities of the
National Trails System Act, as amended (16 U.S.C. 1241-1249), the
Wilderness Act, as amended (16 U.S.C. 1131-1136), the Wild and Scenic
Rivers Act, as amended (16 U.S.C. 1271-1287), the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et seq.), the Act of April 27, 1935
(prevention of soil erosion) (16 U.S.C. 590a-f), and an Act to Provide
for the Preservation of Historical and Archeological Data, as amended
(16 U.S.C. 469-469c);
(f) Such enforcement functions of the Secretary or other appropriate
officer or entity in the Department of Agriculture, insofar as they
involve lands and programs under the jurisdiction of that Department,
related to compliance with: associated land use permits authorized for
and in conjunction with grants of rights-of-way across Federal lands
issued under Section 28 of the Mineral Leasing Act of 1920 (30 U.S.C.
185); land use permits for other associated land uses issued under
Sections 501 and 503-511 of the Federal Land Policy and Management Act
of 1976 (43 U.S.C. 1761, 1763-1771), under the Organic Administration
Act of June 4, 1897, as amended (16 U.S.C. 473, 474-482, 551), and
under Title III of the Bankhead-Jones Farm Tenant Act of 1937, as
amended (7 U.S.C. 1010-1012); removal of materials under the Materials
Act of 1947 (30 U.S.C. 601-603) and objects of antiquity under the
Antiquities Act of 1906 (16 U.S.C. 432, 433); construction and
utilization of national forest roads under the Roads and Trails System
Act of 1964 (16 U.S.C. 532-538); and system activities requiring
coordination and approval under general authorities of the National
Forest Management Act of 1976 (16 U.S.C. 1600 et seq.); the Multiple
Use-Sustained-Yield Act of 1960 (16 U.S.C. 528-531); the Forest and
Rangelands Renewable Resources Planning Act of 1974 (16 U.S.C.
1601-1610); the National Trails System Act, as amended (16 U.S.C.
1241-1249); the Wilderness Act, as amended (16 U.S.C. 1131-1136); the
Wild and Scenic Rivers Act, as amended (16 U.S.C. 1271-1287); the Land
and Water Conservation Fund Act of 1965, as amended (16 U.S.C. 460 et
seq.) (16 U.S.C. 460l-4 to 460l-11); the Federal Water Pollution
Control Act of 1972 (33 U.S.C. 1151 et seq.) (33 U.S.C. 1251 et seq.);
the Fish and Wildlife Coordination Act and Fish and Game Sanctuaries Act
(16 U.S.C. 661 et seq. and 694, 694a-b, respectively); the National
Historic Preservation Act of 1966, as amended (16 U.S.C. 470-470f); an
Act to Provide for the Preservation of Historical and Archaeological
Data, as amended (16 U.S.C. 469-469c); the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et seq.); the Watershed Protection
and Flood Prevention Act, as amended (16 U.S.C. 1001 et seq.); the Soil
and Water (Resources) Conservation Act of 1977 (16 U.S.C. 2001 et seq.);
and the Act of April 27, 1935 (prevention of soil erosion) (16 U.S.C.
590a-f);
(g) Such enforcement functions of the Secretary or other appropriate
officer or entity in the Department of the Treasury related to
compliance with permits for interstate transport of explosives and
compliance with regulations for the storage of explosives, Title XI of
the Organized Crime Control Act of 1970 (18 U.S.C. 841-848);
(h)(1) The enforcement functions authorized by, and supplemental
enforcement authority created by the Act (15 U.S.C. 719 et seq.);
(2) All functions assigned to the person or board to be appointed by
the President under Section 7(a)(5) of the Act (15 U.S.C. 719e); and
(3) Pursuant to Section 7(a)(6) of the Act (15 U.S.C. 719e),
enforcement of the terms and conditions described in Section 5 of the
Decision and Report to the Congress on the Alaska Natural Gas
Transportation System, as approved by the Congress pursuant to Public
Law 95-158 (91 Stat. 1268), November 2 (8), 1977 (set out under 15
U.S.C. 719f); (hereinafter the ''Decision'').
05 USC Part II. Other Provisions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
05 USC Sec. 201. Executive Policy Board
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
The Executive Policy Board for the Alaska Natural Gas Transportation
System, hereinafter the ''Executive Policy Board'', which shall be
established by executive order, shall advise the Federal Inspector on
the performance of the Inspector's functions. All other functions
assigned, or which could be assigned pursuant to the Decision, to the
Executive Policy Board are hereby transferred to the Federal Inspector.
05 USC Sec. 202. Federal Inspector and Agency Authorized Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
(a) The Agency Authorized Officers shall be detailed to and located
within the Office. The Federal Inspector shall delegate to each Agency
Authorized Officer the authority to enforce the terms, conditions, and
stipulations of each grant, permit, or other authorization issued by the
Federal agency which appointed the Agency Authorized Officer. In the
exercise of these enforcement functions, the Agency Authorized Officers
shall be subject to the supervision and direction of the Federal
Inspector, whose decision on enforcement matters shall constitute
''action'' for purposes of Section 10 of the Act (15 U.S.C. 719h).
(b) The Federal Inspector shall be responsible for coordinating the
expeditious discharge of nonenforcement activities by Federal agencies
and coordinating the compliance by all the Federal agencies with Section
9 of the Act (15 U.S.C. 719g). Such coordination shall include requiring
submission of scheduling plans for all permits, certificates, grants or
other necessary authorizations, and coordinating scheduling of
system-related agency activities. Such coordination may include serving
as the ''one window'' point for filing for and issuance of all necessary
permits, certificates, grants or other authorizations, and, consistent
with law, Federal government requests for data or information related to
any application for a permit, certificate, grant or other authorization.
Upon agreement between the Federal Inspector and the head of any
agency, that agency may delegate to the Federal Inspector any statutory
function vested in such agency related to the functions of the Federal
Inspector.
(c) The Federal Inspector and Agency Authorized Officers in
implementing the enforcement authorities herein transferred shall carry
out the enforcement policies and procedures established by the Federal
agencies which nominally administer these authorities, except where the
Federal Inspector determines that such policies and procedures would
require action inconsistent with Section 9 of the Act (15 U.S.C. 719g).
(d) Under the authority of Section 15 of the Act (15 U.S.C. 719m),
the Federal Inspector will undertake to obtain appropriations for all
aspects of the Federal Inspector's operations. Such undertaking shall
include appropriations for all of the functions specified in the Act and
in the general terms and conditions of the Decision as well as for the
enforcement activities of the Federal Inspector. The Federal Inspector
will consult with the various Federal agencies as to resource
requirements for enforcing their respective permits and other
authorizations in preparing a unified budget for the Office. The budget
shall be reviewed by the Executive Policy Board.
05 USC Sec. 203. Subsequent Transfer Provision
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
(a) Effective upon the first anniversary of the date of initial
operation of the Alaska Natural Gas Transportation System, the functions
transferred by Section 102 of this Plan shall be transferred to the
agency which performed the functions on the date prior to date the
provisions of Section 102 of this Plan were made effective pursuant to
Section 205 of this Plan.
(b) Upon the issuance of the final determination order by the
Director of the Office of Management and Budget for the transfers
provided for by subsection (a) of this section, the Office and the
position of Federal Inspector shall, effective on the date of that
order, stand abolished.
05 USC Sec. 204. Incidental Transfers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
So much of the personnel, property, records and unexpended balances
of appropriations, allocations and other funds employed, used, held,
available, or to be made available in connection with the functions
transferred under this Plan, as the Director of the Office of Management
and Budget shall determine, shall be transferred to the appropriate
agency or component at such time or times as the Director of the Office
of Management and Budget shall provide, except that no such unexpended
balances transferred shall be used for purposes other than those for
which the appropriation was originally made. The Director of the Office
of Management and Budget shall provide for the terminating of the
affairs of the Office and the Federal Inspector upon their abolition
pursuant to this Plan and for such further measures and dispositions as
such Director deems necessary to effectuate the purposes of this Plan.
05 USC Sec. 205. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
This Plan shall become effective at such time or times as the
President shall specify, but not sooner than the earliest time allowable
under Section 906 of Title 5 of the United States Code, except that the
provisions of Section 203 shall occur as provided by the terms of that
Section.
(Pursuant to Ex. Ord. No. 12142, June 21, 1979, 44 F.R. 36927, this
Reorg. Plan is effective July 1, 1979.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1979
To the Congress of the United States:
I am submitting to you today Reorganization Plan No. 1 of 1979 to
create the Office of Federal Inspector for the Alaska Natural Gas
Transportation System and establish the position of Federal Inspector.
Creation of this Office and the transfer of appropriate Federal
enforcement authority and responsibility is consistent with my September
1977 Decision and Report to the Congress on the Alaska Natural Gas
Transportation System. This decision was approved by the Congress
November 2, 1977.
The Alaska Gas Transportation System is a 4,748-mile pipeline to be
constructed in partnership with Canada. Canada completed legislation
enacting a similar transfer last year and has already appointed an
official to coordinate its activities prior to and during pipeline
construction. The Northwest Alaska Pipeline Company has been selected
to construct the pipeline, with completion scheduled in late 1984.
Estimated construction costs are $10-$15 billion, to be financed by
private investment.
Natural gas is among the Nation's most valuable fuels. It is the
national interest to bring Alaskan gas reserves to market at the lowest
possible price for consumers. Construction of a gas pipeline from the
Prudhoe Bay reserves in Alaska through Canada to points in the West and
Midwest United States will provide a system which will deliver more
Alaskan natural gas at less cost to a greater number of Americans than
any alternative transportation system. Every effort must be made to
ensure timely completion of the pipeline at the lowest possible cost
consistent with Federal regulatory policies.
As a result of our experience in construction of the Trans-Alaska Oil
Pipeline, we recognize the need for the Federal Government to be in a
strong position to manage its own role in this project through prompt,
coordinated decisionmaking in pre-construction approval functions and in
enforcing the terms and conditions of the permits, certificates, leases,
and other authorizations to be issued by various Federal agencies. We
must avoid duplicating the delays and cost escalations experienced in
the construction of the Trans-Alaska Pipeline System. The Plan I am
submitting would establish clear responsibility for the efficient
functioning of Federal enforcement activities by assigning the Federal
Inspector authority to carry out these responsibilities.
The Alaska Natural Gas Transportation Act of 1976 (15 U.S.C. 719 et
seq.) only provided for monitoring the construction of the pipeline.
The Plan transfers to the Federal Inspector the authority to supervise
the enforcement of terms and conditions of the permits and other
authorizations, including those to be issued by the Departments of
Agriculture, Interior, Transportation, and Treasury, and the
Environmental Protection Agency, the Federal Energy Regulatory
Commission, and the U.S. Army Corps of Engineers. The Plan provides for
the Federal Inspector to coordinate other Federal activities directly
related to the pipeline project. Federal agencies retain their
authority to issue permits and related authorizations, but enforcement
of the terms and conditions of these authorizations is transferred to
the Federal Inspector. Transfer of enforcement authority from Federal
agencies to the Federal Inspector is limited in scope to their
participation in this project and in duration to the pre-construction,
construction, and initial operation phases of the project.
The Decision and Report to the Congress recommended an Executive
Policy Board with policy-making and supervisory authority over the
Federal Inspector. I plan to sign an Executive Order upon approval of
this Plan by the Congress which will create an Executive Policy Board
which will be only advisory, but which will enhance communication and
coordinate among Federal agencies and with the Federal Inspector. The
Plan modifies the Decision and Report in that regard. The Federal
Inspector will use the policies and procedures of the agencies involved
in exercising the transferred enforcement responsibilities to the
maximum extent practicable. The Board provides the opportunity for
agencies to contribute to the policy deliberations of the Inspector and
exercises an oversight role to insure that pipeline activities are
carried on within existing regulatory policy. The Board is required to
review the budget of the Office of the Federal Inspector and
periodically report to me on the progress of construction and on major
problems encountered. I am convinced that the Federal Inspector must
have authority commensurate with his responsibilities.
Each of the provisions of this proposed reorganization would
accomplish one or more of the purposes set forth in Section 901(a) of
Title 5 of the United States Code. The appointment and compensation of
the Federal Inspector is in accordance with the provisions of the Alaska
Natural Gas Transportation Act of 1976 (15 U.S.C. 719 et seq.), and the
Reorganization Act of 1977. The provisions for appointment and pay in
this Plan are necessary by reason of a reorganization made by the Plan.
The rate of compensation is comparable to rates for similar positions
within the Executive Branch. This reorganization will result in a
reduction in the cost of construction for the pipeline system and
ultimately in savings to American consumers. A small increase in cost
to the Federal government will result from the creation of the Office of
the Federal Inspector. The Plan requires that the Office and the
position of Federal Inspector will be abolished upon the first
anniversary date after the pipeline becomes operational.
Jimmy Carter.
The White House, April 2, 1979.
(The Office of Federal Inspector for the Alaska Natural Gas
Transportation System was abolished and all functions and authority
vested in the Inspector were transferred to the Secretary of Energy, see
section 3012(b) of Pub. L. 102-486, set out as an Abolition of Office of
Federal Inspector of Construction note under section 719e of Title 15,
Commerce and Trade.)
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
05 USC REORGANIZATION PLAN NO. 2 OF 1979
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, April 10, 1979, pursuant to
the provisions of chapter 9 of title 5 of the United States Code. /1/
/1/ As amended May 21, 1979.
05 USC Section 1. Establishment of the United States International
Development Cooperation Agency
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
There is hereby established in the executive branch an independent
agency to be known as the United States International Development
Cooperation Agency (hereinafter referred to as the ''Agency'').
05 USC Sec. 2. Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
The Agency shall be headed by the Director of the United States
International Development Cooperation Agency (hereinafter referred to as
the ''Director''), who shall be appointed by the President, by and with
the advice and consent of the Senate, and shall receive compensation at
the rate prescribed by law for Level II of the Executive Schedule (5
U.S.C. 5313). The Director shall have primary responsibility for
establishing overall development assistance policy and coordinating
international development activities supported by the United States.
The Director shall serve as the principal advisor to the President and
the Secretary of State on international development matters and also
shall advise the President on all trade, science and technology, and
other matters significantly affecting the developing nations. The
Director shall report to the President and, on matters relating to
foreign policy, to the Secretary of State. The Director shall designate
the order in which other officials shall act for and exercise the powers
of the Director during the absence or disability of the Director and the
Deputy Director or in the event of vacancies in both such offices.
05 USC Sec. 3. Deputy Director
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
The President, by and with the advice and consent of the Senate, may
appoint a Deputy Director of the Agency, who shall receive compensation
at the rate prescribed by law for Level III of the Executive Schedule (5
U.S.C. 5314). The Deputy Director shall perform such duties and exercise
such powers as the Director may from time to time prescribe and, in
addition, shall act for and exercise the powers of the Director during
the absence or disability of the Director or during a vacancy in such
office.
05 USC Sec. 4. Associate Directors
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
The President, by and with the advice and consent of the Senate, may
appoint two Associate Directors of the Agency, who shall perform such
duties and exercise such powers as the Director may from time to time
prescribe and who shall receive compensation at the rate prescribed by
law for Level IV of the Executive Schedule (5 U.S.C. 5315).
05 USC Sec. 5. Performance of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
The Director may from time to time establish, alter, consolidate, or
discontinue organizational units within the Agency (other than units
expressly established by statute or reorganization plan). The Director
may from time to time delegate responsibility for carrying out any
function or authority of the Director of the Agency to any officer,
employee, or unit of the Agency, or any other officer or agency of the
executive branch.
05 USC Sec. 6. Transfers of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
(a) There are hereby transferred to the Director all functions and
authorities vested in the Agency for International Development or in its
administrator pursuant to the following:
(1) sections 233(b), 239(i), 296(e), 297(d), 298(c)(6), 299(d),
601(a) through (d), and 624(f)(2)(C) of the Foreign Assistance Act of
1961, as amended (22 U.S.C. 2193(b), 2199(i), 2220a(e), 2220b(d),
2220c(c)(6), 2220d(d), 2351(a) through (d), and 2384(f)(2)(C));
(2) section 407 of the Agricultural Trade Development and Assistance
Act of 1954, as amended (7 U.S.C. 1736a); and
(3) section 706 of the Foreign Relations Authorization Act, Fiscal
Year 1979 (49 U.S.C. 1518) (49 App. U.S.C. 1518).
(b) There are hereby transferred to the Director all functions and
authorities vested in the agency primarily responsible for administering
part I of the Foreign Assistance Act of 1961, as amended (22 U.S.C. 2151
et seq.), or in its Administrator pursuant to the following:
(1) sections 101(b), 119, 125, 531(a)(2), 601(e)(2), and 640B of such
Act (22 U.S.C. 2151(b), 2151q, 2151w, 2346(a)(2), 2351(e)(2), and
2399c); and
(2) section 602 of the International Security Assistance and Arms
Control Act of 1976 (22 U.S.C. 2352 note).
(c) There are hereby transferred to the Director all functions and
authorities vested in the Secretary of State pursuant to the following:
(1) section 101(b) of the Foreign Assistance Act of 1961, as amended
(22 U.S.C. 2151(b)), insofar as it relates to policy guidance other than
foreign policy guidance, and section 622(c) of such Act (22 U.S.C.
2382(c)), insofar as it relates to development assistance; and
(2) section 901 of Public Law 95-118 (22 U.S.C. 262g).
05 USC Sec. 7. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
One of the positions that the President may appoint under section
624(a) of the Foreign Assistance Act of 1961 (22 U.S.C. 2384(a), 5
U.S.C. 5315(5)) is hereby abolished.
05 USC Sec. 8. Other Transfers; Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations and other funds employed, used,
held, available, or to be made available in connection with the
functions and authorities affected by the establishment of the Agency,
as the Director of the Office of Management and Budget shall determine,
shall be transferred to the appropriate agency or component at such time
or times as the Director of the Office of Management and Budget shall
provide, except that no such unexpended balances transferred shall be
used for purposes other than those for which the appropriation was
originally made. The Director of the Office of Management and Budget
shall provide for terminating the affairs of any agency abolished herein
and for such further measures and dispositions as such Director deems
necessary to effectuate the purposes of this reorganization plan.
(b) Pending the initial appointment of the Director, Deputy Director,
and Associate Directors of the Agency, their functions and authorities
may be performed, for up to 60 days after section 1 of this
reorganization plan becomes effective (Oct. 1, 1979), by such
individuals as the President may designate. Any individual so
designated shall be compensated at the rate provided herein for the
position whose functions and authorities such individual performs.
05 USC Sec. 9. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
This reorganization plan shall become effective on July 1, 1980, or
at such earlier time or times as the President shall specify, but not
sooner than the earliest time allowable under section 906 of title 5 of
the United States Code.
(Pursuant to Ex. Ord. 12147, July 19, 1979, 44 F.R. 42957, sections
2, 3, and 4 of this Reorg. Plan are effective July 19, 1979.)
(Pursuant to Ex. Ord. 12163, Sept. 29, 1979, 44 F.R. 56673, sections
1, 5, 6, and 8 of this Reorg. Plan are effective Oct. 1, 1979.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 2 OF 1979
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 2 of 1979, to
consolidate certain foreign assistance activities of the United States
Government. I am acting under the authority vested in me by the
Reorganization Act, chapter 9 of title 5 of the United States Code, and
pursuant to title III of the International Development and Food
Assistance Act of 1978 (Pub. L. 95-424, Oct. 6, 1978, 92 Stat. 955, set
out as a note under 22 U.S.C. 2151), which requires that I report to the
Congress my decisions on reorganization in this area. The purposes of
this reorganization are to make more coherent our economic policies and
programs affecting the developing nations and to improve the
effectiveness of United States foreign development activities.
This Nation is committed -- not only in the interest of the people of
developing countries, but in our own interest as well -- to help those
countries in their efforts to achieve better lives for their citizens.
To this end, we conduct a number of bilateral development assistance
programs, participate in a number of multilateral development assistance
programs, and engage in a variety of other economic activities that
affect developing countries.
When this Administration took office, United States support of
international development suffered from four major problems. First, no
single U.S. official was charged with responsibility for establishing a
comprehensive and coherent strategy for our Nation's efforts in this
field. Second, no agency or official had the authority to ensure that
the various U.S. programs affecting development were consistent with
each other or complemented the programs of the multilateral
organizations to which we contribute. Third, none of the agency heads
testifying before the Congress about his particular portion of our
foreign assistance efforts was able to speak authoritatively for the
program as a whole or for the Administration's overall development
policies and priorities. Finally, because there was no authoritative
spokesperson, developmental concerns were at times accorded insufficient
weight in executive branch decision-making on trade, monetary, and other
non-aid economic issues that affect developing nations.
Just before his death a year ago, Senator Hubert H. Humphrey
prepared a bill intended to solve these problems. Congressman Clement
Zablocki introduced a similar measure in the House. Although the
Congress took no action last year on the organizational provisions of
the Humphrey-Zablocki bill, it directed me, in title III of the 1978
development assistance authorization act, to institute a strengthened
system of coordination of U.S. economic policies affecting the
developing countries, and urged me to create an agency with primary
responsibility for coordination of international development-related
activities.
In response to the Humphrey-Zablocki bill and the Administration's
own analyses, I took a number of steps last year to strengthen aid
coordination and improve the effectiveness of our development assistance
programs. The Reorganization Plan transmitted with this message
continues that process. It will provide stronger direction of U.S.
policies toward the developing world, ensure a more coherent development
strategy, promote the more effective use of the various U.S. bilateral
instruments by which the U.S. can encourage economic and social progress
in developing countries, and ensure that U.S. bilateral programs and
the multilateral programs to which we contribute better complement each
other.
This reorganization would create a new agency, to be known as the
International Development Cooperation Agency (IDCA). IDCA would become
a focal point within the U.S. Government for economic matters affecting
U.S. relations with developing countries. Subject to guidance
concerning the foreign policy of the United States from the Secretary of
State, the IDCA Director would be the principal international
development advisor to the President and to the Secretary of State. The
Director would replace the AID Administrator in chairing the Development
Coordination Committee. The IDCA Director would make recommendations to
me concerning the appointment and tenure of senior officials of each
component of IDCA, and would establish and control the budgets and
policies of the Agency for International Development and the bilateral
foreign assistance programs it administers, and of the Institute For
Technological Cooperation, proposed in legislation transmitted to the
Congress on February 26, 1979, which would support research and
technological innovation to reduce obstacles to economic development.
The Overseas Private Investment Corporation, which insures and
guarantees U.S. private investments in developing countries against
certain hazards, would also be a component of IDCA, but OPIC's Board of
Directors, which the IDCA Director would chair, would continue to set
OPIC policy.
Each of these agencies would retain its individual identity and
substantial day-to-day operating autonomy. A principal responsibility
of the IDCA Director -- who would be supported by a small staff -- would
be the achievement of consistency and balance among the policies, major
programs, and budgets of the component agencies.
To help insure that U.S. bilateral efforts and the programs of major
multilateral development institutions better complement each other, the
IDCA Director would participate in the selection of U.S. Executive
Directors of multilateral development banks (World Bank Group,
Inter-American Development Bank, Asian Development Bank and African
Development Fund), and would advise these Executive Directors on
development policy and proposed projects and programs. Additionally,
IDCA would assume lead responsibility for budget support and policy
concerning United States participation in those organizations and
programs of the United Nations and the Organization of American States
whose purpose is primarily developmental. These are the UN Development
Program, UNICEF, the Organization of American States Technical
Assistance Funds, the UN Capital Development Fund, the UN Educational
and Training Program for Southern Africa, the UN/Food and Agriculture
Organization (FAO) World Food Program, the FAO Post-Harvest Losses Fund,
and the UN Disaster Relief Organization.
The IDCA Director would be responsible for insuring that development
goals are taken fully into account in all executive branch
decision-making on trade, technology, and other economic policy issues
affecting the less developed nations, and would submit an annual
development policy statement to the Congress. The Director would also
prepare a comprehensive foreign assistance budget, which he would submit
to the Office of Management and Budget after consulting with the
Secretary of State, and would lead the Administration's presentation of
that budget to the Congress.
When IDCA is established, I intend to delegate to it the principal
authority for the bilateral development assistance program administered
by AID (now vested in me by law, delegated to the Secretary of State,
and redelegated to the Administrator of AID). Certain functions vested
in me under the Foreign Assistance Act will continue to be delegated to
the Secretary of State, Secretary of the Treasury, Secretary of Defense,
or elsewhere; but most functions relating to the assistance program
will be delegated directly to the IDCA Director, who will in turn
redelegate these functions, as appropriate, to the Administrator of AID.
I also intend to delegate to the Director of IDCA authority proposed to
be vested in me to establish an Institute For Technological Cooperation;
the IDCA Director would redelegate these functions, as appropriate, to
IFTC.
The reorganization would increase program effectiveness through
improved coordination, as requested in the 1978 authorization act. I
estimate that it would achieve that goal with no increase in
expenditures or personnel. After investigation, I have found that this
reorganization is necessary to carry out the policy set forth in section
901(a) of title 5 of the United States Code. This plan abolishes one of
the statutory officers that the President may appoint under section
624(a) of the Foreign Assistance Act of 1961 (22 U.S.C. 2384(a)). No
statutory functions are abolished by the plan. The provisions in this
plan for the appointment and pay of the Director, Deputy Director, and
Associate Directors of IDCA have been found by me to be necessary by
reason of the reorganization and are at rates applicable to comparable
officers in the executive branch.
This proposal constitutes the first major restructuring of the U.S.
foreign aid program since the creation of the Agency for International
Development in 1961. It will provide the United States with
governmental machinery far better able to fulfill our commitment to
assist people in developing countries to eliminate hunger, poverty,
illness and ignorance. It responds to the mandate of the Congress. Let
us work together to insure its successful and effective implementation.
Jimmy Carter.
The White House, April 10, 1979.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
05 USC REORGANIZATION PLAN NO. 3 OF 1979
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
97-195, 1(c)(6), June 16, 1982, 96 Stat. 115; Pub.
L. 97-377, title I, 122, Dec. 21, 1982, 96 Stat.
1913
Prepared by the President and transmitted to the Senate and the House
of Representatives in Congress assembled, September 25, 1979, pursuant
to the provisions of chapter 9 of title 5 of the United States Code.
05 USC Section 1. Office of the United States Trade Representative
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
(a) The Office of the Special Representative for Trade Negotiations
is redesignated the Office of the United States Trade Representative.
(b)(1) The Special Representative for Trade Negotiations is
redesignated the United States Trade Representative (hereinafter
referred to as the ''Trade Representative''). The Trade Representative
shall have primary responsibility, with the advice of the interagency
organization established under section 242 of the Trade Expansion Act of
1962 (19 U.S.C. 1872) (hereinafter referred to as the ''Committee''),
for developing, and for coordinating the implementation of, United
States international trade policy, including commodity matters and, to
the extent they are related to international trade policy, direct
investment matters. The Trade Representative shall serve as the
principal advisor to the President on international trade policy and
shall advise the President on the impact of other policies of the United
States Government on international trade.
(2) The Trade Representative shall have lead responsibility for the
conduct of international trade negotiations, including commodity and
direct investment negotiations in which the United States participates.
(3) To the extent necessary to assure the coordination of
international trade policy, and consistent with any other law, the Trade
Representative, with the advice of the Committee, shall issue policy
guidance to departments and agencies on basic issues of policy and
interpretation arising in the exercise of the following international
trade functions. Such guidance shall determine the policy of the United
States with respect to international trade issues arising in the
exercise of such functions:
(A) matters concerning the General Agreement on Tariffs and Trade,
including implementation of the trade agreements set forth in section
2(c) of the Trade Agreements Act of 1979 (19 U.S.C. 2503(c)); United
States Government positions on trade and commodity matters dealt with by
the Organization for Economic Cooperation and Development, the United
Nations Conference on Trade and Development, and other multilateral
organizations; and the assertion and protection of the rights of the
United States under bilateral and multilateral international trade and
commodity agreements;
(B) expansion of exports from the United States;
(C) policy research on international trade, commodity, and direct
investment matters;
(D) to the extent permitted by law, overall United States policy with
regard to unfair trade practices, including enforcement of
countervailing duties and antidumping functions under section 303 and
title VII of the Tariff Act of 1930 (19 U.S.C. 1303, 1671 et seq.);
(E) bilateral trade and commodity issues, including East-West trade
matters; and
(F) international trade issues involving energy.
(4) All functions of the Trade Representative shall be conducted
under the direction of the President.
(c) The Deputy Special Representatives for Trade Negotiations are
redesignated Deputy United States Trade Representatives.
05 USC Sec. 2. Department of Commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
(a) The Secretary of Commerce (hereinafter referred to as the
''Secretary'') shall have, in addition to any other functions assigned
by law, general operational responsibility for major nonagricultural
international trade functions of the United States Government, including
export development, commercial representation abroad, the administration
of the antidumping and countervailing duty laws, export controls, trade
adjustment assistance to firms and communities, research and analysis,
and monitoring compliance with international trade agreements to which
the United States is a party.
(b)(1) There shall be in the Department of Commerce (hereinafter
referred to as the ''Department'') a Deputy Secretary appointed by the
President, by and with the advice and consent of the Senate. The Deputy
Secretary shall receive compensation at the rate payable for Level II of
the Executive Schedule (5 U.S.C. 5313), and shall perform such duties
and exercise such powers as the Secretary may from time to time
prescribe.
(2) The position of Under Secretary of Commerce established under
section 1 of the Act of June 5, 1939 (ch. 180, 53 Stat. 808; 15 U.S.C.
1502) is abolished.
(c) There shall be in the Department an Under Secretary for
International Trade appointed by the President, by and with the advice
and consent of the Senate. The Under Secretary for International Trade
shall receive compensation at the rate payable for Level III of the
Executive Schedule (5 U.S.C. 5314), and shall perform such duties and
exercise such powers as the Secretary may from time to time prescribe.
(d) There shall be in the Department two additional Assistant
Secretaries appointed by the President, by and with the advice and
consent of the Senate. Each such Assistant Secretary shall perform such
duties and exercise such powers as the Secretary from time to time
prescribe.
(e) There shall be in the Department of Commerce a Director General
of the United States and Foreign Commercial Services who shall be
appointed by the President, by and with the advice and consent of the
Senate, and shall receive compensation at the rate prescribed by law for
level IV of the Executive Schedule (5 U.S.C. 5315). (As amended Pub. L.
97-195, 1(c)(6), June 16, 1982, 96 Stat. 115; Pub. L. 97-377, title
I, 122, Dec. 21, 1982, 96 Stat. 1913.)
05 USC Sec. 3. Export-Import Bank of the United States
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
The Trade Representative and the Secretary shall serve, ex officio
and without vote, as additional members of the Board of Directors of the
Export-Import Bank of the United States.
05 USC Sec. 4. Overseas Private Investment Corporation
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
(a) The Trade Representative shall serve, ex officio, as an
additional voting member of the Board of Directors of the Overseas
Private Investment Corporation. The Trade Representative shall be the
Vice Chair of such Board.
(b) There shall be an additional member of the Board of Directors of
the Overseas Private Investment Corporation who shall be appointed by
the President of the United States, by and with the advice and consent
of the Senate, and who shall not be an official or employee of the
Government of the United States. Such Director shall be appointed for a
term of no more than three years.
05 USC Sec. 5. Transfer of Functions
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
(a)(1) There are transferred to the Secretary all functions of the
Secretary of the Treasury, the General Counsel of the Department of the
Treasury, or the Department of the Treasury pursuant to the following:
(A) section 305(b) of the Trade Agreements Act of 1979 (19 U.S.C.
2515(b)), to be exercised in consultation with the Secretary of the
Treasury;
(B) section 232 of the Trade Expansion Act of 1962 (19 U.S.C. 1862);
(C) section 303 and title VII (including section 771(1) (19 U.S.C.
1677(1))) of the Tariff Act of 1930 (19 U.S.C. 1303, 1671 et seq.),
except that the Customs Service of the Department of the Treasury shall
accept such deposits, bonds, or other security as deemed appropriate by
the Secretary, shall assess and collect such duties as may be directed
by the Secretary, and shall furnish such of its important records or
copies thereof as may be requested by the Secretary incident to the
functions transferred by this subparagraph;
(D) sections 514, 515, and 516 of the Tariff Act of 1930 (19 U.S.C.
1514, 1515, and 1516) insofar as they relate to any protest, petition,
or notice of desire to contest described in section 1002(b)(1) of the
Trade Agreements Act of 1979 (19 U.S.C. 1516a note);
(E) with respect to the functions transferred by subparagraph (C) of
this paragraph, section 318 of the Tariff Act of 1930 (19 U.S.C. 1318),
to be exercised in consultation with the Secretary of the Treasury;
(F) with respect to the functions transferred by subparagraph (C) of
this paragraph, section 502(b) of the Tariff Act of 1930 (19 U.S.C.
1502(b)), and, insofar as it provides authority to issue regulations and
disseminate information, to be exercised in consultation with the
Secretary of the Treasury to the extent that the Secretary of the
Treasury has responsibility under subparagraph (C), section 502(a) of
such Act (19 U.S.C. 1502(a));
(G) with respect to the functions transferred by subparagraph (C) of
this paragraph, section 617 of the Tariff Act of 1930 (19 U.S.C. 1617);
and
(H) section 2632(e) of title 28 of the United States Code, insofar as
it relates to actions taken by the Secretary reviewable under section
516A of the Tariff Act of 1930 (19 U.S.C. 1516(a)) (19 U.S.C. 1516a).
(2) The Secretary shall consult with the Trade Representative
regularly in exercising the functions transferred by subparagraph (C) of
paragraph (1) of this subsection, and shall consult with the Trade
Representative regarding any substantive regulation proposed to be
issued to enforce such functions.
(b)(1) There are transferred to the Secretary all trade promotion and
commercial functions of the Secretary of State or the Department of
State that are --
(A) performed in full-time overseas trade promotion and commercial
positions; or
(B) performed in such countries as the President may from time to
time prescribe.
(2) To carry out the functions transferred by paragraph (1) of this
subsection, the President, to the extent he deems it necessary, may
authorize the Secretary to utilize Foreign Service personnel authorities
and to exercise the functions vested in the Secretary of State by the
Foreign Service Act of 1946 (22 U.S.C. 801 et seq.) (see 22 U.S.C. 3901
et seq.) and by any other laws with respect to personnel performing such
functions.
(c) There are transferred to the President all functions of the
East-West Foreign Trade Board under section 411(c) of the Trade Act of
1974 (19 U.S.C. 2441(c)).
(d) Appropriations available to the Department of State for Fiscal
Year 1980 for representation of the United States concerning matters
arising under the General Agreement on Tariffs and Trade and trade and
commodity matters dealt with under the auspices of the United Nations
Conference on Trade and Development are transferred to the Trade
Representative.
(e) There are transferred to the interagency organization established
under section 242 of the Trade Expansion Act of 1962 (19 U.S.C. 1872)
all functions of the East-West Foreign Trade Board under section 411(a)
and (b) of the Trade Act of 1974 (19 U.S.C. 2441(a) and (b)).
05 USC Sec. 6. Abolition
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
The East-West Foreign Trade Board established under section 411 of
the Trade Act of 1974 (19 U.S.C. 2441) is abolished.
05 USC Sec. 7. Responsibility of the Secretary of State
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
Nothing in this reorganization plan is intended to derogate from the
responsibility of the Secretary of State for advising the President on
foreign policy matters, including the foreign policy aspects of
international trade and trade-related matters.
05 USC Sec. 8. Incidental Transfers; Interim Officers
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
(a) So much of the personnel, property, records, and unexpended
balances of appropriations, allocations, and other funds employed, used,
held, available, or to be made available in connection with the
functions transferred under this reorganization plan as the Director of
the Office of Management and Budget shall determine shall be transferred
to the appropriate agency, organization, or component at such time or
times as such Director shall provide, except that no such unexpended
balances transferred shall be used for purposes other than those for
which the appropriation originally was made. The Director of the Office
of Management and Budget shall provide for terminating the affairs of
any agency abolished herein and for such further measures and
dispositions as such Director deems necessary to effectuate the purposes
of the reorganization plan.
(b) Pending the assumption of office by the initial officers provided
for in section 2 of this reorganization plan, the functions of each such
office may be performed, for up to a total of 60 days, by such
individuals as the President may designate. Any individual so
designated shall be compensated at the rate provided herein for such
position.
05 USC Sec. 9. Effective Date
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
The provisions of this reorganization plan shall take effect October
1, 1980, or at such earlier time or times as the President shall
specify, but not sooner than the earliest time allowable under section
906 of title 5 of the United States Code.
(Pursuant to Ex. Ord. 12175, Dec. 7, 1979, 44 F.R. 70705, section
2(b)(1) of this Reorg. Plan is effective Dec. 7, 1979.)
(Pursuant to Ex. Ord. 12188, Jan. 2, 1980, 45 F.R. 989, sections 1,
2(a), (b)(2), (c), (d), 3, 4, 5(a), (b)(2), (c)-(e), 6-8 of this Reorg.
Plan are effective Jan. 2, 1980, and section 5(b)(1) of this Reorg. Plan
is effective Apr. 1, 1980.)
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
To the Congress of the United States:
I transmit herewith Reorganization Plan No. 3 of 1979, to
consolidate trade functions of the United States Government. I am
acting under the authority vested in me by the Reorganization Act of
1977, chapter 9 of title 5 of the United States Code, and pursuant to
section 1109 of the Trade Agreements Act of 1979 (19 U.S.C. 2111 note),
which directs that I transmit to the Congress a proposal to restructure
the international trade functions of the Executive branch.
The goal of this reorganization is to improve the capacity of the
Government to strengthen the export performance of United States
industry and to assure fair international trade practices, taking into
account the interests of all elements of our economy.
Recent developments, which have raised concern about the vitality of
our international trade performance, have focused much attention on the
way our trade machinery is organized. These developments include our
negative trade balance, increasing dependence upon foreign oil, and
international pressures on the dollar. New challenges, such as
implementation of the Multilateral Trade Negotiation (MTN) agreements
and trade with non-market economies, will further test our Government
trade organization.
We must be prepared to apply domestically the MTN codes on
procurement, subsidies, standards, and customs valuation. We also must
monitor major implementation measures abroad, reporting back to American
business on important developments and, where necessary, raising
questions internationally about foreign implementation. MTN will work
-- will open new markets for U.S. labor, farmers, and business -- only
if we have adequate procedures for aggressively monitoring and enforcing
it. We intend to meet our obligations, and we expect others to do the
same.
The trade machinery we now have cannot do this job effectively.
Although the Special Trade Representative (STR) takes the lead role in
administering the trade agreements program, many issues are handled
elsewhere and no agency has across-the-board leadership in trade. Aside
from the Trade Representative and the Export-Import Bank, trade is not
the primary concern of any Executive branch agency where trade functions
are located. The current arrangements lack a central authority capable
of planning a coherent trade strategy and assuring its vigorous
implementation.
This reorganization is designed to correct such deficiencies and to
prepare us for strong enforcement of the MTN codes. It aims to improve
our export promotion activities so that United States exporters can take
full advantage of trade opportunities in foreign markets. It provides
for the timely and efficient administration of our unfair trade laws.
It also establishes an efficient mechanism for shaping an effective,
comprehensive United States trade policy.
To achieve these objectives, I propose to place policy coordination
and negotiation -- those international trade functions that most require
comprehensiveness, influence, and Government-wide perspective -- in the
Executive Office of the President. I propose to place operational and
implementation responsibilities, which are staff-intensive, in line
departments that have the requisite resources and knowledge of the major
sectors of our economy to handle them. I have concluded that building
our trade structure on STR and Commerce, respectively, best satisfies
these considerations.
I propose to enhance STR, to be renamed the Office of the United
States Trade Representative, by centralizing in it international trade
policy development, coordination and negotiation functions. The
Commerce Department will become the focus of non-agricultural
operational trade responsibilities by adding to its existing duties
those for commercial representation abroad, antidumping and
countervailing duty cases, the non-agricultural aspects of MTN
implementation, national security investigations, and embargoes.
05 USC the united states trade representative
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
The Trade Representative, with the advice of the Trade Policy
Committee, will be responsible for developing and coordinating our
international trade and direct investment policy, including the
following areas:
Import remedies. -- The Trade Representative will exercise policy
oversight of the application of import remedies, analyze long-term
trends in import remedy cases and recommend any necessary legislative
changes. For antidumping and countervailing duty matters, such
coordination, to the extent legally permissible, will be directed toward
the establishment of new precedents, negotiation of assurances, and
coordination with other trade matters, rather than case-by-case fact
finding and determinations.
East-West trade policy. -- The Trade Representative will have lead
responsibility for East-West trade negotiations and will coordinate
East-West trade policy. The Trade Policy Committee will assume the
responsibilities of the East-West Foreign Trade Board.
International investment policy. -- The Trade Representative will
have the policy lead regarding issues of direct foreign investment in
the United States, direct investment by Americans abroad, operations of
multinational enterprises, and multilateral agreements on international
investment, insofar as such issues relate to international trade.
International commodity policy. -- The Trade Representative will
assume responsibility for commodity negotiations and also will
coordinate commodity policy.
Energy trade. -- While the Departments of Energy and State will
continue to share responsibility for international energy issues, the
Trade Representative will coordinate energy trade matters. The
Department of Energy will become a member of the TPC.
Export-expansion policy. -- To ensure a vigorous and coordinated
Government-wide export expansion effort, policy oversight of our export
expansion activities will be the responsibility of the Trade
Representative.
The Trade Representative will have the lead role in bilateral and
multilateral trade, commodity, and direct investment negotiations. The
Trade Representative will represent the United States in General
Agreement on Tariffs and Trade (GATT) matters. Since the GATT will be
the principal international forum for implementing and interpreting the
MTN agreements and since GATT meetings, including committee and working
group meetings, occur almost continuously, the Trade Representative will
have a limited number of permanent staff in Geneva. In some cases, it
may be necessary to assign a small number of USTR staff abroad to assist
in oversight of MTN enforcement. In this event, appropriate positions
will be authorized. In recognition of the responsibility of the
Secretary of State regarding our foreign policy, the activities of
overseas personnel of the Trade Representative and the Commerce
Department will be fully coordinated with other elements of our
diplomatic missions.
In addition to his role with regard to GATT matters, the Trade
Representative will have the lead responsibility for trade and commodity
matters considered in the Organization for Economic Cooperation and
Development (OECD) and the United Nations Conference on Trade and
Development (UNCTAD) when such matters are the primary issues under
negotiation. Because of the Secretary of State's foreign policy
responsibilities, and the responsibilities of the Director of the
International Development Cooperation Agency as the President's
principal advisor on development, the Trade Representative will exercise
his OECD and UNCTAD responsibilities in close cooperation with these
officials.
To ensure that all trade negotiations are handled consistently and
that our negotiating leverage is employed to the maximum, the Trade
Representative will manage the negotiation of particular issues. Where
appropriate, the Trade Representative may delegate responsibility for
negotiations to other agencies with expertise on the issues under
consideration. He will coordinate the operational aspects of
negotiations through a Trade Negotiating Committee, chaired by the Trade
Representative and including the Departments of Commerce, State,
Treasury, Agriculture and Labor.
The Trade Representative will be concerned not only with ongoing
negotiations and coordination of specific, immediate issues, but also --
very importantly -- with the development of long-term United States
trade strategies and policies. He will oversee implementation of the
MTN agreements, and will advise the President on the effects of other
Government policies (e.g., antitrust, taxation) on U.S. trade. In order
to participate more fully in oversight of international investment and
export financing activities, the Trade Representative will become a
member of the National Advisory Council on International Monetary and
Financial Policies and the Boards of the Export-Import Bank and the
Overseas Private Investment Corporation.
In performing these functions, the Trade Representative will act as
the principal trade spokesman of the President. To assure that our
trade policies take into account the broadest range of perspectives, the
Trade Representative will consult with the Trade Policy Committee, whose
mandate and membership will be expanded. The Trade Representative will,
as appropriate, invite agencies such as the Export-Import Bank and the
Overseas Private Investment Corporation to participate in TPC meetings
in addition to the permanent TPC members. When different departmental
views on trade matters exist within the TPC as will be the case from
time to time in this complex policy area, I will expect the Trade
Representative to resolve policy disagreements in his best judgment,
subject to appeal to the President.
05 USC the department of commerce
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 3 OF 1979
The Department of Commerce, under this proposal, will become the
focal point of operational responsibilities in the non-agricultural
trade area. My reorganization plan will transfer to the Commerce
Department important responsibilities for administration of
countervailing and antidumping matters, foreign commercial
representation, and MTN implementation support. Consolidating these
trade functions in the Department of Commerce builds upon an agency with
extensive trade experience. The Department will retain its operational
responsibilities in such areas as export controls, East-West trade,
trade adjustment assistance to firms and communities, trade policy
analysis, and monitoring foreign compliance with trade agreements. The
Department will be substantially reorganized to consolidate and reshape
its trade functions under an Under Secretary for International Trade.
With this reorganization, trade functions will be strengthened within
the Department of Commerce, and such related efforts in the Department
as improvement of industrial innovation and productivity, encouraging
local and regional economic development, and sectoral analysis, will be
closely linked to an aggressive trade program. Fostering the
international competitiveness of American industry will become the
principal mission of the Department of Commerce.
Import remedies
I propose to transfer to the Department of Commerce responsibility
for administration of the countervailing duty and antidumping statutes.
This function will be performed efficiently and effectively in an
organizational setting where trade is the primary mission. This
activity will be directed by a new Assistant Secretary for Trade
Administration, subject to Senate confirmation. Although the plan
permits its provisions to take effect as late as October 1, 1980, I
intend to make this transfer effective by January 1, 1980, so that it
will occur as the new MTN codes take effect. Commerce will continue its
supportive role in the staffing of other unfair trade practice issues,
such as cases arising under section 301 of the Trade Act of 1974 (19
U.S.C. 2411).
Commercial representation
This reorganization plan will transfer to the Department of Commerce
responsibility for commercial representation abroad. This transfer
would place both domestic and overseas export promotion activities under
a single organization, directed by an Assistant Secretary for Export
Development, charged with aggressively expanding U.S. export
opportunities. Placing this Foreign Commercial Service in the Commerce
Department will allow commercial officers to concentrate on the
promotion of U.S. exports as their principal activity.
Initially, the transfer of commercial representation from State to
Commerce will involve all full-time overseas trade promotion and
commercial positions (approximately 162), responsibility for this
function in the countries (approximately 60) to which these individuals
are assigned, and the associated foreign national employees in those
countries. Over time, the Department of Commerce undoubtedly will
review the deployment of commercial officers in light of changing trade
circumstances and propose extensions or alterations of coverage of the
Foreign Commercial Service.
MTN implementation
I am dedicated to the aggressive implementation of the Multilateral
Trade Agreements. The United States must seize the opportunities and
enforce the obligations created by these agreements. Under this
proposal, the Department of Commerce will assign high priority to this
task. The Department of Commerce will be responsible for the day-to-day
implementation of non-agricultural aspects of the MTN agreements.
Management of this function will be a principal assignment of an
Assistant Secretary for Trade Policy and Programs. Implementation
activities will include:
monitoring agreements and targeting problems for consultation and
negotiation;
operating a Trade Complaint Center where the private sector can
receive advice as to the recourse and remedies available;
aiding in the settlement of disputes, including staffing of formal
complaint cases;
identifying problem areas for consideration by the Trade
Representative and the Trade Policy Committee;
educational and promotion programs regarding the provisions of the
agreements and the processes for dealing with problems that arise;
providing American business with basic information on foreign laws,
regulations and procedures;
consultations with private sector advisory committees; and
general analytical support.
These responsibilities will be handled by a unit built around the
staff from Commerce that provided essential analytical support to STR
throughout the MTN negotiation process. Building implementation of MTN
around this core group will assure that the government's institutional
memory and expertise on MTN is most effectively devoted to the challenge
ahead. When American business needs information or encounters problems
in the MTN area, it can turn to the Department of Commerce for
knowledgeable assistance.
Matching the increased importance of trade in the Department's
mission will be a much strengthened trade organization within the
Department. By creating a number of new senior level positions in the
Department, we will ensure that trade policy implementation receives the
kind of day-to-day top management attention that it both demands and
requires.
With its new responsibilities and resources, the Department of
Commerce will become a key participant in the formulation of our trade
policies. Much of the analysis in support of trade policy formulation
will be conducted by the Department of Commerce, which will be close to
the operational aspects of the problems that raise policy issues.
To succeed in global competition, we must have a better understanding
of the problems and prospects of U.S. industry, particularly in relation
to the growing strength of industries abroad. This is the key reason
why we will upgrade sectoral analysis capabilities throughout the
Department of Commerce, including the creation of a new Bureau of
Industrial Analysis. Commerce, with its ability to link trade to
policies affecting industry, is uniquely suited to serve as the
principal technical expert within the Government on special industry
sector problems requiring international consultation, as well as to
provide industry-specific information on how tax, regulatory and other
Government policies affect the international competitiveness of the U.S.
industries.
Commerce will also expand its traditional trade policy focus on
industrial issues to deal with the international trade and investment
problems of our growing services sector. Under the proposal, there will
be comprehensive service industry representation in our industry
advisory process, as well as a continuing effort to bring services under
international discipline. I expect the Commerce Department to play a
major role in developing new service sector initiatives for
consideration within the Government.
After an investigation lasting over a year, I have found that this
reorganization is necessary to carry out the policy set forth in section
901(a) of title 5 of the United States Code. As described above, this
reorganization will increase significantly our ability to implement the
MTN agreements efficiently and effectively and will improve greatly the
services of the government with regard to export development. These
improvements will be achieved with no increase in personnel or
expenditures, except for an annual expense of about $300,000 for the
salaries and clerical support of the three additional senior Commerce
Department officials and a non-recurring expense of approximately
$600,000 in connection with the transfers of functions provided in the
plan. I find that the reorganization made by this plan makes necessary
the provisions for the appointment and pay of a Deputy Secretary, an
Under Secretary for International Trade, and two additional Assistant
Secretaries of the Department of Commerce, and additional members of the
Boards of Directors of the Export-Import Bank and the Overseas Private
Investment Corporation.
It is indeed appropriate that this proposal follows so soon after the
overwhelming approval by the Congress of the Trade Agreements Act of
1979 (19 U.S.C. 2501 et seq.), for it will sharpen and unify trade
policy direction, improve the efficiency of trade law enforcement, and
enable us to negotiate abroad from a position of strength. The
extensive discussions between Administration officials and the Congress
on this plan have been a model of the kind of cooperation that can exist
between the two branches. I look forward to our further cooperation in
successfully implementing both this reorganization proposal and the MTN
agreements.
Jimmy Carter.
The White House, September 25, 1979.
05 USC
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
05 USC REORGANIZATION PLAN NO. 1 OF 1980
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
Prepared by the President and submitted to the Senate and the House
of Representatives in Congress assembled March 27, 1980, /1/ pursuant to
the provisions of Chapter 9 of Title 5 of the United States Code.
Section 1. (a) Those functions of the Nuclear Regulatory Commission,
hereinafter referred to as the ''Commission'', concerned with:
(1) policy formulation;
(2) rulemaking, as defined in section 553 of Title 5 of the United
States Code, except that those matters set forth in 553(a)(2) and (b)
which do not pertain to policy formulation orders or adjudications shall
be reserved to the Chairman of the Commission;
(3) orders and adjudications, as defined in section 551 (6) and (7)
of Title 5 of the United States Code;
shall remain vested in the Commission. The Commission may determine
by majority vote, in an area of doubt, whether any matter, action,
question or area of inquiry pertains to one of these functions. The
performance of any portion of these functions may be delegated by the
Commission to a member of the Commission, including the Chairman of the
Nuclear Regulatory Commission, hereinafter referred to as the
''Chairman'', and to the staff through the Chairman.
(b)(1) With respect to the following officers or successor officers
duly established by statute or by the Commission, the Chairman shall
initiate the appointment, subject to the approval of the Commission;
and the Chairman or a member of the Commission may initiate an action
for removal, subject to the approval of the Commission;
(i) Executive Director for Operations,
(ii) General Counsel,
(iii) Secretary of the Commission,
(iv) Director of the Office of Policy Evaluation,
(v) Director of the Office of Inspector and Auditor,
(vi) Chairman, Vice Chairman, Executive Secretary, and Members of the
Atomic Safety and Licensing Board Panel,
(vii) Chairman, Vice Chairman and Members of the Atomic Safety and
Licensing Appeal Panel.
(2) With respect to the following officers or successor officers duly
established by statute or by the Commission, the Chairman, after
consultation with the Executive Director for Operations, shall initiate
the appointment, subject to the approval of the Commission, and the
Chairman, or a member of the Commission may initiate an action for
removal, subject to the approval of the Commission:
(i) Director of Nuclear Reactor Regulation,
(ii) Director of Nuclear Material Safety and Safeguards,
(iii) Director of Nuclear Regulatory Research,
(iv) Director of Inspection and Enforcement,
(v) Director of Standards Development.
(3) The Chairman or a member of the Commission shall initiate the
appointment of the Members of the Advisory Committee on Reactor
Safeguards, subject to the approval of the Commission. The provisions
for appointment of the Chairman of the Advisory Committee on Reactor
Safeguards and the term of the members shall not be affected by the
provisions of this Reorganization Plan.
(4) The Commission shall delegate the function of appointing,
removing and supervising the staff of the following offices or successor
offices to the respective heads of such offices: General Counsel,
Secretary of the Commission, Office of Policy Evaluation, Office of
Inspector and Auditor. The Commission shall delegate the functions of
appointing, removing and supervising the staff of the following panels
and committee to the respective Chairmen thereof: Atomic Safety and
Licensing Board Panel, Atomic Safety and Licensing Appeal Panel and
Advisory Committee on Reactor Safeguards.
(c) Each member of the Commission shall continue to appoint, remove
and supervise the personnel employed in his or her immediate office.
(d) The Commission shall act as provided by subsection 201(a)(1) of
the Energy Reorganization Act of 1974, as amended (42 U.S.C.
5841(a)(1)) in the performance of its functions as described in
subsections (a) and (b) of this section.
Sec. 2. (a) All other functions of the Commission, not specified by
Section 1 of this Reorganization Plan, are hereby transferred to the
Chairman. The Chairman shall be the official spokesman for the
Commission, and shall appoint, supervise, and remove, without further
action by the Commission, the Directors and staff of the Office of
Public Affairs and the Office of Congressional Relations. The Chairman
may consult with the Commission as he deems appropriate in exercising
this appointment function.
(b) The Chairman shall also be the principal executive officer of the
Commission, and shall be responsible to the Commission for developing
policy planning and guidance for consideration by the Commission; shall
be responsible to the Commission for assuring that the Executive
Director for Operations and the staff of the Commission (other than the
officers and staff referred to in sections (1)(b)(4), (1)(c) and (2)(a)
of this Reorganization Plan) are responsive to the requirements of the
Commission in the performance of its functions; shall determine the use
and expenditure of funds of the Commission, in accordance with the
distribution of appropriated funds according to major programs and
purposes approved by the Commission; shall present to the Commission
for its consideration the proposals and estimates set forth in
subsection (3) of this paragraph; and shall be responsible for the
following functions, which he shall delegate, subject to his direction
and supervision, to the Executive Director for Operations unless
otherwise provided by this Reorganization Plan:
(1) administrative functions of the Commission;
(2) distribution of business among such personal and among
administrative units and offices of the Commission;
(3) preparation of
(i) proposals for the reorganization of the major offices within the
Commission;
(ii) the budget estimate for the Commission; and
(iii) the proposed distribution of appropriated funds according to
major programs and purposes.
(4) appointing and removing without any further action by the
Commission, all officers and employees under the Commission other than
those whose appointment and removal are specifically provided for by
subsections 1(b), (c) and 2(a) of this Reorganization Plan.
(c) The Chairman as principal executive officer and the Executive
Director for Operations shall be governed by the general policies of the
Commission and by such regulatory decisions, findings and
determinations, including those for reorganization proposals, budget
revisions and distribution of appropriated funds, as the Commission may
be law, including this Plan, be authorized to make. The Chairman and
the Executive Director for Operations, through the Chairman, shall be
responsible for insuring that the Commission is fully and currently
informed about matters within its functions.
Sec. 3. (a) Notwithstanding sections 1 and 2 of this Reorganization
Plan, there are hereby transferred to the Chairman all the functions
vested in the Commission pertaining to an emergency concerning a
particular facility or materials licensed or regulated by the
Commission, including the functions of declaring, responding, issuing
orders, determining specific policies, advising the civil authorities
and the public, directing, and coordinating actions relative to such
emergency incident.
(b) The Chairman may delegate the authority to perform such emergency
functions, in whole or in part, to any of the other members of the
Commission. Such authority may also be delegated or redelegated, in
whole or in part, to the staff of the Commission.
(c) In acting under this section, the Chairman, or other member of
the Commission delegated authority under subsection (b), shall conform
to the policy guidelines of the Commission. To the maximum extent
possible under the emergency conditions, the Chairman or other member of
the Commission delegated authority under subsection (b), shall inform
the Commission of actions taken relative to the emergency.
(d) Following the conclusion of the emergency, the Chairman, or the
member of the Commission delegated the emergency functions under
subsection (b), shall render a complete and timely report to the
Commission on the actions taken during the emergency.
Sec. 4. (a) The Chairman may make such delegations and provide for
such reporting as the Chairman deems necessary, subject to provisions of
law and this Reorganization Plan. Any officer or employee under the
Commission may communicate directly to the Commission, or to any member
of the Commission, whenever in the view of such officer or employee a
critical problem or public health and safety or common defense and
security is not being properly addressed.
(b) The Executive Director for Operations shall report for all
matters to the Chairman.
(c) The function of the Directors of Nuclear Reactor Regulations,
Nuclear Material Safety and Safeguards, and Nuclear Regulatory Research
of reporting directly to the Commission is hereby transferred so that
such officers report to the Executive Director for Operations. The
function of receiving such reports is hereby transferred from the
Commission to the Executive Director for Operations.
(d) The heads of the Commission level offices or successor offices,
of General Counsel, Secretary to the Commission, Office of Policy
Evaluation, Office of Inspector and Auditor, the Atomic Safety and
Licensing Board Panel and Appeal Panel, and Advisory Committee on
Reactor Safeguards shall continue to report directly to the Commission
and the Commission shall continue to receive such reports.
Sec. 5. The provisions of this Reorganization Plan shall take effect
October 1, 1980, or at such earlier time or times as the President shall
specify, but no sooner than the earliest time allowable under Section
906 of Title 5 of the United States Code.
/1/ As amended May 5, 1980.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
To the Congress of the United States:
I am submitting herewith to the Congress Reorganization Plan No. 1
of 1980, under authority vested in me by the Reorganization Act of 1977
(Chapter 9 of Title 5 of the United States Code). The Plan is designed
to strengthen management of the Nuclear Regulatory Commission in order
to foster safety in all of the agency's activities.
The need for more effective management of the Nuclear Regulatory
Commission has been amply demonstrated over the past year. The accident
at Three Mile Island one year ago revealed serious shortcomings in the
agency's ability to respond effectively during a crisis. The lessons
learned from that accident go beyond crisis management, however. They
provide the impetus for improving the effectiveness of all aspects of
the government regulation of nuclear energy.
In my statement of December 7, 1979, I responded to the
recommendations of my Commission on the Accident at Three Mile Island
and set forth steps now being taken to address those recommendations. I
stated that I would send to Congress a Reorganization Plan to strengthen
the Nuclear Regulatory Commission's ability to regulate nuclear safety.
I am submitting that Plan today.
The Plan clarifies the duties of the Chairman as principal executive
officer. In addition to directing the day-to-day operations of the
agency, the Chairman would take charge of the Commission's response to
nuclear emergencies and, as principal executive officer, would be guided
by Commission policy and subject to Commission oversight.
05 USC management problems
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
Intensive investigations undertaken since the Three Mile Island
accident have revealed management problems at the Nuclear Regulatory
Commission. These problems must be rectified if the Commission is to be
a strong and effective safety regulator.
-- My Commission, called the Kemeny Commission after its
Chairman, Dr. John Kemeny, concluded that the underlying problem at
Three Mile Island stemmed not from deficient equipment but rather from
compounded human failures. This included the inability of the Nuclear
Regulatory Commission to pursue its safety mission effectively in view
of its existing management policies and practices. The Kemeny
Commission reported a lack of ''closure'' in the system to ensure that
safety issues are raised, analyzed and resolved. Kemeny Commission
members also concluded that the Nuclear Regulatory Commission relies too
heavily on licensing, and pays insufficient attention to ensuring the
safety of plants once they are in operation.
-- During the course of its investigation, the Kemeny Commission
found serious managerial problems at the top of the Nuclear Regulatory
Commission. It noted that the Commissioners and the Chairman are
unclear as to their respective roles. Uncertain, diffuse leadership of
this kind leads to highly compartmentalized offices that operate with
little or no effective guidance and little coordination.
-- A recently completed independent study authorized and funded
by the Nuclear Regulatory Commission itself also found serious fault
with the Commission's management and called for a major organizational
overhaul. The report states that there is no authoritative manager but,
instead, five equally responsible Commissioners who deal individually
with office directors who, in turn, head their own ''independent
fiefdoms.''
-- Likewise, a recent report of the General Accounting Office
notes the failure of the Nuclear Regulatory Commission to define either
the authority of the Chairman or that of the Executive Director for
Operations. The staff lacks policy guidance and top management
leadership to set priorities and resolve safety issues. There are
unreasonable delays in developing policies to guide the licensing and
enforcement activities of the agency.
The central theme in all three of these studies is the failure of the
Nuclear Regulatory Commission to provide unified leadership and
consistent direction of the agency's activities. The present statutes
contain conflicting and ambiguous provisions for managing the agency.
Important corrective actions cannot or will not be taken by the
Commission until the laws are changed. Failure to do so constitutes a
continuing nuclear safety hazard.
The present Reorganization Plan would improve the effectiveness of
the Nuclear Regulatory Commission by giving the Chairman the powers he
needs to ensure efficient and coherent management in a manner that
preserves, in fact enhances, the commission form of organization.
05 USC commission
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
Under the proposed Plan, the Commission would continue to be
responsible for policy formulation, rulemaking and adjudication as
functions which should have collegial deliberation. In addition, the
Commission would review and approve proposals by the Chairman concerning
key management actions such as personnel decisions affecting top
positions which directly support Commission functions, the annual
budget, and major staff reorganizations. In carrying out its role, the
Commission would have the direct assistance of several Commission-level
offices as well as the licensing board, the appeal panel, and the
Advisory Committee on Reactor Safeguards. The Plan would not alter the
present arrangement whereby the Commission, acting on majority vote,
represents the ultimate authority of the Nuclear Regulatory Commission
and sets the framework within which the Chairman is to operate.
05 USC chairman
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
Under the Plan, the Chairman would act as the principal executive
officer and spokesman for the Commission. To accomplish this, those
functions of the Nuclear Regulatory Commission not retained by the
Commission would be vested in the Chairman, who is currently coequal
with the Commissioners in all decisions and actions. The Chairman would
be authorized to make appointments, on his own authority, to all
positions not specified for Commission approval and would be responsible
to the Commission for assuring staff support by the operating offices in
meeting the needs of the Commission. The Executive Director for
Operations would report directly to and receive his authority from the
Chairman. Heads of operating offices would also report to the Chairman
or, by delegation, to the Executive Director for Operations. Office
heads would also be authorized to communicate directly with members of
the Commission whenever an office head believed critical safety issues
were not being addressed.
05 USC emergency management
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
The Nuclear Regulatory Commission's ability to respond decisively and
responsibly to any nuclear emergency must be fully ensured in advance.
Experience has shown that the Commission as a whole cannot deal
expeditiously with emergencies or communicate in a clear, unified voice
to civil authorities or to the public. But present law prevents the
Commission from delegating its emergency authority to one of its
members. The Plan would correct this situation by specifically
authorizing the Chairman to act for the Commission in an emergency. In
order to ensure flexibility, the Chairman would be permitted to delegate
his authority to deal with a particular emergency to any other
Commissioner. Plans for dealing with various contingencies would be
approved by the Commission in advance. The Commission would also
receive a report from the Chairman or his designee describing the
management of the emergency once it was over.
05 USC actions not included in this plan
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
Not included in this Plan are two actions that I support in principle
but that need not or cannot be accomplished by means of a Reorganization
Plan. First the Commission, as part of its implementation of this
reorganization, can and should establish an internal entity to help
oversee the performance of the agency as it operates under the
Chairman's direction. This action does not require a Reorganization
Plan. Second, I have consistently favored funding assistance to
intervenors in regulatory proceedings. This is particularly important
in the case of nuclear safety regulation. I therefore encourage the
Commission to include consideration of intervenor funding as part of its
review and upgrading of the licensing process, as called for by the
Kemeny Commission. I have also requested Congress to appropriate funds
for this purpose. This activity cannot be authorized by a
Reorganization Plan.
05 USC no added costs
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
This proposed realignment and clarification of responsibilities would
not result in an increase or decrease of expenditures. But placing
management responsibilities in the Chairman would result in greater
attention to developing and implementing nuclear safety policies and to
strict enforcement of the terms of licenses granted by the Commission.
Each of the provisions of this proposed reorganization would also
accomplish one or more of the purposes set forth in 5 U.S.C. 901(a). No
statutory functions would be abolished by the Plan; rather they would
be consolidated or reassigned in order to improve management, delivery
of services, execution of the law, and overall operational efficiency
and effectiveness of the Commission.
By Executive Order No. 12202, dated March 18, 1980 (42 U.S.C. 5848
note), I established a Nuclear Safety Oversight Committee to advise me
of progress being made by the Nuclear Regulatory Commission, the nuclear
industry, and others in improving nuclear safety. I am confident that
the present Reorganization Plan, together with the other steps that have
been or are being taken by this Administration and by others, will
greatly advance the goal of nuclear safety. It would permit the
Commission and the American people to hold one individual -- the
Chairman -- accountable for implementation of the Commission's policies
through effective management of the Commission staff. Freed of
management and administrative details, the Commission could then
concentrate on the purpose for which that collegial body was created --
to deliberate on the formulation of policy and rules to govern nuclear
safety and to decide or oversee disposition of individual cases.
Jimmy Carter.
The White House, March 27, 1980.
05 USC Message of the President
TITLE 5, APPENDIX -- REORGANIZATION PLAN NO 1 OF 1980
To the Congress of the United States:
I herewith transmit the following amendments to Reorganization Plan
No. 1 of 1980, which I sent to the Congress on March 27, 1980.
The amendments to Reorganization Plan No. 1 are consistent with my
original intent of strengthening the management of the Nuclear
Regulatory Commission in order to improve safety in all of the agency's
activities, while preserving the advantages of the Commission form. The
amendments reinforce the purpose of the Plan in two respects. First,
the amended Plan gives the Commission a greater role in selection of key
program officers of the agency by adding four positions to the list of
appointments initiated by the Chairman for the Commission's advice and
consent. These are the Executive Director for Operations, the Director
of Inspection and Enforcement, the Director of Nuclear Regulatory
Research, and the Director of Standards Development. Each of these
positions contributes to nuclear safety regulation, and each performs
functions that help determine the policy and performance of the agency.
The Advisory Committee on Reactor Safeguards advises the Commission
as a whole. Since its members serve renewable 4-year terms another
amendment provides that a Commission member, as well as the Chairman,
can initiate an appointment to the Advisory Committee on Reactor
Safeguards for approval by the Commission.
As a means to ensure that the flow of information to the Commission
will not be restricted, the Plan has been amended to make explicit that
the Chairman, and the Executive Director of Operations through the
Chairman, shall keep the Commission fully and currently informed.
The second general purpose of the amendments is to provide for more
effective management of the agency by making more explicit the
responsibilities of the Chairman and the Executive Director for
Operations acting under his direction. As amended, the Plan charges the
Chairman with planning for the development of policy for consideration
and approval by the Commission. In the past, this responsibility has
not been clearly fixed and has consequently been neglected. The amended
Plan continues to make clear that the Executive Director for Operations
reports to the Chairman. An amendment, however, requires the Chairman
to delegate to the Executive Director for Operations the authority to
appoint the staff and the day-to-day administration of the agency.
Under this arrangement, the Chairman retains responsibility for the
delegated functions but will be better able to handle his other
leadership tasks.
In summary, the amendments I am transmitting to Reorganization Plan
No. 1 of 1980, based on review and hearings conducted by the Congress
and on continued consultations, will help establish a more accountable
central management structure for the Nuclear Regulatory Commission as it
pursues its statutory objective of ensuring safety in the use of nuclear
power.
Jimmy Carter.
The White House, May 5, 1980
06 USC TITLE 6 -- SURETY BONDS
06 USC
TITLE 6 -- SURETY BONDS
06 USC TITLE 6 -- SURETY BONDS (REPEALED)
TITLE 6 -- SURETY BONDS
1, 61 Stat. 646, and was repealed by act Sept. 13,
1982, Pub. L. 97-258, 5(b), 96 Stat. 1068, 1085
Sec.
(1 to 15. Repealed.)
06 USC ( 1 to 5. Repealed. Pub. L. 92-310, title II, 203(1), June 6,
1972, 86 Stat. 202)
TITLE 6 -- SURETY BONDS
Section 1, acts July 30, 1947, ch. 390, 61 Stat. 646; Oct. 31,
1951, ch. 655, 13, 65 Stat. 715, related to custody of official
bonds.
Section 2, act July 30, 1947, ch. 390, 61 Stat. 647, directed
examination at least once every two years of sufficiency of sureties on
official bonds.
Section 3, acts July 30, 1947, ch. 390, 61 Stat. 647; Sept. 3,
1954, ch. 1263, 15, 68 Stat. 1231, related to renewal of bonds and
continuance of liability.
Section 4, act July 30, 1947, ch. 390, 61 Stat. 647, related to
notice of delinquency of principal. The provisions of the section were
reenacted by section 260 of Pub. L. 92-310, which was classified to
section 497a of former Title 31. See section 3532 of Title 31, Money
and Finance.
Section 5, act July 30, 1947, ch. 390, 61 Stat. 648, related to
limitation of actions against sureties.
06 USC ( 6 to 13. Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96
Stat. 1068, 1085)
TITLE 6 -- SURETY BONDS
Section 6, acts July 30, 1947, ch. 390, 61 Stat. 648; Aug. 9,
1955, ch. 683, 2, 69 Stat. 620; June 6, 1972, Pub. L. 92-310, title
II, 203(2), 86 Stat. 202, related to surety companies as sureties.
See section 9304 of Title 31, Money and Finance.
Section 7, act July 30, 1947, ch. 390, 61 Stat. 648, related to
appointment of agents and service of process with regards to surety
companies as sureties. See section 9306 of Title 31.
Section 8, act July 30, 1947, ch. 390, 61 Stat. 649, related to
deposit of copy of charter of surety company before transacting business
under sections 6 to 13 of this title. See section 9305 of Title 31.
Section 9, act July 30, 1947, ch. 390, 61 Stat. 649, related to
quarterly statements of surety companies filed with Secretary of the
Treasury. See section 9305 of Title 31.
Section 10, act July 30, 1947, ch. 390, 61 Stat. 649, related to
jurisdiction over surety companies with regards to suits on bonds. See
section 9307 of Title 31.
Section 11, act July 30, 1947, ch. 390, 61 Stat. 649, provided
sanctions for nonpayment of a judgment by surety company. See section
9305 of Title 31.
Section 12, act July 30, 1947, ch. 390, 61 Stat. 649, estopped a
surety company to deny its corporate powers, etc. See section 9307 of
Title 31.
Section 13, act July 30, 1947, ch. 390, 61 Stat. 650, provided for
fining of surety companies for their failure to comply with law. See
section 9308 of Title 31.
06 USC ( 14. Repealed. Pub. L. 92-310, title II, 203(1), June 6, 1972,
86 Stat. 202)
TITLE 6 -- SURETY BONDS
Section, acts July 30, 1947, ch. 390, 61 Stat. 650; Aug. 9, 1955,
ch. 683, 1, 69 Stat. 618, related to purchase of bonds to cover
officers and employees of Federal Government.
06 USC ( 15. Repealed. Pub. L. 97-258, 5(b), Sept. 13, 1982, 96 Stat.
1068, 1085)
TITLE 6 -- SURETY BONDS
Section, act July 30, 1947, ch. 390, 61 Stat. 650, related to bonds
and notes of United States in lieu of recognizance, stipulation, bond,
guarantee, or undertaking and contractors' bonds. See sections 9301 and
9303 of Title 31, Money and Finance.
07 USC TITLE 7 -- AGRICULTURE
07 USC
TITLE 7 -- AGRICULTURE
07 USC TITLE 7 -- AGRICULTURE
TITLE 7 -- AGRICULTURE
Chap. Sec.
1. Commodity Exchanges 1
2. Cotton Standards 51
3. Grain Standards 71
4. Naval Stores 91
5. Importation of Adulterated Seeds (Repealed) 111
6. Insecticides and Environmental Pesticide Control 121
6A. National Laboratory Accreditation 138
7. Insect Pests Generally 141
7A. Golden Nematode 150
7B. Plant Pests 150aa
8. Nursery Stock and Other Plants and Plant Products 151
8A. Rubber and Other Critical Agricultural Materials 171
9. Packers and Stockyards 181
10. Warehouses 241
11. Honeybees 281
12. Associations of Agricultural Products Producers 291
13. Agricultural and Mechanical Colleges 301
14. Agricultural Experiment Stations 361
15. Bureau of Animal Industry 391
16. Bureau of Dairy Industry 401
17. Miscellaneous Matters 411
18. Cooperative Marketing 451
19. Cotton Statistics and Estimates 471
20. Dumping or Destruction of Interstate Produce 491
20A. Perishable Agricultural Commodities 499a
21. Tobacco Statistics 501
21A. Tobacco Inspection 511
21B. Tobacco Control 515
22. Agricultural Marketing (Omitted or Transferred) 521
23. Foreign Agricultural Service (Repealed) 541
24. Perishable Agricultural Commodities (Transferred to Chapter 20A)
551
25. Export Standards for Apples and Pears 581
25A. Export Standards for Grapes and Plums 591
26. Agricultural Adjustment 601
26A. Agricultural Marketing Agreements 671
27. Cotton Marketing (Omitted or Repealed) 701
28. Tobacco Industry (Repealed) 751
29. Potato Act of 1935 (Repealed) 801
30. Anti-Hog-Cholera Serum and Hog-Cholera Virus 851
31. Rural Electrification and Telephone Service 901
31A. Distance Learning and Medical Link Programs 950aaa
32. Peanut Statistics 951
33. Farm Tenancy 1000
34. Sugar Production and Control (Omitted or Repealed) 1100
35. Agricultural Adjustment Act of 1938 1281
35A. Price Support of Agricultural Commodities 1421
36. Crop Insurance 1501
37. Seeds 1551
38. Distribution and Marketing of Agricultural Products 1621
39. Stabilization of International Wheat Market 1641
40. Halogeton Glomeratus Control 1651
41. Agricultural Trade Development and Assistance 1691
42. Agricultural Commodity Set-Aside 1741
43. Foreign Market Development 1761
44. Wool Program 1781
45. Soil Bank Program 1801
46. Surplus Disposal of Agricultural Commodities 1851
47. Interchange of Department of Agriculture and State Employees
(Repealed) 1881
48. Humane Methods of Livestock Slaughter 1901
49. Consultation on Agricultural Programs 1911
50. Agricultural Credit 1921
51. Food Stamp Program 2011
52. Farm Labor Contractor Registration (Repealed) 2041
53. Cotton Research and Promotion 2101
54. Transportation, Sale, and Handling of Certain Animals 2131
55. Department of Agriculture 2201
55A. Department of Agriculture Advisory Committees 2281
56. Unfair Trade Practice Affecting Producers of Agricultural
Products 2301
57. Plant Variety Protection 2321
58. Potato Research and Promotion 2611
59. Rural Fire Protection, Development, and Small Farm Research and
Education 2651
60. Egg Research and Consumer Information 2701
61. Noxious Weeds 2801
62. Beef Research and Information 2901
63. Farmer-to-Consumer Direct Marketing 3001
64. Agricultural Research, Extension, and Teaching 3101
65. Wheat and Wheat Foods Research and Nutrition Education 3401
66. Agricultural Foreign Investment Disclosure 3501
67. Implementation of International Sugar Agreement, 1977 3601
68. Agricultural Subterminal Facilities 3701
69. Swine Health Protection 3801
70. Animal Cancer Research 3901
71. Agricultural Trade Suspension Adjustment 4001
72. National Agricultural Cost of Production Standards Review Board
4101
73. Farmland Protection Policy 4201
74. Floral Research and Consumer Information 4301
75. International Carriage of Perishable Foodstuffs 4401
76. Dairy Research and Promotion 4501
77. Honey Research, Promotion, and Consumer Information 4601
78. Agricultural Productivity Research (Repealed) 4701
79. Pork Promotion, Research, and Consumer Information 4801
80. Watermelon Research and Promotion 4901
81. National Commission on Agriculture and Rural Development Policy
5001
82. State Agricultural Loan Mediation Programs 5101
83. Agricultural Competitiveness and Trade 5201
84. National Nutrition Monitoring and Related Research 5301
85. Administration of Environmental Programs 5401
86. Water Quality Research, Education, and Coordination 5501
87. Export Promotion 5601
88. Research 5801
89. Pecan Promotion and Research 6001
90. Mushroom Promotion, Research, and Consumer Information 6101
91. Lime Promotion, Research, and Consumer Information 6201
92. Soybean Promotion, Research, and Consumer Information 6301
93. Processor-Funded Milk Promotion Program 6401
94. Organic Certification 6501
95. Rural Revitalization Through Forestry 6601
96. Global Climate Change 6701
07 USC CHAPTER 1 -- COMMODITY EXCHANGES
TITLE 7 -- AGRICULTURE
Sec.
1. Short title.
1a. Definitions.
2. Accounts, agreements, and transactions subject to jurisdiction of
Commodity Futures Trading Commission; relation to jurisdiction of
Securities and Exchange Commission and Federal and State courts;
excepted transactions.
2a. Designation of boards of trade as contract markets; approval by
and jurisdiction of Commodity Futures Trading Commission and Securities
and Exchange Commission.
3. Transaction in interstate commerce.
4. Liability of principal for act of agent.
4a. Commodity Futures Trading Commission
(a) Establishment; composition; term of Commissioners.
(b) Vacancies.
(c) General Counsel.
(d) Executive Director.
(e) Powers and functions of Chairman.
(f) Conflict of interest.
(g) Liaison with Department of Agriculture; communications with
Department of Treasury, Federal Reserve Board, and Securities and
Exchange Commission; application by a board of trade for designation as
a contract market for future delivery of securities.
(h) Transmittal of budget requests and legislative recommendations to
Congressional committees.
(i) Seal.
(j) Rules and regulations.
5. Legislative findings.
6. Regulation of futures trading and foreign transactions.
(a) Restriction of futures trading to contract markets.
(b) Regulation of foreign transactions by United States persons.
(c) Public interest exemption from contract market requirement.
(d) Effect of exemption on investigative authority of Commission.
6a. Excessive speculation.
(a) Burden on interstate commerce; trading or position limits.
(b) Prohibition on trading or positions in excess of limits fixed by
Commission.
(c) Applicability to bona fide hedging transactions or positions.
(d) Persons subject to regulation; applicability to transactions
made by or on behalf of United States.
(e) Rulemaking power of contract markets and penalties for violation.
6b. .Fraud, false reporting, or deception prohibited.
(a) Contracts designed to defraud or mislead; bucketing orders.
(b) Buying and selling orders for commodity.
(c) Inapplicability to transactions on foreign exchanges.
6c. Prohibited transactions.
(a) Meretricious transactions.
(b) Regulated option trading.
(c) Regulations for elimination of pilot status of commodity option
transactions; terms and conditions of options trading.
(d) Dealer options exempt from subsections (b) and (c) prohibitions;
requirements.
(e) Rules and regulations.
(f) Nonapplicability to foreign currency options.
(g) Oral orders.
6d. Dealing by unregistered futures commission merchants or
introducing brokers prohibited; duties of merchants regarding monies
and securities of customers.
6e. Dealings by unregistered floor trader or broker prohibited.
6f. Registration and financial requirements; risk assessment.
(a) Registration of futures commission merchants, introducing
brokers, and floor brokers and traders.
(b) Financial requirements for futures commission merchants and
introducing brokers.
(c) Risk assessment for holding company systems.
6g. Reporting and recordkeeping.
(a) In general.
(b) Daily trading records: clearinghouses and contract markets.
(c) Daily trading records: floor brokers, introducing brokers, and
futures commission merchants.
(d) Daily trading records: form and reports.
(e) Disclosure of information.
(f) Authority of Commission to make separate determinations
unimpaired.
6h. False self-representation as contract market member prohibited.
6i. Reports of deals equal to or in excess of trading limits; books
and records; cash and controlled transactions.
6j. Regulation of trades and executions.
(a) Dual trading prohibited; exemptions.
(b) Trades and executions by floor brokers.
(c) Trades by futures commission merchants.
(d) Restrictions on trading among members of broker associations.
6k. Registration of associates of futures commission merchants,
commodity pool operators, and commodity trading advisors; required
disclosure of disqualifications.
6l. Commodity trading advisors and commodity pool operators;
Congressional finding.
6m. Use of mails or other means or instrumentalities of interstate
commerce by commodity trading advisors and commodity pool operators;
relation to other law.
6n. Registration of commodity trading advisors and commodity pool
operators; application; expiration and renewal; record keeping and
reports; disclosure; statements of account.
6o. Fraud and misrepresentation by commodity trading advisors,
commodity pool operators, and associated persons.
6p. Standards and examinations.
7. Designation of board of trade as ''contract market''; conditions
and requirements.
7a. Duties of contract markets.
(a) In general.
(b) Monitoring system to detect violations of rules and regulations.
7b. Suspension or revocation of designation as ''contract market.''
8. Application for designation as ''contract market''; time;
suspension or revocation of designation; hearing; review by court of
appeals.
9. Exclusion of persons from privilege of ''contract markets'';
procedure for exclusion; review by court of appeals.
9a. Assessment of money penalties.
10. Repealed.
10a. Cooperative associations and corporations, exclusion from board
of trade; rules of board inapplicable to payment of compensation by
association.
11. Vacation on request of designation as ''contract market'';
redesignation.
12. Public disclosure; information received from foreign futures
authorities; undercover operations.
(a) Investigations respecting operations of boards of trade and
others subject to this chapter; publication of results; restrictions.
(b) Business matters; congressional, administrative, judicial, and
bankruptcy proceedings.
(c) Reports respecting conduct of boards of trade or transactions of
violators; contents.
(d) Investigations respecting marketing conditions of commodities and
commodity products and byproducts; reports.
(e) Names and addresses of traders of boards of trade previously
disclosed; disclosure to Congress and agencies or departments of States
or foreign governments or foreign futures authority.
(f) Compliance with subpoena after notice to informant;
congressional subpoenas and requests for information excepted.
(g) Requests for information by State agencies or subdivisions;
volunteering of information by Commission.
(h) Annual report to Congress.
(i) Review and audits by Comptroller General.
12-1 to 12-3. Omitted.
12a. Registration of commodity dealers and associated persons;
regulation of contract markets.
12b. Trading ban violations; prohibition.
12c. Disciplinary actions.
(a) Action taken; written notice of reasons for action.
(b) Review by Commission.
(c) Affirmance, modification, set aside, or remand of action.
(d) Stay of action.
(e) Major disciplinary rule violations.
12d. Commission action for noncompliance with export sales reporting
requirements.
12e. Commission oversight; deficiency orders.
(a) Assessments.
(b) Deficiency orders.
(c) Rescission, modification, or delay of deficiency orders.
(d) Penalties.
(e) Judicial review.
13. Violations generally; punishment; costs of prosecution.
(a) Felonies generally.
(b) Suspension of convicted felons.
(c) Transactions by Commissioners and Commission employees
prohibited.
(d) Use of information by Commissioners and Commission employees
prohibited.
(e) Redesignated (d).
(f) Insider trading prohibited.
13-1. Violations, prohibition against dealings in onion futures;
punishment.
13a. Nonenforcement of rules of government or other violations;
cease and desist orders; fines and penalties; imprisonment;
misdemeanor; separate offenses.
13a-1. Enjoining or restraining violations.
(a) Action to enjoin or restrain violations.
(b) Injunction or restraining order.
(c) Writs or other orders.
(d) Civil penalties.
(e) Venue and process.
(f) Action by Attorney General.
(g) Notice to Attorney General of action brought by Commission.
13a-2. Jurisdiction of States.
13b. Manipulations or other violations; cease and desist orders
against persons other than contract markets; punishment; misdemeanor
or felony; separate offenses.
13c. Responsibility as principal; minor violations.
14. Repealed.
15. Enforcement powers of Commission.
15a. Repealed.
15b. Cotton futures contracts.
(a) Short title.
(b) Repeal of tax on cotton futures.
(c) Definitions.
(d) Bona fide spot markets and commercial differences.
(e) Form and validity of cotton futures contracts.
(f) Basis grade contracts.
(g) Tendered grade contracts.
(h) Specific grade contracts.
(i) Liability of principal for acts of agent.
(j) Regulations.
(k) Violations.
(l) Applicability to contracts prior to effective date.
(m) Authorization.
16. Commission operations.
(a) Cooperation with other agencies.
(b) Employment of investigators, experts, Administrative Law Judges,
consultants, clerks, and other personnel; contracts.
(c) Expenses.
(d) Authorization of appropriations.
(e) Relation to other laws, departments, or agencies.
(f) Investigative assistance to foreign futures authorities.
(g) Computerized futures trading.
16a. Service fees and National Futures Association study.
(a) Development and implementation of plan for user fees; report to
and approval by Congressional committees.
(b) National Futures Association regulatory experience; report;
contents.
(c) Schedule of fees for services, activities and functions; notice
and hearing; actual cost standard.
17. Separability.
17a. Separability of 1936 amendment.
17b. Separability of 1968 amendment.
18. Complaints against registered persons.
(a) Petition for actual damages.
(b) Rules and regulations; control over right of appeal.
(c) Bond requirement when complainant is nonresident; waiver.
(d) Enforcement of reparation award.
(e) Review.
(f) Automatic bar from trading and suspension for noncompliance;
effect of appeal.
(g) Effective date.
19. Antitrust laws; anticompetitive means.
20. Market reports.
(a) Information.
(b) Avoidance of duplication.
(c) Furnishing of information; confidentiality.
(d) Disclosure of business transactions, market positions, trade
secrets, or names of customers.
21. Registered futures associations.
(a) Registration statement.
(b) Standards for registration; Commission findings.
(c) Suspension of registration.
(d) Fees and charges.
(e) Registered persons not members of registered associations.
(f) Denial of registration.
(g) Withdrawal from registration; notice of withdrawal.
(h) Commission review of disciplinary actions taken by registered
futures associations.
(i) Notice; hearing; findings; cancellation, reduction, or
remission of penalties; review by court of appeals.
(j) Changes or additions to association rules.
(k) Abrogation of association rules; requests to associations by
Commission to alter or supplement rules.
(l) Suspension and revocation of registration; expulsion of members;
removal of association officers or directors.
(m) Rules requiring membership in associations.
(n) Reports to Congress.
(o) Delegation to futures associations of registrative functions;
discretionary review by Commission; judicial appeal.
(p) Establishment of rules for futures associations; approval by
Commission.
(q) Major disciplinary rule violations.
(q) Program for implementation of rules.
22. Research and information programs; reports to Congress.
23. Standardized contracts for certain commodities.
(a) Margin accounts or contracts and leverage accounts or contracts
prohibited except as authorized.
(b) Permission to enter into contracts for delivery of silver or gold
bullion, bulk silver or gold coins, or platinum; rules and regulations.
(c) Survey of persons interested in engaging in transactions of
silver and gold, etc.; assistance of futures association; regulations.
(d) Savings provision.
24. Regulations respecting commodity broker debtors; definitions.
25. Private rights of action.
(a) Actual damages; actionable transactions; exclusive remedy.
(b) Liabilities of organizations and individuals; bad faith
requirement; exclusive remedy.
(c) Jurisdiction; statute of limitations; venue; process.
(d) Dates of application to actions.
26. Repealed.
4402; title 15 sections 78c, 78o, 80a-9, 80b-3, 431;
title 26 section 277.
07 USC 1. Short title
TITLE 7 -- AGRICULTURE
This chapter may be cited as the ''Commodity Exchange Act.''
(Sept. 21, 1922, ch. 369, 1, 42 Stat. 998; June 15, 1936, ch. 545,
1, 49 Stat. 1491.)
This chapter superseded act Aug. 24, 1921, ch. 86, 42 Stat. 187,
known as ''The Future Trading Act,'' which act was declared
unconstitutional, at least in part, in Hill v. Wallace, Ill. 1922, 42
S.Ct. 453, 259 U.S. 44, 66 L.Ed. 822. Section 3 of that act was found
unconstitutional as imposing a penalty in Trusler v. Crooks, Mo. 1926,
46 S.Ct. 165, 269 U.S. 475, 70 L.Ed. 365.
1936 -- Act June 15, 1936, substituted ''Commodity Exchange Act'' for
''The Grain Futures Act''.
Section 13 of act June 15, 1936, provided that: ''All provisions of
this Act (see Tables for classification) authorizing the registration of
futures commission merchants and floor brokers, the fixing of fees and
charges therefor, the promulgation of rules, regulations and orders, and
the holding of hearings precedent to the promulgation of rules,
regulations, and orders shall be effective immediately. All other
provisions of this Act shall take effect ninety days after the enactment
of this Act (June 15, 1936).''
Pub. L. 102-546, 1(a), Oct. 28, 1992, 106 Stat. 3590, provided
that: ''This Act (enacting sections 1a and 12e of this title, amending
sections 2, 2a, 4, 4a, 6 to 6c, 6e to 6g, 6j, 6p, 7 to 9a, 10a, 12, 12a,
12c, 13 to 13c, 15, 16, 18, 19, 21, and 25 of this title, repealing
section 26 of this title, enacting provisions set out as notes under
sections 1a, 4a, 6c, 6e, 6j, 6p, 7a, 13, 16a, 21, and 22 of this title,
and repealing provisions set out as a note under section 4a of this
title) may be cited as the 'Futures Trading Practices Act of 1992'.''
Pub. L. 99-641, 1, Nov. 10, 1986, 100 Stat. 3556, provided that:
''This Act (enacting section 2271a of this title, amending sections 2a,
6b, 6c, 7a, 13, 13a-1, 15, 16, 21, 23, 74, 87b, 1444, 1445b-3, and
1445c-2 of this title, sections 590h and 3831 of Title 16, Conservation,
sections 606, 609, 621, 671, and 676 of Title 21, Food and Drugs,
repealing section 14 of this title, and enacting provisions set out as
notes under sections 20, 71, 76, 87b, and 2271a of this title and
sections 601, 606, 609, 621, 671, and 676 of Title 21) may be cited as
the 'Futures Trading Act of 1986'.''
Pub. L. 97-444, 1, Jan. 11, 1983, 96 Stat. 2294, provided: ''That
this Act (enacting sections 2a, 12d, 25, and 26 of this title, amending
sections 2, 4, 4a, 5, 6, 6a, 6c, 6d, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p,
7a, 8, 9, 12, 12a, 13, 13a-1, 13a-2, 13c, 16, 16a, 18, 20, 21, 23, and
612c-3 of this title, and enacting provisions set out as a note under
section 2 of this title) may be cited as the 'Futures Trading Act of
1982'.''
Pub. L. 95-405, 1, Sept. 30, 1978, 92 Stat. 865, provided: ''That
this Act (enacting sections 13a-2, 16a, and 23 of this title, amending
sections 2, 4a, 6c, 6d, 6f, 6g, 6k, 6m, 6n, 6o, 7a, 8, 12, 12a, 12c, 13,
13a, 15, 16, 18, and 21 of this title and section 6001 of Title 18,
Crimes and Criminal Procedure, repealing section 15a of this title,
omitting sections 12-1 to 12-3 of this title, and enacting provisions
set out as notes under sections 2 and 20 of this title) may be cited as
the 'Futures Trading Act of 1978'.''
Pub. L. 93-463, 1, Oct. 23, 1974, 88 Stat. 1389, provided: ''That
this Act (enacting sections 4a, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 9a, 12-2,
13-3, 12c, 13a-1, 15a, 18, 19, 20, 21, and 22 of this title, amending
sections 2, 4, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6i, 7, 7a, 7b, 8, 9, 11,
12, 12-1, 12a, 12b, 13, 13a, 13b, 13c, 15, and 16 of this title and
sections 5314, 5315, 5316, and 5108 of Title 5, Government Organization
and Employees, and enacting provisions set out as notes under sections
2, 4a, and 6a of this title) may be cited as the 'Commodity Futures
Trading Commission Act of 1974'.''
Power of Congress to regulate interstate commerce, see Const. Art.
1, 8, cl. 3.
07 USC 1a. Definitions
TITLE 7 -- AGRICULTURE
As used in this chapter:
(1) Board of trade
The term ''board of trade'' means any exchange or association,
whether incorporated or unincorporated, of persons who are engaged in
the business of buying or selling any commodity or receiving the same
for sale on consignment.
(2) Commission
The term ''Commission'' means the Commodity Futures Trading
Commission established under section 4a(a) of this title.
(3) Commodity
The term ''commodity'' means wheat, cotton, rice, corn, oats, barley,
rye, flaxseed, grain sorghums, mill feeds, butter, eggs, Solanum
tuberosum (Irish potatoes), wool, wool tops, fats and oils (including
lard, tallow, cottonseed oil, peanut oil, soybean oil, and all other
fats and oils), cottonseed meal, cottonseed, peanuts, soybeans, soybean
meal, livestock, livestock products, and frozen concentrated orange
juice, and all other goods and articles, except onions as provided in
section 13-1 of this title, and all services, rights, and interests in
which contracts for future delivery are presently or in the future dealt
in.
(4) Commodity pool operator
The term ''commodity pool operator'' means any person engaged in a
business that is of the nature of an investment trust, syndicate, or
similar form of enterprise, and who, in connection therewith, solicits,
accepts, or receives from others, funds, securities, or property, either
directly or through capital contributions, the sale of stock or other
forms of securities, or otherwise, for the purpose of trading in any
commodity for future delivery on or subject to the rules of any contract
market, except that the term does not include such persons not within
the intent of the definition of the term as the Commission may specify
by rule, regulation, or order.
(5) Commodity trading advisor
(A) In general
Except as otherwise provided in this paragraph, the term ''commodity
trading advisor'' means any person who --
(i) for compensation or profit, engages in the business of advising
others, either directly or through publications, writings, or electronic
media, as to the value of or the advisability of trading in --
(I) any contract of sale of a commodity for future delivery made or
to be made on or subject to the rules of a contract market;
(II) any commodity option authorized under section 6c of this title;
or
(III) any leverage transaction authorized under section 23 of this
title; or
(ii) for compensation or profit, and as part of a regular business,
issues or promulgates analyses or reports concerning any of the
activities referred to in clause (i).
(B) Exclusions
Subject to subparagraph (C), the term ''commodity trading advisor''
does not include --
(i) any bank or trust company or any person acting as an employee
thereof;
(ii) any news reporter, news columnist, or news editor of the print
or electronic media, or any lawyer, accountant, or teacher;
(iii) any floor broker or futures commission merchant;
(iv) the publisher or producer of any print or electronic data of
general and regular dissemination, including its employees;
(v) the fiduciary of any defined benefit plan that is subject to the
Employee Retirement Income Security Act of 1974 (29 U.S.C. 1001 et
seq.);
(vi) any contract market; and
(vii) such other persons not within the intent of this paragraph as
the Commission may specify by rule, regulation, or order.
(C) Incidental services
Subparagraph (B) shall apply only if the furnishing of such services
by persons referred to in subparagraph (B) is solely incidental to the
conduct of their business or profession.
(D) Advisors
The Commission, by rule or regulation, may include within the term
''commodity trading advisor'', any person advising as to the value of
commodities or issuing reports or analyses concerning commodities if the
Commission determines that the rule or regulation will effectuate the
purposes of this paragraph.
(6) Contract of sale
The term ''contract of sale'' includes sales, agreements of sale, and
agreements to sell.
(7) Cooperative association of producers
The term ''cooperative association of producers'' means any
cooperative association, corporate, or otherwise, not less than 75
percent in good faith owned or controlled, directly or indirectly, by
producers of agricultural products and otherwise complying with sections
291 and 292 of this title, including any organization acting for a group
of such associations and owned or controlled by such associations,
except that business done for or with the United States, or any agency
thereof, shall not be considered either member or nonmember business in
determining the compliance of any such association with this chapter.
(8) Floor broker
The term ''floor broker'' means any person who, in or surrounding any
pit, ring, post, or other place provided by a contract market for the
meeting of persons similarly engaged, shall purchase or sell for any
other person any commodity for future delivery on or subject to the
rules of any contract market.
(9) Floor trader
The term ''floor trader'' means any person who, in or surrounding any
pit, ring, post, or other place provided by a contract market for the
meeting of persons similarly engaged, purchases, or sells solely for
such person's own account, any commodity for future delivery on or
subject to the rules of any contract market.
(10) Foreign futures authority
The term ''foreign futures authority'' means any foreign government,
or any department, agency, governmental body, or regulatory organization
empowered by a foreign government to administer or enforce a law, rule,
or regulation as it relates to a futures or options matter, or any
department or agency of a political subdivision of a foreign government
empowered to administer or enforce a law, rule, or regulation as it
relates to a futures or options matter.
(11) Future delivery
The term ''future delivery'' does not include any sale of any cash
commodity for deferred shipment or delivery.
(12) Futures commission merchant
The term ''futures commission merchant'' means an individual,
association, partnership, corporation, or trust that --
(A) is engaged in soliciting or in accepting orders for the purchase
or sale of any commodity for future delivery on or subject to the rules
of any contract market; and
(B) in or in connection with such solicitation or acceptance of
orders, accepts any money, securities, or property (or extends credit in
lieu thereof) to margin, guarantee, or secure any trades or contracts
that result or may result therefrom.
(13) Interstate commerce
The term ''interstate commerce'' means commerce --
(A) between any State, territory, or possession, or the District of
Columbia, and any place outside thereof; or
(B) between points within the same state, /1/ territory, or
possession, or the District of Columbia, but through any place outside
thereof, or within any territory or possession, or the District of
Columbia.
(14) Introducing broker
The term ''introducing broker'' means any person (except an
individual who elects to be and is registered as an associated person of
a futures commission merchant) engaged in soliciting or in accepting
orders for the purchase or sale of any commodity for future delivery on
or subject to the rules of any contract market who does not accept any
money, securities, or property (or extend credit in lieu thereof) to
margin, guarantee, or secure any trades or contracts that result or may
result therefrom.
(15) Member of a contract market
The term ''member of a contract market'' means an individual,
association, partnership, corporation, or trust owning or holding
membership in, or admitted to membership representation on, a contract
market or given members' trading privileges thereon.
(16) Person
The term ''person'' imports the plural or singular, and includes
individuals, associations, partnerships, corporations, and trusts.
(Sept. 21, 1922, ch. 369, 1a, as added Oct. 28, 1992, Pub. L.
102-546, title IV, 404(a), 106 Stat. 3625.)
The Employee Retirement Income Security Act of 1974, referred to in
par. (5)(B)(v), is Pub. L. 93-406, Sept. 2, 1974, 88 Stat. 832, as
amended, which is classified principally to chapter 18 ( 1001 et seq.)
of Title 29, Labor. For complete classification of this Act to the
Code, see Short Title note set out under section 1001 of Title 29 and
Tables.
Section 403 of Pub. L. 102-546 provided that: ''Except as otherwise
specifically provided in this Act (enacting this section and section 12e
of this title, amending sections 2, 2a, 4, 4a, 6 to 6c, 6e to 6g, 6j,
6p, 7 to 9a, 10a, 12, 12a, 12c, 13 to 13c, 15, 16, 18, 19, 21, and 25 of
this title, repealing section 26 of this title, enacting provisions set
out as notes under sections 1a, 4a, 6c, 6e, 6j, 6p, 7a, 13, 16a, 21, and
22 of this title, and repealing provisions set out as a note under
section 4a of this title), this Act and the amendments made by this Act
shall become effective on the date of enactment of this Act (Oct. 28,
1992).''
/1/ So in original. Probably should be capitalized.
07 USC 2. Accounts, agreements, and transactions subject to
jurisdiction of Commodity Futures Trading Commission; relation to
jurisdiction of Securities and Exchange Commission and Federal and State
courts; excepted transactions
TITLE 7 -- AGRICULTURE
(i) The Commission shall have exclusive jurisdiction, except to the
extent otherwise provided in section 2a of this title, with respect to
accounts, agreements (including any transaction which is of the
character of, or is commonly known to the trade as, an ''option'',
''privilege'', ''indemnity'', ''bid'', ''offer'', ''put'', ''call'',
''advance guaranty'', or ''decline guaranty''), and transactions
involving contracts of sale of a commodity for future delivery, traded
or executed on a contract market designated pursuant to section 7 of
this title or any other board of trade, exchange, or market, and
transactions subject to regulation by the Commission pursuant to section
23 of this title. Except as hereinabove provided, nothing contained in
this section shall (I) supersede or limit the jurisdiction at any time
conferred on the Securities and Exchange Commission or other regulatory
authorities under the laws of the United States or of any State, or (II)
restrict the Securities and Exchange Commission and such other
authorities from carrying out their duties and responsibilities in
accordance with such laws. Nothing in this section shall supersede or
limit the jurisdiction conferred on courts of the United States or any
State. (ii) Nothing in this chapter shall be deemed to govern or in any
way be applicable to transactions in foreign currency, security
warrants, security rights, resales of installment loan contracts,
repurchase options, government securities, or mortgages and mortgage
purchase commitments, unless such transactions involve the sale thereof
for future delivery conducted on a board of trade.
(Sept. 21, 1922, ch. 369, 2(a)(1)(A)(i), (ii), formerly 2(a), 42
Stat. 998; June 15, 1936, ch. 545, 2, 3, 49 Stat. 1491; Apr. 7,
1938, ch. 108, 52 Stat. 205; Oct. 9, 1940, ch. 786, 1, 54 Stat. 1059;
Aug. 28, 1954, ch. 1041, title VII, 710(a), 68 Stat. 913; July 26,
1955, ch. 382, 1, 69 Stat. 375; Feb. 19, 1968, Pub. L. 90-258, 1, 82
Stat. 26; July 23, 1968, Pub. L. 90-418, 82 Stat. 413; redesignated
2(a)(1) and amended Oct. 23, 1974, Pub. L. 93-463, title I, 101(a)(1),
(2), title II, 201, 202, 88 Stat. 1389, 1395; Sept. 30, 1978, Pub. L.
95-405, 2(1), 92 Stat. 865; redesignated 2(a)(1)(A) and amended Jan.
11, 1983, Pub. L. 97-444, title I, 101(a)(1), (2), title II, 201, 96
Stat. 2294, 2297; redesignated 2(a)(1)(A)(i), (ii) and amended Oct.
28, 1992, Pub. L. 102-546, title IV, 404(b)(1)-(5), (7), 106 Stat.
3628.)
Section consists of subsec. (a)(1)(A)(i) and (ii) of section 2 of
the Commodity Exchange Act, act Sept. 21, 1922. Subsec.
(a)(1)(A)(iii) is classified to section 4 of this title. Subsec.
(a)(1)(B) is classified to section 2a of this title. Subsecs. (a)(2) to
(11) of section 2 of the Commodity Exchange Act are classified to
section 4a of this title. Subsec. (b) of section 2 of the Commodity
Exchange Act is classified to section 3 of this title.
1992 -- Pub. L. 102-546, 404(b)(2)-(5), (7), designated provisions
of former third sentence as cl. (i), redesignated cls. (i) and (ii) of
former third sentence as subcls. (I) and (II), respectively, designated
former fifth sentence as cl. (ii), and struck out former first, second,
sixth, seventh, and ninth through last sentences, which included
definitions of ''contract of sale'', ''person'', ''commodity'', ''future
delivery'', ''board of trade'', ''interstate commerce'', ''cooperative
association of producers'', ''member of a contract market'', ''futures
commission merchant'', ''introducing broker'', ''floor broker'', ''the
Commission'', ''commodity trading advisor'', and ''commodity pool
operator''. See section 1a of this title.
Pub. L. 102-546, 404(b)(1), which directed the substitution of ''(i)
The Commission'' for former first two sentences and provisions of former
third sentence ending with ''; Provided, That the Commission'', was
executed by making the substitution for provisions ending with '':
Provided, That the Commission'', to reflect the probable intent of
Congress.
1983 -- Pub. L. 97-444, 101(a)(2), inserted in third sentence,
first proviso, '', except to the extent otherwise provided in section 2a
of this title,'' after ''exclusive jurisdiction''.
Pub. L. 97-444, 201(1), inserted definition of ''introducing
broker''.
Pub. L. 97-444, 201(2), in revising definition of ''commodity
training advisor'', included any person advising others through
electronic media; substituted provision respecting advising others ''as
to the value of or the advisability of trading in any contract of sale
of a commodity for future delivery made or to be made on or subject to
the rules of a contract market, any commodity option authorized under
section 6c of this title, or any leverage transaction authorized under
section 23 of this title, or who, for compensation or profit, and as
part of a regular business, issues or promulgates analyses or reports
concerning any of the foregoing'' for provision respecting advising
others ''as to the value of commodities or as to the advisability of
trading in any commodity for future delivery on or subject to the rules
of any market, or who for compensation or profit, and as part of a
regular business, issues or promulgates analyses or reports concerning
commodities''; excluded in item (i) any person acting as an employee of
any bank or trust company; substituted in cl. (ii) ''news reporter,
news columnist, or news editor of the print or electronic media'' for
''newspaper reporter, newspaper columnist, newspaper editor'';
substituted in cl. (iv) ''the publisher or producer of any print or
electronic data of general and regular dissemination, including its
employees'' for ''the publisher of any bona fide newspaper magazine, or
business or financial publication of general and regular circulation
including their employees''; inserted item (v); redesignated as items
(vi) and (vii) former items (v) and (vi); and authorized Commission to
effectuate purposes of definition by rule or regulation by including
within definition any person advising as to the value of commodities or
issuing reports or analyses concerning commodities.
1978 -- Pub. L. 95-405 substituted ''section 23 of this title'' for
''section 15a of this title''.
1974 -- Pub. L. 93-463 struck out ''onions,'' after ''eggs,'' in
definition of ''commodity'' and inserted provisions to that definition
to include as commodities all other goods and articles, except onions as
provided in section 13-1 of this title, and all services, rights, and
interests in which contracts for the future delivery are presently or in
the future dealt in, inserted definitions for ''commodity trading
advisor'' and ''commodity pool operator'', and, as definition of ''the
Commission'', substituted ''Commodity Futures Trading Commission
established under section 4a of this title'' for ''Commodity Exchange
Commission, consisting of the Secretary of Agriculture, the Secretary of
Commerce, and the Attorney General, or an official or employee of each
of the executive departments concerned, designated by the Secretary of
Agriculture, the Secretary of Commerce, and the Attorney General,
respectively; and the Secretary of Agriculture or his designee shall
serve as Chairman''.
1968 -- Pub. L. 90-418 extended definition of ''commodity'' in third
sentence to include frozen concentrated orange juice.
Pub. L. 90-258, 1(a), extended definition of ''commodity'' in third
sentence to include livestock and livestock products.
Pub. L. 90-258, 1(b), substituted in definition of ''floor broker''
in penultimate sentence ''purchase or sell for any other person'' for
''engage in executing for others any order for the purchase or sale of''
and struck out provision for receipt or acceptance of any commission or
other compensation for services as a floor broker.
Pub. L. 90-258, 1(c), provided in last sentence for representation
on the Commission of Secretary of Agriculture, Secretary of Commerce,
and Attorney General by an official or employee designated from
executive department concerned and for service of Secretary of
Agriculture or his designee as Chairman.
1955 -- Act July 26, 1955, extended ''commodity'' to onions.
1954 -- Act Aug. 28, 1954, extended ''commodity'' to wool.
1940 -- Act Oct. 9, 1940, extended ''commodity'' to fats and oils
(including lard, tallow, cottonseed oil, peanut oil, soybean oil, and
all other fats and oils), cottonseed meal, cottonseed, peanuts, soybeans
and soybean meal.
1938 -- Act Apr. 7, 1938, extended ''commodity'' to wool tops.
1936 -- Act June 15, 1936, substituted ''commodity'', ''any
commodity'', or ''commodities'', as the case may require, for ''grain''
wherever appearing, and ''any cash commodity'' for ''cash grain'', and
inserted definitions of ''cooperative association of producers,''
''member of a contract market'', ''futures commission merchant'',
''floor broker'' and ''the commission.''
Section 239 of Pub. L. 97-444 provided that: ''This Act (see Short
Title of 1983 Amendment note set out under section 1 of this title)
shall be effective upon the date of enactment of this Act (Jan. 11,
1983), except that sections 207, 212, and 231 of this Act (amending
sections 6d, 6k, and 18 of this title) shall be effective one hundred
and twenty days after the date of enactment of this Act, or such earlier
date as the Commodity Futures Trading Commission shall prescribe by
regulation.''
Section 28 of Pub. L. 95-405 provided that: ''Except as otherwise
provided in this Act, the provisions of this Act (see Short Title of
1978 Amendment note set out under section 1 of this title) shall become
effective October 1, 1978.''
Section 418 of Pub. L. 93-463 provided that:
''(a) Except as otherwise provided specifically in this Act, the
effective date of this Act (see Short Title note set out under section 1
of this title) shall be the 180th day after enactment (Oct. 23, 1974).
The Commission referred to in section 101 (Commodity Futures Trading
Commission) is hereby established effective immediately on enactment of
this Act. Sections 102 and 410 (amending sections 5108, 5314, 5315, and
5316 of Title 5, Government Organization and Employees) shall be
effective immediately on enactment of this Act. Activities necessary to
implement the changes effected by this Act may be carried out after the
date of enactment and before as well as after the 180th day thereafter.
Activities to be carried out after the date of enactment and before the
180th day thereafter may include, but are not limited to the following:
Designation of boards of trade as contract markets, registration of
futures commission merchants, floor brokers, and other persons required
to be registered under the Act (this chapter), approval or modification
of bylaws, rules, regulations, and resolutions of contract markets, and
issuance of regulations, effective on or after the 180th day after
enactment; appointment and compensation of the members of the
Commission; hiring and compensation of staff; and conducting of
investigations and hearings. Nothing in this Act shall limit the
authority of the Secretary of Agriculture or the Commodity Exchange
Commission under the Commodity Exchange Act, as amended, prior to the
180th day after enactment of this Act.
''(b) Funds appropriated for the administration of the Commodity
Exchange Act, as amended (this chapter), may be used to implement this
Act (see Short Title note under section 4a of this title) immediately
after the date of enactment of this Act (Oct. 23, 1974).''
Section 28 of Pub. L. 90-258 provided that: ''This Act (enacting
sections 12b, 13b, 13c, and 17b, and amending sections 2, 6a, 6b, 6d,
6f, 6g, 6i, 7, 7a, 7b, 8, 9, 12, 12-1, 12a, 13, and 13a of this title)
shall become effective one hundred and twenty days after enactment (Feb.
19, 1968).''
Section 2 of act July 26, 1955, provided that: ''This Act (amending
this section) shall take effect sixty days after the date of its
enactment (July 26, 1955).''
Section 710(b) of act Aug. 28, 1954, provided that: ''The amendment
made by this section (amending this section) shall become effective
sixty days after the date of enactment of this Act (Aug. 28, 1954).''
Section 2 of act Oct. 9, 1940, provided that: ''This Act (amending
this section) shall take effect sixty days after the date of its
enactment (Oct. 9, 1940).''
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of that act, set out as a note under section 1 of
this title.
Onion futures transactions, definitions, applicable, see section 13-1
of this title.
Transaction in interstate commerce, see section 3 of this title.
07 USC 2a. Designation of boards of trade as contract markets;
approval by and jurisdiction of Commodity Futures Trading Commission and
Securities and Exchange Commission
TITLE 7 -- AGRICULTURE
Notwithstanding any other provision of law --
(i) This chapter shall not apply to and the Commission shall have no
jurisdiction to designate a board of trade as a contract market for any
transaction whereby any party to such transaction acquires any put,
call, or other option on one or more securities (as defined in section
77b(1) of title 15 or section 78c(a)(10) of title 15 on January 11,
1983), including any group or index of such securities, or any interest
therein or based on the value thereof.
(ii) This chapter shall apply to and the Commission shall have
exclusive jurisdiction with respect to accounts, agreements (including
any transaction which is of the character of, or is commonly known to
the trade as, an ''option'', ''privilege'', ''indemnity'', ''bid'',
''offer'', ''put'', ''call'', ''advance guaranty'', or ''decline
guaranty'') and transactions involving, and may designate a board of
trade as a contract market in, contracts of sale (or options on such
contracts) for future delivery of a group or index of securities (or any
interest therein or based upon the value thereof): Provided, however,
That no board of trade shall be designated as a contract market with
respect to any such contracts of sale (or options on such contracts) for
future delivery unless the board of trade making such application
demonstrates and the Commission expressly finds that the specific
contract (or option on such contract) with respect to which the
application has been made meets the following minimum requirements:
(I) Settlement of or delivery on such contract (or option on such
contract) shall be effected in cash or by means other than the transfer
or receipt of any security, except an exempted security under section
77c of title 15 or section 78c(a)(12) of title 15 as in effect on
January 11, 1983, (other than any municipal security, as defined in
section 78c(a)(29) of title 15 on January 11, 1983);
(II) Trading in such contract (or option on such contract) shall not
be readily susceptible to manipulation of the price of such contract (or
option on such contract), nor to causing or being used in the
manipulation of the price of any underlying security, option on such
security or option on a group or index including such securities; and
(III) Such group or index of securities shall be predominately
composed of the securities of unaffiliated issuers and shall be a widely
published measure of, and shall reflect, the market for all publicly
traded equity or debt securities or a substantial segment thereof, or
shall be comparable to such measure.
(iii) Upon application by a board of trade for designation as a
contract market with respect to any contract of sale (or option on such
contract) for future delivery involving a group or index of securities,
the Commission shall provide an opportunity for public comment on
whether such contracts (or options on such contracts) meet the minimum
requirements set forth in clause (ii) of this subparagraph.
(iv)(I) The Commission shall consult with the Securities and Exchange
Commission with respect to any application which is submitted by a board
of trade before December 9, 1982, for designation as a contract market
with respect to any contract of sale (or option on such contract) for
future delivery of a group or index of securities. If, no later than
fifteen days following the close of the public comment period, the
Securities and Exchange Commission shall object to the designation of a
board of trade as a contract market in such contract (or option on such
contract) on the ground that any minimum requirement of clause (ii) of
this subparagraph is not met, the Commission shall afford the Securities
and Exchange Commission an opportunity for an oral hearing, to be
transcribed, before the Commission, and shall give appropriate weight to
the views of the Securities and Exchange Commission. Such oral hearing
shall be held after the public comment period, prior to Commission
action upon such designation, and not less than thirty nor more than
forty-five days after the close of the public comment period, unless
both the Commission and the Securities and Exchange Commission otherwise
agree. If such an oral hearing is held, the Securities and Exchange
Commission fails to withdraw its objections, and the Commission issues
an order designating a board of trade as a contract market with respect
to any such contract (or option on such contract), the Securities and
Exchange Commission shall have the right of judicial review of such
order in accordance with the standards of section 9 of this title. If,
pursuant to sections 8 and 9 of this title, there is a hearing on the
record with respect to such application for designation, the Securities
and Exchange Commission shall have the right to participate in that
hearing as an interested party.
(II) Effective for any application submitted by a board of trade on
or after December 9, 1982, for designation as a contract market with
respect to any contract of sale (or option on such contract) for future
delivery of a group or index of securities, the Commission shall
transmit a copy of such application to the Securities and Exchange
Commission for review. The Commission shall not approve any such
application if the Securities and Exchange Commission determines that
such contract (or option on such contract) fails to meet the minimum
requirements set forth in clause (ii) of this subparagraph. Such
determination shall be made by order no later than forty-five days after
the close of the public comment period under clause (iii) of this
subparagraph. In the event of such determination, the board of trade
shall be afforded an opportunity for a hearing on the record before the
Securities and Exchange Commission. If a board of trade requests a
hearing on the record, the hearing shall commence no later than thirty
days following the receipt of the request, and a final determination
shall be made no later than thirty days after the close of the hearing.
A person aggrieved by any such order of the Securities and Exchange
Commission may obtain judicial review thereof in the same manner and
under such terms and conditions as are provided in section 8(b) of this
title.
(v) No person shall offer to enter into, enter into, or confirm the
execution of any contract of sale (or option on such contract) for
future delivery of any security, or interest therein or based on the
value thereof, except an exempted security under section 77c of title 15
or section 78c(a)(12) of title 15 as in effect on January 11, 1983
(other than any municipal security as defined in section 78c(a)(29) of
title 15 on January 11, 1983), or except as provided in clause (ii) of
this subparagraph, any group or index of such securities or any interest
therein or based on the value thereof.
(vi)(I) Notwithstanding any other provision of this chapter, any
contract market in a stock index futures contract (or option thereon)
shall file with the Board of Governors of the Federal Reserve System any
rule establishing or changing the levels of margin (initial and
maintenance) for the stock index futures contract (or option thereon).
(II) The Board may at any time request any contract market to set the
margin for any stock index futures contract (or option thereon) at such
levels as the Board in its judgment determines are appropriate to
preserve the financial integrity of the contract market or its clearing
system or to prevent systemic risk. If the contract market fails to do
so within the time specified by the Board in its request, the Board may
direct the contract market to alter or supplement the rules of the
contract market as specified in the request.
(III) Subject to such conditions as the Board may determine, the
Board may delegate any or all of its authority under this clause only to
the Commission.
(IV) Nothing in this clause shall supersede or limit the authority
granted to the Commission in section 12a(9) of this title to direct a
contract market, on finding an emergency to exist, to raise temporary
emergency margin levels on any futures contract or option on the
contract covered by this clause.
(V) Any action taken by the Board, or by the Commission acting under
the delegation of authority under subclause III, /1/ under this clause
directing a contract market to alter or supplement a contract market
rule shall be subject to review only in the Court of Appeals where the
party seeking review resides or has its principal place of business, or
in the United States Court of Appeals for the District of Columbia
Circuit. The review shall be based on the examination of all
information before the Board or the Commission, as the case may be, at
the time the determination was made. The court reviewing the action of
the Board or the Commission shall not enter a stay or order of mandamus
unless the court has determined, after notice and a hearing before a
panel of the court, that the agency action complained of was arbitrary,
capricious, an abuse of discretion, or otherwise not in accordance with
law.
(Sept. 21, 1922, ch. 369, 2(a)(1)(B), as added Jan. 11, 1983, Pub.
L. 97-444, title I, 101(a)(3), 96 Stat. 2294; amended Nov. 10, 1986,
Pub. L. 99-641, title I, 110(1), 100 Stat. 3561; Oct. 28, 1992, Pub.
L. 102-546, title II, 209(b)(1), title V, 501, 106 Stat. 3606, 3628.)
Section 9 of this title and sections 8 and 9 of this title, referred
to in par. (iv)(I), were in the original ''section 6(c) of this Act''
and ''section 6 of this Act'', respectively, meaning section 6 of act
Sept. 21, 1922, ch. 369, which is classified to sections 8, 9, 9a,
13b, and 15 of this title. See Codification note set out under section
8 of this title.
Section is comprised of subsec. (a)(1)(B) of section 2 of the
Commodity Exchange Act, act Sept. 21, 1922. Subsec. (a)(1)(A) is
classified to sections 2 and 4 of this title. Subsec. (a)(2) to (11) of
section 2 of the Commodity Exchange Act is classified to section 4a of
this title. Subsec. (b) of section 2 of the Commodity Exchange Act is
classified to section 3 of this title.
1992 -- Par. (iv)(I). Pub. L. 102-546, 209(b)(1)(A), made technical
amendment to reference to section 9 of this title appearing in
penultimate sentence to reflect change in reference to corresponding
section of original act.
Par. (iv)(II). Pub. L. 102-546, 209(b)(1)(B), substituted ''section
8(b)'' for ''section 8''.
Par. (vi). Pub. L. 102-546, 501, added par. (vi).
1986 -- Par. (iv)(I). Pub. L. 99-641 substituted ''Securities and
Exchange Commission'' for ''Securities Exchange Commission'' before
''otherwise agree''.
Section effective Jan. 11, 1983, see section 239 of Pub. L.
97-444, set out as an Effective Date of 1983 Amendment note under
section 2 of this title.
/1/ So in original. Probably should be subclause ''(III)''.
07 USC 3. Transaction in interstate commerce
TITLE 7 -- AGRICULTURE
For the purposes of this chapter (but not in any wise limiting the
definition of interstate commerce in section 2 of this title) a
transaction in respect to any article shall be considered to be in
interstate commerce if such article is part of that current of commerce
usual in the commodity trade whereby commodities and commodity products
and by-products thereof are sent from one State, with the expectation
that they will end their transit, after purchase, in another, including
in addition to cases within the above general description, all cases
where purchase or sale is either for shipment to another State, or for
manufacture within the State and the shipment outside the State of the
products resulting from such manufacture. Articles normally in such
current of commerce shall not be considered out of such commerce through
resort being had to any means or device intended to remove transactions
in respect thereto from the provisions of this chapter. For the purpose
of this section the word ''State'' includes Territory, the District of
Columbia, possession of the United States, and foreign nation.
(Sept. 21, 1922, ch. 369, 2(b), 42 Stat. 998; June 15, 1936, ch.
545, 2, 49 Stat. 1491.)
Section constitutes subsec. (b) of section 2 of the Commodity
Exchange Act, act Sept. 21, 1922. Part of subsec. (a) of such section
2 is classified to section 2 and the remainder of such subsec. (a) is
classified to sections 2a, 4, and 4a of this title.
1936 -- Act June 15, 1936, substituted ''commodity'' and
''commodities'', as the case may require, for ''grain'' wherever
appearing.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of that act, set out as a note under section 1 of
this title.
Interstate commerce defined, see section 2 of this title.
Power of Congress to regulate interstate commerce, see Const. Art.
1, 8, cl. 3.
07 USC 4. Liability of principal for act of agent
TITLE 7 -- AGRICULTURE
For the purpose of this chapter the act, omission, or failure of any
official, agent, or other person acting for any individual, association,
partnership, corporation, or trust within the scope of his employment or
office shall be deemed the act, omission, or failure of such individual,
association, partnership, corporation, or trust, as well as of such
official, agent, or other person.
(Sept. 21, 1922, ch. 369, 2(a)(1)(A)(iii), formerly 2(a), 42 Stat.
998; redesignated 2(a)(1), Oct. 23, 1974, Pub. L. 93-463, title I,
101(a)(1), 88 Stat. 1389; redesignated 2(a)(1)(A), Jan. 11, 1983,
Pub. L. 97-444, title I, 101(a)(1), 96 Stat. 2294; redesignated
2(a)(1)(A)(iii), Oct. 28, 1992, Pub. L. 102-546, title IV, 404(b)(6),
106 Stat. 3628.)
Section consists of part of subsec. (a)(1)(A)(iii) of section 2 of
the Commodity Exchange Act, act Sept. 21, 1922. Subsec. (a)(1)(A)(i),
(ii) is classified to section 2 of this title. Subsec. (a)(1)(B) is
classified to section 2a of this title. Subsecs. (a)(2) to (11) of
section 2 of the Commodity Exchange Act are classified to section 4a of
this title. Subsec. (b) of section 2 of the Commodity Exchange Act is
classified to section 3 of this title.
07 USC 4a. Commodity Futures Trading Commission
TITLE 7 -- AGRICULTURE
(a) Establishment; composition; term of Commissioners
(1) There is hereby established, as an independent agency of the
United States Government, a Commodity Futures Trading Commission. The
Commission shall be composed of five Commissioners who shall be
appointed by the President, by and with the advice and consent of the
Senate. In nominating persons for appointment, the President shall --
(i) select persons who shall each have demonstrated knowledge in
futures trading or its regulation, or the production, merchandising,
processing or distribution of one or more of the commodities or other
goods and articles, services, rights, and interests covered by this
chapter; and
(ii) seek to ensure that the demonstrated knowledge of the
Commissioners is balanced with respect to such areas.
Not more than three of the members of the Commission shall be members
of the same political party. Each Commissioner shall hold office for a
term of five years and until his successor is appointed and has
qualified, except that he shall not so continue to serve beyond the
expiration of the next session of Congress subsequent to the expiration
of said fixed term of office, and except (i) any Commissioner appointed
to fill a vacancy occurring prior to the expiration of the term for
which his predecessor was appointed shall be appointed for the remainder
of such term, and (ii) the terms of office of the Commissioners first
taking office after the enactment of this paragraph shall expire as
designated by the President at the time of nomination, one at the end of
one year, one at the end of two years, one at the end of three years,
one at the end of four years, and one at the end of five years.
(2) The President shall appoint, by and with the advice and consent
of the Senate, a member of the Commission as Chairman, who shall serve
as Chairman at the pleasure of the President. An individual may be
appointed as Chairman at the same time that person is appointed as a
Commissioner. The Chairman shall be the chief administrative officer of
the Commission and shall preside at hearings before the Commission. At
any time, the President may appoint, by and with the advice and consent
of the Senate, a different Chairman, and the Commissioner previously
appointed as Chairman may complete that Commissioner's term as a
Commissioner.
(b) Vacancies
A vacancy in the Commission shall not impair the right of the
remaining Commissioners to exercise all the powers of the Commission.
(c) General Counsel
The Commission shall have a General Counsel, who shall be appointed
by the Commission and serve at the pleasure of the Commission. The
General Counsel shall report directly to the Commission and serve as its
legal advisor. The Commission shall appoint such other attorneys as may
be necessary, in the opinion of the Commission, to assist the General
Counsel, represent the Commission in all disciplinary proceedings
pending before it, represent the Commission in courts of law whenever
appropriate, assist the Department of Justice in handling litigation
concerning the Commission in courts of law, and perform such other legal
duties and functions as the Commission may direct.
(d) Executive Director
The Commission shall have an Executive Director, who shall be
appointed by the Commission and serve at the pleasure of the Commission.
The Executive Director shall report directly to the Commission and
perform such functions and duties as the Commission may prescribe.
(e) Powers and functions of Chairman
(1) Except as otherwise provided in this subsection and in
subsections (c) and (d) of this section, the executive and
administrative functions of the Commission, including functions of the
Commission with respect to the appointment and supervision of personnel
employed under the Commission, the distribution of business among such
personnel and among administrative units of the Commission, and the use
and expenditure of funds, according to budget categories, plans,
programs, and priorities established and approved by the Commission,
shall be exercised solely by the Chairman.
(2) In carrying out any of his functions under the provisions of this
subsection, the Chairman shall be governed by general policies, plans,
priorities, and budgets approved by the Commission and by such
regulatory decisions, findings, and determination as the Commission may
by law be authorized to make.
(3) The appointment by the Chairman of the heads of major
administrative units under the Commission shall be subject to the
approval of the Commission.
(4) Personnel employed regularly and full time in the immediate
offices of Commissioners other than the Chairman shall not be affected
by the provisions of this subsection.
(5) There are hereby reserved to the Commission its functions with
respect to revising budget estimates and with respect to determining the
distribution of appropriated funds according to major programs and
purposes.
(6) The Chairman may from time to time make such provisions as he
shall deem appropriate authorizing the performance by any officer,
employee, or administrative unit under his jurisdiction of any functions
of the Chairman under this subsection.
(f) Conflict of interest
No Commissioner or employee of the Commission shall accept employment
or compensation from any person, exchange, or clearinghouse subject to
regulation by the Commission under this chapter during his term of
office, nor shall he participate, directly or indirectly, in any
contract market operations or transactions of a character subject to
regulation by the Commission.
(g) Liaison with Department of Agriculture; communications with
Department of Treasury, Federal Reserve Board, and Securities and
Exchange Commission; application by a board of trade for designation as
a contract market for future delivery of securities
(1) The Commission shall, in cooperation with the Secretary of
Agriculture, maintain a liaison between the Commission and the
Department of Agriculture. The Secretary shall take such steps as may
be necessary to enable the Commission to obtain information and utilize
such services and facilities of the Department of Agriculture as may be
necessary in order to maintain effectively such liaison. In addition,
the Secretary shall appoint a liaison officer, who shall be an employee
of the Office of the Secretary, for the purpose of maintaining a liaison
between the Department of Agriculture and the Commission. The
Commission shall furnish such liaison officer appropriate office space
within the offices of the Commission and shall allow such liaison
officer to attend and observe all deliberations and proceedings of the
Commission.
(2)(i) The Commission shall maintain communications with the
Department of the Treasury, the Board of Governors of the Federal
Reserve System, and the Securities and Exchange Commission for the
purpose of keeping such agencies fully informed of Commission activities
that relate to the responsibilities of those agencies, for the purpose
of seeking the views of those agencies on such activities, and for
considering the relationships between the volume and nature of
investment and trading in contracts of sale of a commodity for future
delivery and in securities and financial instruments under the
jurisdiction of such agencies.
(ii) When a board of trade applies for designation as a contract
market involving transactions for future delivery of any security issued
or guaranteed by the United States or any agency thereof, the Commission
shall promptly deliver a copy of such application to the Department of
the Treasury and the Board of Governors of the Federal Reserve System.
The Commission may not designate a board of trade as a contract market
based on such application until forty-five days after the date the
Commission delivers the application to such agencies or until the
Commission receives comments from each of such agencies on the
application, whichever period is shorter. Any comments received by the
Commission from such agencies shall be included as part of the public
record of the Commission's designation proceeding. In designating, or
refusing, suspending, or revoking the designation of, a board of trade
as a contract market involving transactions for future delivery referred
to in this clause or in considering possible emergency action under
section 12a(9) of this title with respect to such transactions, the
Commission shall take into consideration all comments it receives from
the Department of the Treasury and the Board of Governors of the Federal
Reserve System and shall consider the effect that any such designation,
suspension, revocation, or emergency action may have on the debt
financing requirements of the United States Government and the continued
efficiency and integrity of the underlying market for government
securities.
(iii) The provisions of this subparagraph shall not create any
rights, liabilities, or obligations upon which actions may be brought
against the Commission.
(h) Transmittal of budget requests and legislative recommendations to
Congressional committees
(1) Whenever the Commission submits any budget estimate or request to
the President or the Office of Management and Budget, it shall
concurrently transmit copies of that estimate or request to the House
and Senate Appropriations Committees and the House Committee on
Agriculture and the Senate Committee on Agriculture, Nutrition, and
Forestry.
(2) Whenever the Commission transmits any legislative
recommendations, or testimony, or comments on legislation to the
President or the Office of Management and Budget, it shall concurrently
transmit copies thereof to the House Committee on Agriculture and the
Senate Committee on Agriculture, Nutrition, and Forestry. No officer or
agency of the United States shall have any authority to require the
Commission to submit its legislative recommendations, or testimony, or
comments on legislation to any officer or agency of the United States
for approval, comments, or review, prior to the submission of such
recommendations, testimony, or comments to the Congress. In instances
in which the Commission voluntarily seeks to obtain the comments or
review of any officer or agency of the United States, the Commission
shall include a description of such actions in its legislative
recommendations, testimony, or comments on legislation which it
transmits to the Congress.
(3) Whenever the Commission issues for official publication any
opinion, release, rule, order, interpretation, or other determination on
a matter, the Commission shall provide that any dissenting, concurring,
or separate opinion by any Commissioner on the matter be published in
full along with the Commission opinion, release, rule, order,
interpretation, or determination.
(i) Seal
The Commission shall have an official seal, which shall be judicially
noticed.
(j) Rules and regulations
The Commission is authorized to promulgate such rules and regulations
as it deems necessary to govern the operating procedures and conduct of
the business of the Commission.
(Sept. 21, 1922, ch. 369, 2(a)(2)-(11), as added Oct. 23, 1974, Pub.
L. 93-463, title I, 101(a)(3), 88 Stat. 1389; amended Sept. 30, 1978,
Pub. L. 95-405, 2(2)-(15), 92 Stat. 865-867; Jan. 11, 1983, Pub. L.
97-444, title II, 202, 96 Stat. 2298; Oct. 28, 1992, Pub. L. 102-546,
title II, 215, 226, 106 Stat. 3611, 3618.)
Section consists of pars. (2) to (11) of section 2(a) of the
Commodity Exchange Act. For purposes of codification the numbered pars.
(2) to (11) have been translated as subsecs. (a) to (j), respectively,
of this section, with subpars. (A) and (B) of par. (2), subpars. (A)
to (F) of par. (6), subpars. (A) and (B) of par. (7), subpars. (A)
and (B) of par. (8), and subpars. (A) to (C) of par. (9) in the
original being translated as pars. (1) and (2) of subsec. (a), pars.
(1) to (6) of subsec. (e), pars. (1) and (2) of subsec. (f), pars.
(1) and (2) of subsec. (g), and pars. (1) to (3) of subsec. (h) of
this section, respectively.
Par. (1) of section 2(a) of the Commodity Exchange Act is classified
to sections 2, 2a, and 4 of this title.
Subsec. (b) of section 2 of the Commodity Exchange Act is classified
to section 3 of this title.
1992 -- Subsec. (a)(1). Pub. L. 102-546, 215, substituted second
and third sentences for ''The Commission shall be composed of five
Commissioners, who shall be appointed by the President, by and with the
advice and consent of the Senate. In nominating persons for
appointment, the President shall seek to establish and maintain a
balanced Commission, including, but not limited to, persons of
demonstrated knowledge in futures trading or its regulation and persons
of demonstrated knowledge in the production, merchandising, processing
or distribution of one or more of the commodities or other goods and
articles, services, rights and interests covered by this chapter.''
Subsec. (h)(3). Pub. L. 102-546, 226, added par. (3).
1983 -- Subsec. (f). Pub. L. 97-444 struck out subpar. designation
of first par. and subpar. designation and provisions of second par.
which prohibited any representative activities before the Commission for
a one year period upon termination of employment occurring on a day more
than four months after Sept. 30, 1978, of any Commissioner or employee
of the Commission having a GS-16 or higher classified position excepted
from the competitive service because of its confidential or policymaking
character.
1978 -- Subsec. (a). Pub. L. 95-405, 2(2)-(5), designated existing
provisions as par. (1) and substituted ''five Commissioners'' for ''a
chairman and four other Commissioners'', ''(i)'' for ''(A)'', and
''(ii)'' for ''(B)'', and added par. (2).
Subsec. (d). Pub. L. 95-405, 2(6), struck out '', by and with the
advice and consent of the Senate,'' after ''by the Commission''.
Subsec. (e)(1). Pub. L. 95-405, 2(7), inserted ''according to budget
categories, plans, programs, and priorities established and approved by
the Commission,'' after ''expenditure of funds,''.
Subsec. (e)(2). Pub. L. 95-405, 2(8), substituted '', plans,
priorities, and budgets approved by the Commission'' for ''of the
Commission''.
Subsec. (f). Pub. L. 95-405, 2(9), (10), designated existing
provisions as par. (1) and added par. (2).
Subsec. (g). Pub. L. 95-405, 2(11)-(13), designated existing
provisions as par. (1), substituted ''maintain'' for ''establish a
separate office within the Department of Agriculture to be staffed with
employees of the Commission for the purpose of maintaining'', and added
par. (2).
Subsec. (h)(1), (2). Pub. L. 95-405, 2(14), (15), substituted
''Senate Committee on Agriculture, Nutrition, and Forestry'' for
''Senate Committee on Agriculture and Forestry''.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
Section 413 of Pub. L. 93-463 provided that: ''If any provision of
this Act (see Short Title note set out under section 1 of this title) or
the application thereof to any person or circumstances is held invalid,
the validity of the remainder of the Act and the application of such
provisions to other persons or circumstances shall not be affected
thereby.''
Section 219 of Pub. L. 102-546 provided that:
''(a) In General. -- No later than eighteen months following the
enactment of this Act (Oct. 28, 1992), the Commodity Futures Trading
Commission shall study the competitiveness of boards of trade over which
it has jurisdiction compared with the boards of trade (or their foreign
equivalent) over which foreign futures authorities, as defined in
section 2(a)(1)(A) of the Commodity Exchange Act (7 U.S.C. 2(a)(1)(A))
(see 7 U.S.C. 1a(10)), have jurisdiction, and submit to the Committee on
Agriculture of the House of Representatives and the Committee on
Agriculture, Nutrition, and Forestry of the Senate a report of its
findings with respect to --
''(1) the overall competitive status of United States boards of trade
in the world market;
''(2) a comparison of applicable statutes, rules, or regulations as
they relate to futures and options administered and enforced by the
Commission and those administered and enforced by foreign futures
authorities;
''(3) any trends in, or movements of, volume of futures and options
trading to or from United States boards of trade during the period of
the study, and whether such trends or movements, if any, were the result
of the adoption of statutes, regulations, or other enforcement
mechanisms in foreign countries or the United States, as opposed to
other competitive, economic, regional, or commercial factors;
''(4) any significant harms or risks to the public interest, market
users, traders, and commerce in relation to futures or options traded on
such foreign boards of trade which may result from the absence of
statutes, regulations, or other enforcement mechanisms in foreign
countries or the United States or disparities in regulatory protections
offered by United States and foreign authorities; and
''(5) any recommendations the Commission may have as a result of the
study to enhance the competitive status of United States boards of trade
in the world market, or to enhance the regulations of markets in the
global environment, that will not impair customer confidence in United
States boards of trade.
''(b) Cooperation. -- To promote the efficient use of resources, the
Commission shall endeavor, as it determines appropriate, to obtain the
assistance of the General Accounting Office, the Office of the United
States Trade Representative, or other appropriate offices of the Federal
Government in order to obtain information with regard to trading at
foreign boards of trade and the regulation of such boards of trade by
foreign futures authorities.''
Act Sept. 21, 1922, ch. 369, 21, as added by Pub. L. 96-276, 7,
June 17, 1980, 94 Stat. 542, which required Commission to establish a
joint working group with Federal Reserve Board, Department of the
Treasury, and Securities and Exchange Commission to analyze and issue a
report by Oct. 1, 1980, on the various aspects of events in silver cash
and futures markets during period of September 1979 through March 1980,
was repealed by Pub. L. 102-546, title IV, 402(13), Oct. 28, 1992,
106 Stat. 3625.
Section 412 of Pub. L. 93-463 provided that: ''Pending proceedings
under existing law shall not be abated by reason of any provision of
this Act (see Short Title note set out under section 1 of this title)
but shall be disposed of pursuant to the applicable provisions of the
Commodity Exchange Act, as amended (this chapter), in effect prior to
the effective date of this Act (see Effective Date of 1974 Amendment
note set out under section 2 of this title).''
Registration of Futures Commission Merchants, Floor
Brokers, Associated Persons, Commodity Trading
Advisors, and Commodity Pool Operators; Extension of
Effective Dates
Pub. L. 94-16, 1, Apr. 16, 1975, 89 Stat. 77, provided that the
Commodity Futures Trading Commission would, in its discretion, and
without prior notice of hearings, grant provisional designation as a
contract market to any boards of trade for any commodities traded
thereon for such period not in excess of ninety days from the effective
date of the Commodity Futures Trading Commission Act of 1974 (see
Effective Date of 1974 Amendment note set out under section 2 of this
title) and under such terms and conditions as it prescribed, and that
upon the expiration of any provisional designation of a board of trade
as a contract market, such board of trade should not be designated as a
contract market except as provided in section 6 of the Commodity
Exchange Act, as amended (section 8 et seq. of this title); would grant
provisional registration as a futures commission merchant, floor broker,
associated person, commodity trading adviser, and commodity pool
operator to any person for such period not in excess of ninety days from
the effective date of the Commodity Futures Trading Commission Act of
1974 (Public Law 93-463) (see Effective Date of 1974 Amendment note set
out under section 2 of this title) and under such terms and conditions
as it prescribed; and would defer for such period not in excess of
ninety days from the effective date of the Act (see Effective Date of
1974 Amendment note under section 2 of this title), the effective dates
of sections 204, 205, 210, and 407 of the Commodity Futures Trading
Commission Act of 1974 (Public Law 93-463) (enacting sections 6k, 6l,
6m, 6n, 6o, and 7a(12) and amending sections 7a(8), 9, and 12a(1) of
this title).
Section 417 of Pub. L. 93-463 required that the Commodity Futures
Trading Commission submit to the Congress, not later than June 30, 1976,
a report respecting the need for legislation insuring owners of
commodity futures accounts and persons handling or clearing trades in
such accounts against loss by reason of the insolvency or financial
failure of a futures commission merchant carrying such accounts and that
the report contain the recommendations of the Commission concerning the
form and nature of any such legislation.
Section 411 of Pub. L. 93-463 provided that all operations of the
Commodity Exchange Commission and of the Secretary of Agriculture under
the Commodity Exchange Act (this chapter), including all pending
administrative proceedings, be transferred to the Commodity Futures
Trading Commission as of the effective date of Pub. L. 93-463 (see
Effective Date of 1974 Amendment note set out under section 2 of this
title) and continue to completion and that all rules, regulations, and
orders theretofore issued by the Commodity Exchange Commission and by
The Secretary of Agriculture under the Commodity Exchange Act (this
chapter) to the extent not inconsistent with the provisions of Pub. L.
93-463 (see Short Title note set out under section 1 of this title)
continue in full force and effect unless and until terminated, modified,
or suspended by the Commodity Futures Trading Commission.
Section 104 of Pub. L. 93-463 authorized the transfer of all of the
personnel of the Commodity Exchange Authority, property, records, and
unexpended balance of appropriations, allocations, and other funds
employed, used, held, available, or to be made available in connection
with administration of the Commodity Exchange Act (this chapter) to the
Commodity Futures Trading Commission upon the effective date of Pub. L.
93-463 (see Effective Date of 1974 Amendment note set out under section
2 of this title).
07 USC 5. Legislative findings
TITLE 7 -- AGRICULTURE
Transactions in commodities involving the sale thereof for future
delivery as commonly conducted on boards of trade and known as
''futures'' are affected with a national public interest. Such futures
transactions are carried on in large volume by the public generally and
by persons engaged in the business of buying and selling commodities and
the products and byproducts thereof in interstate commerce. The prices
involved in such transactions are generally quoted and disseminated
throughout the United States and in foreign countries as a basis for
determining the prices to the producer and the consumer of commodities
and the products and byproducts thereof and to facilitate the movements
thereof in interstate commerce. Such transactions are utilized by
shippers, dealers, millers, and others engaged in handling commodities
and the products and byproducts thereof in interstate commerce as a
means of hedging themselves against possible loss through fluctuations
in price. The transactions and prices of commodities on such boards of
trade are susceptible to excessive speculation and can be manipulated,
controlled, cornered or squeezed, to the detriment of the producer or
the consumer and the persons handling commodities and the products and
byproducts thereof in interstate commerce, rendering regulation
imperative for the protection of such commerce and the national public
interest therein. Furthermore, transactions which are of the character
of, or are commonly known to the trade as, ''options'' are or may be
utilized by commercial and other entities for risk shifting and other
purposes. Options transactions are in interstate commerce or affect
such commerce and the national economy, rendering regulation of such
transactions imperative for the protection of such commerce and the
national public interest.
(Sept. 21, 1922, ch. 369, 3, 42 Stat. 999; June 15, 1936, ch. 545,
2, 49 Stat. 1491; Jan. 11, 1983, Pub. L. 97-444, title II, 203, 96
Stat. 2298.)
1983 -- Pub. L. 97-444 reenacted provisions punctuated with
semicolons as sentences, substituted ''commodities'' for ''commodity''
wherever appearing, substituted ''susceptible to excessive speculation
and can be manipulated, controlled, cornered or squeezed, to the
detriment of the producer or the consumer and the persons handling
commodities and the products and byproducts thereof in interstate
commerce, rendering'' for ''susceptible to speculation, manipulation, or
control, which are detrimental to the producer or the consumer and the
persons handling commodity and products and byproducts thereof in
interstate commerce, and such fluctuations in prices are an obstruction
to and a burden upon interstate commerce in commodity and the products
and byproducts thereof and render'', and inserted provisions respecting
''options'' and ''options transactions''.
1936 -- Act June 15, 1936, substituted ''commodity'' for ''grain''
wherever appearing.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of that act, set out as a note under section 1 of
this title.
07 USC 6. Regulation of futures trading and foreign transactions
TITLE 7 -- AGRICULTURE
(a) Restriction of futures trading to contract markets
Unless exempted by the Commission pursuant to subsection (c) of this
section, it shall be unlawful for any person to offer to enter into, to
enter into, to execute, to confirm the execution of, or to conduct any
office or business anywhere in the United States, its territories or
possessions, for the purpose of soliciting or accepting any order for,
or otherwise dealing in, any transaction in, or in connection with, a
contract for the purchase or sale of a commodity for future delivery
(other than a contract which is made on or subject to the rules of a
board of trade, exchange, or market located outside the United States,
its territories or possessions) unless --
(1) such transaction is conducted on or subject to the rules of a
board of trade which has been designated by the Commission as a
''contract market'' for such commodity;
(2) such contract is executed or consummated by or through a member
of such contract market; and
(3) such contract is evidenced by a record in writing which shows the
date, the parties to such contract and their addresses, the property
covered and its price, and the terms of delivery: Provided, That each
contract market member shall keep such record for a period of three
years from the date thereof, or for a longer period if the Commission
shall so direct, which record shall at all times be open to the
inspection of any representative of the Commission or the Department of
Justice.
(b) Regulation of foreign transactions by United States persons
The Commission may adopt rules and regulations proscribing fraud and
requiring minimum financial standards, the disclosure of risk, the
filing of reports, the keeping of books and records, the safeguarding of
customers' funds, and registration with the Commission by any person
located in the United States, its territories or possessions, who
engages in the offer or sale of any contract of sale of a commodity for
future delivery that is made or to be made on or subject to the rules of
a board of trade, exchange, or market located outside the United States,
its territories or possessions. Such rules and regulations may impose
different requirements for such persons depending upon the particular
foreign board of trade, exchange, or market involved. No rule or
regulation may be adopted by the Commission under this subsection that
(1) requires Commission approval of any contract, rule, regulation, or
action of any foreign board of trade, exchange, or market, or
clearinghouse for such board of trade, exchange, or market, or (2)
governs in any way any rule or contract term or action of any foreign
board of trade, exchange, or market, or clearinghouse for such board of
trade, exchange, or market.
(c) Public interest exemption from contract market requirement
(1) In order to promote responsible economic or financial innovation
and fair competition, the Commission by rule, regulation, or order,
after notice and opportunity for hearing, may (on its own initiative or
on application of any person, including any board of trade designated as
a contract market for transactions for future delivery in any commodity
under section 7 of this title) exempt any agreement, contract, or
transaction (or class thereof) that is otherwise subject to subsection
(a) of this section (including any person or class of persons offering,
entering into, rendering advice or rendering other services with respect
to, the agreement, contract, or transaction), either unconditionally or
on stated terms or conditions or for stated periods and either
retroactively or prospectively, or both, from any of the requirements of
subsection (a) of this section, or from any other provision of this
chapter (except section 2a of this title), if the Commission determines
that the exemption would be consistent with the public interest.
(2) The Commission shall not grant any exemption under paragraph (1)
from any of the requirements of subsection (a) of this section unless
the Commission determines that --
(A) the requirement should not be applied to the agreement, contract,
or transaction for which the exemption is sought and that the exemption
would be consistent with the public interest and the purposes of this
chapter; and
(B) the agreement, contract, or transaction --
(i) will be entered into solely between appropriate persons; and
(ii) will not have a material adverse effect on the ability of the
Commission or any contract market to discharge its regulatory or
self-regulatory duties under this chapter.
(3) For purposes of this subsection, the term ''appropriate person''
shall be limited to the following persons or classes thereof:
(A) A bank or trust company (acting in an individual or fiduciary
capacity).
(B) A savings association.
(C) An insurance company.
(D) An investment company subject to regulation under the Investment
Company Act of 1940 (15 U.S.C. 80a-1 et seq.).
(E) A commodity pool formed or operated by a person subject to
regulation under this chapter.
(F) A corporation, partnership, proprietorship, organization, trust,
or other business entity with a net worth exceeding $1,000,000 or total
assets exceeding $5,000,000, or the obligations of which under the
agreement, contract or transaction are guaranteed or otherwise supported
by a letter of credit or keepwell, support, or other agreement by any
such entity or by an entity referred to in subparagraph (A), (B), (C),
(H), (I), or (K) of this paragraph.
(G) An employee benefit plan with assets exceeding $1,000,000, or
whose investment decisions are made by a bank, trust company, insurance
company, investment adviser registered under the Investment Advisers Act
of 1940 (15 U.S.C. 80b-1 et seq.), or a commodity trading advisor
subject to regulation under this chapter.
(H) Any governmental entity (including the United States, any state,
/1/ or any foreign government) or political subdivision thereof, or any
multinational or supranational entity or any instrumentality, agency, or
department of any of the foregoing.
(I) A broker-dealer subject to regulation under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et seq.) acting on its own behalf or
on behalf of another appropriate person.
(J) A futures commission merchant, floor broker, or floor trader
subject to regulation under this chapter acting on its own behalf or on
behalf of another appropriate person.
(K) Such other persons that the Commission determines to be
appropriate in light of their financial or other qualifications, or the
applicability of appropriate regulatory protections.
(4) During the pendency of an application for an order granting an
exemption under paragraph (1), the Commission may limit the public
availability of any information received from the applicant if the
applicant submits a written request to limit disclosure contemporaneous
with the application, and the Commission determines that --
(A) the information sought to be restricted constitutes a trade
secret; or
(B) public disclosure of the information would result in material
competitive harm to the applicant.
(5) The Commission may --
(A) promptly following October 28, 1992, or upon application by any
person, exercise the exemptive authority granted under paragraph (1)
with respect to classes of hybrid instruments that are predominantly
securities or depository instruments, to the extent that such
instruments may be regarded as subject to the provisions of this
chapter; or
(B) promptly following October 28, 1992, or upon application by any
person, exercise the exemptive authority granted under paragraph (1)
effective as of October 23, 1974, with respect to classes of swap
agreements (as defined in section 101 of title 11) that are not part of
a fungible class of agreements that are standardized as to their
material economic terms, to the extent that such agreements may be
regarded as subject to the provisions of this chapter.
Any exemption pursuant to this paragraph shall be subject to such
terms and conditions as the Commission shall determine to be appropriate
pursuant to paragraph (1).
(d) Effect of exemption on investigative authority of Commission
The granting of an exemption under this section shall not affect the
authority of the Commission under any other provision of this chapter to
conduct investigations in order to determine compliance with the
requirements or conditions of such exemption or to take enforcement
action for any violation of any provision of this chapter or any rule,
regulation or order thereunder caused by the failure to comply with or
satisfy such conditions or requirements.
(Sept. 21, 1922, ch. 369, 4, 42 Stat. 999; June 15, 1936, ch. 545,
2, 4, 49 Stat. 1491, 1492; Oct. 23, 1974, Pub. L. 93-463, title I,
103(a), (f), 88 Stat. 1392; Jan. 11, 1983, Pub. L. 97-444, title II,
204, 96 Stat. 2299; Oct. 28, 1992, Pub. L. 102-546, title V, 502(a),
106 Stat. 3629.)
The Investment Company Act of 1940, referred to in subsec.
(c)(3)(D), is title I of act Aug. 22, 1940, ch. 686, 54 Stat. 789, as
amended, which is classified generally to subchapter I ( 80a-1 et seq.)
of chapter 2D of Title 15, Commerce and Trade. For complete
classification of this Act to the Code, see section 80a-51 of Title 15
and Tables.
The Investment Advisers Act of 1940, referred to in subsec.
(c)(3)(G), is title II of act Aug. 22, 1940, ch. 686, 54 Stat. 847,
as amended, which is classified generally to subchapter II ( 80b-1 et
seq.) of chapter 2D of Title 15. For complete classification of this
Act to the Code, see section 80b-20 of Title 15 and Tables.
The Securities Exchange Act of 1934, referred to in subsec.
(c)(3)(I), is act June 6, 1934, ch. 404, 48 Stat. 881, as amended,
which is classified principally to chapter 2B ( 78a et seq.) of Title
15. For complete classification of this Act to the Code, see section
78a of Title 15 and Tables.
1992 -- Subsec. (a). Pub. L. 102-546, 502(a)(1), substituted
''Unless exempted by the Commission pursuant to subsection (c) of this
section, it shall be unlawful'' for ''It shall be unlawful''.
Subsecs. (c), (d). Pub. L. 102-546, 502(a)(2), added subsecs. (c)
and (d).
1983 -- Pub. L. 97-444 amended section generally, combining into
subsec. (a) existing provisions of this section together with
provisions formerly contained in section 6h(1) of this title, relating
to the conduct of offices or places of business anywhere in the United
States or its territories that are used for dealing in commodities for
future delivery unless such dealings are executed or consummated by or
through a member of a contract market, and adding subsec. (b).
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture'' and ''United States Department of Agriculture''.
1936 -- Act June 15, 1936, 2, substituted ''commodity'' for
''grain'' wherever appearing.
Act June 15, 1936, 4, struck out par. (a) and combined par. (b)
with first par.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of that act, set out as a note under section 1 of
this title.
Punishment for violating the provisions of this section and for
failure to evidence any contract mentioned in this section by a record
in writing, see section 13 of this title.
/1/ So in original. Probably should be capitalized.
07 USC 6a. Excessive speculation
TITLE 7 -- AGRICULTURE
(a) Burden on interstate commerce; trading or position limits
Excessive speculation in any commodity under contracts of sale of
such commodity for future delivery made on or subject to the rules of
contract markets causing sudden or unreasonable fluctuations or
unwarranted changes in the price of such commodity, is an undue and
unnecessary burden on interstate commerce in such commodity. For the
purpose of diminishing, eliminating, or preventing such burden, the
Commission shall, from time to time, after due notice and opportunity
for hearing, by rule, regulation, or order, proclaim and fix such limits
on the amounts of trading which may be done or positions which may be
held by any person under contracts of sale of such commodity for future
delivery on or subject to the rules of any contract market as the
Commission finds are necessary to diminish, eliminate, or prevent such
burden. In determining whether any person has exceeded such limits, the
positions held and trading done by any persons directly or indirectly
controlled by such person shall be included with the positions held and
trading done by such person; and further, such limits upon positions
and trading shall apply to positions held by, and trading done by, two
or more persons acting pursuant to an expressed or implied agreement or
understanding, the same as if the positions were held by, or the trading
were done by, a single person. Nothing in this section shall be
construed to prohibit the Commission from fixing different trading or
position limits for different commodities, markets, futures, or delivery
months, or for different number of days remaining until the last day of
trading in a contract, or different trading limits for buying and
selling operations, or different limits for the purposes of paragraphs
(1) and (2) of subsection (b) of this section, or from exempting
transactions normally known to the trade as ''spreads'' or ''straddles''
or ''arbitrage'' or from fixing limits applying to such transactions or
positions different from limits fixed for other transactions or
positions. The word ''arbitrage'' in domestic markets shall be defined
to mean the same as ''spread'' or ''straddle''. The Commission is
authorized to define the term ''international arbitrage''.
(b) Prohibition on trading or positions in excess of limits fixed by
Commission
The Commission shall, in such rule, regulation, or order, fix a
reasonable time (not to exceed ten days) after the promulgation of the
rule, regulation, or order; after which, and until such rule,
regulation, or order is suspended, modified, or revoked, it shall be
unlawful for any person --
(1) directly or indirectly to buy or sell, or agree to buy or sell,
under contracts of sale of such commodity for future delivery on or
subject to the rules of the contract market or markets to which the
rule, regulation, or order applies, any amount of such commodity during
any one business day in excess of any trading limit fixed for one
business day by the Commission in such rule, regulation, or order for or
with respect to such commodity; or
(2) directly or indirectly to hold or control a net long or a net
short position in any commodity for future delivery on or subject to the
rules of any contract market in excess of any position limit fixed by
the Commission for or with respect to such commodity: Provided, That
such position limit shall not apply to a position acquired in good faith
prior to the effective date of such rule, regulation, or order.
(c) Applicability to bona fide hedging transactions or positions
No rule, regulation, or order issued under subsection (a) of this
section shall apply to transactions or positions which are shown to be
bona fide hedging transactions or positions as such terms shall be
defined by the Commission by rule, regulation, or order consistent with
the purposes of this chapter. Such terms may be defined to permit
producers, purchasers, sellers, middlemen, and users of a commodity or a
product derived therefrom to hedge their legitimate anticipated business
needs for that period of time into the future for which an appropriate
futures contract is open and available on an exchange. To determine the
adequacy of this chapter and the powers of the Commission acting
thereunder to prevent unwarranted price pressures by large hedgers, the
Commission shall monitor and analyze the trading activities of the
largest hedgers, as determined by the Commission, operating in the
cattle, hog, or pork belly markets and shall report its findings and
recommendations to the Senate Committee on Agriculture, Nutrition, and
Forestry and the House Committee on Agriculture in its annual reports
for at least two years following January 11, 1983.
(d) Persons subject to regulation; applicability to transactions
made by or on behalf of United States
This section shall apply to a person that is registered as a futures
commission merchant, an introducing broker, or a floor broker under
authority of this chapter only to the extent that transactions made by
such person are made on behalf of or for the account or benefit of such
person. This section shall not apply to transactions made by, or on
behalf of, or at the direction of, the United States, or a duly
authorized agency thereof.
(e) Rulemaking power of contract markets and penalties for violation
Nothing in this section shall prohibit or impair the adoption by any
contract market or by any other board of trade licensed or designated by
the Commission of any bylaw, rule, regulation, or resolution fixing
limits on the amount of trading which may be done or positions which may
be held by any person under contracts of sale of any commodity for
future delivery traded on or subject to the rules of such contract
market, or under options on such contracts or commodities traded on or
subject to the rules of such contract market or such board of trade:
Provided, That if the Commission shall have fixed limits under this
section for any contract or under section 6c of this title for any
commodity option, then the limits fixed by the bylaws, rules,
regulations, and resolutions adopted by such contract market or such
board of trade shall not be higher than the limits fixed by the
Commission. It shall be a violation of this chapter for any person to
violate any bylaw, rule, regulation, or resolution of any contract
market or other board of trade licensed or designated by the Commission
fixing limits on the amount of trading which may be done or positions
which may be held by any person under contracts of sale of any commodity
for future delivery or under options on such contracts or commodities,
if such bylaw, rule, regulation, or resolution has been approved by the
Commission: Provided, That the provisions of section 13(c) /1/ of this
title shall apply only to those who knowingly violate such limits.
(Sept. 21, 1922, ch. 369, 4a, as added June 15, 1936, ch. 545, 5,
49 Stat. 1492; amended July 24, 1956, ch. 690, 1, 70 Stat. 630; Feb.
19, 1968, Pub. L. 90-258, 2-4, 82 Stat. 26, 27; Oct. 23, 1974, Pub.
L. 93-463, title IV, 403, 404, 88 Stat. 1413; Apr. 16, 1975, Pub. L.
94-16, 4, 89 Stat. 78; Jan. 11, 1983, Pub. L. 97-444, title II, 205,
96 Stat. 2299; Oct. 28, 1992, Pub. L. 102-546, title IV, 402(1)(A),
(2), 106 Stat. 3624.)
Section 13(c) of this title, referred to in subsec. (e), was struck
out and subsec. (d) of section 13 was redesignated (c) by Pub. L.
102-546, title II, 212(a)(1)(A), (B), Oct. 28, 1992, 106 Stat. 3608.
1992 -- Subsec. (a). Pub. L. 102-546, 402(1)(A), (2)(A), (C),
redesignated par. (1) as subsec. (a), substituted ''Commission'' for
''commission'' wherever appearing except in last sentence, and
substituted ''paragraphs (1) and (2) of subsection (b) of this section''
for ''subparagraphs (A) and (B) of paragraph (2)''.
Subsec. (b). Pub. L. 102-546, 402(1)(A), (2)(C), (D), redesignated
par. (2) as subsec. (b) and subpars. (A) and (B) as pars. (1) and
(2), respectively, and substituted ''Commission'' for ''commission''
wherever appearing.
Subsec. (c). Pub. L. 102-546, 402(2)(B), (C), redesignated par. (3)
as subsec. (c) and substituted ''subsection (a)'' for ''paragraph
(1)''.
Subsecs. (d), (e). Pub. L. 102-546, 402(2)(C), redesignated pars.
(4) and (5) as subsecs. (d) and (e), respectively.
1983 -- Par. (1). Pub. L. 97-444, 205(1), (2), substituted ''by
rule, regulation, or order, proclaim'' for ''by order, proclaim'' and
inserted ''or for different number of days remaining until the last day
of trading in a contract,'' after ''delivery months''.
Par. (2). Pub. L. 97-444, 205(1), (3), substituted ''after the
promulgation of the rule, regulation, or order'' for ''after the order's
promulgation'' in provisions before subpar. (A) and substituted ''rule,
regulation, or order'' for ''order'' in provisions before subpar. (A)
and in subpars. (A) and (B).
Par. (3). Pub. L. 97-444, 205(4), substituted ''No rule, regulation,
or order issued under paragraph (1) of this section shall apply to
transactions or positions which are shown to be bona fide hedging
transactions or positions as such terms shall be defined by the
Commission by rule, regulation, or order consistent with the purposes of
this chapter'' for ''No order issued under paragraph (1) of this section
shall apply to transactions or positions which are shown to be bona fide
hedging transactions or positions as such terms shall be defined by the
Commission within one hundred and eighty days after the effective date
of the Commodity Futures Trading Commission Act of 1974 by order
consistent with the purposes of this chapter'' and inserted ''Such terms
may be defined to permit producers, purchasers, sellers, middlemen, and
users of a commodity or a product derived therefrom to hedge their
legitimate anticipated business needs for that period of time into the
future for which an appropriate futures contract is open and available
on an exchange. To determine the adequacy of this chapter and the
powers of the Commission acting thereunder to prevent unwarranted price
pressures by large hedgers, the Commission shall monitor and analyze the
trading activities of the largest hedgers, as determined by the
Commission, operating in the cattle, hog, or pork belly markets and
shall report its findings and recommendations to the Senate Committee on
Agriculture, Nutrition, and Forestry and the House Committee on
Agriculture in its annual reports for at least two years following
January 11, 1983.''
Par. (4). Pub. L. 97-444, 205(5), substituted ''a futures commission
merchant, an introducing broker, or a floor broker'' for ''a futures
commission merchant or as floor broker''.
Par. (5). Pub. L. 97-444, 205(6), added par. (5).
1975 -- Par. (3). Pub. L. 94-16 substituted ''one hundred and eighty
days'' for ''ninety days''.
1974 -- Par. (1). Pub. L. 93-463, 403, inserted ''or 'arbitrage'''
after ''or 'straddles''', inserted definition of ''arbitrage'', and
authorized Commission to define ''international arbitrage''.
Par. (3). Pub. L. 93-463, 404, directed Commission to define ''bona
fide hedging transactions or positions'' within 90 days after the
effective date of the Commodity Futures Trading Commission Act of 1974
and struck out provisions which enumerated the factors to be taken into
account in determining whether a hedging transaction or position was a
bona fide transaction or position.
1968 -- Par. (1). Pub. L. 90-258, 2, substituted in second sentence
''amounts of trading'' for ''amount of trading'', inserted ''which may
be done or positions which may be held by any person'' before ''under
contracts of sale'', and struck out ''which may be done'' after ''rules
of any contract market'', inserted third sentence providing for
inclusion of controlled positions and trading in determining whether
prescribed position or trading limits have been exceeded and for
application of such position and trading limits to activities of two or
more persons acting pursuant to agreement or understanding as if the
activities of a single person, and included in fourth, formerly third,
sentence references to position limits and to positions, substituted
''normally'' for ''commonly'', and struck out ''trading'' from ''from
fixing trading limits'' and ''from trading limits''.
Par. (2)(B). Pub. L. 90-258, 3, substituted prohibition against
holding of net long or net short positions in excess of any position
limit fixed by the Commission for former prohibition of purchases or
sales which result in net long or net short positions in excess of
trading limits fixed by the Commission and provided that the position
limit shall not apply to a position acquired in good faith prior to the
effective date of the order.
Par. (3). Pub. L. 90-258, 4, included references to positions, made
hedging applicable to short and long positions, substituted ''contract
market'' for ''board of trade'', and required the activities to be those
of the same person to constitute hedging.
1956 -- Par. (3)(C). Act July 24, 1956, added subpar. (C).
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Section 404 of Pub. L. 93-463 provided that the amendment of par.
(3) which struck out provisions that enumerated the factors to be taken
into account in determining whether a hedging transaction or position
was a bona fide transaction or position, was effective immediately upon
the enactment of Pub. L. 93-463, which was approved Oct. 23, 1974.
Amendment by Pub. L. 93-463 of par. (1) and that part of par. (3)
directing the Commission to define ''bona fide hedging transactions or
positions'' effective so as to allow implementation of all changes
effected by this amendment to be carried out after Oct. 23, 1974, and
before as well as after the 180th day thereafter, see section 418 of
Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
Section 2 of act July 24, 1956, provided that: ''This Act (amending
this section) shall take effect sixty days after the date of its
enactment (July 24, 1956).''
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Section 404 of Pub. L. 93-463 provided in part: ''That
notwithstanding any other provision of law, the Secretary of
Agriculture, immediately upon the enactment of the Commodity Futures
Trading Commission Act of 1974 (which was approved on Oct. 23, 1974), is
authorized and directed to promulgate regulations defining bona fide
hedging transactions and positions: And provided further, That until
the Secretary issues such regulations defining bona fide hedging
transactions and positions and such regulations are in full force and
effect, such terms shall continue to be defined as set forth in the
Commodity Exchange Act (par. (3) of this section) prior to its amendment
by the Commodity Futures Trading Commission Act of 1974 (Pub. L.
93-463).''
Power of Congress to regulate interstate commerce, see Const. Art.
1, 8, cl. 3.
Punishment for violating the provisions of this section, see section
13 of this title.
/1/ See References in Text note below.
07 USC 6b. Fraud, false reporting, or deception prohibited
TITLE 7 -- AGRICULTURE
(a) Contracts designed to defraud or mislead; bucketing orders
It shall be unlawful (1) for any member of a contract market, or for
any correspondent, agent, or employee of any member, in or in connection
with any order to make, or the making of, any contract of sale of any
commodity in interstate commerce, made, or to be made, on or subject to
the rules of any contract market, for or on behalf of any other person,
or (2) for any person, in or in connection with any order to make, or
the making of, any contract of sale of any commodity for future delivery
made, or to be made, for or on behalf of any other person if such
contract for future delivery is or may be used for (A) hedging any
transaction in interstate commerce in such commodity or the products or
byproducts thereof, or (B) determining the price basis of any
transaction in interstate commerce in such commodity, or (C) delivering
any such commodity sold, shipped, or received in interstate commerce for
the fulfillment thereof --
(i) to cheat or defraud or attempt to cheat or defraud such other
person;
(ii) willfully to make or cause to be made to such other person any
false report or statement thereof, or willfully to enter or cause to be
entered for such person any false record thereof;
(iii) willfully to deceive or attempt to deceive such other person by
any means whatsoever in regard to any such order or contract or the
disposition or execution of any such order or contract, or in regard to
any act of agency performed with respect to such order or contract for
such person; or
(iv) to bucket such order, or to fill such order by offset against
the order or orders of any other person, or willfully and knowingly and
without the prior consent of such person to become the buyer in respect
to any selling order of such person, or become the seller in respect to
any buying order of such person.
(b) Buying and selling orders for commodity
Nothing in this section or in any other section of this chapter shall
be construed to prevent a futures commission merchant or floor broker
who shall have in hand, simultaneously, buying and selling orders at the
market for different principals for a like quantity of a commodity for
future delivery in the same month executing such buying and selling
orders at the market price: Provided, That any such execution shall
take place on the floor of the exchange where such orders are to be
executed at public outcry across the ring and shall be duly reported,
recorded, and cleared in the same manner as other orders executed on
such exchange: And provided further, That such transactions shall be
made in accordance with such rules and regulations as the Commission may
promulgate regarding the manner of the execution of such transactions.
(c) Inapplicability to transactions on foreign exchanges
Nothing in this section shall apply to any activity that occurs on a
board of trade, exchange, or market, or clearinghouse for such board of
trade, exchange, or market, located outside the United States, or
territories or possessions of the United States, involving any contract
of sale of a commodity for future delivery that is made, or to be made,
on or subject to the rules of such board of trade, exchange, or market.
(Sept. 21, 1922, ch. 369, 4b, as added June 15, 1936, ch. 545, 5,
49 Stat. 1493; amended Feb. 19, 1968, Pub. L. 90-258, 5, 82 Stat. 27;
Oct. 23, 1974, Pub. L. 93-463, title IV, 405, 88 Stat. 1413; Nov. 10,
1986, Pub. L. 99-641, title I, 101, 100 Stat. 3557; Oct. 28, 1992,
Pub. L. 102-546, title IV, 402(3), 106 Stat. 3624.)
1992 -- Pub. L. 102-546 designated first par. as subsec. (a),
redesignated cls. (a) to (c) as subpars. (A) to (C), respectively, and
subpars. (A) to (D) as cls. (i) to (iv), respectively, and designated
second and third undesignated pars. as subsecs. (b) and (c),
respectively.
1986 -- Pub. L. 99-641 struck out ''on or subject to the rules of
any contract market,'' after ''to be made'' in cl. (2) of first par.
and added concluding paragraph that this section not apply to activity
on board of trade, exchange, market, or clearinghouse located outside
United States involving contract of sale of commodity for future
delivery.
1974 -- Pub. L. 93-463 substituted ''a commodity'' for ''cotton'' in
provisions following subpar. (D) and inserted requirement that
execution of buying and selling orders for commodities held
simultaneously by the same merchant or broker be carried out in
accordance with such rules and regulations as the Commission may
promulgate regarding the manner of the execution of such transactions.
1968 -- Pub. L. 90-258 relocated cl. (1) designation in first par.
to follow ''unlawful'' rather than to precede ''any contract of sale'',
provided in such cl. (1) for orders to make or making of contracts of
sale ''made, or to be made on or subject to the rules of any contract
market, for or on behalf of any other person'' and in cl. (2) ''for any
person, in or in connection with any order to make, or the making of,''
any contract of sale of any commodity for future delivery for or on
behalf of any ''other'' person; and inserted ''other'' before
''person'' in subpar. (A) and in subpars. (B) and (C) where appearing
for first time, respectively.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Construction of section not to impair any State law applicable to any
transaction enumerated or described in this section, see section 6c of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6c. Prohibited transactions
TITLE 7 -- AGRICULTURE
(a) Meretricious transactions
It shall be unlawful for any person to offer to enter into, enter
into, or confirm the execution of, any transaction involving any
commodity, which is or may be used for (1) hedging any transaction in
interstate commerce in such commodity or the products or byproducts
thereof, or (2) determining the price basis of any such transaction in
interstate commerce in such commodity, or (3) delivering any such
commodity sold, shipped, or received in interstate commerce for the
fulfillment thereof --
(A) if such transaction is, is of the character of, or is commonly
known to the trade as, a ''wash sale,'' ''cross trade,'' or
''accommodation trade,'' or is a fictitious sale; or
(B) if such transaction is used to cause any price to be reported,
registered, or recorded which is not a true and bona fide price.
Nothing in this section shall be construed to prevent the exchange of
futures in connection with cash commodity transactions or of futures for
cash commodities, or of transfer trades or office trades if made in
accordance with board of trade rules applying to such transactions and
such rules shall have been approved by the Commission.
(b) Regulated option trading
No person shall offer to enter into, enter into or confirm the
execution of, any transaction involving any commodity regulated under
this chapter which is of the character of, or is commonly known to the
trade as, an ''option'', ''privilege'', ''indemnity'', ''bid'',
''offer'', ''put'', ''call'', ''advance guaranty'', or ''decline
guaranty'', contrary to any rule, regulation, or order of the Commission
prohibiting any such transaction or allowing any such transaction under
such terms and conditions as the Commission shall prescribe. Any such
order, rule, or regulation may be made only after notice and opportunity
for hearing, and the Commission may set different terms and conditions
for different markets.
(c) Regulations for elimination of pilot status of commodity option
transactions; terms and conditions of options trading
Not later than 90 days after November 10, 1986, the Commission shall
issue regulations --
(1) to eliminate the pilot status of its program for commodity option
transactions involving the trading of options on contract markets,
including any numerical restrictions on the number of commodities or
option contracts for which a contract market may be designated; and
(2) otherwise to continue to permit the trading of such commodity
options under such terms and conditions that the Commission from time to
time may prescribe.
(d) Dealer options exempt from subsections (b) and (c) prohibitions;
requirements
Notwithstanding the provisions of subsection (c) of this section --
(1) any person domiciled in the United States who on May 1, 1978, was
in the business of granting an option on a physical commodity, other
than a commodity specifically set forth in section 2 of this title prior
to October 23, 1974, and was in the business of buying, selling,
producing, or otherwise using that commodity, may continue to grant or
issue options on that commodity in accordance with Commission
regulations in effect on August 17, 1978, until thirty days after the
effective date of regulations issued by the Commission under clause (2)
of this subsection: Provided, That if such person files an application
for registration under the regulations issued under clause (2) of this
subsection within thirty days after the effective date of such
regulations, that person may continue to grant or issue options pending
a final determination by the Commission on the application; and
(2) the Commission shall issue regulations that permit grantors and
futures commission merchants to offer to enter into, enter into, or
confirm the execution of, any commodity option transaction on a physical
commodity subject to the provisions of subsection (b) of this section,
other than a commodity specifically set forth in section 2 of this title
prior to October 23, 1974, if --
(A) the grantor is a person domiciled in the United States who --
(i) is in the business of buying, selling, producing, or otherwise
using the underlying commodity;
(ii) at all times has a net worth of at least $5,000,000 certified
annually by an independent public accountant using generally accepted
accounting principles;
(iii) notifies the Commission and every futures commission merchant
offering the grantor's option if the grantor knows or has reason to
believe that the grantor's net worth has fallen below $5,000,000;
(iv) segregates daily, exclusively for the benefit of purchasers,
money, exempted securities (within the meaning of section 78c(a)(12) of
title 15), commercial paper, bankers' acceptances, commercial bills, or
unencumbered warehouse receipts, equal to an amount by which the value
of each transaction exceeds the amount received or to be received by the
grantor for such transaction;
(v) provides an identification number for each transaction; and
(vi) provides confirmation of all orders for such transactions
executed, including the execution price and a transaction identification
number;
(B) the futures commission merchant is a person who --
(i) has evidence that the grantor meets the requirements specified in
subclause (A) of this clause;
(ii) treats and deals with all money, securities, or property
received from its customers as payment of the purchase price in
connection with such transactions, as belonging to such customers until
the expiration of the term of the option, or, if the customer exercises
the option, until all rights of the customer under the commodity option
transaction have been fulfilled;
(iii) records each transaction in its customer's name by the
transaction identification number provided by the grantor;
(iv) provides a disclosure statement to its customers, under
regulations of the Commission, that discloses, among other things, all
costs, including any markups or commissions involved in such
transaction; and
(C) the grantor and futures commission merchant comply with any
additional uniform and reasonable terms and conditions the Commission
may prescribe, including registration with the Commission.
The Commission may permit persons not domiciled in the United States
to grant options under this subsection, other than options on a
commodity specifically set forth in section 2 of this title prior to
October 23, 1974, under such additional rules, regulations, and orders
as the Commission may adopt to provide protection to purchasers that are
substantially the equivalent of those applicable to grantors domiciled
in the United States. The Commission may terminate the right of any
person to grant, offer, or sell options under this subsection only after
a hearing, including a finding that the continuation of such right is
contrary to the public interest: Provided, That pending the completion
of such termination proceedings, the Commission may suspend the right to
grant, offer, or sell options of any person whose activities in the
Commission's judgment present a substantial risk to the public interest.
(e) Rules and regulations
The Commission may adopt rules and regulations, after public notice
and opportunity for a hearing on the record, prohibiting the granting,
issuance, or sale of options permitted under subsection (d) of this
section if the Commission determines that such options are contrary to
the public interest.
(f) Nonapplicability to foreign currency options
Nothing in this chapter shall be deemed to govern or in any way be
applicable to any transaction in an option on foreign currency traded on
a national securities exchange.
(g) Oral orders
The Commission shall adopt rules requiring that a contemporaneous
written record be made, as practicable, of all orders for execution on
the floor or subject to the rules of each contract market placed by a
member of the contract market who is present on the floor at the time
such order is placed.
(Sept. 21, 1922, ch. 369, 4c, as added June 15, 1936, ch. 545, 5,
49 Stat. 1494; amended Oct. 23, 1974, Pub. L. 93-463, title I, 103(a),
title IV, 402, 88 Stat. 1392, 1412; Sept. 30, 1978, Pub. L. 95-405,
3, 92 Stat. 867; Jan. 11, 1983, Pub. L. 97-444, title I, 102, title
II, 206, 96 Stat. 2296, 2301; Nov. 10, 1986, Pub. L. 99-641, title I,
102, 100 Stat. 3557; Oct. 28, 1992, Pub. L. 102-546, title II,
203(a), title IV, 402(4), 106 Stat. 3600, 3624.)
1992 -- Subsec. (d)(2). Pub. L. 102-546, 402(4), made technical
amendments to references to section 78c(a)(12) of title 15 in subpar.
(A)(iv) and to section 2 of this title in concluding provisions.
Subsec. (g). Pub. L. 102-546, 203(a), added subsec. (g).
1986 -- Subsec. (c). Pub. L. 99-641, amended subsec. (c) generally,
substituting provisions relating to regulations to eliminate pilot
status of program for commodity option transactions for provisions
relating to commodity option transactions, pilot program and permanent
authorization, conditions ending prohibition, and excepted persons.
1983 -- Subsec. (a)(B), (C). Pub. L. 97-444, 206(1), redesignated
par. (C) as (B). Former par. (B), relating to transactions involving
any commodity specifically set forth in section 2 of this title, prior
to October 23, 1974, if such transactions were of the character of, or
were commonly known to the trade as, an ''option'', ''privilege'',
''indemnity'', ''bid'', ''offer'', ''put'', ''call'', ''advance
guaranty'', or ''decline guaranty'', was struck out.
Subsec. (b). Pub. L. 97-444, 206(2), in revising section generally,
struck out references to any transaction subject to provisions of
subsection (a) of this section and to any commodity not specifically set
forth in section 2 of this title, prior to October 23, 1974, and struck
out ''within one year after the effective date of the Commodity Futures
Trading Commission Act of 1974 unless the Commission determines and
notifies the Senate Committee on Agriculture, Nutrition, and Forestry
and the House Committee on Agriculture that it is unable to prescribe
such terms and conditions within such period of time:'' after ''such
terms and conditions as the Commission shall prescribe''.
Subsec. (c). Pub. L. 97-444, 206(3), inserted ''With respect to any
commodity regulated under this chapter and specifically set forth in
section 2 of this title prior to October 23, 1974, the Commission may,
pursuant to the procedures set forth in this subsection, establish a
pilot program for a period not to exceed three years to permit such
commodity option transactions. The Commission may authorize commodity
option transactions during the pilot program in as many commodities as
will provide an adequate test of the trading of such option
transactions. After completion of the pilot program, the Commission may
authorize commodity option transactions without regard to the
restrictions in the pilot program after the Commission transmits to the
House Committee on Agriculture and the Senate Committee on Agriculture,
Nutrition, and Forestry the documentation required under clause (1) of
the first sentence of this subsection and the expiration of thirty
calendar days of continuous session of Congress after the date of such
transmittal.''
Subsec. (d)(1). Pub. L. 97-444, 206(4)(A), inserted '', other than a
commodity specifically set forth in section 2 of this title prior to
October 23, 1974,'' after ''physical commodity''.
Subsec. (d)(2). Pub. L. 97-444, 206(4)(B), inserted '', other than a
commodity specifically set forth in section 2 of this title prior to
October 23, 1974,'' after ''subsection (b) of this section'' in
provisions preceding subpar. (A).
Pub. L. 97-444, 206(4)(C), inserted '', other than options on a
commodity specifically set forth in section 2 of this title prior to
October 23, 1974,'' after ''The Commission may permit persons not
domiciled in the United States to grant options under this subsection''
in provisions following par. (2).
Subsec. (f). Pub. L. 97-444, 102, added subsec. (f).
1978 -- Subsec. (a). Pub. L. 95-405, 3(1), in provisions following
par. (C) substituted ''have been approved'' for ''not have been
disapproved''.
Subsec. (b). Pub. L. 95-405, 3(2), substituted ''Senate Committee on
Agriculture, Nutrition, and Forestry'' for ''Senate Committee on
Agriculture and Forestry''.
Subsecs. (c) to (e). Pub. L. 95-405, 3(3), added subsecs. (c) to
(e).
1974 -- Subsec. (a). Pub. L. 93-463, 103(a), 402(a), (b), (d),
designated existing provisions as subsec. (a), in par. (B) of subsec.
(a) as so designated inserted ''if such transaction involves any
commodity specifically set forth in section 2 of this title, prior to
the enactment of the Commodity Futures Trading Commission Act of 1974,
and'' and ''option'', and in provisions following par. (C), struck out
provisions prohibiting a construction of this section or section 6b of
this title which would impair any State law applicable to any
transaction enumerated or described in this section or section 6b of
this title and substituted ''Commission'' for ''Secretary of
Agriculture''.
Subsec. (b). Pub. L. 93-463, 402(c), added subsec. (b).
Section 203(b) of Pub. L. 102-546 provided that: ''The Commission
shall adopt the rules required by the amendment made under subsection
(a) (amending this section) within two hundred and seventy days after
the date of enactment of this Act (Oct. 28, 1992).''
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6d. Dealing by unregistered futures commission merchants or
introducing brokers prohibited; duties of merchants regarding monies
and securities of customers
TITLE 7 -- AGRICULTURE
It shall be unlawful for any person to engage as futures commission
merchant or introducing broker in soliciting orders or accepting orders
for the purchase or sale of any commodity for future delivery, or
involving any contracts of sale of any commodity for future delivery, on
or subject to the rules of any contract market unless --
(1) such person shall have registered, under this chapter, with the
Commission as such futures commission merchant or introducing broker and
such registration shall not have expired nor been suspended nor revoked;
and
(2) such person shall, if a futures commission merchant, whether a
member or nonmember of a contract market, treat and deal with all money,
securities, and property received by such person to margin, guarantee,
or secure the trades or contracts of any customer of such person, or
accruing to such customer as the result of such trades or contracts, as
belonging to such customer. Such money, securities, and property shall
be separately accounted for and shall not be commingled with the funds
of such commission merchant or be used to margin or guarantee the trades
or contracts, or to secure or extend the credit, of any customer or
person other than the one for whom the same are held: Provided,
however, That such money, securities, and property of the customers of
such futures commission merchant may, for convenience, be commingled and
deposited in the same account or accounts with any bank or trust company
or with the clearing house organization of such contract market, and
that such share thereof as in the normal course of business shall be
necessary to margin, guarantee, secure, transfer, adjust, or settle the
contracts or trades of such customers, or resulting market positions,
with the clearinghouse organization of such contract market or with any
member of such contract market, may be withdrawn and applied to such
purposes, including the payment of commissions, brokerage, interest,
taxes, storage, and other charges, lawfully accruing in connection with
such contracts and trades: Provided further, That in accordance with
such terms and conditions as the Commission may prescribe by rule,
regulation, or order, such money, securities, and property of the
customers of such futures commission merchant may be commingled and
deposited as provided in this section with any other money, securities,
and property received by such futures commission merchant and required
by the Commission to be separately accounted for and treated and dealt
with as belonging to the customers of such futures commission merchant:
Provided further, That such money may be invested in obligations of the
United States, in general obligations of any State or of any political
subdivision thereof, and in obligations fully guaranteed as to principal
and interest by the United States, such investments to be made in
accordance with such rules and regulations and subject to such
conditions as the Commission may prescribe.
It shall be unlawful for any person, including but not limited to any
clearing agency of a contract market and any depository, that has
received any money, securities, or property for deposit in a separate
account as provided in paragraph (2) of this section, to hold, dispose
of, or use any such money, securities, or property as belonging to the
depositing futures commission merchant or any person other than the
customers of such futures commission merchant.
(Sept. 21, 1922, ch. 369, 4d, as added June 15, 1936, ch. 545, 5,
49 Stat. 1494; amended Feb. 19, 1968, Pub. L. 90-258, 6, 82 Stat. 27;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), 88 Stat. 1392; Sept.
30, 1978, Pub. L. 95-405, 4, 92 Stat. 869; Jan. 11, 1983, Pub. L.
97-444, title II, 207, 96 Stat. 2302.)
1983 -- Pub. L. 97-444, 207(1), inserted reference to introducing
brokers in provisions preceding par. (1).
Par. (1). Pub. L. 97-444, 207(2), inserted ''or introducing broker''
after ''futures commission merchant''.
Par. (2). Pub. L. 97-444, 207(3), inserted ''if a futures commission
merchant,'' after ''such person shall,''.
1978 -- Pub. L. 95-405 in par. (2) inserted provisions authorizing
Commission to prescribe terms and conditions under which funds and
property commingled and deposited as permitted by par. (2) may be
commingled and deposited with other funds and property received by a
futures commission merchant and required by Commission to be separately
accounted for and treated as belonging to its customers.
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture'' in pars. (1) and (2).
1968 -- Pub. L. 90-258 struck out from second proviso of first par.
authorization for investment of customer funds in investment securities
of the kind national banking associations may buy or in loans secured by
negotiable warehouse receipts conveying or securing title to readily
marketable commodities to the extent of the current loan value of such
receipts and added second par, making it unlawful for any person,
including a clearing agency of a contract market or any depository, to
treat customer funds as belonging to any person other than the customer,
respectively.
Amendment by Pub. L. 97-444 effective 120 days after Jan. 11, 1983,
or such earlier date as the Commission shall prescribe by regulation,
see section 239 of Pub. L. 97-444, set out as a note under section 2 of
this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6e. Dealings by unregistered floor trader or broker prohibited
TITLE 7 -- AGRICULTURE
It shall be unlawful for any person to act as floor trader in
executing purchases and sales, or as floor broker in executing any
orders for the purchase or sale, of any commodity for future delivery,
or involving any contracts of sale of any commodity for future delivery,
on or subject to the rules of any contract market unless such person
shall have registered, under this chapter, with the Commission as such
floor trader or floor broker and such registration shall not have
expired nor been suspended nor revoked.
(Sept. 21, 1922, ch. 369, 4e, as added June 15, 1936, ch. 545, 5,
49 Stat. 1495; amended Oct. 23, 1974, Pub. L. 93-463, title I, 103(a),
88 Stat. 1392; Oct. 28, 1992, Pub. L. 102-546, title II, 207(a), 106
Stat. 3604.)
1992 -- Pub. L. 102-546 amended section generally. Prior to
amendment, section read as follows: ''It shall be unlawful for any
person to act as floor broker in executing any orders for the purchase
or sale of any commodity for future delivery, or involving any contracts
of sale of any commodity for future delivery, on or subject to the rules
of any contract market unless such person shall have registered, under
this chapter, with the Commission as such floor broker and such
registration shall not have expired nor been suspended nor revoked.''
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture''.
Section 207(c) of Pub. L. 102-546 provided that: ''The amendments
made by this section (amending this section and sections 6f, 6g, 12a,
and 13a-2 of this title) shall become effective one hundred and eighty
days after the date of enactment of this Act (Oct. 28, 1992), and the
Commodity Futures Trading Commission shall issue any regulations
necessary to implement the amendments made by this section no later than
one hundred and eighty days after the date of enactment of this Act.''
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6f. Registration and financial requirements; risk assessment
TITLE 7 -- AGRICULTURE
(a) Registration of futures commission merchants, introducing
brokers, and floor brokers and traders
Any person desiring to register as a futures commission merchant,
introducing broker, floor broker, or floor trader hereunder shall be
registered upon application to the Commission. The application shall be
made in such form and manner as prescribed by the Commission, giving
such information and facts as the Commission may deem necessary
concerning the business in which the applicant is or will be engaged,
including in the case of an application of a futures commission merchant
or an introducing broker, the names and addresses of the managers of all
branch offices, and the names of such officers and partners, if a
partnership, and of such officers, directors, and stockholders, if a
corporation, as the Commission may direct. Such person, when registered
hereunder, shall likewise continue to report and furnish to the
Commission the above-mentioned information and such other information
pertaining to such person's business as the Commission may require.
Each registration shall expire on December 31 of the year for which
issued or at such other time, not less than one year from the date of
issuance, as the Commission may by rule, regulation, or order prescribe,
and shall be renewed upon application therefor unless the registration
has been suspended (and the period of such suspension has not expired)
or revoked pursuant to the provisions of this chapter.
(b) Financial requirements for futures commission merchants and
introducing brokers
Notwithstanding any other provisions of this chapter, no person
desiring to register as futures commission merchant or as introducing
broker shall be so registered unless he meets such minimum financial
requirements as the Commission may by regulation prescribe as necessary
to insure his meeting his obligation as a registrant, and each person so
registered shall at all times continue to meet such prescribed minimum
financial requirements: Provided, That such minimum financial
requirements will be considered met if the applicant for registration or
registrant is a member of a contract market and conforms to minimum
financial standards and related reporting requirements set by such
contract market in its bylaws, rules, regulations, or resolutions and
approved by the Commission as adequate to effectuate the purposes of
this subsection.
(c) Risk assessment for holding company systems
(1) As used in this subsection:
(i) The term ''affiliated person'' means any person directly or
indirectly controlling, controlled by, or under common control with a
futures commission merchant, as the Commission, by rule or regulation,
may determine will effectuate the purposes of this subsection.
(ii) The term ''Federal banking agency'' shall have the same meaning
as the term ''appropriate Federal banking agency'' in section 1813(q) of
title 12.
(2)(A) Each registered futures commission merchant shall obtain such
information and make and keep such records as the Commission, by rule or
regulation, prescribes concerning the registered futures commission
merchant's policies, procedures, or systems for monitoring and
controlling financial and operational risks to it resulting from the
activities of any of its affiliated persons, other than a natural
person.
(B) The records required under subparagraph (A) shall describe, in
the aggregate, each of the futures and other financial activities
conducted by, and the customary sources of capital and funding of, those
of its affiliated persons whose business activities are reasonably
likely to have a material impact on the financial or operational
condition of the futures commission merchant, including its adjusted net
capital, its liquidity, or its ability to conduct or finance its
operations.
(C) The Commission, by rule or regulation, may require summary
reports of such information to be filed by the futures commission
merchant with the Commission no more frequently than quarterly.
(3)(A), /1/ If, as a result of adverse market conditions or based on
reports provided to the Commission pursuant to paragraph (2) or other
available information, the Commission reasonably concludes that the
Commission has concerns regarding the financial or operational condition
of any registered futures commission merchant, the Commission may
require the futures commission merchant to make reports concerning the
futures and other financial activities of any of such person's
affiliated persons, other than a natural person, whose business
activities are reasonably likely to have a material impact on the
financial or operational condition of the futures commission merchant.
(B) The Commission, in requiring reports pursuant to this paragraph,
shall specify the information required, the period for which it is
required, the time and date on which the information must be furnished,
and whether the information is to be furnished directly to the
Commission or to a contract market or other self-regulatory organization
with primary responsibility for examining the registered futures
commission merchant's financial and operational condition.
(4)(A) in /2/ developing and implementing reporting requirements
pursuant to paragraph (2) with respect to affiliated persons subject to
examination by or reporting requirements of a Federal banking agency,
the Commission shall consult with and consider the views of each such
Federal banking agency. If a Federal banking agency comments in writing
on a proposed rule of the Commission under this subsection that has been
published for comment, the Commission shall respond in writing to the
written comment before adopting the proposed rule. The Commission
shall, at the request of the Federal banking agency, publish the comment
and response in the Federal Register at the time of publishing the
adopted rule.
(B)(i) Except as provided in clause (ii), a registered futures
commission merchant shall be considered to have compiled /3/ with a
recordkeeping or reporting requirement adopted pursuant to paragraph (2)
concerning an affiliated person that is subject to examination by, or
reporting requirements of, a Federal banking agency if the futures
commission merchant utilizes for the recordkeeping or reporting
requirement copies of reports filed by the affiliated person with the
Federal banking agency pursuant to section 161 of title 12, section 9 of
the Federal Reserve Act (12 U.S.C. 321 et seq.), section 1817(a) of
title 12, section 1467a(b) of title 12, or section 1844 of title 12.
(ii) The Commission may, by rule adopted pursuant to paragraph (2),
require any futures commission merchant filing the reports with the
Commission to obtain, maintain, or report supplemental information if
the Commission makes an explicit finding that the supplemental
information is necessary to inform the Commission regarding potential
risks to the futures commission merchant. Prior to requiring any such
supplemental information, the Commission shall first request the Federal
banking agency to expand its reporting requirements to include the
information.
(5) Prior to making a request pursuant to paragraph (3) for
information with respect to an affiliated person that is subject to
examination by or reporting requirements of a Federal banking agency,
the Commission shall --
(A) notify the agency of the information required with respect to the
affiliated person; and
(B) consult with the agency to determine whether the information
required is available from the agency and for other purposes, unless the
Commission determines that any delay resulting from the consultation
would be inconsistent with ensuring the financial and operational
condition of the futures commission merchant or the stability or
integrity of the futures markets.
(6) Nothing in this subsection shall be construed to permit the
Commission to require any futures commission merchant to obtain,
maintain, or furnish any examination report of any Federal banking
agency or any supervisory recommendations or analysis contained in the
report.
(7) No information provided to or obtained by the Commission from any
Federal banking agency pursuant to a request under paragraph (5)
regarding any affiliated person that is subject to examination by or
reporting requirements of a Federal banking agency may be disclosed to
any other person (other than as provided in section 12 of this title or
section 12a(6) of this title), without the prior written approval of the
Federal banking agency.
(8) The Commission shall notify a Federal banking agency of any
concerns of the Commission regarding significant financial or
operational risks resulting from the activities of any futures
commission merchant to any affiliated person thereof that is subject to
examination by or reporting requirements of the Federal banking agency.
(9) The Commission, by rule, regulation, or order, may exempt any
person or class of persons under such terms and conditions and for such
periods as the Commission shall provide in the rule, regulation, or
order, from this subsection and the rules and regulations issued under
this subsection. In granting the exemption, the Commission shall
consider, among other factors --
(A) whether information of the type required under this subsection is
available from a supervisory agency (as defined in section 3401(7) of
title 12), a State insurance commission or similar State agency, the
Securities and Exchange Commission, or a similar foreign regulator;
(B) the primary business of any affiliated person;
(C) the nature and extent of domestic or foreign regulation of the
affiliated person's activities;
(D) the nature and extent of the registered futures commission
merchant's commodity futures and options activities; and
(E) with respect to the registered futures commission merchant and
its affiliated persons, on a consolidated basis, the amount and
proportion of assets devoted to, and revenues derived from activities in
the United States futures markets.
(10) Information required to be provided pursuant to this subsection
shall be subject to section 12 of this title. Except as specifically
provided in section 12 of this title and notwithstanding any other
provision of law, the Commission shall not be compelled to disclose any
information required to be reported under this subsection, or any
information supplied to the Commission by any domestic or foreign
regulatory agency that relates to the financial or operational condition
of any affiliated person of a registered futures commission merchant.
(11) Nothing in paragraphs (1) through (10) shall be construed to
supersede or to limit in any way the authority or powers of the
Commission pursuant to any other provision of this chapter or
regulations issued under this chapter.
(Sept. 21, 1922, ch. 369, 4f, as added June 15, 1936, ch. 545, 5,
49 Stat. 1495; amended Feb. 19, 1968, Pub. L. 90-258, 7, 82 Stat. 28;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), 88 Stat. 1392; Sept.
30, 1978, Pub. L. 95-405, 5, 92 Stat. 869; Jan. 11, 1983, Pub. L.
97-444, title II, 208, 96 Stat. 2302; Oct. 28, 1992, Pub. L. 102-546,
title II, 207(b)(1), 229, 106 Stat. 3604, 3619.)
Section 9 of the Federal Reserve Act, referred to in subsec.
(c)(4)(B)(i), is section 9 of act Dec. 23, 1913, ch. 6, 38 Stat. 251,
as amended, which is classified generally to subchapter VIII ( 321 et
seq.) of chapter 3 of Title 12, Banks and Banking.
1992 -- Subsec. (a). Pub. L. 102-546, 207(b)(1), 229(1),
redesignated par. (1) as subsec. (a) and substituted ''floor broker,
or floor trader'' for ''or floor broker''.
Subsec. (b). Pub. L. 102-546, 229(1), (2), redesignated par. (2) as
subsec. (b) and substituted ''this subsection'' for ''this paragraph
(2)''.
Subsec. (c). Pub. L. 102-546, 229(3), added subsec. (c).
1983 -- Par. (1). Pub. L. 97-444, 208(1), made grammatical changes,
made registration provisions applicable to introducing brokers, and
substituted ''revoked pursuant to the provisions of this chapter'' for
''revoked after notice and hearing as prescribed in this chapter''.
Par. (2). Pub. L. 97-444, 208(2), made financial requirements
applicable to introducing brokers.
1978 -- Par. (1). Pub. L. 95-405 substituted ''Each registration
shall expire on December 31 of the year for which issued or at such
other time, not less than one year from the date of issuance, as the
Commission may by rule, regulation, or order prescribe'' for ''All
registrations shall expire on the 31st day of December of the year for
which issued''.
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture''.
1968 -- Par. (1). Pub. L. 90-258, 7(a), substituted ''this
chapter'' for ''section 6g of this title''.
Par. (2). Pub. L. 90-258, 7(b), substituted provisions that
prescribed financial requirements for registration as futures commission
merchant be met and continued at all times and that such requirements
will be considered met by membership in a contract market and compliance
with its minimum financial standards and related reporting requirements
for former provisions for display of futures commission merchants'
registration certificates.
Amendment by section 207(b)(1) of Pub. L. 102-546 effective 180 days
after Oct. 28, 1992, with Commodity Futures Trading Commission to issue
any regulations necessary to implement such amendment no later than 180
days after Oct. 28, 1992, see section 207(c) of Pub. L. 102-546, set
out as a note under section 6e of this title.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
/1/ So in original. The comma probably should not appear.
/2/ So in original. Probably should be capitalized.
/3/ So in original. Probably should be ''complied''.
07 USC 6g. Reporting and recordkeeping
TITLE 7 -- AGRICULTURE
(a) In general
Every person registered hereunder as futures commission merchant,
introducing broker, floor broker, or floor trader shall make such
reports as are required by the Commission regarding the transactions and
positions of such person, and the transactions and positions of the
customer thereof, in commodities for future delivery on any board of
trade in the United States or elsewhere; shall keep books and records
pertaining to such transactions and positions in such form and manner
and for such period as may be required by the Commission; and shall
keep such books and records open to inspection by any representative of
the Commission or the United States Department of Justice.
(b) Daily trading records: clearinghouses and contract markets
Every clearinghouse and contract market shall maintain daily trading
records. The daily trading records shall include such information as
the Commission shall prescribe by rule.
(c) Daily trading records: floor brokers, introducing brokers, and
futures commission merchants
Floor brokers, introducing brokers, and futures commission merchants
shall maintain daily trading records for each customer in such manner
and form as to be identifiable with the trades referred to in subsection
(b) of this section.
(d) Daily trading records: form and reports
Daily trading records shall be maintained in a form suitable to the
Commission for such period as may be required by the Commission.
Reports shall be made from the records maintained at such times and at
such places and in such form as the Commission may prescribe by rule,
order, or regulation in order to protect the public interest and the
interest of persons trading in commodity futures.
(e) Disclosure of information
Before the beginning of trading each day, the exchange shall, insofar
as is practicable and under terms and conditions specified by the
Commission, make public the volume of trading on each type of contract
for the previous day and such other information as the Commission deems
necessary in the public interest and prescribes by rule, order, or
regulation.
(f) Authority of Commission to make separate determinations
unimpaired
Nothing contained in this section shall be construed to prohibit the
Commission from making separate determinations for different
clearinghouses, contract markets, and exchanges when such determinations
are warranted in the judgment of the Commission.
(Sept. 21, 1922, ch. 369, 4g, as added June 15, 1936, ch. 545, 5,
49 Stat. 1496; amended Feb. 19, 1968, Pub. L. 90-258, 8, 82 Stat. 28;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (f), title IV, 415, 88
Stat. 1392, 1415; Sept. 30, 1978, Pub. L. 95-405, 6, 92 Stat. 869;
Jan. 11, 1983, Pub. L. 97-444, title II, 209, 96 Stat. 2302; Oct. 28,
1992, Pub. L. 102-546, title II, 207(b)(1), title IV, 402(5), 106
Stat. 3604, 3624.)
1992 -- Subsec. (a). Pub. L. 102-546, 207(b)(1), 402(5)(A),
redesignated par. (1) as subsec. (a) and substituted ''floor broker,
or floor trader'' for ''or floor broker''.
Subsec. (b). Pub. L. 102-546, 402(5)(A), redesignated par. (2) as
subsec. (b).
Subsec. (c). Pub. L. 102-546, 402(5), redesignated par. (3) as
subsec. (c) and substituted ''subsection (b)'' for ''paragraph (2)''.
Subsecs. (d) to (f). Pub. L. 102-546, 402(5)(A), redesignated pars.
(4) to (6) as subsecs. (d) to (f), respectively.
1983 -- Par. (1). Pub. L. 97-444, 209(1), made reporting and
recordkeeping requirements applicable to introducing brokers.
Par. (2). Pub. L. 97-444, 209(2), made customer daily trading
records requirement applicable to introducing brokers.
1978 -- Par. (3). Pub. L. 95-405 substituted ''Floor brokers'' for
''Brokers''.
1974 -- Par. (1). Pub. L. 93-463, 103(a), (f), 415, designated
existing provisions as par. (1) and substituted ''Commission'' for
''Secretary of Agriculture'' and ''United States Department of
Agriculture''.
Pars. (2) to (6). Pub. L. 93-463, 415, added pars. (2) to (6).
1968 -- Pub. L. 90-258 rephrased existing provisions to express
reporting and recordkeeping requirements as a positive obligation of
futures commission merchants and floor brokers, rather than as a ground
for revoking or suspending registration and struck out provisions for
revocation or suspension of registration. See section 9 of this title.
Amendment by section 207(b)(1) of Pub. L. 102-546 effective 180 days
after Oct. 28, 1992, with Commodity Futures Trading Commission to issue
any regulations necessary to implement such amendment no later than 180
days after Oct. 28, 1992, see section 207(c) of Pub. L. 102-546, set
out as a note under section 6e of this title.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463 see section 418 of
Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
07 USC 6h. False self-representation as contract market member
prohibited
TITLE 7 -- AGRICULTURE
It shall be unlawful for any person falsely to represent such person
to be a member of a contract market or the representative or agent of
such member, or to be a registrant under this chapter or the
representative or agent of any registrant, in soliciting or handling any
order or contract for the purchase or sale of any commodity in
interstate commerce or for future delivery, or falsely to represent in
connection with the handling of any such order or contract that the same
is to be or has been executed on, or by or through a member of, any
contract market.
(Sept. 21, 1922, ch. 369, 4h, as added June 15, 1936, ch. 545, 5,
49 Stat. 1496; amended Jan. 11, 1983, Pub. L. 97-444, title II, 210,
96 Stat. 2302.)
1983 -- Pub. L. 97-444 struck out provisions formerly designated as
par. (1) relating to conduct of offices or places of business anywhere
in the United States or its territories that were used for dealing in
commodities for future delivery unless such dealings were executed or
consummated by or through a member of a contract market, which
provisions were transferred to section 6(a) of this title, and broadened
remaining provisions, formerly designated as par. (2), to prohibit
false representations that a person is registered with the Commission in
any capacity, and not only as a futures commission merchant, as
previously provided.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6i. Reports of deals equal to or in excess of trading limits;
books and records; cash and controlled transactions
TITLE 7 -- AGRICULTURE
It shall be unlawful for any person to make any contract for the
purchase or sale of any commodity for future delivery on or subject to
the rules of any contract market --
(1) if such person shall directly or indirectly make such contracts
with respect to any commodity or any future of such commodity during any
one day in an amount equal to or in excess of such amount as shall be
fixed from time to time by the Commission, and
(2) if such person shall directly or indirectly have or obtain a long
or short position in any commodity or any future of such commodity equal
to or in excess of such amount as shall be fixed from time to time by
the Commission,
unless such person files or causes to be filed with the properly
designated officer of the Commission such reports regarding any
transactions or positions described in clauses (1) and (2) hereof as the
Commission may by rule or regulation require and unless, in accordance
with rules and regulations of the Commission, such person shall keep
books and records of all such transactions and positions and
transactions and positions in any such commodity traded on or subject to
the rules of any other board of trade, and of cash or spot transactions
in, and inventories and purchase and sale commitments of such commodity.
Such books and records shall show complete details concerning all such
transactions, positions, inventories, and commitments, including the
names and addresses of all persons having any interest therein, and
shall be open at all times to inspection by any representative of the
Commission or the Department of Justice. For the purposes of this
section, the futures and cash or spot transactions and positions of any
person shall include such transactions and positions of any persons
directly or indirectly controlled by such person.
(Sept. 21, 1922, ch. 369, 4i, as added June 15, 1936, ch. 545, 5,
49 Stat. 1496; amended Feb. 19, 1968, Pub. L. 90-258, 9, 82 Stat. 28;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (f), 88 Stat. 1392;
Jan. 11, 1983, Pub. L. 97-444, title II, 211, 96 Stat. 2303.)
1983 -- Pub. L. 97-444 amended section generally by substantially
restating provisions and inserting requirement that persons whose
transactions and positions in any cash commodity or commodity future are
equal to or in excess of amounts fixed by the Commission, must keep
books and records of such transactions and positions as well as books
and records of any such commodity traded on or subject to rules of any
other board of trade, whether or not such person is required to file
reports with the Commission concerning such transactions and positions.
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture'' and ''United States Department of Agriculture''.
1968 -- Pub. L. 90-258 required recordkeeping of positions and of
cash or spot transactions in commodities entered into, and inventories
and purchase and sale commitments of commodities held, in any month in
which reports are required to be kept, including details concerning
positions, inventories, and commitments, and included controlled
transactions and positions in the futures and cash or spot transactions
and positions of any person.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Punishment for violating the provisions of this section, see section
13 of this title.
07 USC 6j. Regulation of trades and executions
TITLE 7 -- AGRICULTURE
(a) Dual trading prohibited; exemptions
(1) The Commission shall issue regulations to prohibit the privilege
of dual trading on each contract market which has not been exempted from
such regulations under paragraph (3). The regulations issued by the
Commission under this paragraph --
(A) shall provide that the prohibition of dual trading thereunder
shall take effect not less than thirty days after the issuance of the
regulations;
(B) shall provide for exceptions, as the Commission determines
necessary and appropriate, to ensure fairness and orderly trading in
affected contract markets, including --
(i) transition measures and a reasonable phase-in period,
(ii) exceptions for spread transactions and the correction of trading
errors,
(iii) allowance for a customer to designate in writing not less than
once annually a named floor broker to execute orders for such customer,
notwithstanding the regulations to prohibit the privilege of dual
trading required under this paragraph, and
(iv) other measures reasonably designed to accommodate unique or
special characteristics of individual boards of trade or contract
markets, to address emergency or unusual market conditions, or otherwise
to further the public interest;
(C) shall establish procedures for the application for and issuance
of exemptions under paragraph (3) which, among other things, shall
specify the relevant data required to be submitted by the board of trade
with each application;
(D) shall specify the methodology by which it shall determine the
average daily trading volume on a contract market for purposes of
paragraph (4) based on a moving daily average of either six or twelve
months; and
(E) shall establish an expeditious procedure to revoke an exemption
granted under paragraph (3) providing sufficient notice, opportunity for
hearing, and findings to assure fundamental fairness.
(2) As used in this section, the term ''dual trading'' means the
execution of customer orders by a floor broker during any trading
session in which the floor broker executes any trade in the same
contract market for --
(A) the account of such floor broker;
(B) an account for which such floor broker has trading discretion;
or
(C) an account controlled by a person with whom such floor broker is
subject to trading restrictions under subsection (d) of this section.
(3) The Commission shall exempt a contract market from the
regulations issued under paragraph (1), either unconditionally or on
stated conditions (including stated periods of time) relevant to the
attainment or maintenance of compliance with the standards in
subparagraphs (A) and (B), upon finding that --
(A) the trade monitoring system in place at the contract market
satisfies the requirements of section 7a(b) of this title with regard to
violations attributable to dual trading at such contract market; or
(B)(i) there is a substantial likelihood that a dual trading
suspension would harm the public interest in hedging or price basing at
such contract market, and
(ii) other corrective actions, such as those described in section 12e
of this title, are sufficient and appropriate to bring the contract
market into compliance with the standard in subparagraph (A).
(4)(A) The regulations issued by the Commission under paragraph (1)
shall not apply to any contract market in which the Commission
determines that the average daily trading volume is less than the
threshold trading level established for the contract market under this
paragraph.
(B) The threshold trading level shall be set initially at eight
thousand contracts.
(C) The Commission may, by rule or order --
(i) increase, or
(ii) at any time following the date three years after October 28,
1992, decrease,
the threshold trading level for specific contract markets after
taking into consideration the actual or potential effects of a dual
trading ban on the public interest in hedging or price basing at the
affected contract market.
(D) The Commission shall provide the affected contract market with
adequate notice of any such increase or decrease.
(5) Before the Commission denies an application for an exemption
under paragraph (3) or exempts a contract market subject to conditions,
it shall --
(A) provide the affected board of trade with notice of the reason or
reasons that the application was not approved as submitted, including --
(i) any reason the Commission has to believe that the trade
monitoring system in place at the contract market does not satisfy the
requirements of paragraph (3)(A) and the basis for such reason;
(ii) any corrective action or actions, such as those described in
section 12e of this title, that the Commission believes the affected
contract market must take to satisfy the requirements of paragraph
(3)(A), and an acceptable timetable for such corrective action; and
(iii) any conditions or limitations that the Commission proposes to
attach to the exemption under paragraph (3);
(B) provide the affected board of trade with an opportunity for a
hearing through submission of written data, views, or arguments and,
under terms set by the Commission at the request of the board of trade,
through an oral presentation of views and comments to the Commission, in
order to make the demonstration required under paragraph (3) or
otherwise to petition the Commission with respect to its application;
and
(C) make findings, based on the information, views, and arguments
placed before it in connection with the application, as to whether --
(i) the standard in either paragraph (3)(A) or (3)(B) applies, and
(ii) any conditions or limitations which the Commission proposes to
attach under paragraph (3) are appropriate in light of the purposes of
this subsection.
The Commission shall publish in the Federal Register notice of any
exemptive petitions filed under paragraph (3) and any proposed or final
actions the Commission may take on such petitions. Unless the
Commission determines that more immediate action is appropriate in the
public interest, any Commission order denying an application or
exempting a contract market conditionally shall not take effect for at
least twenty days following the issuance of the order.
(6) Violation of an order issued under this subsection shall be
considered a violation of an order of the Commission for purposes of --
(i) establishing liability and assessing penalties against a contract
market or any director, officer, agent, or employee thereof under
section 13a or 13a-1 of this title; or
(ii) initiating proceedings under section 7b or 8(a) of this title.
(7) Any board of trade which has applied to the Commission to exempt
a contract market from the regulations issued under paragraph (1) may
obtain judicial review of any final action of the Commission to deny
such application, to issue an exemption subject to conditions, or to
revoke an exemption, only in the United States Court of Appeals for the
circuit in which the party seeking review resides or has its principal
place of business, or in the United States Court of Appeals for the
District of Columbia Circuit, under the standards applicable to
rulemaking proceedings under section 553 of title 5.
(8)(A) The Commission shall issue the regulations required under
paragraph (1) not later than two hundred and seventy days after October
28, 1992. If, prior to the effective date of the prohibition on dual
trading under such regulations, a board of trade submits to the
Commission an application for an exemption for a contract market under
paragraph (3), the Commission shall not apply the prohibition against
dual trading under paragraph (1) to the contract market until the
Commission has approved or denied the application.
(B) The Commission shall approve or deny any application for an
exemption under paragraph (3) within seventy-five days after receipt of
the application, or as soon as practicable.
(b) Trades and executions by floor brokers
If, in addition to the regulations issued pursuant to subsection (a)
of this section, the Commission has reason to believe that dual
trading-related or facilitated abuses are not being or cannot be
effectively addressed by subsection (a) of this section, the Commission
shall make a determination, after notice and opportunity for hearing,
whether or not a floor broker may trade for his own account or any
account in which such broker has trading discretion, and also execute a
customer's order for future delivery and, if the Commission determines
that such trades and such executions shall be permitted, the Commission
shall further determine the terms, conditions, and circumstances under
which such trades and such executions shall be conducted: Provided,
That any such determination shall, at a minimum, take into account the
effect upon the liquidity of trading of each market: And provided
further, That nothing herein shall be construed to prohibit the
Commission from making separate determinations for different contract
markets when such are warranted in the judgment of the Commission, or to
prohibit contract markets from setting terms and conditions more
restrictive than those set by the Commission.
(c) Trades by futures commission merchants
The Commission shall within nine months after the effective date of
the Commodity Futures Trading Commission Act of 1974, and subsequently
when it determines that changes are required, make a determination,
after notice and opportunity for hearing, whether or not a futures
commission merchant may trade for its own account or any proprietary
account, as defined by the Commission, and if the Commission determines
that such trades shall be permitted, the Commission shall further
determine the terms, conditions, and circumstances under which such
trades shall be conducted: Provided, That any such determination, at a
minimum, shall take into account the effect upon the liquidity of
trading of each market: And provided further, That nothing herein shall
be construed to prohibit the Commission from making separate
determinations for different contract markets when such are warranted in
the judgment of the Commission, or to prohibit contract markets from
setting terms and conditions more restrictive than those set by the
Commission.
(d) Restrictions on trading among members of broker associations
(1) Except as provided in paragraph (2), a floor broker may not
execute an order of a customer if such floor broker knows the opposite
party to the transaction to be a floor broker or floor trader with whom
such trader or broker has a relationship involving trading on such
contract market as --
(A) a partner in a partnership;
(B) an employer or employee; or
(C) Such /1/ other affiliation as the Commission may specify by rule.
(2) Paragraph (1) shall not apply --
(A) if the Commission has adopted rules that the Commission certifies
to Congress require procedures and standards designed to prevent
violations of this chapter attributable to the trading described in
paragraph (1); or
(B) to any contract market that has implemented rules designed to
prevent violations of this chapter attributable to the trading described
in paragraph (1), except that, if the Commission determines, by rule or
order, that such rules are not adequate to prevent such violations,
paragraph (1) shall become effective with respect to such contract
market after a reasonable period determined by the Commission.
(Sept. 21, 1922, ch. 369, 4j, as added Oct. 23, 1974, Pub. L.
93-463, title II, 203, 88 Stat. 1396; amended Apr. 16, 1975, Pub. L.
94-16, 2, 89 Stat. 77; Oct. 28, 1992, Pub. L. 102-546, title I, 101,
102(a), 106 Stat. 3591, 3594.)
For the effective date of the Commodity Futures Trading Commission
Act of 1974, referred to in subsec. (c), see section 418 of Pub. L.
93-463, set out as an Effective Date of 1974 Amendment note under
section 2 of this title.
1992 -- Subsec. (a). Pub. L. 102-546, 101(a)(3), added subsec.
(a).
Subsec. (b). Pub. L. 102-546, 101(a)(1), (2), redesignated par. (1)
as subsec. (b) and substituted ''If, in addition to the regulations
issued pursuant to subsection (a) of this section, the Commission has
reason to believe that dual trading-related or facilitated abuses are
not being or cannot be effectively addressed by subsection (a) of this
section, the Commission shall'' for ''The Commission shall within nine
months after the effective date of the Commodity Futures Trading
Commission Act of 1974, and subsequently when it determines that changes
are required,''.
Subsec. (c). Pub. L. 102-546, 101(a)(1), redesignated par. (2) as
subsec. (c).
Subsec. (d). Pub. L. 102-546, 102(a), added subsec. (d).
1975 -- Pub. L. 94-16 substituted ''nine months'' for ''six months''
in pars. (1) and (2).
Section 102(b) of Pub. L. 102-546 provided that: ''The amendment
made by subsection (a) (amending this section) shall become effective
two hundred and seventy days after the date of enactment of this Act
(Oct. 28, 1992).''
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
/1/ So in original. Probably should not be capitalized.
07 USC 6k. Registration of associates of futures commission merchants,
commodity pool operators, and commodity trading advisors; required
disclosure of disqualifications
TITLE 7 -- AGRICULTURE
(1) It shall be unlawful for any person to be associated with a
futures commission merchant as a partner, officer, or employee, or to be
associated with an introducing broker as a partner, officer, employee,
or agent (or any person occupying a similar status or performing similar
functions), in any capacity that involves (i) the solicitation or
acceptance of customers' orders (other than in a clerical capacity) or
(ii) the supervision of any person or persons so engaged, unless such
person is registered with the Commission under this chapter as an
associated person of such futures commission merchant or of such
introducing broker and such registration shall not have expired, been
suspended (and the period of suspension has not expired), or been
revoked. It shall be unlawful for a futures commission merchant or
introducing broker to permit such a person to become or remain
associated with the futures commission merchant or introducing broker in
any such capacity if such futures commission merchant or introducing
broker knew or should have known that such person was not so registered
or that such registration had expired, been suspended (and the period of
suspension has not expired), or been revoked. Any individual who is
registered as a floor broker, futures commission merchant, or
introducing broker (and such registration is not suspended or revoked)
need not also register under this paragraph.
(2) It shall be unlawful for any person to be associated with a
commodity pool operator as a partner, officer, employee, consultant, or
agent (or any person occupying a similar status or performing similar
functions), in any capacity that involves (i) the solicitation of funds,
securities, or property for a participation in a commodity pool or (ii)
the supervision of any person or persons so engaged, unless such person
is registered with the Commission under this chapter as an associated
person of such commodity pool operator and such registration shall not
have expired, been suspended (and the period of suspension has not
expired), or been revoked. It shall be unlawful for a commodity pool
operator to permit such a person to become or remain associated with the
commodity pool operator in any such capacity if the commodity pool
operator knew or should have known that such person was not so
registered or that such registration had expired, been suspended (and
the period of suspension has not expired), or been revoked. Any
individual who is registered as a floor broker, futures commission
merchant, introducing broker, commodity pool operator, or as an
associated person of another category of registrant under this section
(and such registration is not suspended or revoked) need not also
register under this paragraph. The Commission may exempt any person or
class of persons from having to register under this paragraph by rule,
regulation, or order.
(3) It shall be unlawful for any person to be associated with a
commodity trading advisor as a partner, officer, employee, consultant,
or agent (or any person occupying a similar status or performing similar
functions), in any capacity which involves (i) the solicitation of a
client's or prospective client's discretionary account or (ii) the
supervision of any person or persons so engaged, unless such person is
registered with the Commission under this chapter as an associated
person of such commodity trading advisor and such registration shall not
have expired, been suspended (and the period of suspension has not
expired), or been revoked. It shall be unlawful for a commodity trading
advisor to permit such a person to become or remain associated with the
commodity trading advisor in any such capacity if the commodity trading
advisor knew or should have known that such person was not so registered
or that such registration had expired, been suspended (and the period of
suspension has not expired), or been revoked. Any individual who is
registered as a floor broker, futures commission merchant, introducing
broker, commodity trading advisor, or as an associated person of another
category of registrant under this section (and such registration is not
suspended or revoked) need not also register under this paragraph. The
Commission may exempt any person or class of persons from having to
register under this paragraph by rule, regulation, or order.
(4) Any person desiring to be registered as an associated person of a
futures commission merchant, of an introducing broker, of a commodity
pool operator, or of a commodity trading advisor shall make application
to the Commission in the form and manner prescribed by the Commission,
giving such information and facts as the Commission may deem necessary
concerning the applicant. Such person, when registered hereunder, shall
likewise continue to report and furnish to the Commission such
information as the Commission may require. Such registration shall
expire at such time as the Commission may by rule, regulation, or order
prescribe.
(5) It shall be unlawful for any registrant to permit a person to
become or remain an associated person of such registrant, if the
registrant knew or should have known of facts regarding such associated
person that are set forth as statutory disqualifications in section
12a(2) of this title, unless such registrant has notified the Commission
of such facts and the Commission has determined that such person should
be registered or temporarily licensed.
(Sept. 21, 1922, ch. 369, 4k, as added Oct. 23, 1974, Pub. L.
93-463, title II, 204(a), 88 Stat. 1396; amended Sept. 30, 1978, Pub.
L. 95-405, 7, 92 Stat. 869; Jan. 11, 1983, Pub. L. 97-444, title II,
212, 96 Stat. 2303.)
1983 -- Par. (1). Pub. L. 97-444 amended par. (1) generally to
apply to introducing brokers and persons associated with introducing
brokers.
Par. (2). Pub. L. 97-444 added par. (2). Former par. (2)
redesignated (4).
Par. (3). Pub. L. 97-444 added par. (3). Former par. (3), which
empowered Commission to authorize a registered futures association to
perform any portion of the registration functions under this section, in
accordance with rules approved by the Commission, and subject to the
provisions of this chapter applicable to registrations granted by the
Commission, was struck out.
Par. (4). Pub. L. 97-444 redesignated former par. (2) as (4) and
substituted ''Any person desiring to be registered as an associated
person of a futures commission merchant, of an introducing broker, of a
commodity pool operator, or of a commodity trading advisor shall make
application to the Commission in the form and manner prescribed by the
Commission, giving such information and facts as the Commission may deem
necessary concerning the applicant. Such person, when registered
hereunder, shall likewise continue to report and furnish to the
Commission such information as the Commission may require. Such
registration shall expire at such time as the Commission may by rule,
regulation, or order prescribe'' for ''Any such person desiring to be
registered shall make application to the Commission in the form and
manner prescribed by the Commission, giving such information and facts
as the Commission may deem necessary concerning the applicant. Such
person, when registered hereunder, shall likewise continue to report and
furnish to the Commission such information as the Commission may
require. Such registration shall expire two years after the effective
date thereof or at such other time, not less than one year from the date
of issuance thereof, as the Commission may by rule, regulation, or order
prescribe and shall be renewed upon application therefor, unless the
registration has been suspended (and the period of such suspension has
not expired) or revoked after notice and hearing as prescribed in
section 9 of this title: Provided, That upon initial registration,
unless the Commission otherwise prescribes by rule, regulation, or
order, the effective period of such registration shall be not more than
two years nor less than one year from the effective date thereof''.
Par. (5). Pub. L. 97-444 added par. (5).
1978 -- Par. (2). Pub. L. 95-405, 7(1), inserted provisions
authorizing the Commission to prescribe the period of registration of
not less than one year for associated persons.
Par. (3). Pub. L. 95-405, 7(2), added par. (3).
Amendment by Pub. L. 97-444 effective 120 days after Jan. 11, 1983,
or such earlier date as the Commission shall prescribe by regulation,
see section 239 of Pub. L. 97-444, set out as a note under section 2 of
this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 6l. Commodity trading advisors and commodity pool operators;
Congressional finding
TITLE 7 -- AGRICULTURE
It is hereby found that the activities of commodity trading advisors
and commodity pool operators are affected with a national public
interest in that, among other things --
(1) their advice, counsel, publications, writings, analyses, and
reports are furnished and distributed, and their contracts,
solicitations, subscriptions, agreements, and other arrangements with
clients take place and are negotiated and performed by the use of the
mails and other means and instrumentalities of interstate commerce;
(2) their advice, counsel, publications, writings, analyses, and
reports customarily relate to and their operations are directed toward
and cause the purchase and sale of commodities for future delivery on or
subject to the rules of contract markets; and
(3) the foregoing transactions occur in such volume as to affect
substantially transactions on contract markets.
(Sept. 21, 1922, ch. 369, 4l, as added Oct. 23, 1974, Pub. L.
93-463, title II, 205(a), 88 Stat. 1397.)
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 6m. Use of mails or other means or instrumentalities of
interstate commerce by commodity trading advisors and commodity pool
operators; relation to other law
TITLE 7 -- AGRICULTURE
(1) It shall be unlawful for any commodity trading advisor or
commodity pool operator, unless registered under this chapter, to make
use of the mails or any means or instrumentality of interstate commerce
in connection with his business as such commodity trading advisor or
commodity pool operator: Provided, That the provisions of this section
shall not apply to any commodity trading advisor who, during the course
of the preceding twelve months, has not furnished commodity trading
advice to more than fifteen persons and who does not hold himself out
generally to the public as a commodity trading advisor. The provisions
of this section shall not apply to any commodity trading advisor who is
a (1) dealer, processor, broker, or seller in cash market transactions
of any commodity specifically set forth in section 2 of this title prior
to October 23, 1974, (or products thereof) or (2) nonprofit, voluntary
membership, general farm organization, who provides advice on the sale
or purchase of any commodity specifically set forth in section 2 of this
title prior to October 23, 1974; if the advice by the person described
in clause (1) or (2) of this sentence as a commodity trading advisor is
solely incidental to the conduct of that person's business: Provided,
That such person shall be subject to proceedings under section 18 of
this title.
(2) Nothing in this chapter shall relieve any person of any
obligation or duty, or affect the availability of any right or remedy
available to the Securities and Exchange Commission or any private party
arising under the Securities Act of 1933 (15 U.S.C. 77a et seq.) or the
Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) governing the
issuance, offer, purchase, or sale of securities of a commodity pool, or
of persons engaged in transactions with respect to such securities, or
reporting by a commodity pool.
(Sept. 21, 1922, ch. 369, 4m, as added Oct. 23, 1974, Pub. L.
93-463, title II, 205(a), 88 Stat. 1398; amended Sept. 30, 1978, Pub.
L. 95-405, 8, 92 Stat. 870; Jan. 11, 1983, Pub. L. 97-444, title I,
103, 96 Stat. 2296.)
The Securities Act of 1933, referred to in par. (2), is title I of
act May 27, 1933, ch. 38, 48 Stat. 74, as amended, which is classified
generally to subchapter I ( 77a et seq.) of chapter 2A of Title 15,
Commerce and Trade. For complete classification of this Act to the
Code, see section 77a of Title 15 and Tables.
The Securities Exchange Act of 1934, referred to in par. (2), is act
June 6, 1934, ch. 404, 48 Stat. 881, as amended, which is classified
principally to chapter 2B ( 78a et seq.) of Title 15. For complete
classification of this Act to the Code, see section 78a of Title 15 and
Tables.
1983 -- Pub. L. 97-444 designated existing provisions as par. (1)
and added par. (2).
1978 -- Pub. L. 95-405 inserted provisions relating to applicability
of this section to commodity trading advisors who are dealers,
processors, brokers, or sellers in cash market transactions of
specifically listed commodities or nonprofit, voluntary membership,
general farm organizations who provide advice on sale or purchase of
specifically listed commodities if the advice by the person described in
cl. (1) or (2) of this sentence is incidental solely to the conduct to
the person's business and that such person be subject to proceedings
under section 18 of this title.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 6n. Registration of commodity trading advisors and commodity
pool operators; application; expiration and renewal; record keeping
and reports; disclosure; statements of account
TITLE 7 -- AGRICULTURE
(1) Any commodity trading advisor or commodity pool operator, or any
person who contemplates becoming a commodity trading advisor or
commodity pool operator, may register under this chapter by filing an
application with the Commission. Such application shall contain such
information, in such form and detail, as the Commission may, by rules
and regulations, prescribe as necessary or appropriate in the public
interest, including the following:
(A) the name and form of organization, including capital structure,
under which the applicant engages or intends to engage in business; the
name of the State under the laws of which he is organized; the location
of his principal business office and branch offices, if any; the names
and addresses of all partners, officers, directors, and persons
performing similar functions or, if the applicant be an individual, of
such individual; and the number of employees;
(B) the education, the business affiliations for the past ten years,
and the present business affiliations of the applicant and of his
partners, officers, directors, and persons performing similar functions
and of any controlling person thereof;
(C) the nature of the business of the applicant, including the manner
of giving advice and rendering of analyses or reports;
(D) the nature and scope of the authority of the applicant with
respect to clients' funds and accounts;
(E) the basis upon which the applicant is or will be compensated;
and
(F) such other information as the Commission may require to determine
whether the applicant is qualified for registration.
(2) Each registration under this section shall expire on the 30th day
of June of each year, or at such other time, not less than one year from
the effective date thereof, as the Commission may by rule, regulation,
or order prescribe, and shall be renewed upon application therefor
subject to the same requirements as in the case of an original
application.
(3)(A) Every commodity trading advisor and commodity pool operator
registered under this chapter shall maintain books and records and file
such reports in such form and manner as may be prescribed by the
Commission. All such books and records shall be kept for a period of at
least three years, or longer if the Commission so directs, and shall be
open to inspection by any representative of the Commission or the
Department of Justice. Upon the request of the Commission, a registered
commodity trading advisor or commodity pool operator shall furnish the
name and address of each client, subscriber, or participant, and submit
samples or copies of all reports, letters, circulars, memorandums,
publications, writings, or other literature or advice distributed to
clients, subscribers, or participants, or prospective clients,
subscribers, or participants.
(B) Unless otherwise authorized by the Commission by rule or
regulation, all commodity trading advisors and commodity pool operators
shall make a full and complete disclosure to their subscribers, clients,
or participants of all futures market positions taken or held by the
individual principals of their organization.
(4) Every commodity pool operator shall regularly furnish statements
of account to each participant in his operations. Such statements shall
be in such form and manner as may be prescribed by the Commission and
shall include complete information as to the current status of all
trading accounts in which such participant has an interest.
(Sept. 21, 1922, ch. 369, 4n, as added Oct. 23, 1974, Pub. L.
93-463, title II, 205(a), 88 Stat. 1398; amended Sept. 30, 1978, Pub.
L. 95-405, 9, 92 Stat. 870; Jan. 11, 1983, Pub. L. 97-444, title II,
213, 96 Stat. 2305.)
1983 -- Par. (5). Pub. L. 97-444 struck out par. (5) which
authorized Commission, without hearing, to deny registration to any
person as a commodity trading advisor or commodity pool operator if such
person was subject to an outstanding order under this chapter denying to
such person trading privileges on any contract market, or suspending or
revoking the registration of such person as a commodity trading advisor,
commodity pool operator, futures commission merchant, or floor broker,
or suspending or expelling such person from membership on any contract
market.
Par. (6). Pub. L. 97-444 struck out par. (6) which authorized
Commission to deny registration or revoke or suspend the registration of
any commodity trading advisor or commodity pool operator if the
Commission found that such denial, revocation, or suspension was in the
public interest and that such person had been guilty of certain
specified activities. See section 12a(2), (3), and (4) of this title.
1978 -- Par. (2). Pub. L. 95-405, 9(1)-(3), redesignated par. (3)
as (2) and substituted ''Each registration'' for ''All registrations''
and inserted ''or at such other time, not less than one year from the
effective date thereof, as the Commission may rule, regulation, or order
prescribe,'' after ''June of each year,''. Former par. (2), which
provided that registration under this section becomes effective thirty
days after the receipt of such application by the Commission, or within
such shorter period of time as the Commission may determine, was struck
out.
Pars. (3) to (6). Pub. L. 95-405, 9(1), redesignated pars. (4) to
(7) as (3) to (6), respectively. Former par. (3) redesignated (2).
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 6o. Fraud and misrepresentation by commodity trading advisors,
commodity pool operators, and associated persons
TITLE 7 -- AGRICULTURE
(1) It shall be unlawful for a commodity trading advisor, associated
person of a commodity trading advisor, commodity pool operator, or
associated person of a commodity pool operator, by use of the mails or
any means or instrumentality of interstate commerce, directly or
indirectly --
(A) to employ any device, scheme, or artifice to defraud any client
or participant or prospective client or participant; or
(B) to engage in any transaction, practice, or course of business
which operates as a fraud or deceit upon any client or participant or
prospective client or participant.
(2) It shall be unlawful for any commodity trading advisor,
associated person of a commodity trading advisor, commodity pool
operator, or associated person of a commodity pool operator registered
under this chapter to represent or imply in any manner whatsoever that
such person has been sponsored, recommended, or approved, or that such
person's abilities or qualifications have in any respect been passed
upon, by the United States or any agency or officer thereof. This
section shall not be construed to prohibit a statement that a person is
registered under this chapter as a commodity trading advisor, associated
person of a commodity trading advisor, commodity pool operator, or
associated person of a commodity pool operator, if such statement is
true in fact and if the effect of such registration is not
misrepresented.
(Sept. 21, 1922, ch. 369, 4o, as added Oct. 23, 1974, Pub. L.
93-463, title II, 205(a), 88 Stat. 1399; amended Sept. 30, 1978, Pub.
L. 95-405, 10, 92 Stat. 870; Jan. 11, 1983, Pub. L. 97-444, title II,
214, 96 Stat. 2305.)
1983 -- Par. (1). Pub. L. 97-444 made the antifraud prohibition
applicable to an associated person of a commodity trading advisor or a
commodity pool operator.
Par. (2). Pub. L. 97-444 made the misrepresentation prohibition
applicable to an associated person of a commodity training advisor or a
commodity pool operator, authorized registration statements of such
persons, and substituted ''such person'' and ''such person's abilities''
for ''he'' before ''has been sponsored'' and ''his abilities'',
respectively.
1978 -- Par. (1). Pub. L. 95-405 struck out ''registered under this
chapter'' after ''pool operator''.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 6p. Standards and examinations
TITLE 7 -- AGRICULTURE
(a) The Commission may specify by rules and regulations appropriate
standards with respect to training, experience, and such other
qualifications as the Commission finds necessary or desirable to insure
the fitness of persons required to be registered with the Commission.
In connection therewith, the Commission may prescribe by rules and
regulations the adoption of written proficiency examinations to be given
to applicants for registration and the establishment of reasonable fees
to be charged to such applicants to cover the administration of such
examinations. The Commission may further prescribe by rules and
regulations that, in lieu of examinations administered by the
Commission, futures associations registered under section 21 of this
title or contract markets may adopt written proficiency examinations to
be given to applicants for registration and charge reasonable fees to
such applicants to cover the administration of such examinations.
Notwithstanding any other provision of this section, the Commission may
specify by rules and regulations such terms and conditions as it deems
appropriate to protect the public interest wherein exception to any
written proficiency examination shall be made with respect to
individuals who have demonstrated, through training and experience, the
degree of proficiency and skill necessary to protect the interests of
customers, clients, pool participants, or other members of the public
with whom such individuals deal.
(b) The Commission shall issue regulations to require new
registrants, within six months after receiving such registration, to
attend a training session, and all other registrants to attend periodic
training sessions, to ensure that registrants understand their
responsibilities to the public under this chapter, including
responsibilities to observe just and equitable principles of trade, any
rule or regulation of the Commission, any rule of any appropriate
contract market, registered futures association, or other
self-regulatory organization, or any other applicable Federal or state
/1/ law, rule or regulation.
(Sept. 21, 1922, ch. 369, 4p, as added Oct. 23, 1974, Pub. L.
93-463, title II, 206, 88 Stat. 1400; amended Jan. 11, 1983, Pub. L.
97-444, title II, 215, 96 Stat. 2305; Oct. 28, 1992, Pub. L. 102-546,
title II, 210(a), 106 Stat. 3607.)
1992 -- Pub. L. 102-546 designated existing provisions as subsec.
(a) and added subsec. (b).
1983 -- Pub. L. 97-444 substituted ''persons required to be
registered with the Commission'' for ''futures commission merchants,
floor brokers, and those persons associated with futures commission
merchants or floor brokers'' in first sentence, ''customers, clients,
pool participants, or other members of the public with whom such
individuals deal'' for ''the customers of futures commission merchants
and floor brokers'' in last sentence, and in second and third sentences
struck out ''as futures commission merchants, floor brokers, and those
persons associated with futures commission merchants or floor brokers,''
after ''applicants for registration''.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
Section 210(b) of Pub. L. 102-546 provided that: ''The Commodity
Futures Trading Commission shall issue the regulations required by
section 4p(b) of the Commodity Exchange Act (7 U.S.C. 6p(b)), as added
by subsection (a), no later than one hundred and eighty days after the
date of enactment of this Act (Oct. 28, 1992).''
/1/ So in original. Probably should be capitalized.
07 USC 7. Designation of board of trade as ''contract market'';
conditions and requirements
TITLE 7 -- AGRICULTURE
The Commission is hereby authorized and directed to designate any
board of trade as a ''contract market'' when, and only when, such board
of trade complies with and carries out the following conditions and
requirements:
(1) When located at a terminal market where any cash commodity of the
kind specified in the contracts of sale of commodities for future
delivery to be executed on such board is sold in sufficient volumes and
under such conditions as fairly to reflect the general value of the
commodity and the differences in value between the various grades of
such commodity, and where there is available to such board of trade,
official inspection service approved by the Secretary of Agriculture or
the Commission for the purpose: Provided, That any board of trade not
so located shall be designated as a ''contract market'' if such board of
trade provides for the delivery of commodities on such contracts at a
delivery point or points and upon terms and conditions approved by the
Commission.
(2) When the governing board thereof provides for the making and
filing by the board or any member thereof, as the Commission may direct,
of reports in accordance with the rules and regulations, and in such
manner and form and at such times as may be prescribed by the
Commission, showing the details and terms of all transactions entered
into by the board, or the members thereof, either in cash transactions
or transactions for future delivery consummated on or subject to the
rules of a board of trade, and when such governing board provides, in
accordance with such rules and regulations, for the keeping of a record
by the board or the members of the board of trade, as the Commission may
direct, showing the details and terms of all cash and future
transactions entered into by them, consummated on or subject to the
rules of a board of trade, such record to be in permanent form, showing
the parties to all such transactions, including the persons for whom
made, any assignments or transfers thereof, with the parties thereto,
and the manner in which said transactions are fulfilled, discharged, or
terminated. Such record shall be required to be kept for a period of
three years from the date thereof, or for a longer period if the
Commission shall so direct, and shall at all times be open to the
inspection of any representative of the Commission or United States
Department of Justice.
(3) When the governing board thereof provides for the prevention of
dissemination by the board or any member thereof of false or misleading
or knowingly inaccurate reports concerning crop or market information or
conditions that affect or tend to affect the price of any commodity in
interstate commerce.
(4) When the governing board thereof provides for the prevention of
manipulation of prices and the cornering of any commodity by the dealers
or operators upon such board.
(5) When the governing board thereof does not exclude from membership
in and all privileges on such board of trade any duly authorized
representative of any lawfully formed and conducted cooperative
association of producers having adequate financial responsibility which
is engaged in any cash commodity business, if such association has
complied, and agrees to comply, with such terms and conditions as are or
may be imposed lawfully on other members of such board: Provided, That
no rule of a contract market shall forbid or be construed to forbid the
return on a patronage basis by such cooperative association to its bona
fide members of moneys collected in excess of the expense of conducting
the business of such association.
(6) When the governing board provides for making effective the final
orders or decisions entered pursuant to the provisions of section 9 of
this title, and the orders issued pursuant to the provisions of section
7a of this title, and for compliance in all other respects with the
requirements applicable to such board of trade under this chapter.
(7) When such board of trade demonstrates that transactions for
future delivery in the commodity for which designation as a contract
market is sought will not be contrary to the public interest.
(8) When such board of trade demonstrates that every contract market
for which such board of trade is designated complies with the
requirements of section 7a(b) of this title.
(Sept. 21, 1922, ch. 369, 5, 42 Stat. 1000; June 15, 1936, ch.
545, 2, 6, 49 Stat. 1491, 1497; Feb. 19, 1968, Pub. L. 90-258, 10,
11, 82 Stat. 29; Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (f),
(g), title II, 207, 88 Stat. 1392, 1400; Oct. 28, 1992, Pub. L.
102-546, title II, 201(c), 209(b)(2), 106 Stat. 3597, 3606.)
Section 9 of this title, referred to in par. (6), was in the
original ''section 6(c)'' meaning section 6(c) of act Sept. 21, 1922,
ch. 369, which is classified to sections 9 and 15 of this title. See
Codification note set out under section 8 of this title.
1992 -- Pub. L. 102-546, 209(b)(2), in par. (6) made technical
amendment to reference to section 9 of this title to reflect change in
reference to corresponding section of original act.
Pub. L. 102-546, 201(c), redesignated pars. (a) to (g) as (1) to
(7), respectively, realigned margins, and added par. (8).
1974 -- Pub. L. 93-463, 103(a), substituted ''Commission'' for
''Secretary of Agriculture'' in provisions preceding par. (a).
Par. (a). Pub. L. 93-463, 103(a), (g), substituted ''official
inspection service approved by the Secretary of Agriculture or the
Commission for the purpose'' for ''official inspection service approved
by the Secretary of Agriculture for the purpose'' and ''Commission'' for
''Secretary of Agriculture''.
Par. (b). Pub. L. 93-463, 103(a), (f), substituted ''Commission''
for ''Secretary of Agriculture'' and ''United States Department of
Agriculture''.
Par. (g). Pub. L. 93-463, 207, added par. (g).
1968 -- Par. (b). Pub. L. 90-258, 10, substituted ''cash
transactions or transactions for future delivery consummated on or
subject to the rules of a board of trade'' for ''cash transactions
consummated at, on, or in a board of trade, or transactions for future
delivery'' and ''consummated on or subject to the rules of a board of
trade'' for ''consummated at, on, or in a board of trade'' where
appearing the second time, respectively.
Par. (f). Pub. L. 90-258, 11, prescribed as additional conditions
and requirements for designation of board of trade as contract market
that governing board provide for making effective the orders issued
pursuant to the provisions of section 7a of this title and for
compliance in all other respects with the requirements applicable to the
board of trade under this chapter.
1936 -- June 15, 1936, 2, substituted ''commodity'', ''any
commodity'', or ''commodities'', as the case may require, for ''grain''
wherever appearing.
Act June 15, 1936, 6, inserted proviso in par. (a), and substituted
''and'' for ''or'' after ''prices''.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of that act, set out as a note under section 1 of
this title.
Showing of compliance with conditions and requirements of this
section to accompany application for designation as contract market, see
section 8 of this title.
Showing of noncompliance with conditions and requirements of this
section as authorizing suspension or revocation of designation as a
contract market, see section 8 of this title.
07 USC 7a. Duties of contract markets
TITLE 7 -- AGRICULTURE
(a) In general
Each contract market shall --
(1) promptly furnish the Commission copies of all bylaws, rules,
regulations, and resolutions made or issued by it or by the governing
board thereof or any committee, and of all changes and proposed changes
therein;
(2) keep all books, records, minutes, and journals of proceedings of
such contract market, and its governing board, committees, subsidiaries,
and affiliates in a manner that will clearly describe all matters
discussed by such contract market, governing board, committees,
subsidiaries and affiliates and reveal any action taken in such matters,
and allow inspection at all times by any authorized representative of
the Commission or United States Department of Justice of all such books,
records, minutes, and journals of proceedings. Such books, records,
minutes, and journals of proceedings shall be kept for a period of three
years from the date thereof, or for a longer period if the Commission
shall so direct;
(3) require the operators of warehouses in which or out of which any
commodity is deliverable on any contract for future delivery made on or
subject to the rules of such contract market, to make such reports, keep
such records, and permit such warehouse visitation as the Commission may
prescribe. Such books and records shall be required to be kept for a
period of three years from the date thereof, or for a longer period if
the Commission shall so direct, and such books, records, and warehouses
shall be open at all times to inspection by any representative of the
Commission or United States Department of Justice;
(4) when so directed by order of the Commission, provide for a
period, after trading in contracts of sale of any commodity for future
delivery in a delivery month has ceased, during which contracts of sale
of such commodity for future delivery in such month may be satisfied by
the delivery of the actual cash commodity. Whenever, after due notice
and opportunity for hearing, the Commission finds that provision for
such a period of delivery for any one or more commodities or markets
would prevent or tend to prevent ''squeezes'' and market congestion
endangering price stability, it shall, by order, require such period of
delivery (which shall be not less than three nor more than ten business
days) applicable to such commodities and markets as it finds will
prevent or tend to prevent such ''squeezes'' and market congestion:
Provided, however, That such order shall not apply to then existing
contracts;
(5) require the party making delivery of any commodity on any
contract of sale of such commodity for future delivery to furnish the
party obligated under the contract to accept delivery, written notice of
the date of delivery at least one business day prior to such date of
delivery. Whenever, after due notice and opportunity for hearing, the
Commission finds that the giving of longer notice of delivery is
necessary to prevent or diminish unfair practices in trading in any one
or more commodities or markets, it shall by order require such longer
notice of delivery (which shall be not more than ten business days)
applicable to such commodities and markets as it finds will prevent or
diminish such unfair practices: Provided, however, That such order
shall not apply to then existing contracts;
(6) require that all contracts of sale of any commodity for future
delivery on such contract market shall provide for the delivery
thereunder of commodities of grades conforming to United States
standards, if such standards shall have been officially promulgated and
adopted by the Commission;
(7) require that receipts issued under the United States Warehouse
Act (7 U.S.C. 241 et seq.) shall be accepted in satisfaction of any
futures contract, made on or subject to the rules of such contract
market, without discrimination and notwithstanding that the warehouseman
issuing such receipts is not also licensed as a warehouseman under the
laws of any state or enjoys other or different privileges than under
State law: Provided, however, That such receipts shall be for the kind,
quality, and quantity of commodity specified in such contract and that
the warehouse in which the commodity is stored meets such reasonable
requirements as may be imposed by such contract market on other
warehouses as to location, accessibility, and suitability for
warehousing and delivery purposes: And provided further, That this
paragraph shall apply only to futures contracts for those commodities
which may be delivered from a warehouse subject to the United States
Warehouse Act;
(8) enforce all bylaws, rules, regulations, and resolutions, made or
issued by it or by the governing board thereof or any committee, that
(i) have been approved by the Commission pursuant to paragraph (12) of
this section, (ii) have become effective under such paragraph, or (iii)
must be enforced pursuant to any Commission rule, regulation, or order;
and revoke and not enforce any bylaw, rule, regulation, or resolution,
made, issued, or proposed by it or by the governing board thereof or any
committee, which has been disapproved by the Commission;
(9) enforce all bylaws, rules, regulations, and resolutions made or
issued by it or by the governing board thereof or by any committee,
which provide minimum financial standards and related reporting
requirements for futures commission merchants who are members of such
contract market, and which have been approved by the Commission;
(10) permit the delivery of any commodity, on contracts of sale
thereof for future delivery, of such grade or grades, at such point or
points and at such quality and locational price differentials as will
tend to prevent or diminish price manipulation, market congestion, or
the abnormal movement of such commodity in interstate commerce. If the
Commission after investigation finds that the rules and regulations
adopted by a contract market permitting delivery of any commodity on
contracts of sale thereof for future delivery, do not accomplish the
objectives of this paragraph, then the Commission shall notify the
contract market of its findings and afford the contract market an
opportunity to make appropriate changes in such rules and regulations.
If the contract market within seventy-five days of such notification
fails to make the changes which in the opinion of the Commission are
necessary to accomplish the objectives of this paragraph, then the
Commission after granting the contract market an opportunity to be
heard, may change or supplement such rules and regulations of the
contract market to achieve the above objectives: Provided, That any
order issued under this paragraph shall not apply to contracts of sale
for future delivery in any months in which contracts are currently
outstanding and open: And provided further, That no requirement for an
additional delivery point or points shall be promulgated following
hearings until the contract market affected has had notice and
opportunity to file exceptions to the proposed order determining the
location and number of such delivery point or points;
(11) provide a fair and equitable procedure through arbitration or
otherwise (such as by delegation to a registered futures association
having rules providing for such procedures) for the settlement of
customers' claims and grievances against any member or employee thereof:
Provided, That (A) the use of such procedure by a customer shall be
voluntary, (B) the term ''customer'' as used in this paragraph shall not
include another member of the contract market, and (C) in the case of a
claim arising from a violation in the execution of an order on the floor
of a contract market, such procedure shall provide, to the extent
appropriate --
(i) for payment of actual damages proximately caused by such
violation. If an award of actual damages is made against a floor broker
in connection with the execution of a customer order, and the futures
commission merchant which selected the floor broker for the execution of
the customer order is held to be responsible under sections 2, 2a, and 4
of this title for the floor broker's violation, such futures commission
merchant may be required to satisfy such award; and
(ii) where the violation is willful and intentional, for payment to
the customer of punitive or exemplary damages, in addition to losses
proximately caused by the violation, in an amount equal to no more than
two times the amount of such losses. If punitive or exemplary damages
are awarded against a floor broker in connection with the execution of a
customer order, and the futures commission merchant which selected the
floor broker for the execution of such order is held to be responsible
under sections 2, 2a, and 4 of this title for the floor broker's
violation, such futures commission merchant may be required to satisfy
the award of punitive or exemplary damages if the floor broker fails to
do so, except that such requirement shall apply to the futures
commission merchant only if it willfully and intentionally selected the
floor broker with the intent to assist or facilitate the floor broker's
violation;; /1/
(12)(A) except as otherwise provided in this paragraph, submit to the
Commission for its prior approval all bylaws, rules, regulations, and
resolutions (''rules'') made or issued by such contract market, or by
the governing board thereof or any committee thereof, that relate to
terms and conditions in contracts of sale to be executed on or subject
to the rules of such contract market, as such terms and conditions are
defined by the Commission by rule or regulation, except those rules
relating to the setting of levels of margin. Each contract market shall
submit to the Commission all other rules (except those relating to the
setting of levels of margin and except those that the Commission may
specify by regulation) and may make such rules effective ten days after
receipt of such submission by the Commission unless, within the ten-day
period, the contract market requests review and approval thereof by the
Commission or the Commission notifies such contract market in writing of
its determination to review such rules for approval. The determination
to review such rules for approval shall not be delegable to any employee
of the Commission. At least thirty days before approving any rules of
major economic significance, as determined by the Commission, the
Commission shall publish a notice of such rules in the Federal Register.
The Commission shall give interested persons an opportunity to
participate in the approval process through the submission of written
data, views, or arguments. The determination by the Commission whether
any such rules are of major economic significance shall be final and not
subject to judicial review. The Commission shall approve such rules if
such rules are determined by the Commission not to be in violation of
this chapter or the regulations of the Commission and the Commission
shall disapprove, after appropriate notice and opportunity for hearing,
any such rule which the Commission determines at any time to be in
violation of the provisions of this chapter or the regulations of the
Commission. If the Commission institutes proceedings to determine
whether a rule should be disapproved pursuant to this paragraph, it
shall provide the contract market with written notice of the proposed
grounds for disapproval, including the specific sections of this chapter
or the Commission's regulations which would be violated. At the
conclusion of such proceedings, the Commission shall approve or
disapprove such rule. Any disapproval shall specify the sections of
this chapter or the Commission's regulations which the Commission
determines such rule has violated or, if effective, would violate. If
the Commission does not approve or institute disapproval proceedings
with respect to any rule within one hundred and eighty days after
receipt or within such longer period as the contract market may agree
to, or if the Commission does not conclude a disapproval proceeding with
respect to any rule within one year after receipt or within such longer
period as the contract market may agree to, such rule may be made
effective by the contract market until such time as the Commission
disapproves such rule in accordance with this paragraph.
(B)(i) The Commission shall issue regulations to specify the terms
and conditions under which, in an emergency as defined by the
Commission, a contract market may, by a two-thirds vote of its governing
board, make a rule (hereinafter referred to as an ''emergency rule'')
effective on a temporary basis without prior Commission approval, or
without compliance with the ten-day notice requirement under
subparagraph (A), or during any period of review by the Commission, if
the contract market makes every effort practicable to notify the
Commission of such emergency rule, along with a complete explanation of
the emergency involved, prior to making the emergency rule effective.
If the contract market does not provide the Commission with such
notification and explanation before making the emergency rule effective,
the contract market shall provide the Commission with such notification
and explanation at the earliest possible date. The Commission may
delegate the power to receive such notification and explanation to such
individuals as the Commission determines necessary and appropriate.
(ii) Within ten days of the receipt from a contract market of
notification of such an emergency rule and an explanation of the
emergency involved, or as soon as practicable, the Commission shall
determine whether it is appropriate either --
(I) to permit such rule to remain in effect during the pendency of
the emergency, or
(II) to suspend the effect of such rule pending review either under
the procedures of subparagraph (A) or otherwise.
The Commission shall submit a report on its determination and the
basis thereof with respect to such emergency rule to the affected
contract market, to the Committee on Agriculture of the House of
Representatives and the Committee on Agriculture, Nutrition, and
Forestry of the Senate. If the report is submitted more than ten days
after the Commission's receipt of notification of such an emergency rule
from a contract market, the report shall explain why submission within
such ten-day period was not practicable. A determination by the
Commission to suspend the effect of a rule under this subparagraph shall
be subject to judicial review on the same basis as an emergency
determination under section 12a(9) of this title. Nothing in this
paragraph shall be construed to limit the authority of the Commission
under section 12a(9) of this title;
(13) provide for disclosure to the contract market and the Commission
of any trade, business, or financial partnership, cost-, profit-, or
capital-sharing agreements or other formal arrangement among or between
floor brokers and traders on such contract market where such partnership
agreement or arrangement is material and known to the floor broker or
floor trader;
(14)(A) provide for meaningful representation on the governing board
of the contract market's board of trade of a diversity of interests,
including --
(i) futures commission merchants;
(ii) producers of, and consumers, processors, distributors, or
merchandisers of, principal commodities traded on the board of trade;
(iii) floor brokers and traders; and
(iv) participants in a variety of pits or principal groups of
commodities traded on the exchange.
(B) provide that no less than 20 percent of the regular voting
members of such board be comprised of nonmembers of such contract
market's board of trade with --
(i) expertise in futures trading, or the regulation thereof, or in
commodities traded through contracts on the board of trade; or
(ii) other eminent qualifications making such person capable of
participating in and contributing to board deliberations.
(C) provide that no less than 10 percent of the regular voting
members of such board be comprised where applicable of farmers,
producers, merchants, or exporters of principal commodities traded on
the exchange;
(15)(A) provide on all major disciplinary committees for a diversity
of membership sufficient to ensure fairness and to prevent special
treatment or preference for any person in the conduct of disciplinary
proceedings and the assessment of penalties.
(B) Consistent with Commission rules, a major disciplinary committee
hearing a disciplinary matter shall include --
(i) a majority of qualified persons representing a trading status
other than that of the subject of the proceeding; and
(ii) where appropriate to carry out the purposes of this chapter,
qualified persons who are not members of the exchange.
(C) For purposes of this paragraph, a trading status on a contract
market may include, consistent with Commission rules, such categories as
/2/
(i) floor brokers and traders;
(ii) producers, consumers, processors, distributors, or merchandisers
of commodities;
(iii) futures commission merchants; and
(iv) members of the aforementioned categories who participate in
particular contract markets or principal groups of commodities on the
board of trade.
(D) If a contract market takes final disciplinary action against a
member for a violation that involves the execution of a customer
transaction and results in financial harm to such customer, the contract
market shall promptly inform the futures commission merchant identified
on the records of such contract market as having cleared such
transaction, and such futures commission merchant shall promptly inform
the person identified on its records as the owner of the account for
which such transaction was executed, of the disciplinary action and the
principal facts thereof;
(16) provide that no member found by the Commission, a contract
market, a registered futures association, or a court of competent
jurisdiction to have committed any violation of this chapter or any
other provision of law that would reflect on the fitness of the member
may serve on any contract market oversight or disciplinary panel for an
appropriate period (as defined by Commission rule); and
(17)(A) provide for the avoidance of conflict of interest in
deliberations by the governing board and any disciplinary and oversight
committees. In order to comply with this subparagraph, each contract
market shall adopt rules and procedures to require, at a minimum, that
/2/
(i) any member of a governing board or a disciplinary or other
oversight committee must abstain from confidential deliberations and
voting on any matter where the named party in interest is the member,
the member's employer, the member's employee, or any other person that
has a business, employment, or family relationship with the member that
warrants abstention by the member;
(ii) any member of a governing board or a disciplinary or other
oversight committee must abstain from voting on any significant action
that would not be submitted to the Commission for its prior approval,
if, as determined in accordance with regulations promulgated by the
Commission, the member knowingly has a direct and substantial financial
interest in the result of the vote, based either on positions held
personally or at an affiliated firm;
(iii) prior to the deliberations of the governing board, disciplinary
board, or other oversight committee, acting directly or indirectly
through an authorized member or contract market official, the positions
of the members of such board or committee, and positions of the firm or
firms with which such members are affiliated, are reviewed: Provided,
however, That no contract market or official, employee, member, other
than the member whose position or positions are being reviewed, or agent
thereof shall be subject to liability, except for liability in an action
initiated by the Commission, for having conducted this review and for
having taken or not taken further action; and
(iv) the board or committee shall clearly reflect, in the minutes of
such meeting, that the review required in clause (iii) occurred and any
decisions by a member to abstain or by the board or committee whether to
direct a member or members to abstain from deliberations or voting on
the matter before the board or committee.
Any member prohibited from voting on a rule pursuant to this
paragraph shall not be included in determining whether there has been a
two-thirds vote of members of the governing board or committee as
required by subparagraph /3/ (12).
(B) For the purposes of this paragraph, the term ''significant action
that would not be submitted to the Commission for its prior approval''
includes --
(i) any nonphysical emergency rule; or
(ii) any changes in margin levels designed to respond to
extraordinary market conditions that are likely to have a substantial
affect on prices in any contract traded on such contract market, but
does not include any rule not submitted for prior Commission approval
because such rule is unrelated to terms and conditions of any contract
traded on such contract market.
(C) Notwithstanding the provisions of subparagraph (A)(ii), the
Commission shall issue rules establishing the conditions under which a
member of a board or committee who is required to abstain from voting on
a significant action, as provided in subparagraph (A)(ii), may
participate in deliberations on that action prior to such vote, where
the member's participation is consistent with the public interest.
(b) Monitoring system to detect violations of rules and regulations
(1) Each contract market shall maintain and utilize a system to
monitor trading to detect and deter violations of the contract market's
rules and regulations committed in the making of trades and the
execution of customer orders on the floor or subject to the rules of
such contract market. The system shall include --
(A) physical observation of trading areas;
(B) audit trail and recordkeeping systems able to capture essential
data on the terms, participants, and sequence of transactions (including
relevant data on unmatched trades and out-trades);
(C) systems capable of reviewing, and used to review, data on trades
effectively on a regular basis to detect violations committed in making
trades and executing customer orders on the floor or subject to the
rules of such contract market, including --
(i) all types of violations attributable to dual trading; and
(ii) to the full extent feasible, as determined by the Commission,
all other types of violations involving the making of trades and the
execution of customer orders;
(D) the use of information gathered through such system on a
consistent basis to bring appropriate disciplinary actions against
violators;
(E) the commitment of resources to such system necessary for such
system to be effective in detecting and deterring such violations,
including adequate staff to develop and prosecute disciplinary actions;
and
(F) the assessment of meaningful penalties against violators and the
referral of appropriate cases to the Commission.
(2) The audit trail system of the contract market shall, consistent
with Commission regulations, accurately record --
(A) the times of trades in increments of no more than one minute in
length; and
(B) the sequence of trades for each floor trader and broker.
(3) Beginning three years after October 28, 1992, the audit trail
system of each contract market, except as provided in paragraph (5) and
except to the extent the Commission determines that circumstances beyond
the control of the contract market prevent compliance despite the
contract market's affirmative good faith efforts to comply, shall --
(A) for all trades, record accurately and promptly the essential data
on terms, participants, and times as required by the Commission by rule,
including the time of execution of such trade, through a means that --
(i) records such data in a form which cannot be altered except in a
manner that will leave a complete and independent record of such
alteration;
(ii) continually provides such data to the contract market;
(iii) identifies such time, to the extent practicable as determined
by the Commission --
(I) independently of the person making the trade;
(II) through a mechanism that records the time automatically when
entered by the person making the trade; or
(III) through such other means that will capture a similarly reliable
time; and
(iv) is adequately precise to determine, to the extent practicable as
determined by the Commission by rule or order --
(I) the sequence of all trades by each floor trader; and
(II) the sequence of all trades by each floor broker; and
(B) to the extent practicable as determined by the Commission by rule
or order, for customer trades, record the time that each order is
received on the floor of the board of trade, is received by the floor
broker for execution (or when such order is transmitted in an extremely
rapid manner to the broker), and is reported from the floor of the board
of trade as executed, through a means that --
(i) records such times in a form which cannot be altered except in a
manner that will leave a complete and independent record of such
alteration;
(ii) continually provides such data to the contract market;
(iii) identifies such time --
(I) independently of the person making the trade or processing the
order;
(II) through a mechanism that records the time automatically when
entered by the person making the trade or processing such order, as
appropriate; or
(III) through such other means as will capture a similarly reliable
time; and
(iv) is adequately precise to determine --
(I) the sequence in which, for each futures commission merchant,
floor broker, or member firm, as applicable, all orders are received on
and reported from the floor of the contract market; and
(II) the sequence in which orders are received by each floor broker
for execution.
(4) The Commission may, by rule, establish standards under which the
audit trail systems required under paragraph (3) shall record, to the
extent practicable --
(A) the sequence of all trades made by all floor traders and floor
brokers; and
(B) the interval between the time of receipt and the time of
execution of each order by the floor broker executing the order.
(5)(A) The Commission shall, by rule or order, make exemptions from
the requirements of paragraph (3) --
(i) for an exchange with respect to which the Commission finds that
--
(I) the volume of trading on such exchange is relatively small and
the exchange has demonstrated substantial compliance with the objectives
of such paragraph; and
(II) the trade monitoring system at such exchange otherwise maintains
a high level of compliance with this subsection; and
(ii) to the extent determined appropriate by the Commission, for
categories of customer orders with respect to which the Commission finds
that such orders are transmitted to and reported from the trading pit in
an extremely rapid manner such that substantial compliance with the
objectives of paragraph (3) can be otherwise achieved.
(B) For purposes of subparagraph (A)(i)(I) the Commission shall find
that the volume of trading at an exchange is relatively small if, among
other things, the Commission determines that the average daily trading
volume for each contract market for which the board of trade is
designated is less than the threshold trading level established for the
contract market under section 6j(a)(4) of this title.
(6) Any rule or order adopted by the Commission under paragraphs (4)
and (5) shall become effective thirty legislative days or ninety
calendar days, whichever is later, after submission of such rule or
order to the Committee on Agriculture of the House of Representatives
and the Committee on Agriculture, Nutrition, and Forestry of the Senate.
For purposes of this paragraph, the term ''legislative day'' means any
day on which either House of Congress is in session.
(Sept. 21, 1922, ch. 369, 5a, as added June 15, 1936, ch. 545, 7,
49 Stat. 1497; amended Feb. 19, 1968, Pub. L. 90-258, 12, 82 Stat. 29;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (e), (f), title II,
208-210, title IV, 406, 407, 88 Stat. 1392, 1400, 1401, 1413; Sept.
30, 1978, Pub. L. 95-405, 11, 12, 92 Stat. 870, 871; Jan. 11, 1983,
Pub. L. 97-444, title II, 216, 217(a), 96 Stat. 2306, 2307; Nov. 10,
1986, Pub. L. 99-641, title I, 110(2), 100 Stat. 3561; Oct. 28, 1992,
Pub. L. 102-546, title I, 103, title II, 201(a), 206(a)(1), 213(a),
217, 222(a), 106 Stat. 3594, 3595, 3601, 3609, 3611, 3615.)
The United States Warehouse Act, referred to in subsec. (a)(7), is
part C of act Aug. 11, 1916, ch. 313, 39 Stat. 486, as amended, which
is classified generally to chapter 10 ( 241 et seq.) of this title. For
complete classification of this Act to the Code, see section 241 of this
title and Tables.
1992 -- Subsec. (a). Pub. L. 102-546, 201(a)(1), designated
existing provisions as subsec. (a).
Subsec. (a)(11). Pub. L. 102-546, 222(a), substituted ''(A)'' for
''(i)'' and ''voluntary, (B)'' for ''voluntary and (ii)'', inserted
''and'' after ''contract market'', and added subpar. (C).
Subsec. (a)(12). Pub. L. 102-546, 213(a), designated existing
provisions as subpar. (A), added subpar. (B), and struck out last two
sentences of subpar. (A) which read as follows: ''The Commission shall
specify the terms and conditions under which a contract market may, in
an emergency as defined by the Commission, make a rule effective on a
temporary basis without prior Commission approval, or without compliance
with the ten-day notice requirement under this paragraph, or during any
period of review by the Commission. In the event of such an emergency,
as defined by the Commission, requiring immediate action, the contract
market by a two-thirds vote of its governing board may immediately make
effective a temporary rule dealing with such emergency if the contract
market notifies the Commission of such action with a complete
explanation of the emergency involved;''.
Subsec. (a)(13). Pub. L. 102-546, 103, added par. (13).
Subsec. (a)(14) to (16). Pub. L. 102-546, 206(a)(1), added pars.
(14) to (16).
Subsec. (a)(17). Pub. L. 102-546, 217, added par. (17).
Subsec. (b). Pub. L. 102-546, 201(a)(2), added subsec. (b).
1986 -- Par. (12). Pub. L. 99-641 substituted ''participate'' for
''particpate''.
1983 -- Par. (8). Pub. L. 97-444, 216(1), struck out after initial
''any committee,'' the clause ''which relate to terms and conditions in
contracts of sale to be executed on or subject to the rules of such
contract market or relate to other trading requirements,'';
incorporated existing text in provisions designated cl. (i); inserted
cls. (ii) and (iii); and in revocation provision, struck out ''such''
before ''bylaw'' and substituted ''that'' for ''which''.
Par. (11). Pub. L. 97-444, 217(a), redesignated cl. (iv) as (ii)
and substituted ''another member of the contract market'' for ''a
futures commission merchant or a floor broker''; and struck out clauses
''(ii) the procedure shall not be applicable to any claim in excess of
$15,000, (iii) the procedure shall not result in any compulsory payment
except as agreed upon between the parties,''.
Par. (12). Pub. L. 97-444, 216(2), amended par. (12) generally to
reduce the types of contract market rules that require prior approval of
the Commission before they may be implemented.
1978 -- Par. (11). Pub. L. 95-405, 11, inserted ''(such as by
delegation to a registered futures association having rules providing
for such procedures)'' after ''arbitration or otherwise''.
Par. (12). Pub. L. 95-405, 12, inserted ''(or within sixty days of
their receipt if the Commission determines them to be of major economic
significance)'' after ''thirty days of their receipt'' and inserted
provisions requiring that the Commission at least thirty days before
approving any bylaws, rules, etc., of major economic significance
publish such bylaws, rules, etc., in the Federal Register and that the
Commission give interested persons an opportunity to participate in the
approval process through the submission of written data, views, or
arguments and making the determination of the Commission as to whether
any such bylaws, rules, etc., are of major economic significance final
and not subject to judicial review.
1974 -- Par. (1). Pub. L. 93-463, 103(a), substituted
''Commission'' for ''Secretary of Agriculture''.
Par. (2). Pub. L. 93-463, 103(a), (f), substituted ''Commission''
for ''United States Department of Agriculture'' and ''Secretary of
Agriculture''.
Par. (3). Pub. L. 93-463, 103(a), (f), substituted ''Commission''
for ''Secretary of Agriculture'' and ''United States Department of
Agriculture''.
Pars. (4), (5). Pub. L. 93-463, 103(a), (e), substituted
''Commission'' for ''Secretary of Agriculture'' and ''it'' for ''he''.
Par. (6). Pub. L. 93-463, 406, inserted ''and adopted by the
Commission'' after ''officially promulgated''.
Par. (7). Pub. L. 93-463, 208(a), inserted '': And provided
further, That this paragraph shall apply only to futures contracts for
those commodities which may be delivered from a warehouse subject to the
United States Warehouse Act''.
Par. (8). Pub. L. 93-463, 407, substituted ''been approved by the
Commission pursuant to paragraph (12) of this section'' for ''not been
disapproved by the Secretary of Agriculture pursuant to paragraph (7) of
section 12a of this title'' and ''has been disapproved by the
Commission'' for ''has been so disapproved''.
Par. (9). Pub. L. 93-463, 103(a), substituted ''Commission'' for
''Secretary of Agriculture''.
Par. (10). Pub. L. 93-463, 208(d), added par. (10).
Par. (11). Pub. L. 93-463, 209, added par. (11).
Par. (12). Pub. L. 93-463, 210, added par. (12).
1968 -- Par. (2). Pub. L. 90-258, 12(a), required contract markets
to keep their books and records of proceedings of the contract markets
and their governing boards, committees, subsidiaries, and affiliates in
a manner that will clearly describe all matters discussed and action
taken.
Pars. (8), (9). Pub. L. 90-258, 12(b), (c), added pars. (8) and
(9).
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
Section 206(c) of Pub. L. 102-546 provided that: ''Not later than
two hundred and seventy days after the date of enactment of this Act
(Oct. 28, 1992), the Commodity Futures Trading Commission shall adopt
such rules as are necessary to carry out the amendments made by
subsections (a) and (b) (amending this section and sections 12c and 21
of this title), including rules that --
''(1) specify membership categories that shall be represented on
disciplinary panels;
''(2) define 'major disciplinary committee' for purposes of sections
5a(a)(15) and 17(b)(12) of the Commodity Exchange Act (7 U.S.C.
7a(a)(15) and 21(b)(12)) (as added by subsections (a) and (b),
respectively); and
''(3) specify the conditions under which such panels shall include
qualified persons who are not members of the exchange or association,
which shall include at a minimum --
''(A) any disciplinary action where the subject of such action is a
member of the contract market or association governing board or of any
major disciplinary committee of such contract market or association;
and
''(B) any disciplinary action based on facts related to a claim that
the subject of such action manipulated or attempted to manipulate the
price of a commodity or future or option.''
Section 213(b) of Pub. L. 102-546 provided that: ''The Commodity
Futures Trading Commission shall issue regulations to implement section
5a(12)(B) of the Commodity Exchange Act (7 U.S.C. 7a(a)(12)(B)), as
added by subsection (a), no later than one hundred and eighty days after
the date of enactment of this Act (Oct. 28, 1992). Until the effective
date of such regulations, any regulation of the Commission that
implements the last two sentences of section 5a(12), as such sentences
were in effect immediately before the date of enactment of this Act,
shall remain in effect.''
Section 201(b) of Pub. L. 102-546 provided that:
''(1) In general. -- Not later than two years after the date of
enactment of this Act (Oct. 28, 1992), the Commodity Futures Trading
Commission shall submit to the Committee on Agriculture of the House of
Representatives and the Committee on Agriculture, Nutrition, and
Forestry of the Senate a report that contains --
''(A) an assessment of the progress of each contract market in
developing and implementing systems to record the times of transactions
independently, precisely, and completely as required under section 5a(b)
of the Commodity Exchange Act (7 U.S.C. 7a(b)) (as added by subsection
(a) of this section); and
''(B) recommendations as to whether any extension of time for the
completion of such systems or any modification of the standards
contained in such section is appropriate.
''(2) GAO views. -- The Comptroller General of the United States
shall state to Congress the views of the Comptroller General with regard
to the issues addressed in such report.''
/1/ So in original.
/2/ So in original. Probably should be followed by a dash.
/3/ So in original. Probably should be ''paragraph''.
07 USC 7b. Suspension or revocation of designation as ''contract
market''
TITLE 7 -- AGRICULTURE
The failure or refusal of any board of trade to comply with any of
the provisions of this chapter, or any of the rules, regulations, or
orders of the Commission or the commission /1/ thereunder, shall be
cause for suspending for a period not to exceed six months or revoking
the designation of such board of trade as a ''contract market'' in
accordance with the procedure and subject to the judicial review
provided in section 8(b) of this title.
(Sept. 21, 1922, ch. 369, 5b, as added June 15, 1936, ch. 545, 7,
49 Stat. 1498; amended Feb. 19, 1968, Pub. L. 90-258, 13, 82 Stat. 30;
Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (b), 88 Stat. 1392;
Oct. 28, 1992, Pub. L. 102-546, title II, 209(b)(3), 106 Stat. 3607.)
1992 -- Pub. L. 102-546 substituted reference to section 8(b) of
this title for reference to section 8 of this title.
1974 -- Pub. L. 93-463, 103(a), provided for substitution of
''Commission'' for ''Secretary of Agriculture'' except where such words
would be stricken by section 103(b), which directed striking the words
''the Secretary of Agriculture or'' where they appeared in the phrase
''the Secretary of Agriculture or the Commission''. Because the word
''commission'' was not capitalized in the text of this section, section
103(b) did not apply to this section and therefore section 103(a) was
executed, resulting in the substitution of ''the Commission or the
commission'' for ''the Secretary of Agriculture or the commission''.
1968 -- Pub. L. 90-258 substituted ''rules, regulations, or orders
of the Secretary of Agriculture or the commission'' for ''rules and
regulations of the Secretary of Agriculture''.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
/1/ So in original. The words ''or the commission'' probably should
not appear.
07 USC 8. Application for designation as ''contract market''; time;
suspension or revocation of designation; hearing; review by court of
appeals
TITLE 7 -- AGRICULTURE
(a) Any board of trade desiring to be designated a ''contract
market'' shall make application to the Commission for such designation
and accompany the same with a showing that it complies with the
conditions of section 7 of this title, and with a sufficient assurance
that it will continue to comply with the requirements of such section 7.
The Commission shall approve or deny an application for designation as
a contract market within one year of the filing of the application. If
the Commission notifies the board of trade that its application is
materially incomplete and specifies the deficiencies in the application,
the running of the one-year period shall be stayed from the time of such
notification until the application is resubmitted in completed form:
Provided, That the Commission shall have not less than sixty days to
approve or deny the application from the time the application is
resubmitted in completed form. If the Commission denies an application,
it shall specify the grounds for the denial. In the event of a refusal
to designate as a ''contract market'' any board of trade that has made
application therefor, such board of trade shall be afforded an
opportunity for a hearing on the record before the Commission, with the
right to appeal an adverse decision after such hearing to the court of
appeals as provided for in other cases in subsection (b) of this
section.
(b) The Commission is authorized to suspend for a period not to
exceed six months or to revoke the designation of any board of trade as
a ''contract market'' upon a showing that such board of trade is not
enforcing or has not enforced its rules of government made a condition
of its designation as set forth in section 7 of this title or that such
board of trade, or any director, officer, agent, or employee thereof,
otherwise is violating or has violated any of the provisions of this
chapter or any of the rules, regulations, or orders of the Commission or
the Commission /1/ thereunder. Such suspension or revocation shall only
be after a notice to the officers of the board of trade affected and
upon a hearing on the record: Provided, That such suspension or
revocation shall be final and conclusive, unless within fifteen days
after such suspension or revocation by the Commission such board of
trade appeals to the court of appeals for the circuit in which it has
its principal place of business, by filing with the clerk of such court
a written petition praying that the order of the Commission be set aside
or modified in the manner stated in the petition, together with a bond
in such sum as the court may determine, conditioned that such board of
trade will pay the costs of the proceedings if the court so directs.
The clerk of the court in which such a petition is filed shall
immediately cause a copy thereof to be delivered to the Commission and
file in the court the record in such proceedings, as provided in section
2112 of title 28. The testimony and evidence taken or submitted before
the Commission, duly filed as aforesaid as a part of the record, shall
be considered by the court of appeals as the evidence in the case. Such
a court may affirm or set aside the order of the Commission or may
direct it to modify its order. No such order of the Commission shall be
modified or set aside by the court of appeals unless it is shown by the
board of trade that the order is unsupported by the weight of the
evidence or was issued without due notice and a reasonable opportunity
having been afforded to such board of trade for a hearing, or infringes
the Constitution of the United States, or is beyond the jurisdiction of
the Commission.
(Sept. 21, 1922, ch. 369, 6(a), (b), formerly 6(a), 42 Stat. 1001;
June 25, 1948, ch. 646, 32(a), 62 Stat. 991; May 24, 1949, ch. 139,
127, 63 Stat. 107; Aug. 28, 1958, Pub. L. 85-791, 7(a), 72 Stat. 944;
Feb. 19, 1968, Pub. L. 90-258, 14, 15, 82 Stat. 30; Oct. 23, 1974,
Pub. L. 93-463, title I, 103(a)-(c), 88 Stat. 1392; Sept. 30, 1978,
Pub. L. 95-405, 13(1), (2), 92 Stat. 871; Jan. 11, 1983, Pub. L.
97-444, title II, 218, 96 Stat. 2308; Nov. 8, 1984, Pub. L. 98-620,
title IV, 402(3), 98 Stat. 3357; redesignated 6(a), (b) and amended
Oct. 28, 1992, Pub. L. 102-546, title II, 209(a)(1)-(3), title IV,
402(1)(B), (9)(A), 106 Stat. 3606, 3624, 3625.)
Section is composed of subsecs. (a) and (b) of section 6 of act
Sept. 21, 1922. Subsec. (c) of section 6 is classified to sections 9
and 15 of this title. Subsecs. (d) and (e) of section 6 are classified
to sections 13b and 9a of this title, respectively.
1992 -- Pub. L. 102-546, 209(a)(1), (2), designated first par. as
subsec. (a) and redesignated former par. (a) as subsec. (b).
Subsec. (a). Pub. L. 102-546, 209(a)(3), substituted ''subsection
(b)'' for ''paragraph (a)''.
Subsec. (b). Pub. L. 102-546, 402(9)(A), which directed amendment of
first sentence by striking ''the Secretary of Agriculture or'', could
not be executed because of amendment by Pub. L. 93-463, 103(a). See
1974 Amendment note below.
Pub. L. 102-546, 402(1)(B), substituted ''Commission'' for
''commission'' wherever appearing.
1984 -- Par. (a). Pub. L. 98-620 struck out provisions requiring
proceedings in such cases in the court of appeals to be made a preferred
cause and expedited in every way.
1983 -- Pub. L. 97-444 required approval or denial of application
within one year period of filing of application, stay of such period
following notification that application was incomplete and deficient
until resubmission of application, minimum period prior to acting upon
resubmitted application, and specification of grounds for denial of
application.
1978 -- Pub. L. 95-405, 13(1), in provisions before par. (a)
inserted ''on the record'' after ''opportunity for a hearing''.
Par. (a). Pub. L. 95-405, 13(2), inserted ''on the record'' after
''upon a hearing''.
1974 -- Pub. L. 93-463, 103(a), substituted ''Commission'' for
''Secretary of Agriculture'' in first par.
Par. (a). Pub. L. 93-463, 103(c), struck out ''the Secretary of
Agriculture, who shall thereupon notify the other members of'' after
''The clerk of the court in which such a petition is filed shall
immediately cause a copy thereof to be delivered to''.
Pub. L. 93-463, 103(a), provided for substitution of ''Commission''
for ''Secretary of Agriculture'' except where such words would be
stricken by section 103(b), which directed striking the words ''the
Secretary of Agriculture or'' where they appeared in the phrase ''the
Secretary of Agriculture or the Commission''. Because the word
''commission'' was not capitalized in that phrase in par. (a), section
103(b) did not apply to par. (a) and therefore section 103(a) was
executed, resulting in the substitution of ''the Commission or the
commission'' for ''the Secretary of Agriculture or the commission''.
1968 -- Pub. L. 90-258, 14, inserted provision affording any board
of trade refused a contract market designation a hearing before the
Commission with right to appeal in adverse decision to the court of
appeals as provided for in par. (a) of this section at end of first
par.
Par. (a). Pub. L. 90-258, 15, amended par. (a) generally, striking
out such parts both of first sentence and of proviso of last sentence as
described the commission as made up of the Secretary of Agriculture,
Secretary of Commerce, and Attorney General (covered in definition of
''Commission'' in section 2 of this title, including representation of
such officials by their designees), extending grounds for suspension or
revocation of designation to include violations of any provisions of
this chapter or rules, regulations, or orders of the Secretary of
Agriculture or commission, requiring delivery of appeal petitions to
Secretary of Agriculture rather than any member of the commission, who
would notify the other members, and filing of commission records of
proceedings on appeal by the Secretary of Agriculture and not the
commission, striking out provisions describing Secretary of Agriculture
as Chairman (now found in section 2 of this title), superseding such
part of proviso of seventh sentence as authorized appeals to the
commission from Secretary of Agriculture's refusal of a contract market
designation by provisions of first par. of this section, and striking
out such other part as made decision of court on appeal from commission
final and binding on the parties.
1958 -- Pub. L. 85-791 substituted ''thereupon file in the court the
record in such proceedings, as provided in section 2112 of title 28''
for ''forthwith prepare, certify, and file in the court a full and
accurate transcript of the record in such proceedings including the
notice to the board of trade, a copy of the charges, the evidence, and
the report and order'' in third notice, and struck out ''certified and''
after ''duly'' in fourth sentence.
Act June 25, 1948, as amended by act May 24, 1949, substituted
''court of appeals'' for ''circuit court of appeals'' wherever appearing
in this section.
Amendment by Pub. L. 98-620 not applicable to cases pending on Nov.
8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective
Date note under section 1657 of Title 28, Judiciary and Judicial
Procedure.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
Cease and desist orders, review of, see section 13a of this title.
Orders with respect to exclusion from boards of trade of cooperative
associations and corporations, review of under the procedure provided in
this section, see section 10a of this title.
Suspension or revocation of designation as contract market in
accordance with procedure and subject to judicial review provided in
this section, see section 7b of this title.
/1/ So in original. The words ''or the Commission'' probably should
not appear.
07 USC 9. Exclusion of persons from privilege of ''contract markets'';
procedure for exclusion; review by court of appeals
TITLE 7 -- AGRICULTURE
If the Commission has reason to believe that any person (other than a
contract market) is manipulating or attempting to manipulate or has
manipulated or attempted to manipulate the market price of any
commodity, in interstate commerce, or for future delivery on or subject
to the rules of any contract market, or has willfully made any false or
misleading statement of a material fact in any registration application
or any report filed with the Commission under this chapter, or willfully
omitted to state in any such application or report any material fact
which is required to be stated therein, or otherwise is violating or has
violated any of the provisions of this chapter or of the rules,
regulations, or orders of the Commission or the Commission /1/
thereunder, it may serve upon such person a complaint stating its
charges in that respect, which complaint shall have attached or shall
contain therein a notice of hearing, specifying a day and place not less
than three days after the service thereof, requiring such person to show
cause why an order should not be made prohibiting him from trading on or
subject to the rules of any contract market, and directing that all
contract markets refuse all trading privileges to such person, until
further notice of the Commission, and to show cause why the registration
of such person, if registered with the Commission in any capacity,
should not be suspended or revoked. Said hearing may be held in
Washington, District of Columbia, or elsewhere, before the Commission,
or before an Administrative Law Judge designated by the Commission,
which Administrative Law Judge shall cause all evidence to be reduced to
writing and forthwith transmit the same to the Commission. Upon
evidence received, the Commission may (1) prohibit such person from
trading on or subject to the rules of any contract market and require
all contract markets to refuse such person all trading privileges
thereon for such period as may be specified in the order, (2) if such
person is registered with the Commission in any capacity, suspend, for a
period not to exceed six months, or revoke, the registration of such
person, (3) assess such person a civil penalty of not more than the
higher of $100,000 or triple the monetary gain to such person for each
such violation /2/ and (4) require restitution to customers of damages
proximately caused by violations of such persons. Notice of such order
shall be sent forthwith by registered mail or by certified mail or
delivered to the offending person and to the governing boards of said
contract markets. After the issuance of the order by the Commission,
the person against whom it is issued may obtain a review of such order
or such other equitable relief as to the court may seem just by filing
in the United States court of appeals of the circuit in which the
petitioner is doing business, or in the case of an order denying
registration, the circuit in which the petitioner's principal place of
business listed on petitioner's application for registration is located,
a written petition, within fifteen days after the notice of such order
is given to the offending person praying that the order of the
Commission be set aside. A copy of such petition shall be forthwith
transmitted by the clerk of the court to the Commission and thereupon
the Commission shall file in the court the record theretofore made, as
provided in section 2112 of title 28. Upon the filing of the petition
the court shall have jurisdiction to affirm, to set aside, or modify the
order of the Commission, and the findings of the Commission as to the
facts, if supported by the weight of evidence, shall in like manner be
conclusive.
(Sept. 21, 1922, ch. 369, 6(c), formerly 6(b), 42 Stat. 1002; June
15, 1936, ch. 545, 8(a)-(d), (h)-(j), 49 Stat. 1498, 1499; June 25,
1948, ch. 646, 32(a), 62 Stat. 991; May 24, 1949, ch. 139, 127, 63
Stat. 107; Aug. 28, 1958, Pub. L. 85-791, 7(b), 72 Stat. 944; June
11, 1960, Pub. L. 86-507, 1(2), 74 Stat. 200; Feb. 19, 1968, Pub. L.
90-258, 16, 82 Stat. 30; Oct. 23, 1974, Pub. L. 93-463, title I,
103(a), (b), (e), title II, 204(b), 205(b), 212(a)(1), (2), title IV,
408, 88 Stat. 1392, 1397, 1400, 1403, 1414; Jan. 11, 1983, Pub. L.
97-444, title II, 219, 96 Stat. 2308; redesignated 6(c) and amended
Oct. 28, 1992, Pub. L. 102-546, title II, 209(a)(1), 212(b), 223,
title IV, 402(1)(C), (6), (9)(B), 106 Stat. 3606, 3609, 3617, 3624,
3625.)
Section is composed of part of subsec. (c) of section 6 of act Sept.
21, 1922. A further provision of subsec. (c) is contained in section
15 of this title. Subsecs. (a) and (b) of section 6 are classified to
section 8 of this title. Subsecs. (d) and (e) of section 6 are
classified to sections 13b and 9a of this title, respectively.
1992 -- Pub. L. 102-546, 402(9)(B), which directed amendment of
first sentence by striking ''the Secretary of Agriculture or'', could
not be executed because of amendment by Pub. L. 93-463, 103(a). See
1974 Amendment note below.
Pub. L. 102-546, 209(a)(1), 212(b), 223, 402(1)(C), (6),
substituted, in first sentence, ''Commission thereunder'' for
''commission thereunder'', in sentence beginning ''Upon evidence
received'', inserted ''(1)'', substituted ''(2) if'' for ''and, if'',
''suspend'' for ''may suspend'', ''(3)'' for ''and may'', ''the higher
of $100,000 or triple the monetary gain to such person'' for
''$100,000'', and inserted before period ''and (4) require restitution
to customers of damages proximately caused by violations of such
persons'', and in sentence beginning ''After the issuance'', substituted
''offending person'' for ''offending person.''.
1983 -- Pub. L. 97-444 struck out ''as futures commission merchant
or any person associated therewith as described in section 6k of this
title, commodity trading advisor, commodity pool operator, or as floor
broker hereunder'' after ''such person, if registered'' and also after
''such person is registered'' and inserted '', or in the case of an
order denying registration, the circuit in which the petitioner's
principal place of business listed on petitioner's application for
registration is located,'' after ''court of appeals of the circuit in
which the petitioner is doing business''.
1974 -- Pub. L. 93-463, 103(e), 204(b), 205(b), 212(a)(1), (2),
408, substituted ''it'' for ''he'', inserted ''or any person associated
therewith as described in section 6k of this title,'' after ''futures
commission merchant'' wherever appearing, inserted ''commodity trading
advisor, commodity pool operator'' before ''or as floor broker''
wherever appearing, inserted provision for the assessment of civil
penalties of not more than $100,000 for each violation, set a limit of
fifteen days after the issuance of an order within which period the
person against whom the order was issued must file with the court of
appeals his petition that the order be set aside, and substituted ''an
Administrative Law Judge'' and ''Administrative Law Judge'' for ''a
referee'' and ''referee'', respectively.
Pub. L. 93-463, 103(a), provided for substitution of ''Commission''
for ''Secretary of Agriculture'' except where such words would be
stricken by section 103(b), which directed striking the words ''the
Secretary of Agriculture or'' where they appeared in the phrase ''the
Secretary of Agriculture or the Commission''. Section 103(a) was
executed wherever the term ''Secretary of Agriculture'' appeared in this
section including in the phrase ''the Secretary of Agriculture or the
commission'' in the first sentence. Because the word ''commission'' was
not capitalized in that phrase in the first sentence, section 103(b) did
not apply to that phrase and therefore section 103(a) was executed,
resulting in the substitution of ''the Commission or the commission''
for ''the Secretary of Agriculture or the commission''.
1968 -- Pub. L. 90-258 amended first sentence generally, providing
for denial of trading privileges to persons other than contract markets
and suspension or revocation of registration of futures commission
merchants and floor brokers, who are manipulating or have attempted to
manipulate prices, for willful, material, misstatements in, or omissions
from, reports or registration statements, and for violations of orders
of Secretary of Agriculture or commission, and authorizing the Secretary
to prohibit such persons from trading on or subject to rules of any
contract market.
1960 -- Pub. L. 86-507 inserted ''or by certified mail'' after
''registered mail''.
1958 -- Pub. L. 85-791 substituted ''transmitted by the clerk of the
court to the Secretary of Agriculture and thereupon the Secretary of
Agriculture shall file in the court the record theretofore made, as
provided in section 2112 of Title 28'' for ''served upon the Secretary
of Agriculture by delivering such copy to him and thereupon the
Secretary of Agriculture shall forthwith certify and file in the court a
transcript of the record theretofore made, including evidence received''
in seventh sentence, and substituted ''petition'' for ''transcript'' in
eighth sentence.
1936 -- Act June 15, 1936, among other changes, amended section by
inserting provisions relating to the service of complaints and penalties
for violations of this chapter.
Act June 25, 1948, as amended by act May 24, 1949, substituted
''court of appeals'' for ''circuit court of appeals'' wherever appearing
in this section.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of act June 15, 1936, set out as a note under
section 1 of this title.
Conditional requirements for designation of board of trade as
''contract market'', see section 7 of this title.
Suspension or revocation of registration as futures commission
merchant for accepting orders from person denied trading privileges
pursuant to order under provisions of this section, see section 12a of
this title.
/1/ So in original. The words ''or the Commission'' probably should
not appear.
/2/ So in original. Probably should be followed by a comma.
07 USC 9a. Assessment of money penalties
TITLE 7 -- AGRICULTURE
(1) In determining the amount of the money penalty assessed under
section 9 of this title, the Commission shall consider the
appropriateness of such penalty to the gravity of the violation.
(2) Unless the person against whom a money penalty is assessed under
section 9 of this title shows to the satisfaction of the Commission
within fifteen days from the expiration of the period allowed for
payment of such penalty that either an appeal as authorized by section 9
of this title has been taken or payment of the full amount of the
penalty then due has been made, at the end of such fifteen-day period
and until such person shows to the satisfaction of the Commission that
payment of such amount with interest thereon to date of payment has been
made --
(A) such person shall be prohibited automatically from trading on all
contract markets; and
(B) if such person is registered with the Commission, such
registration shall be suspended automatically.
(3) If a person against whom a money penalty is assessed under
section 9 of this title takes an appeal and if the Commission prevails
or the appeal is dismissed, unless such person shows to the satisfaction
of the Commission that payment of the full amount of the penalty then
due has been made by the end of thirty days from the date of entry of
judgment on the appeal --
(A) such person shall be prohibited automatically from trading on all
contract markets; and
(B) if such person is registered with the Commission, such
registration shall be suspended automatically.
If the person against whom the money penalty is assessed fails to pay
such penalty after the lapse of the period allowed for appeal or after
the affirmance of such penalty, the Commission may refer the matter to
the Attorney General who shall recover such penalty by action in the
appropriate United States district court.
(Sept. 21, 1922, ch. 369, 6(e), formerly 6(d), as added Oct. 23,
1974, Pub. L. 93-463, title II, 212(a)(3), 88 Stat. 1403; redesignated
6(e) and amended Oct. 28, 1992, Pub. L. 102-546, title II, 209(a)(1),
(5), 106 Stat. 3606.)
Section 9 of this title, referred to in text, was in the original
''subsection (c)'' meaning section 6(c) of act Sept. 21, 1922, ch.
369, which is classified to sections 9 and 15 of this title. See
Codification note set out below.
Section is composed of subsec. (e) of section 6 of act Sept. 21,
1922. Subsecs. (a) and (b) of section 6 are classified to section 8 of
this title. Subsec. (c) of section 6 is classified to sections 9 and 15
of this title. Subsec. (d) of section 6 is classified to section 13b of
this title.
1992 -- Pub. L. 102-546 amended section generally. Prior to
amendment, section read as follows: ''In determining the amount of the
money penalty assessed under section 9 of this title, the Commission
shall consider, in the case of a person whose primary business involves
the use of the commodity futures market -- the appropriateness of such
penalty to the size of the business of the person charged, the extent of
such person's ability to continue in business, and the gravity of the
violation; and in the case of a person whose primary business does not
involve the use of the commodity futures market -- the appropriateness
of such penalty to the net worth of the person charged, and the gravity
of the violation. If the offending person upon whom such penalty is
imposed, after the lapse of the period allowed for appeal or after the
affirmance of such penalty, shall fail to pay such penalty the
Commission shall refer the matter to the Attorney General who shall
recover such penalty by action in the appropriate United States district
court.''
For effective date of section, see section 418 of Pub. L. 93-463,
set out as an Effective Date of 1974 Amendment note under section 2 of
this title.
07 USC 10. Repealed. June 25, 1948, ch. 646, 39, 62 Stat. 992, eff.
Sept. 1, 1948
TITLE 7 -- AGRICULTURE
Section, acts Sept. 21, 1922, ch. 369, 6(b), 42 Stat. 1001; June
15, 1936, ch. 545, 8(k), 49 Stat. 1499, related to review by Supreme
Court on certiorari. See section 1254 of Title 28, Judiciary and
Judicial Procedure.
07 USC 10a. Cooperative associations and corporations, exclusion from
board of trade; rules of board inapplicable to payment of compensation
by association
TITLE 7 -- AGRICULTURE
(a) No board of trade which has been designated as a ''contract
market'' shall exclude from membership in, and all privileges on, such
board of trade, any association or corporation engaged in cash commodity
business having adequate financial responsibility which is organized
under the cooperative laws of any State, or which has been recognized as
a cooperative association of producers by the United States Government
or by any agency thereof, if such association or corporation complies
and agrees to comply with such terms and conditions as are or may be
imposed lawfully upon other members of such board, and as are or may be
imposed lawfully upon a cooperative association of producers engaged in
cash commodity business, unless such board of trade is authorized by the
commission to exclude such association or corporation from membership
and privileges after hearing held upon at least three days' notice
subsequent to the filing of complaint by the board of trade: Provided,
however, That if any such association or corporation shall fail to meet
its obligations with any established clearing house or clearing agency
of any contract market, such association or corporation shall be ipso
facto debarred from further trading on such contract market, except such
trading as may be necessary to close open trades and to discharge
existing contracts in accordance with the rules of such contract market
applicable in such cases. Such commission may prescribe that such
association or corporation shall have and retain membership and
privileges, with or without imposing conditions, or it may permit such
board of trade immediately to bar such association or corporation from
membership and privileges. Any order of said commission entered
hereunder shall be reviewable by the court of appeals for the circuit in
which such association or corporation, or such board of trade, has its
principal place of business, on written petition either of such
association or corporation, or of such board of trade, under the
procedure provided in section 8(b) of this title, but such order shall
not be stayed by the court pending review.
(b) No rule of any board of trade designated as a contract market
shall forbid or be construed to forbid the payment of compensation on a
commodity-unit basis, or otherwise, by any federated cooperative
association to its regional member-associations for services rendered or
to be rendered in connection with any organization work, educational
activity, or procurement of patronage, provided no part of any such
compensation is returned to patrons (whether members or nonmembers) of
such cooperative association, or of its regional or local
member-associations, otherwise than as a dividend on capital stock or as
a patronage dividend out of the net earnings or surplus of such
federated cooperative association.
(Sept. 21, 1922, ch. 369, 6a, as added June 15, 1936, ch. 545, 9,
49 Stat. 1499; amended June 25, 1948, ch. 646, 32(a), 62 Stat. 991;
May 24, 1949, ch. 139, 127, 63 Stat. 107; Oct. 28, 1992, Pub. L.
102-546, title II, 209(b)(4), title IV, 402(8), 106 Stat. 3607, 3625.)
1992 -- Pub. L. 102-546 redesignated subsecs. (1) and (2) as (a)
and (b), respectively, and in subsec. (a) substituted reference to
section 8(b) of this title for reference to section 8 of this title.
Act June 25, 1948, as amended by act May 24, 1949, substituted
''court of appeals'' for ''circuit court of appeals'' wherever
appearing.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
07 USC 11. Vacation on request of designation as ''contract market'';
redesignation
TITLE 7 -- AGRICULTURE
Any board of trade that has been designated a contract market in the
manner provided in this chapter may have such designation vacated and
set aside by giving notice in writing to the Commission requesting that
its designation as a contract market be vacated, which notice shall be
served at least ninety days prior to the date named therein as the date
when the vacation of designation shall take effect. Upon receipt of
such notice the Commission shall forthwith order the vacation of the
designation of such board of trade as a contract market, effective upon
the day named in the notice, and shall forthwith send a copy of the
notice and its order to all other contract markets. From and after the
date upon which the vacation became effective the said board of trade
can thereafter be designated again a contract market by making
application to the Commission in the manner in this chapter provided for
an original application.
(Sept. 21, 1922, ch. 369, 7, 42 Stat. 1002; Oct. 23, 1974, Pub. L.
93-463, title I, 103(a), (e), 88 Stat. 1392.)
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture'' and ''its order'' for ''his order''.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
07 USC 12. Public disclosure
TITLE 7 -- AGRICULTURE
(a) Investigations respecting operations of boards of trade and
others subject to this chapter; publication of results; restrictions;
information received from foreign futures authorities; undercover
operations
(1) For the efficient execution of the provisions of this chapter,
and in order to provide information for the use of Congress, the
Commission may make such investigations as it deems necessary to
ascertain the facts regarding the operations of boards of trade and
other persons subject to the provisions of this chapter. The Commission
may publish from time to time the results of any such investigation and
such general statistical information gathered therefrom as it deems of
interest to the public: Provided, That except as otherwise specifically
authorized in this chapter, the Commission may not publish data and
information that would separately disclose the business transactions or
market positions of any person and trade secrets or names of customers:
Provided further, That the Commission may withhold from public
disclosure any data or information concerning or obtained in connection
with any pending investigation of any person. The Commission shall not
be compelled to disclose any information or data obtained from a foreign
futures authority if --
(A) the foreign futures authority has in good faith determined and
represented to the Commission that disclosure of such information or
data by that foreign futures authority would violate the laws applicable
to that foreign futures authority; and
(B) the Commission obtains such information pursuant to --
(i) such procedure as the Commission may authorize for use in
connection with the administration or enforcement of this chapter; or
(ii) a memorandum of understanding with that foreign futures
authority;
except that nothing in this subsection shall prevent the Commission
from disclosing publicly any information or data obtained by the
Commission from a foreign futures authority when such disclosure is made
in connection with a congressional proceeding, an administrative or
judicial proceeding commenced by the United States or the Commission, in
any receivership proceeding commenced involving a receiver appointed in
a judicial proceeding by the United States or the Commission, or in any
proceeding under title 11 in which the Commission has intervened or in
which the Commission has the right to appear and be heard. Nothing in
this subsection shall be construed to authorize the Commission to
withhold information or data from Congress. For purposes of section 552
of title 5, this subsection shall be considered a statute described in
subsection (b)(3)(B) of section 552.
(2) In conducting investigations authorized under this subsection or
any other provision of this chapter, the Commission shall continue, as
the Commission determines necessary, to request the assistance of and
cooperate with the appropriate Federal agencies in the conduct of such
investigations, including undercover operations by such agencies. The
Commission and the Department of Justice shall assess the effectiveness
of such undercover operations and, within two years of October 28, 1992,
shall recommend to Congress any additional undercover or other authority
for the Commission that the Commission or the Department of Justice
believes to be necessary.
(b) Business matters; congressional, administrative, judicial, and
bankruptcy proceedings
The Commission may disclose publicly any data or information that
would separately disclose the market positions, business transactions,
trade secrets, or names of customers of any person when such disclosure
is made in connection with a congressional proceeding, in an
administrative or judicial proceeding brought under this chapter, in any
receivership proceeding involving a receiver appointed in a judicial
proceeding brought under this chapter, or in any bankruptcy proceeding
in which the Commission has intervened or in which the Commission has
the right to appear and be heard under title 11. This subsection shall
not apply to the disclosure of data or information obtained by the
Commission from a foreign futures authority.
(c) Reports respecting conduct of boards of trade or transactions of
violators; contents
The Commission may make or issue such reports as it deems necessary,
or such opinions or orders as may be required under other provisions of
law, relative to the conduct of any board of trade or to the
transactions of any person found guilty of violating the provisions of
this chapter or the rules, regulations, or orders of the Commission
thereunder in proceedings brought under sections 8, 9 and 15 of this
title. In any such report or opinion, the Commission may set forth the
facts as to any actual transaction or any information referred to in
subsection (b) of this section, if such facts or information have
previously been disclosed publicly in connection with a congressional
proceeding, or in an administrative or judicial proceeding brought under
this chapter.
(d) Investigations respecting marketing conditions of commodities and
commodity products and byproducts; reports
The Commission, upon its own initiative or in cooperation with
existing governmental agencies, shall investigate the marketing
conditions of commodities and commodity products and byproducts,
including supply and demand for these commodities, cost to the consumer,
and handling and transportation charges. It shall also compile and
furnish to producers, consumers, and distributors, by means of regular
or special reports, or by such other methods as it deems most effective,
information respecting the commodity markets, together with information
on supply, demand, prices, and other conditions in this and other
countries that affect the markets.
(e) Names and addresses of traders of boards of trade previously
disclosed; disclosure to Congress and agencies or departments of States
or foreign governments or foreign futures authority
The Commission may disclose and make public, where such information
has previously been disclosed publicly in accordance with the provisions
of this section, the names and addresses of all traders on the boards of
trade on the commodity markets with respect to whom the Commission has
information, and any other information in the possession of the
Commission relating to the amount of commodities purchased or sold by
each such trader. Upon the request of any committee of either House of
Congress, acting within the scope of its jurisdiction, the Commission
shall furnish to such committee the names and addresses of all traders
on such boards of trade with respect to whom the Commission has
information, and any other information in the possession of the
Commission relating to the amount of any commodity purchased or sold by
each such trader. Upon the request of any department or agency of the
Government of the United States, acting within the scope of its
jurisdiction, the Commission may furnish to such department or agency
any information in the possession of the Commission obtained in
connection with the administration of this chapter. However, any
information furnished under this subsection to any Federal department or
agency shall not be disclosed by such department or agency except in any
action or proceeding under the laws of the United States to which it,
the Commission, or the United States is a party. Upon the request of
any department or agency of any State or any political subdivision
thereof, acting within the scope of its jurisdiction, any foreign
futures authority, or any department or agency of any foreign government
or any political subdivision thereof, acting within the scope of its
jurisdiction, the Commission may furnish to such foreign futures
authority, department or agency any information in the possession of the
Commission obtained in connection with the administration of this
chapter. Any information furnished to any department or agency of any
State or political subdivision thereof shall not be disclosed by such
department or agency except in connection with an adjudicatory action or
proceeding brought under this chapter or the laws of such State or
political subdivision to which such State or political subdivision or
any department or agency thereof is a party. The Commission shall not
furnish any information to a foreign futures authority or to a
department or agency of a foreign government or political subdivision
thereof unless the Commission is satisfied that the information will not
be disclosed by such foreign futures authority, department or agency
except in connection with an adjudicatory action or proceeding brought
under the laws of such foreign government or political subdivision to
which such foreign government or political subdivision or any department
or agency thereof, or foreign futures authority. /1/ is a party.
(f) Compliance with subpoena after notice to informant;
congressional subpoenas and requests for information excepted
The Commission shall disclose information in its possession pursuant
to a subpoena or summons only if --
(1) a copy of the subpoena or summons has been mailed to the last
known home or business address of the person who submitted the
information that is the subject of the subpoena or summons, if the
address is known to the Commission, or, if such mailing would be unduly
burdensome, the Commission provides other appropriate notice of the
subpoena or summons to such person, and
(2) at least fourteen days have expired from the date of such mailing
of the subpoena or summons, or such other notice.
This subsection shall not apply to congressional subpoenas or
congressional requests for information.
(g) Requests for information by State agencies or subdivisions;
volunteering of information by Commission
The Commission shall provide any registration information maintained
by the Commission on any registrant upon reasonable request made by any
department or agency of any State or any political subdivision thereof.
Whenever the Commission determines that such information may be
appropriate for use by any department or agency of a State or political
subdivision thereof, the Commission shall provide such information
without request.
(h) Annual report to Congress
The Commission shall submit to Congress a written report within one
hundred and twenty days after the end of each fiscal year detailing the
operations of the Commission during such fiscal year. The Commission
shall include in such report such information, data, and legislative
recommendations as it deems advisable with respect to the administration
of this chapter and its powers and functions under this chapter.
(i) Review and audits by Comptroller General
The Comptroller General of the United States shall conduct reviews
and audits of the Commission and make reports thereon. For the purpose
of conducting such reviews and audits, the Comptroller General shall be
furnished such information regarding the powers, duties, organizations,
transactions, operations, and activities of the Commission as the
Comptroller General may require and the Comptroller General and the duly
authorized representatives of the Comptroller General shall, for the
purpose of securing such information, have access to and the right to
examine any books, documents, papers, or records of the Commission,
except that in reports the Comptroller General shall not include data
and information that would separately disclose the business transactions
of any person and trade secrets or names of customers, although such
data shall be provided upon request by any committee of either House of
Congress acting within the scope of its jurisdiction.
(Sept. 21, 1922, ch. 369, 8, 42 Stat. 1003; June 15, 1936, ch.
545, 2, 49 Stat. 1491; Feb. 19, 1968, Pub. L. 90-258, 19(a), 82 Stat.
32; Oct. 23, 1974, Pub. L. 93-463, title I, 103(a), (e), 88 Stat.
1392; Sept. 30, 1978, Pub. L. 95-405, 16, 92 Stat. 873; Jan. 11,
1983, Pub. L. 97-444, title II, 222, 96 Stat. 2309; Oct. 28, 1992,
Pub. L. 102-546, title II, 205, title III, 304, 305, title IV,
402(7), 106 Stat. 3600, 3623, 3624.)
Sections 8, 9, and 15 of this title, referred to in subsec. (c),
were in the original ''section 6 of this Act'' meaning section 6 of act
Sept. 21, 1922, ch. 369, which is classified to sections 8, 9, 9a,
13b, and 15 of this title. See Codification note set out under section
8 of this title.
Section is first paragraph of section 8 of act Sept. 21, 1922.
Second, third, and fourth paragraphs of section 8 are classified to
sections 12-1, 12-2, and 12-3 of this title, respectively.
1992 -- Subsec. (a). Pub. L. 102-546, 205, 304(1), designated
existing provisions as par. (1), inserted provisions at end relating to
disclosure of information received from foreign futures authorities, and
added par. (2).
Subsec. (b). Pub. L. 102-546, 304(2), inserted at end ''This
subsection shall not apply to the disclosure of data or information
obtained by the Commission from a foreign futures authority.''
Subsec. (e). Pub. L. 102-546, 305, inserted references to foreign
futures authority in fifth and last sentences.
Subsec. (f). Pub. L. 102-546, 402(7), substituted ''subpoena'' for
''subpena'' wherever appearing and ''subpoenas'' for ''subpenas'' in
last sentence.
1983 -- Subsec. (a). Pub. L. 97-444, 222(1), inserted proviso
authorizing Commission to withhold from public disclosure any data or
information concerning or obtained in connection with any pending
investigation of any person.
Subsec. (b). Pub. L. 97-444, 222(2), inserted references to
receivership proceedings involving a receiver appointed in a judicial
proceeding brought under this chapter and to bankruptcy proceedings in
which the Commission has intervened or in which Commission has right to
appear and be heard under title 11.
Subsec. (e). Pub. L. 97-444, 222(3), struck out ''of the Executive
Branch'' after ''Upon the request of any department or agency'' and
inserted ''Upon the request of any department or agency of any State or
any political subdivision thereof, acting within the scope of its
jurisdiction, or any department or agency of any foreign government or
any political subdivision thereof, acting within the scope of its
jurisdiction, the Commission may furnish to such department or agency
any information in the possession of the Commission obtained in
connection with the administration of this chapter. Any information
furnished to any department or agency of any State or political
subdivision thereof shall not be disclosed by such department or agency
except in connection with an adjudicatory action or proceeding brought
under this chapter or the laws of such State or political subdivision to
which such State or political subdivision or any department or agency
thereof is a party. The Commission shall not furnish any information to
a department or agency of a foreign government or political subdivision
thereof unless the Commission is satisfied that the information will not
be disclosed by such department or agency except in connection with an
adjudicatory action or proceeding brought under the laws of such foreign
government or political subdivision to which such foreign government or
political subdivision or any department or agency thereof is a party.''
Subsecs. (f), (g). Pub. L. 97-444, 222(5), added subsecs. (f) and
(g). Former subsecs. (f) and (g) were redesignated (h) and (i),
respectively.
Subsecs. (h), (i). Pub. L. 97-444, 222(4), redesignated former
subsecs. (f) and (g) as (h) and (i), respectively.
1978 -- Pub. L. 95-405 consolidated under this section provisions
formerly contained in this section and sections 12-1, 12-2, and 12-3 of
this title, generally revised provisions thus consolidated to clarify
and expand disclosure to public of traders and their positions on boards
of trade, and divided provisions thus consolidated and revised into
subsecs. (a) to (g).
1974 -- Pub. L. 93-463 substituted ''Commission'' for ''Secretary of
Agriculture'', ''it'' for ''he'', ''its'' for ''his'', and ''It'' for
''He''.
1968 -- Pub. L. 90-258 authorized investigations to ascertain facts
regarding operations of other persons subject to any provisions of this
chapter.
1936 -- Act June 15, 1936, substituted ''commodity'' for ''grain''
wherever appearing.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
Amendment by act June 15, 1936, effective 90 days after June 15,
1936, see section 13 of act June 15, 1936, set out as a note under
section 1 of this title.
Publication of harmful acts notwithstanding the provisions of this
section, see section 12a of this title.
/1/ So in original. The period probably should be a comma.
07 USC 12-1 to 12-3. Omitted
TITLE 7 -- AGRICULTURE
Sections 12-1 to 12-3 comprised the second, third, and fourth
paragraphs, respectively, of section 8 of the Commodity Exchange Act,
Sept. 21, 1922, ch. 369, 8, 42 Stat. 1003. Such section 8 was
amended generally by Pub. L. 95-405, 16, Sept. 30, 1978, 92 Stat.
873, and is classified in its entirety to section 12 of this title.
Section 12-1, as added Dec. 19, 1947, ch. 523, 61 Stat. 941;
amended Feb. 19, 1968, Pub. L. 90-258, 19(b), 82 Stat. 32; Oct.
23, 1974, Pub. L. 93-463, title I, 103(a), (e), (f), 88 Stat. 1392,
related to disclosure of names of traders on the commodity markets by
Commission. See section 12(e) of this title.
Section 12-2, as added Oct. 23, 1974, Pub. L. 93-463, title I,
105, 88 Stat. 1392, required an annual report to Congress. See section
12(h) of this title.
Section 12-3, as added Oct. 23, 1974, Pub. L. 93-463, title I,
105, 88 Stat. 1392, related to reviews and audits by the Comptroller
General. See section 12(i) of this title.
07 USC 12a. Registration of commodity dealers and associated persons;
regulation of contract markets
TITLE 7 -- AGRICULTURE
The Commission is authorized --
(1) to register futures commission merchants, associated persons of
futures commission merchants, introducing brokers, associated persons of
introducing brokers, commodity trading advisors, associated persons of
commodity trading advisors, commodity pool operators, associated persons
of commodity pool operators, floor brokers, and floor traders upon
application in accordance with rules and regulations and in the form and
manner to be prescribed by the Commission, which may require the
applicant, and such persons associated with the applicant as the
Commission may specify, to be fingerprinted and to submit, or cause to
be submitted, such fingerprints to the Attorney General for
identification and appropriate processing, and in connection therewith
to fix and establish from time to time reasonable fees and charges for
registrations and renewals thereof: Provided, That notwithstanding any
provision of this chapter, the Commission may grant a temporary license
to any applicant for registration with the Commission pursuant to such
rules, regulations, or orders as the Commission may adopt, except that
the term of any such temporary license shall not exceed six months from
the date of its issuance;
(2) upon notice, but without a hearing and pursuant to such rules,
regulations, or orders as the Commission may adopt, to refuse to
register, to register conditionally, or to suspend or place restrictions
upon the registration of, any person and with such a hearing as may be
appropriate to revoke the registration of any person --
(A) if a prior registration of such person in any capacity has been
suspended (and the period of such suspension has not expired) or has
been revoked;
(B) if registration of such person in any capacity has been refused
under the provisions of paragraph (3) of this section within five years
preceding the filing of the application for registration or at any time
thereafter;
(C) if such person is permanently or temporarily enjoined by order,
judgment, or decree of any court of competent jurisdiction (except that
registration may not be revoked solely on the basis of such temporary
order, judgment, or decree), including an order entered pursuant to an
agreement of settlement to which the Commission or any Federal or State
agency or other governmental body is a party, from (i) acting as a
futures commission merchant, introducing broker, floor broker, floor
trader, commodity trading advisor, commodity pool operator, associated
person of any registrant under this chapter, securities broker,
securities dealer, municipal securities broker, municipal securities
dealer, transfer agent, clearing agency, securities information
processor, investment adviser, investment company, or affiliated person
or employee of any of the foregoing or (ii) engaging in or continuing
any activity where such activity involves embezzlement, theft,
extortion, fraud, fraudulent conversion, misappropriation of funds,
securities or property, forgery, counterfeiting, false pretenses,
bribery, gambling, or any transaction in or advice concerning contracts
of sale of a commodity for future delivery, concerning matters subject
to Commission regulation under section 6c or 23 of this title, or
concerning securities;
(D) if such person has been convicted within ten years preceding the
filing of the application for registration or at any time thereafter of
any felony that (i) involves any transactions or advice concerning any
contract of sale of a commodity for future delivery, or any activity
subject to Commission regulation under section 6c or 23 of this title,
or concerning a security, (ii) arises out of the conduct of the business
of a futures commission merchant, introducing broker, floor broker,
floor trader, commodity trading advisor, commodity pool operator,
associated person of any registrant under this chapter, securities
broker, securities dealer, municipal securities broker, municipal
securities dealer, transfer agent, clearing agency, securities
information processor, investment adviser, investment company, or an
affiliated person or employee of any of the foregoing, (iii) involves
embezzlement, theft, extortion, fraud, fraudulent conversion,
misappropriation of funds, securities or property, forgery,
counterfeiting, false pretenses, bribery, or gambling, or (iv) involves
the violation of section 152, 1001, 1341, 1342, 1343, 1503, 1623, 1961,
1962, 1963, or 2314, or chapter 25, 47, 95, or 96 of title 18, or
section 7201 or 7206 of title 26;
(E) if such person, within ten years preceding the filing of the
application or at any time thereafter, has been found in a proceeding
brought by the Commission or any Federal or State agency or other
governmental body, or by agreement of settlement to which the Commission
or any Federal or State agency or other governmental body is a party,
(i) to have violated any provision of this chapter, the Securities Act
of 1933 (15 U.S.C. 77a et seq.), the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.), the Public Utility Holding Company Act of 1935 (15
U.S.C. 79 et seq.), the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et
seq.), the Investment Advisers Act of 1940 (15 U.S.C. 80b-1 et seq.),
the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq.), the
Securities Investors /1/ Protection Act of 1970 (15 U.S.C. 78aaa et
seq.), the Foreign Corrupt Practices Act of 1977, chapter 96 of title
18, or any similar statute of a State or foreign jurisdiction, or any
rule, regulation, or order under any such statutes, or the rules of the
Municipal Securities Rulemaking Board where such violation involves
embezzlement, theft, extortion, fraud, fraudulent conversion,
misappropriation of funds, securities or property, forgery,
counterfeiting, false pretenses, bribery, or gambling, or (ii) to have
willfully aided, abetted, counseled, commanded, induced, or procured
such violation by any other person;
(F) if such person is subject to an outstanding order of the
Commission denying trading privileges on any contract market to such
person, denying, suspending, or revoking such person's membership in any
contract market or registered futures association, or barring or
suspending such person from being associated with a registrant under
this chapter or with a member of a contract market or with a member of a
registered futures association;
(G) if, as to any of the matters set forth in this paragraph and
paragraph (3), such person willfully made any materially false or
misleading statement or omitted to state any material fact in such
person's application or any update thereto; or
(H) if refusal, suspension, or revocation of the registration of any
principal of such person would be warranted because of a statutory
disqualification listed in this paragraph:
Provided, That such person may appeal from a decision to refuse
registration, condition registration, suspend, revoke or to place
restrictions upon registration made pursuant to the provisions of this
paragraph in the manner provided in section 9 of this title; and
Provided, further, That for the purposes of paragraphs (2) and (3) of
this section, ''principal'' shall mean, if the person is a partnership,
any general partner or, if the person is a corporation, any officer,
director, or beneficial owner of at least 10 per centum of the voting
shares of the corporation, and any other person that the Commission by
rule, regulation, or order determines has the power, directly or
indirectly, through agreement or otherwise, to exercise a controlling
influence over the activities of such person which are subject to
regulation by the Commission;
(3) to refuse to register or to register conditionally any person, if
it is found, after opportunity for hearing, that --
(A) such person has been found by the Commission or by any court of
competent jurisdiction to have violated, or has consented to findings of
a violation of, any provision of this chapter, or any rule, regulation,
or order thereunder (other than a violation set forth in paragraph (2)
of this section), or to have willfully aided, abetted, counseled,
commanded, induced, or procured the violation by any other person of any
such provision;
(B) such person has been found by any court of competent jurisdiction
or by any Federal or State agency or other governmental body, or by
agreement of settlement to which any Federal or State agency or other
governmental body is a party, (i) to have violated any provision of the
Securities Act of 1933 (15 U.S.C. 77a et seq.), the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.), the Public Utility Holding Company
Act of 1935 (15 U.S.C. 79 et seq.), the Trust Indenture Act of 1939 (15
U.S.C. 77aaa et seq.), the Investment Advisers Act of 1940 (15 U.S.C.
80b-1 et seq.), the Investment Company Act of 1940 (15 U.S.C. 80a-1 et
seq.), the Securities Investors /2/ Protection Act of 1970 (15 U.S.C.
78aaa et seq.), the Foreign Corrupt Practices Act of 1977, or any
similar statute of a State or foreign jurisdiction, or any rule,
regulation, or order under any such statutes, or the rules of the
Municipal Securities Rulemaking Board or (ii) to have willfully aided,
abetted, counseled, commanded, induced, or procured such violation by
any other person;
(C) such person failed reasonably to supervise another person, who is
subject to such person's supervision, with a view to preventing
violations of this chapter, or of any of the statutes set forth in
subparagraph (B) of this paragraph, or of any of the rules, regulations,
or orders thereunder, and the person subject to supervision committed
such a violation: Provided, That no person shall be deemed to have
failed reasonably to supervise another person, within the meaning of
this subparagraph if (i) there have been established procedures, and a
system for applying such procedures, which would reasonably be expected
to prevent and detect, insofar as practicable, any such violation by
such other person and (ii) such person has reasonably discharged the
duties and obligations incumbent upon that person, as supervisor, by
reason of such procedures and system, without reasonable cause to
believe that such procedures and system were not being complied with;
(D) such person pleaded guilty to or was convicted of a felony other
than a felony of the type specified in paragraph (2)(D) of this section,
or was convicted of a felony of the type specified in paragraph (2)(D)
of this section more than ten years preceding the filing of the
application;
(E) such person pleaded guilty to or was convicted of any misdemeanor
which (i) involves any transaction or advice concerning any contract of
sale of a commodity for future delivery or any activity subject to
Commission regulation under section 6c or 23 of this title or concerning
a security, (ii) arises out of the conduct of the business of a futures
commission merchant, introducing broker, floor broker, floor trader,
commodity trading advisor, commodity pool operator, associated person of
any registrant under this chapter, securities broker, securities dealer,
municipal securities broker, municipal securities dealer, transfer
agent, clearing agency, securities information processor, investment
adviser, investment company, or an affiliated person or employee of any
of the foregoing, (iii) involves embezzlement, theft, extortion, fraud,
fraudulent conversion, misappropriation of funds, securities or
property, forgery, counterfeiting, false pretenses, bribery, or
gambling, (iv) involves the violation of section 152, 1341, 1342, or
1343 or chapter 25, 47, 95, or 96 of title 18, or section 7203, 7204,
7205, or 7207 of title 26;
(F) such person was debarred by any agency of the United States from
contracting with the United States;
(G) such person willfully made any materially false or misleading
statement or willfully omitted to state any material fact in such
person's application or any update thereto, in any report required to be
filed with the Commission by this chapter or the regulations thereunder,
in any proceeding before the Commission or in any registration
disqualification proceeding;
(H) such person has pleaded nolo contendere to criminal charges of
felonious conduct, or has been convicted in a State court, in a United
States military court, or in a foreign court of conduct which would
constitute a felony under Federal law if the offense had been committed
under Federal jurisdiction;
(I) in the case of an applicant for registration in any capacity for
which there are minimum financial requirements prescribed under this
chapter or under the rules or regulations of the Commission, such person
has not established that such person meets such minimum financial
requirements;
(J) such person is subject to an outstanding order denying,
suspending, or expelling such person from membership in a contract
market, a registered futures association, any other self-regulatory
organization, or any foreign regulatory body that the Commission
recognizes as having a comparable regulatory program or barring or
suspending such person from being associated with any member or members
of such contract market, association, self-regulatory organization, or
foreign regulatory body;
(K) such person has been found by any court of competent jurisdiction
or by any Federal or State agency or other governmental body, or by
agreement of settlement to which any Federal or State agency or other
governmental body is a party, (i) to have violated any statute or any
rule, regulation, or order thereunder which involves embezzlement,
theft, extortion, fraud, fraudulent conversion, misappropriation of
funds, securities or property, forgery, counterfeiting, false pretenses,
bribery, or gambling or (ii) to have willfully aided, abetted,
counseled, commanded, induced or procured such violation by any other
person;
(L) such person has associated with such person any other person and
knows, or in the exercise of reasonable care should know, of facts
regarding such other person that are set forth as statutory
disqualifications in paragraph (2) of this section, unless such person
has notified the Commission of such facts and the Commission has
determined that such other person should be registered or temporarily
licensed;
(M) there is other good cause; or
(N) any principal, as defined in paragraph (2) of this section, of
such person has been or could be refused registration:
Provided, That pending final determination under this paragraph,
registration shall not be granted: Provided further, That such person
may appeal from a decision to refuse registration or to condition
registration made pursuant to this paragraph in the manner provided in
section 9 of this title;
(4) in accordance with the procedure provided for in section 9 of
this title, to suspend, revoke, or place restrictions upon the
registration of any person registered under this chapter if cause exists
under paragraph (3) of this section which would warrant a refusal of
registration of such person, and to suspend or revoke the registration
of any futures commission merchant or introducing broker who shall
knowingly accept any order for the purchase or sale of any commodity for
future delivery on or subject to the rules of any contract market from
any person if such person has been denied trading privileges on any
contract market by order of the Commission under section 9 of this title
and the period of denial specified in such order shall not have expired:
Provided, That such person may appeal from a decision to suspend,
revoke, or place restrictions upon registration made pursuant to this
paragraph in the manner provided in section 9 of this title;
(5) to make and promulgate such rules and regulations as, in the
judgment of the Commission, are reasonably necessary to effectuate any
of the provisions or to accomplish any of the purposes of this chapter;
(6) to communicate to the proper committee or officer of any contract
market, registered futures association, or self-regulatory organization
as defined in section 3(a)(26) of the Securities Exchange Act of 1934
(15 U.S.C. 78c(a)(26)), notwithstanding the provisions of section 12 of
this title, the full facts concerning any transaction or market
operation, including the names of parties thereto, which in the judgment
of the Commission disrupts or tends to disrupt any market or is
otherwise harmful or against the best interests of producers, consumers,
or investors, or which is necessary or appropriate to effectuate the
purposes of this chapter: Provided, That any information furnished by
the Commission under this paragraph shall not be disclosed by such
contract market, registered futures association, or self-regulatory
organization except in any self-regulatory action or proceeding;
(7) to alter or supplement the rules of a contract market insofar as
necessary or appropriate by rule or regulation or by order, if after
making the appropriate request in writing to a contract market that such
contract market effect on its own behalf specified changes in its rules
and practices, and after appropriate notice and opportunity for hearing,
the Commission determines that such contract market has not made the
changes so required, and that such changes are necessary or appropriate
for the protection of persons producing, handling, processing, or
consuming any commodity traded for future delivery on such contract
market, or the product or byproduct thereof, or for the protection of
traders or to insure fair dealing in commodities traded for future
delivery on such contract market. Such rules, regulations, or orders
may specify changes with respect to such matters as --
(A) terms or conditions in contracts of sale to be executed on or
subject to the rules of such contract market;
(B) the form or manner of execution of purchases and sales for future
delivery;
(C) other trading requirements, excepting the setting of levels of
margin;
(D) safeguards with respect to the financial responsibility of
members;
(E) the manner, method, and place of soliciting business, including
the content of such solicitations; and
(F) the form and manner of handling, recording, and accounting for
customers' orders, transactions, and accounts;
(8) to make and promulgate such rules and regulations with respect to
those persons registered under this chapter, who are not members of a
contract market, as in the judgment of the Commission are reasonably
necessary to protect the public interest and promote just and equitable
principles of trade, including but not limited to the manner, method,
and place of soliciting business, including the content of such
solicitation;
(9) to direct the contract market, whenever it has reason to believe
that an emergency exists, to take such action as in the Commission's
judgment is necessary to maintain or restore orderly trading in or
liquidation of any futures contract, including, but not limited to, the
setting of temporary emergency margin levels on any futures contract,
and the fixing of limits that may apply to a market position acquired in
good faith prior to the effective date of the Commission's action. The
term ''emergency'' as used herein shall mean, in addition to threatened
or actual market manipulations and corners, any act of the United States
or a foreign government affecting a commodity or any other major market
disturbance which prevents the market from accurately reflecting the
forces of supply and demand for such commodity. Any action taken by the
Commission under this paragraph shall be subject to review only in the
United States Court of Appeals for the circuit in which the party
seeking review resides or has its principal place of business, or in the
United States Court of Appeals for the District of Columbia Circuit.
Such review shall be based upon an examination of all the information
before the Commission at the time the determination was made. The court
reviewing the Commission's action shall not enter a stay or order of
mandamus unless it has determined, after notice and hearing before a
panel of the court, that the agency action complained of was arbitrary,
capricious, an abuse of discretion, or otherwise not in accordance with
law. Nothing herein shall be deemed to limit the meaning or
interpretation given by a contract market to the terms ''market
emergency'', ''emergency'', or equivalent language in its own bylaws,
rules, regulations, or resolutions;
(10) to authorize any person to perform any portion of the
registration functions under this chapter, in accordance with rules,
notwithstanding any other provision of law, adopted by such person and
submitted to the Commission for approval or, if applicable, for review
pursuant to section 21(j) of this title, and subject to the provisions
of this chapter applicable to registrations granted by the Commission;
and
(11)(A) by written notice served on the person and pursuant to such
rules, regulations, and orders as the Commission may adopt, to suspend
or modify the registration of any person registered under this chapter
who is charged (in any information, indictment, or complaint authorized
by a United States attorney or an appropriate official of any State)
with the commission of or participation in a crime involving a violation
of this chapter, or a violation of any other provision of Federal or
State law that would reflect on the honesty or the fitness of the person
to act as a fiduciary (including an offense specified in subparagraph
(D) or (E) of paragraph (2)) that is punishable by imprisonment for a
term exceeding one year, if the Commission determines that continued
registration of the person may pose a threat to the public interest or
may threaten to impair public confidence in any market regulated by the
Commission.
(B) Prior to the suspension or modification of the registration of a
person under this paragraph, the person shall be afforded an opportunity
for a hearing at which the Commission shall have the burden of showing
that the continued registration of the person does, or is likely to,
pose a threat to the public interest or threaten to impair public
confidence in any market regulated by the Commission.
(C) Any notice of suspension or modification issued under this
paragraph shall remain in effect until such information, indictment, or
complaint is disposed of or until terminated by the Commission.
(D) On disposition of such information, indictment, or complaint, the
Commission may issue and serve on such person an order pursuant to
paragraph (2) or (4) to suspend, restrict, or revoke the registration of
such person.
(E) A finding of not guilty or other disposition of the charge shall
not preclude the Commission from thereafter instituting any other
proceedings under this chapter.
(F) A person aggrieved by an order issued under this paragraph may
obtain review of such order in the same manner and on the same terms and
conditions as are provided in section 8(b) of this title.
(Sept. 21, 1922, ch. 369, 8a, as added June 15, 1936, ch. 545, 10,
49 Stat. 1500; amended Aug. 5, 1955, ch. 574, 69 Stat. 535; Feb. 19,
1968, Pub. L. 90-258, 20-23, 82 Stat. 32, 33; Oct. 23, 1974, Pub. L.
93-463, title I, 103(a), title II, 204(c), 205(c), 213-215, 88 Stat.
1392, 1397, 1400, 1404; Sept. 30, 1978, Pub. L. 95-405, 17, 92 Stat.
874; Jan. 11, 1983, Pub. L. 97-444, title I, 104, title II, 223-225,
96 Stat. 2297, 2310-2315; Oct. 28, 1992, Pub. L. 102-546, title II,
207(b)(3), (4), 208, 209(b)(6), 227, title IV, 402(10), 106 Stat. 3604,
3607, 3618, 3625.)
Section 9 of this title, referred to in pars. (2) to (4), was in the
original ''section 6(c) of this Act'' meaning section 6(c) of act Sept.
21, 1922, ch. 369, which is classified to sections 9 and 15 of this
title. See Codification note set out under section 8 of this title.
The Securities Act of 1933, referred to in pars. (2)(E) and (3)(B),
is title I of act May 27, 1933, ch. 38, 48 Stat. 74, as amended, which
is classified generally to subchapter I ( 77a et seq.) of chapter 2A of
Title 15, Commerce and Trade. For complete classification of this Act
to the Code, see section 77a of Title 15 and Tables.
The Securities Exchange Act of 1934, referred to in pars. (2)(E) and
(3)(B), is act June 6, 1934, ch. 404, 48 Stat. 881, as amended, which
is classified principally to chapter 2B ( 78a et seq.) of Title 15. For
complete classification of this Act to the Code, see section 78a of
Title 15 and Tables.
The Public Utility Holding Company Act of 1935, referred to in pars.
(2)(E) and (3)(B), is title I of act Aug. 26, 1935, ch. 687, 49 Stat.
838, as amended, which is classified generally to chapter 2C ( 79 et
seq.) of Title 15. For complete classification of this Act to the Code,
see section 79 of Title 15 and Tables.
The Trust Indenture Act of 1939, referred to in pars. (2)(E) and
(3)(B), is title III of act May 27, 1933, ch. 38, as added Aug. 3,
1939, ch. 411, 53 Stat. 1149, as amended, which is classified
generally to subchapter III ( 77aaa et seq.) of chapter 2A of Title 15.
For complete classification of this Act to the Code, see section 77aaa
of Title 15 and Tables.
The Investment Advisers Act of 1940, referred to in pars. (2)(E) and
(3)(B), is title II of act Aug. 22, 1940, ch. 686, 54 Stat. 847, as
amended, which is classified generally to subchapter II ( 80b-1 et seq.)
of chapter 2D of Title 15. For complete classification of this Act to
the Code, see section 80b-20 of Title 15 and Tables.
The Investment Company Act of 1940, referred to in pars. (2)(E) and
(3)(B), is title I of act Aug. 22, 1940, ch. 686, 54 Stat. 789, as
amended, which is classified generally to subchapter I ( 80a-1 et seq.)
of chapter 2D of Title 15. For complete classification of this Act to
the Code, see section 80a-51 of Title 15 and Tables.
The Securities Investor Protection Act of 1970, referred to in pars.
(2)(E) and (3)(B), is Pub. L. 91-598, Dec. 30, 1970, 84 Stat. 1636,
as amended, which is classified generally to chapter 2B-1 ( 78aaa et
seq.) of Title 15. For complete classification of this Act to the Code,
see section 78aaa of Title 15 and Tables.
The Foreign Corrupt Practices Act of 1977, referred to in pars.
(2)(E) and (3)(B), is title I of Pub. L. 95-213, Dec. 19, 1977, 91
Stat. 1494, as amended, which enacted sections 78dd-1 and 78dd-2 of
Title 15, and amended sections 78m and 78ff of Title 15. For complete
classification of this Act to the Code, see Short Title of 1977
Amendment note set out under section 78a of Title 15 and Tables.
1992 -- Par. (1). Pub. L. 102-546, 207(b)(3), substituted ''floor
brokers, and floor traders'' for ''and floor brokers''.
Par. (2). Pub. L. 102-546, 209(b)(6)(A), made technical amendment to
reference to section 9 of this title in concluding provisions to reflect
change in reference to corresponding section of original act.
Par. (2)(C)(i). Pub. L. 102-546, 207(b)(4), inserted ''floor
trader,'' after ''floor broker,''.
Par. (2)(C)(ii). Pub. L. 102-546, 208(a), amended cl. (ii)
generally. Prior to amendment, cl. (ii) read as follows: ''engaging
in or continuing any activity involving any transaction in or advice
concerning contracts of sale of a commodity for future delivery,
concerning matters subject to Commission regulation under section 6c or
23 of this title, or concerning securities''.
Par. (2)(D)(ii). Pub. L. 102-546, 207(b)(4), inserted ''floor
trader,'' after ''floor broker,''.
Par. (2)(D)(iv). Pub. L. 102-546, 208(b), inserted references to
sections 1001, 1503, 1623, 1961 to 1963, and 2314 of title 18 and
sections 7201 and 7206 of title 26.
Par. (2)(E). Pub. L. 102-546, 208(c), substituted ''in a proceeding
brought'' for ''by any court of competent jurisdiction,'' and in cl.
(i) inserted reference to chapter 96 of title 18.
Par. (2)(G). Pub. L. 102-546, 208(d), substituted ''this paragraph
and paragraph (3)'' for ''subparagraphs (A) through (F) of this
paragraph'', ''materially false'' for ''material false'', and
''application or any update thereto'' for ''application''.
Par. (3). Pub. L. 102-546, 209(b)(6)(B), made technical amendment to
reference to section 9 of this title in concluding provisions to reflect
change in reference to corresponding section of original act.
Par. (3)(D). Pub. L. 102-546, 208(e), inserted ''pleaded guilty to
or'' after ''person'', substituted ''section,'' for ''section within ten
years preceding the filing of the application or at any time
thereafter,'' and ''felony of the type specified in paragraph (2)(D) of
this section more'' for ''felony, including a felony of the type
specified in paragraph (2)(D) of this section, more''.
Par. (3)(E). Pub. L. 102-546, 208(f)(1), (2), inserted ''pleaded
guilty to or'' after ''person'' and struck out ''within ten years
preceding the filing of the application for registration or at any time
thereafter'' before ''of any misdemeanor''.
Par. (3)(E)(ii). Pub. L. 102-546, 207(b)(4), inserted ''floor
trader,'' after ''floor broker,''.
Par. (3)(E)(iv). Pub. L. 102-546, 208(f)(3), inserted reference to
sections 7203 to 7205 and 7207 of title 26.
Par. (3)(G). Pub. L. 102-546, 208(g)(5), which directed the
insertion of ''or in any registration disqualification proceeding''
after ''Commission'', was executed by making the insertion after
''Commission'' the second time it appeared to reflect the probable
intent of Congress.
Pub. L. 102-546, 208(g)(1)-(4), substituted ''materially false'' for
''material false'', ''application or any update thereto,'' for
''application,'' and struck out ''or'' after ''thereunder,''.
Par. (3)(H). Pub. L. 102-546, 208(h), inserted '', in a United
States military court,'' after ''State court''.
Par. (3)(J). Pub. L. 102-546, 208(i), struck out ''or'' before ''any
other self-regulatory'', inserted ''or any foreign regulatory body that
the Commission recognizes as having a comparable regulatory program'',
and substituted ''association, self-regulatory organization, or foreign
regulatory body'' for ''association, or self-regulatory organization''.
Par. (4). Pub. L. 102-546, 209(b)(6)(C), made technical amendment to
references to section 9 of this title in concluding provisions to
reflect change in references to corresponding section of original act.
Par. (5). Pub. L. 102-546, 402(10)(A), struck out ''and'' at end.
Par. (7). Pub. L. 102-546, 402(10)(B), substituted ''matters as --
'' for ''matters as:'' in introductory provisions.
Par. (11). Pub. L. 102-546, 227, added par. (11).
1983 -- Par. (1). Pub. L. 97-444, 223, substituted authorization
for registration of ''associated persons of futures commission
merchants'' for ''and persons associated therewith as described in
section 6k of this title''; authorized registration of introducing
brokers, associated persons of introducing brokers, associated persons
of commodity trading advisors and associated persons of commodity pool
operators, substituted ''such persons'' for ''any persons'' before
''associated with the applicant'', and authorized establishment of
registration and renewal fees and charges and granting of temporary
licenses for terms not exceeding six months from date of issuance.
Par. (2). Pub. L. 97-444, 224(1), added par. (2) and struck out
prior par. (2) which authorized Commission ''to refuse to register any
person --
''(A) if the prior registration of such person has been suspended
(and the period of such suspension shall not have expired) or has been
revoked;
''(B) if it is found, after opportunity for hearing, that the
applicant is unfit to engage in the business for which the application
for registration is made, (i) because such applicant, or, if the
applicant is a partnership, any general partner, or, if the applicant is
a corporation, any officer or holder of more than 10 per centum of the
stock, at any time engaged in any practice of the character prohibited
by this chapter or was convicted of a felony in any State or Federal
court, or was debarred by any agency of the United States from
contracting with the United States, or the applicant willfully made any
material false or misleading statement in his application or willfully
omitted to state any material fact in connection with the application,
or (ii) for other good cause shown; or
''(C) in the case of an applicant for registration as futures
commission merchant, if it is found after opportunity for hearing that
the applicant has not established that he meets the minimum financial
requirements under section 6f of this title: Provided, That pending
final determination under subparagraph (B) or (C), registration shall
not be granted: And provided further, That the applicant may appeal
from the refusal of registration under subparagraph (B) or (C) in the
manner provided in section 9 of this title; and''.
Par. (3). Pub. L. 97-444, 224(3), added par. (3). Former par. (3)
redesignated (4).
Par. (4). Pub. L. 97-444, 224(2), (4), struck out par. (4)
provision for establishment of registration and renewal fees and
charges, covered in par. (1), redesignated par. (3) as (4), and in
redesignated par. (4), authorized placing of restrictions on
registrations, suspension or revocation of registration of an
introducing broker and appeals from registration decisions made pursuant
to this paragraph as provided in section 9 of this title, and
substituted ''if cause exists under paragraph (3) of this section'' for
''if cause exists under paragraph (2)(B) or (C) of this section''.
Par. (6). Pub. L. 97-444, 104, authorized communication of full
facts respecting transactions or market operations to registered futures
associations and self-regulatory organizations, included concern for
investors, provided for communications when necessary or appropriate to
effectuate purposes of this chapter, and prohibited disclosure of
furnished information except in self-regulatory actions or proceedings.
Pars. (6) to (8). Pub. L. 97-444, 224(5), struck out ''and'' at end
of pars. (6), (7), and (8).
Par. (9). Pub. L. 97-444, 225, authorized Commission to direct the
contract market to take certain action, including, but not limited to,
setting of temporary emergency margin levels on any futures contract,
and fixing of limits that may apply to a market position acquired in
good faith prior to the effective date of Commission's action and
inserted provisions respecting judicial review.
Par. (10). Pub. L. 97-444, 224(6), added par. (10).
1978 -- Par. (1). Pub. L. 95-405, 17(1), inserted '', which may
require the applicant, and any persons associated with the applicant as
the Commission may specify, to be fingerprinted and to submit, or cause
to be submitted, such fingerprints to the Attorney General for
identification and appropriate processing'' after ''by the Commission''.
Par. (6). Pub. L. 95-405, 17(2), struck out ''and to publish'' after
''any contract market''.
1974 -- Pub. L. 93-463, 103(a), substituted ''Commission'' for
''Secretary of Agriculture'' in provisions preceding par. (1).
Par. (1). Pub. L. 93-463, 103(a), 204(c), 205(c), substituted
''Commission'' for ''Secretary of Agriculture'', inserted ''and persons
associated therewith as described in section 6k of this title,'' after
''futures commission merchants'', and inserted ''commodity trading
advisors, commodity pool operators'' before ''and floor brokers''.
Pars. (3), (5), (6). Pub. L. 93-463, 103(a), substituted
''Commission'' for ''Secretary of Agriculture''.
Par. (7). Pub. L. 93-463, 213, amended par. (7) generally,
substituting provisions covering the altering or supplementing of the
rules of a contract market for provisions covering the disapproval of
bylaws, rules, regulations, and resolutions made, issued, or proposed by
a contract market.
Par. (8). Pub. L. 93-463, 214, added par. (8).
Par. (9). Pub. L. 93-463, 215, added par. (9).
1968 -- Par. (2). Pub. L. 90-258, 20, designated existing
provisions as subpar. (A), substituted ''if the prior registration of
such person'' for ''if such person has violated any of the provisions of
this chapter or any of the rules or regulations promulgated by the
Secretary of Agriculture hereunder for which the registration of such
person'' and added subpars. (B) and (C).
Par. (3). Pub. L. 90-258, 21, authorized Secretary of Agriculture,
in accordance with procedure provided for in section 9 of this title, to
suspend or revoke the registration of any person registered under this
chapter if cause exists under par. (2)(B) or (C) of this section which
would warrant a refusal of registration of such person.
Par. (4). Pub. L. 90-258, 22, struck out authorization for
establishment of fees for copies of registration certificates.
Par. (7). Pub. L. 90-258, 23, added par. (7).
1955 -- Par. (4). Act Aug. 5, 1955, authorized Secretary to fix and
establish reasonable fees for registrations and renewals, and struck out
provisions which set the fee for each registration and renewal at not
more than $10.
Amendment by section 207(b)(3), (4) of Pub. L. 102-546 effective 180
days after Oct. 28, 1992, with Commodity Futures Trading Commission to
issue any regulations necessary to implement such amendment no later
than 180 days after Oct. 28, 1992, see section 207(c) of Pub. L.
102-546, set out as a note under section 6e of this title.
Amendment by Pub. L. 97-444 effective Jan. 11, 1983, see section
239 of Pub. L. 97-444, set out as a note under section 2 of this title.
Amendment by Pub. L. 95-405 effective Oct. 1, 1978, see section 28
of Pub. L. 95-405, set out as a note under section 2 of this title.
For effective date of amendment by Pub. L. 93-463, see section 418
of Pub. L. 93-463, set out as a note under section 2 of this title.
Amendment by Pub. L. 90-258 effective 120 days after Feb. 19, 1968,
see section 28 of Pub. L. 90-258, set out as a note under section 2 of
this title.
For effective date of section, see section 13 of act June 15, 1936,
set out as an Effective Date of 1936 Amendment note under section 1 of
this title.
/1/ So in original. Probably should be ''Investor''.
/2/ So in original. Probably should be ''Investor''.