§ 105-735.402 Criteria for selection of positions subject to filing require ment. The following criteria govern the selection of positions which are subject to the requirement of filing employment and financial interests statements: (a) Positions paid at a level of the Federal Executive Salary Schedule in subchapter II of chapter 53 of Title 5, United States Code, except the position of the Administrator (which is subject to the separate reporting requirements of section 401 of Executive Order 11222 of May 8, 1965). (b) Positions in grade GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, the incumbents of which are responsible for making a Government decision or taking a Government action in regard to: (1) Contracting or procurement; (2) Administering or monitoring grants or subsidies; (3) Regulating or auditing private or other non-Federal enterprise; or (4) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise. (c) Positions in grade GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, the duties and responsibilities of which require the incumbent to report employment and financial interests in order to avoid involvement in a possible conflicts-of-interest situation and carry out the purpose of law, Executive order, and Civil Service Commission and GSA regulations. (d) Positions below grade GS-13 under 5 U.S.C. 5332, or at a comparable pay level under another authority, which meet the criteria in paragraphs (b) or (c) of this section, and have been specifically designated in §§ 105-735.604 (b) (8), 105-735.606(a)(3), 105-735.609 (b) (3), and 105-735.610(b) (2) and (3), as exceptions essential to protect the integrity of the Government and avoid employee involvement in a possible conflicts-of-interest situation. (e) However, positions that meet the criteria of paragraph (b) of this section may be excluded from the reporting requirement when: (1) the duties of the position are such that the likelihood of the incumbent's involvement in a conflicts-of-interest situation is remote; or (2) the duties of the position are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review over the incumbent or the inconsequential effect on the integrity of the Government. (f) With respect to special Government employees, a statement of employment and financial interests is required only when the special Government employee is a consultant or expert. [32 F.R. 15023, Oct. 31, 1967] § 105-735.403 Identification of positions and incumbents. (a) Subpart 105-735.6 lists employee positions selected under the criteria in § 105–735.402, approved as necessary by the Administrator, requiring the incumbents thereof to file statements of employment and financial interests. Hereafter, the Heads of Central Office and Regional Office Services and Staff Offices shall promptly submit a report to the agency counselor (through the regional agency counselor in the regions) identifying the specific positions, which, from time to time, under the criteria in § 105-735.402 (b), (d), and (e), should be added to or deleted from the list of positions in Subpart 105-735.6. Positions so reported shall, after approval by the Administrator, be added to or be deleted from the list in Subpart 105-735.6. The Assistant Administrator for Administration, or the Regional Director of Administration, will include in his report any positions not in a service or staff office; for example, those in the Administrator's or Regional Administrator's immediate office. (b) These reports shall also contain a description of the incumbents of the specified positions by name, title, grade, and organizational location. In addition, a like report of such descriptions shall promptly be made with respect to: (1) Incumbents now occupying positions listed in Subpart 105-735.6. (2) Any later incumbent of a specified position. (3) Any incumbent of a specified position who holds that position on an "acting" basis for more than 10 days in a year, continuously or otherwise. However, descriptions of regional incumbents shall not be forwarded by the regional agency counselor to the agency counselor. Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-ofinterest provisions of 18 U.S.C. 208, Subpart B of 5 CFR Part 735, or these GSA regulations. Each special Government employee shall keep his statement current throughout his employment with GSA by the submission of supplementary statements. [32 F.R. 15023, Oct. 31, 1967] § 105-735.405 Interests of relatives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household and excludes in-laws. These provisions also apply to special Government employees. § 105-735.406 Information not known by employee. If any information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf. § 105-735.407 Information prohibited. An employee is not required to submit on a statement of employment and finan cial interests or supplementary statement any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise. For this purpose, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement of employment and financial interests. These provisions also apply to special Government employees. § 105-735.408 Confidentiality of state ments. Each statement of employment and financial interests and each supplementary statement shall be held in confidence by the agency counselor and regional agency counselors. Employees so designated are responsible for maintaining the statements in confidence and shall not allow access to or allow information to be disclosed from a statement except to carry out the purpose of this part. An agency may not disclose information from a statement except as the Administrator or the Civil Service Commission may determine for good cause shown. [32 F.R. 15023, Oct. 31, 1967] § 105-735.409 Effect of statements on other requirements. The statements of employment and financial interests and supplementary statements required by employees are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation. These provisions also apply to special Government employees. § 105-735.410 Responsibility for review of employment and financial inter ests statements. (a) The agency counselor is responsible for receiving, reviewing, and retaining all statements of employment and financial interests submitted by Central Office personnel and by each regional agency counselor under §§ 105-735.104(b) and 105-735.412(b). (a) The agency counselor in the Central Office (regional agency counselor in a region), upon receipt of the descriptions referred to in § 105-735.403(b), shall have delivered to the incumbent of each selected or approved position two copies of the appropriate statement of employment and financial interests form. An enclosure with the forms will advise that: (1) The original of the completed form must be returned in a sealed envelope, marked "Personal-In Confidence" to the agency counselor in the Central Office or the regional agency counselor in a region, as appropriate, no later than 30 days thereafter. (2) The services of a deputy counselor are available to advise and counsel, if needed. (3) Any additions or deletions to the information furnished must be reported in a supplementary statement at the end of the calendar quarter in which the change occurs; or, in the case of a special Government employee, at the time the change occurs. (4) With reference to the requirement in subparagraph (3) of this paragraph, a negative report will not be required; however, for the purpose of an annual review, a supplementary statement, negative or otherwise, is required as of June 30 each year. (5) The information reported will be held confidential. (b) The Personnel Division shall be responsible for assuring that a completed statement of employment and financial interests is obtained from each new special Government employee who is subject to the requirement before or at the time of entrance on duty. Such statement shall be forwarded for review by the Personnel Division to the agency counselor or regional agency counselor, as appropriate. [31 F.R. 4328, Mar. 11, 1966, as amended at 32 FR. 15024, Oct. 31, 1967] § 105-735.412 Resolving conflicts of interest. (a) When in his review of an employee's or special Government employee's statement of employment and financial interests, the agency counselor or a regional agency counselor has reason to believe that a possible conflict of interests exists, or requires more information on which to make a judgment, he shall contact the individual and offer him an opportunity to provide additional information or furnish any explanation he deems pertinent. This information must be documented for the file and kept confidential. (b) When, after consideration of the explanation offered, a determination is made that a conflict or possible conflict of interests exists, an effort should be made by the agency counselor, or regional agency counselor, to resolve the conflict in a manner that is mutually acceptable. When in his judgment a conflict or possible conflict of interests exists which cannot be satisfactorily resolved at the regional level, the regional agency counselor is responsible for referring the case to the agency counselor. (c) When efforts of the agency counselor are unsuccessful in resolving a conflict or apparent conflict, the case will be referred to the Administrator for decision. (d) Remedial action directed by the Administrator may include but is not limited to: (1) Disqualification for a particular assignment. (2) Change in assigned duties. (3) Divestment by the employee or special Government employee of his conflicting interest. (4) Disciplinary action, including removal. § 105-735.413 Employee complaint against filing requirement. An employee required to file a statement of employment and financial interests under Subpart 105-735.4 who believes that his position has been improperly included under these regulations may request a review of such inclusion, in accordance with the GSA Grievance Procedure. [32 F.R. 15024, Oct. 31, 1967] Subpart 105-735.5—Other Statutes on Conduct § 105-735.501 General. In addition to the statutes already referred to in this part, employees and special Government employees should acquaint themeslves with the statutes relating to ethical and other conduct set forth in this subpart. § 105-735.502 Code of Ethics for Gov. ernment Service (H. Con. Res. 175, 85th Cong., 2d sess., 72 Stat. B12). CODE OF ETHICS FOR GOVERNMENT SERVICE Any person in Government service should: 1. Put loyalty to the highest moral principles and to country above loyalty to persons, party, or Government department. 2. Uphold the Constitution, laws, and legal regulations of the United States and of all governments therein and never be a party to their evasion. 3. Give a full day's labor for a full day's pay; giving to the performance of his duties his earnest effort and best thought. 4. Seek to find and employ more efficient and economical ways of getting tasks accomplished. 5. Never discriminate unfairly by the dispensing of special favors or privileges to anyone, whether for remuneration or not; and never accept, for himself or his family, favors or benefits under circumstances which might be construed by reasonable persons as influencing the performance of his governmental duties. 6. Make no private promises of any kind binding upon the duties of office, since a Government employee has no private word which can be binding on public duty. 7. Engage in no business with the Government, either directly or indirectly, which is inconsistent with the conscientious performance of his governmental duties. 8. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit. 9. Expose corruption wherever discovered. 10. Uphold these principles, ever conscious that public office is a public trust. § 105-735.503 Bribery of public officials and witnesses (18 U.S.C. 201). § 105-735.504 Compensation in matters affecting the Government (18 U.S.C. 203). § 105-735.505 Activities in claims against the Government (18 U.S.C. 205). § 105-735.506 Disqualification of former employees (18 U.S.C. 207). § 105-735.507 Acts affecting a personal financial interest (18 U.S.C. 208). § 105-735.508 Salary payable only by Government (18 U.S.C. 209). § 105-735.509 Compensation for aiding to obtain Government employment (18 U.S.C. 211). § 105-735.510 ated funds § 105-735.511 Lobbying with appropri(18 U.S.C. 1913). Disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1918). [32 F.R. 15024, Oct. 31, 1967] § 105-735.512 Communism (50 U.S.C. 784). § 105-735.513 Misuse of franking privilege (18 U.S.C. 1719). § 105-735.514 Deceit in personnel actions (18 U.S.C. 1917). [32 F.R. 15024, Oct. 31, 1967] § 105-735.515 Counterfeiting or altering transportation re quests (18 U.S.C. 508). § 105-735.516 Embezzlement of public money or property (18 U.S.C. 641). § 105-735.517 Failure to account for public money (18 U.S.C. 643). § 105-735.518 Conversion of public money or property (18 U.S.C. 654). § 105-735.519 Solicitation of political contributions generally (18 U.S.C. 602). § 105-735.520 Solicitation of political contributions in Federal facilities (18 U.S.C. 603). § 105-735.521 Making political contributions (18 U.S.C. 607). § 105-735.522 Limitation on political contributions and purchases (18 U.S.C. 608). § 105-735.523 Acting as agent of a foreign principal under the Foreign Agents Registration Act (18 U.S.C. 219). [32 F.R. 15024, Oct. 31, 1967] Subpart 105-735.6-Selected Positions Requiring Filing of Statements of Employment and Financial Interests § 105-735.600 Scope. This subpart lists employee positions selected under the criteria in § 105735.402, approved as necessary by the Administrator, requiring the incumbents thereof to file statements of employment and financial interests. Any amendments to this subpart shall be submitted annually for publication in the FEDERAL REGISTER. § 105-735.601 Federal Executive Salary Schedule positions. All positions paid at a level of the Federal Executive Salary Schedule in subchapter II of chapter 53 of Title 5, United States Code, except the position of Administrator (which is subject to the separate reporting requirements of section 401 of Executive Order 11222 of May 8, 1965). [32 F.R. 15024, Oct. 31, 1967] § 105-735.603 Office of Administrator and Assistant Administrator. (a) Central Office. All personnel, grade GS-13 or above, who make decisions affecting procurement and contracting with small business. (b) Regional offices. (1) Regional Administrator. (2) Deputy Regional Administrator. (3) Regional Director of Business Affairs. [32 F.R. 15024, Oct. 31, 1967] § 105-735.604 Office of Administration. (a) Central office. (1) Assistant Administrator for Administration. (2) Deputy Assistant Administrator for Administration. (3) Executive Officer. (4) Director of Federal Procurement Regulations. (5) Director of Management Investigations and Review. (6) Director of Data Processing. (8) Director of Personnel. (9) Director of Administrative Services. (10) All auditing personnel, grade GS-13 or above. Property Management and Disposal Service. (a) Central Office. (1) All strategic material management officers and specialists, grade GS-13 or above. (2) Supervisory contract negotiators, grade GS-13 or above. (3) Material quality control specialist (crude rubber), grade GS-12. (4) Deputy Assistant Commissioner for Personal Property. (5) Division directors. (6) Personal property sales personnel, grade GS-13 or above. (7) Real property personnel, grade GS-13 or above. (8) Appraisal personnel, grade GS13 or above. (b) Regional offices. (1) Regional directors. (3) All materials inspectors (rubber and fibers), grade GS-13 or above. (4) Chief, PMDS Hawaii Office. (5) Personal property sales personnel, grade GS-13 or above. (6) Real property personnel, grade GS-13 or above. (7) Appraisal personnel, grade GS-13 or above. [32 F.R. 15024, Oct. 31, 1967] § 105-735.607 Federal Supply Service. (a) Central Office. (1) Deputy Commissioner, Supply Service. Federal (2) Assistant Commissioner for Procurement. (3) Assistant Commissioner for Standards and Quality Control. (4) Deputy Assistant Commissioner for Procurement. (5) Assistant Commissioner for Automated Data Management Services. (6) Deputy Assistant Commissioner for Standards and Quality Control. (7) All employees, grade GS-13 or above, in the following positions: |