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ing at those offices where employees or deletion of positions at any time he are required to file pursuant to determines such revisions are required $ 20,735-22(c). Within 30 days after re- to carry out the purpose of law, the ceipt (by March 1) the DI-211B forms Executive order, the Civil Service will be available to the public centrally Commission regulations, or the regulaat the Department Library, 18th and
tions of this part. Additions to, deleC Streets, N.W., Washington, D.C.
tions from, and other amendments of 20240.
the list of positions in Appendix C are (2) The fee schedule for services per
effective upon actual notification to formed in obtaining or copying a state
the incumbents. The amended Appenment is set forth in 43 CFR Part 2, Ap
dix C shall be submitted annually for pendix A, which is made applicable to
publication in the FEDERAL REGISTER. this regulation.
Employees are and shall be included in $ 20.735–21 Certificates of disclaimer. the Appendix C pursuant to the folEach employee covered by the re
lowing criteria: strictions in $ $ 20.735-12 and 20.735-13
(1) Employees in administrative law will sign a certificate upon entrance to
judge positions regardless of pay level. duty or upon transfer between bu- (2) Employees classified at GS-13 or reaus or offices, indicating that he or
above (or comparable pay level) who she is aware of the restrictions perti
are in positions whose duties and renent to his or her employment and sponsibilities require making a Govthat he or she is in compliance with ernment decision or taking a Governsuch restrictions. Each employee cur
ment action which could result in a rently employed and covered by one or conflict of interest. Examples (not allmore of the restrictions in $ $ 20.735-12 inclusive) of such duties are: and 20.735-13 will sign such a certifi
Contracting and procurement. cate within 120 days of the effective
Administering or monitoring grants, loans date of these regulations unless the
or subsidies. head of the bureau or office concerned
Selecting concessioners, approving or addetermines that a similar certificate
ministering concessions contracts, or appreviously signed by the employee is proving concessions management policies. adequate. If an employee is unable to Regulating, auditing, or inspecting private sign the certificate, he or she must or other non-Federal enterprise. submit a statement of facts to the ap- Recommending policy for private or other propriate ethics counselor for review non-Federal enterprise. and action under the provisions of Sitting on special committees that may in$820.735-23 through 20.735-25. (See
fluence policies on private or other non-FedAppendix A for applicable certificate.)
Appraising or acquiring real estate for the 8 20.735-22 Employees required to file
Government. statements of employment and finan
Enforcing Federal laws. cial interests: Manner of filing.
Conducting other activities where the de
cision or action has an economic impact on (a) Who shall file. All employees who
the interests of any private or other nonoccupy a position classified GS-15 or
Federal enterprise. higher shall file a Statement of Employment and Financial Interests (3) Employees in other positions (form DI-212). In addition each em
classified at GS-13 or above (or comployee whose position is listed in Ap- parable pay level) who are in positions pendix C to this part shall file a form whose duties and responsibilities may DI-212. The head of each bureau or create an appearance of a conflict of office will annually review and update interest. Presidential Interchange Exthe related portion of Appendix C to ecutives and other employees on loan this part. Proposed revisions or a certi- to the Department from industry or fication that revision is not required other non-Government agency are inshall be submitted to the Department cluded under this requirement. Others ethics counselor by no later than Sep- which may be included are those positember 30 of each year. The Secretary tions involving such duties as the folmay revise Appendix C by the addition lowing:
Participation in the decision-making process on matters that may affect private or other non-Federal enterprise.
Planning or developing activities that may affect private or other non-Federal enterprise.
Reviewing results of operations.
Meeting with public media personnel or preparing and disseminating public information.
Supervising others who must file employment and financial interest statements.
Analyzing or reviewing economic data relating to or of potential value to non-Federal enterprise.
Conducting any other activities that could have an economic impact on the interests of any private or other non-Federal enterprise.
(4) Employees classified at GS-12 or below who are in positions that meet the criteria for positions at GS-13 or above and also:
Who have duties similar to those of a GS13 in the same occupation in those areas of responsibility where a significant potential for conflict of interest exists.
Who function with a minimum of supervision either because of the nature of their job or because of remote location.
Who make Government decisions that directly affect the economic interests of any private or other non-Federal enterprise.
(5) Filing by employee on temporary assignment or detail. (i) In some instances, temporary assignments or details will involve employees in policy or decision-making situations different from those in the employee's regular position. An employment and financial interest statement may be necessary, either because the position to which the employee is temporarily assigned is listed in the appendix to this regulation, or because the bureau or office head, task force leader, or project manager, may decide the temporary or detail position requires it.
(ii) In these instances, the temporarily assigned or detailed employee shall file an employment and financial interest statement before the effective date of the assignment or detail, or, if the employee has a statement on file, it shall be updated and reviewed by the applicable ethics counselor for conflict or possible conflict with the employee's new duties.
(iii) Each bureau or office is responsible for implementing paragraph (a)(5)(ii) of this section so that statements are filed or updated and re
viewed. Assignments of 30 days or less are exempt from the requirement.
(b) When to file. Each employee required to file a statement of employment and financial interest shall file such a statement on Form DI-212. (See Appendix B-1.) The ethics coun. selors shall notify each such employee and furnish the form to the employee by December 15 of each year. The employee shall file a completed statement of employment and financial interest with the appropriate ethics counselor:
(1) By no later than February 1 of each year showing holdings and interests as of December 31, or
(2) Within thirty days after notification that his or her position has been added to the list in Appendix C, or classified at GS-15 or above or
(3) At the time of entrance on duty if a new employee. Persons transfer. ring between bureaus or offices will be treated as new employees.
(c) Where to file. (1) The Department ethics counselor, his or her immediate supervisor, and the Assistant Secretary Policy, Budget and Administration will file statements with the Under Secretary.
(2) Persons in the following positions will file statements with the Department ethics counselor: The Under Secretary; Deputy Under Secretaries; Assistants to the Secretary; Solicitor and Deputy Solicitor; Assistant and Deputy Assistant Secretaries; Heads of bureaus and offices; the High Commissioner and Deputy High Commissioner of the Trust Territory; and such others as the Secretary may designate.
(3) Employees in the Office of the Solicitor (except for the Solicitor and Deputy Solicitor) will file statements with the Solicitor or the Deputy Ethics Counselor for the Office of the Solicitor, as the Solicitor may direct.
(4) Employees in the Office of Hearings and Appeals (except for the Director) will file statements with the Director, Office of Hearings and Appeals or the Deputy Ethics Counselor for the Office of Hearings and Appeals as the Director may direct.
(5) Employees in the Office of Water Research and Technology (except for the Director) will file statements with the Director, Office of Water Re
search and Technology or the Deputy Ethics Counselor for the Office as the Director may direct.
(6) Employees and special Government employees in the Office of the Secretary and in other Department offices, except those employees mentioned in paragraphs (c)(1), (2), (3), (4), and (5), of this section will file statements with the Chief, Division of Personnel Services, Office of Secretarial Operations.
(7) Employees and special Government employees in bureaus (except for the head of the bureau) will file statements with the bureau head, Deputy Ethics Counselor, or the Assistant Ethics Counselor as the head of the bureau may direct.
(d) What to report. (1) Employees will report all information required on form DI-212 (Appendix B-1). An employee is not required to report connection with, or interest in:
(i) A professional society;
(ii) A charitable, religious, social, fraternal, recreational, public service, civil, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, 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.
(2) Except where Organic Act restrictions apply, either by statute or regulation ($ $ 20.735-12 and 20.73513), an employee may also exclude:
(i) Holdings in widely held mutual funds, investment clubs or regulated investment companies not specializing in a particular industry.
(ii) Savings or deposits in banks, credit unions, building and loan associations, or insurance companies.
(3) Retirement benefits, vested rights to retirement benefits, or investments in self-employment or individual retirement plans must be reported by employees on form DI-212. Such interests shall be reviewed on a case by case basis to ensure that they do not place the employee in a conflict or appearance of conflict situation.
(4) If any information required to be included on a statement of employment and financial interests or supplementary statement is not known to the employee but is known to another person, the employee shall request that other person to submit information on his behalf on form DI-212 to the appropriate ethics counselor. This requirement may be waived for holdings in
approved blind trust ($ 20.735-24(a) (3)).
(e) Confidentiality of employees' statements. (1) Each statement of employment and financial interests is a "Nonsecurity Confidential" document and will be held in confidence. The statement will be transmitted in a blue envelope so marked by the employee to the ethics counselor designated in paragraph (c) of this section. Ethics Counselors are responsible for maintaining the statements in strict confidence. Employees having access to statements shall not allow information to be disclosed from statements except to those individuals who must have access in order to carry out responsibilities assigned by these regulations or specific law.
(2) Statements of employment and financial interest will be retained by the ethics counselors who actually perform the review. The personnel office holding the employee's official personnel folder must be notified when the review has been completed. All statements shall be destroyed two years after an employee leaves a position in which a statement is required or two years after the employee leaves the Department, whichever is earlier.
[41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4321, Jan. 19, 1979)
8 20.735-23 Review and analysis of state
ments. (a) Each employee and special Government employee statement shall be reviewed by the ethics counselor with whom it is filed by no later than March 3 of each year to ensure that the employee is in compliance with these regulations. The ethics counselor may consult with the Regional Solicitor, or the Division of General Law of the Office of the Solicitor in Washington, as the case may be (§ 20.735
3(b) (2)), in the conduct of the review. Although the number of cases where The ethics counselor will exercise this remedy can be used should be judgment and reasonableness in re- rare, the possibility should be exviewing statements, but will be alert to plored before divestitute of interest is potential conflicts, actual conflicts, or ordered. apparent conflicts which may be indi- (2) Divestiture of the interest. If the cated.
conflict involves the ownership of (b) In the event that an employee's stocks, lands, etc., or outside employstatement of employment and finan- ment or business interest, the bureau cial interest reflects a potential con- or office ethics counselor may order flict, conflict, or apparent conflict, the
the employee to divest himself/herself Assistant or Deputy Counselor shall of the stocks, land, or business interest endeavor to resolve the matter infor- or to discontinue outside employment, mally with the employee. If it cannot
whichever is appropriate. Divestiture be so resolved, the employee's state
of interest shall be ordered in all situament, and a full report of efforts made
tions where reassignment or restricto determine the existence or non-ex
tions of an employee will not resolve istence of conflict and to resolve it
the conflict or where the conditions shall be referred to the bureau or
for a trust described below are not office ethics counselor for appropriate
met. action under $ 20.735-24.
(3) Establishment of a Blind Trust. (c) At all stages in the review process
The Department ethics counselor may employees shall be provided full op
allow an employee the option to place portunity to offer information and ex
holdings in a blind trust. A blind trust planation prior to a final determina
is established when by written agreetion.
ment, the employee gives complete (d) Each bureau and office shall cer
control and legal title to a trustee. Emtify to the Department ethics counsel
ployees are permitted to use a blind or that all required reviews of state
trust unless such an action is specifiments have been completed. Certificates are required annually by no later
cally precluded by a statutory restricthan March 18.
tion (§ 20.735-12). In order to be ac
ceptable as a remedy for a conflict of $ 20.735-24 Procedures for resolving con
interest situation, the blind trust must flicts of interest.
meet the following conditions: (a) Remedial action to affect resolu
(i) Employees shall have no knowltion. Violations of the regulations in
edge of and no control over the holdthis part, including the statutory regu
ings in the trust. lations which are incorporated, by an
(ii) Employees must direct the trustemployee or special Government em
ee to divest the corpus of those holdployee may be cause for mandatory re
ings which created the conflict of inmedial action. If the bureau or office
terest. Such divestiture is required as ethics counselor decides that remedial
soon as reasonably possible. action is required, immediate action
(iii) Employees must direct the trustshall be initiated to eliminate the con- ee not to acquire holdings which flict or appearance of conflict of inter- would or could create a conflict of inest within a reasonable time, generally
terest situation. ninety days. Remedial action may in- (iv) The agreement must cover all reclude any of the following actions: quired matters and must be approved
(1) Reassignment or restriction of in advance by the Department ethics the employee. If an employee is in a counselor and the Office of the Solicijob where there is a conflict of inter- tor. est, it may be possible to reassign the (4) Other forms of trust. Employees employee to another job where no who have preexisting trusts or inheritsuch conflict would exist. It may also ed trusts (not established by thembe possible to restrict the employee selves) may, in rare instances and on a from performing the particular duties case-by-case basis, receive authorizathat are creating the conflict or the tion from his or her designated ethics appearance of a conflict of interest. counselor to continue the trust pro
vided the employee has no control over its management or assets.
(b) Authority to order remedial action. (1) Each bureau or office ethics counselor is authorized and shall order resolution of conflict of interest situations within their bureaus and offices. The advice of the Solicitor or Department ethics counselor may be sought before such an order is issued. This authority may not be redelegated.
(2) The Assistant Secretary Policy, Budget and Administration will be responsible for ordering resolution of conflict of interest situations for employees who file with the Chief, Division of Personnel Services, Office of Secretarial Operations ($ 20.735-22(c) (6)).
(3) The Under Secretary is responsible for ordering resolution of conflict of interest situations for employees who file with the Under Secretary (§ 20.735-22(c) (1)) or the Department ethics counselor ($ 20.735-22(c) (2)) except for situations involving himself or herself and Assistants to the Secretary.
(4) The Secretary shall order resolution of conflict of interest situations involving the Under Secretary and Assistants to the Secretary.
(c) Disciplinary action. An employee who refuses to comply with an order for remedial action shall be considered to be in violation of these regulations and may be subject to disciplinary action including suspension or removal from his position as provided by $ 20.735-4.
initiated. Appeals shall be made in writing.
(2) Orders for remedial action issued by a bureau or office ethics counselor may be appealed to the Assistant Secretary Policy, Budget and Administration whose decision shall be final.
(3) Orders for remedial action issued by the Assistant Secretary Policy, Budget and Administration may be appealed to the Under Secretary, whose decision shall be final.
(4) Orders for remedial action issued by the Under Secretary may be appealed to the Secretary whose decision shall be final.
(5) Each appeal shall be considered by a review board consisting of the Department ethics counselor, a representative of the Solicitor, and a representative of the Office of Personnel Management. The review board shall:
(i) Obtain from the appropriate ethics counselor a full statement of actions and considerations which led to the order for remedial action including any supporting documentation or files used by the ethics counselor.
(ii) Obtain from the employee all information, exhibits or documents which he or she feels should be considered before a final decision is made.
(iii) Provide to the official who will decide the appeal an advisory recommendation on the appeal. The views of dissenting members of the review board shall also be provided.
(6) An employee may request that a final decision made under the procedures in this paragraph be reviewed through the Department's grievance procedures.
Subpart C-Ethical & Other Conduct and Responsibilities of Employees
$ 20.735-25 Appeals procedures.
(a) Employee's complaint on filing requirement. Any employee required to file a statement of employment and financial interest under $ 20.735-22 shall be given an opportunity for review through the Department's grievance procedure as to whether his or her position has been improperly included.
(b) Employee's complaint on conflict of interest decision. (1) An employee has the right to appeal an order for remedial action under $ 20.735-24 and shall have 30 days to exercise this right before any disciplinary action is
$ 20.735-31 Scope of subpart.
(a) Standards of conduct. This subpart contains policies, procedures and restrictions concerning the ethical and other conduct and responsibilities of employees in the discharge of their official responsibilities. Civil Service regulations state that any criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct on the part of a Federal employee is cause for his or her removal from the service of the