45 C.F.R. Subpart C—Financial Reporting Requirements
Title 45 - Public Welfare
Title 45: Public Welfare
PART 706—EMPLOYEE RESPONSIBILITIES AND CONDUCT
Subpart C—Financial Reporting Requirements
§ 706.19 Statements of financial and property interests and outside employment.
Pursuant to the Ethics in Government Act of 1978 (Public Law 95–521, as amended by Public Law 101–194, 101–280, 102–90, 102–378, and 104–65, referred to hereinafter in this subpart as “the Act”), the following officers and employees of the Commission are required to file annual reports of financial and property interests and outside employment if they have served 61 days or more in their positions during the preceding calendar year:
(a) Officers or employees, including a special Government employee as defined in 18 U.S.C. 202, 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;
(b) Employees in the excepted service in positions that are of a confidential or policy-making character, unless their positions have been excluded by the Director of the Office of Government Ethics; and
(c) Each designated agency ethics official.
§ 706.20 Time and place for filing of reports.
(a) Annual reports are to be filed no later than May 15 of each calendar year, except that persons assuming a position for which reports are required who have not immediately prior to this assumption occupied a covered position in another agency, must file a report within 30 days after assuming the position at the Commission. In the event an individual terminates employment with the Commission and does not accept another position for which reporting is required, the report must be filed no later than the 30th day after termination, covering:
(1) The preceding calendar year if the annual May 15 report has not been filed; and
(2) The portion of the present calendar year up to the date of termination.
(b) Reports shall be filed with the designated ethics officer (General Counsel) of the Commission. The reports of the designated ethics officer and nominees to and holders of positions that require confirmation by the Senate shall be transmitted by the General Counsel to the Office of Government Ethics of the Office of Personnel Management.
§ 706.21 Exclusion of certain positions from reporting requirements.
(a) Under section 101 of the Act, a report is required of any person in the executive branch in a position excepted from the competitive service by reason of being of a confidential or policymaker character. The exclusion of any position will be effective as of the time the Commission files with the Office of Government Ethics a list and description of each position for which exclusion is sought, and the identity of its current occupant. Such a list must be filed with the Office of Government Ethics on or before the date on which such reports are due under the Act.
(b) In the event that the Office of Government Ethics finds that one or more positions have been improperly excluded, it will so advise the Commission and set a date for the filing of the report.
§ 706.22 Information required to be reported—reporting forms.
Information required to be reported by the Act shall be set forth in the manner specified in, and in accordance with the instructions contained in, Standard Forms issued by the Office of Personnel Management, to be used as follows:
(a) Standard Form 278—for use by an officer or employee filing:
(1) An annual report pursuant to section 101 of the Act, or
(2) A departure report upon termination of employment, pursuant to section 101 of the Act;
(b) Standard Form 278A—for use by:
(1) An individual assuming a position for which reporting is required pursuant to section 201(a) of the Act; or
(2) An individual whose nomination has been transmitted by the President to the Senate, pursuant to section 201(b) of the Act.
§ 706.23 Review of reports.
(a) Financial reports are reviewed by the Commission's designated Ethics official or the Director of the Office of Government Ethics, as appropriate. Reports are to be reviewed within 60 days after the date of their filing or transmittal to the Office of Government Ethics.
(b) After reviewing a report, the reviewing official is required to:
(1) State upon the report that the reporting individual is in compliance with applicable laws and regulations and to sign the report;
(2) Notify the reporting individual that additional information is required to be submitted and the time by which it must be submitted; or
(3) Notify the reporting individual that the report indicates noncompliance and afford the individual a reasonable opportunity for a written or oral response after which the reviewing official reaches an opinion whether the individual is in compliance.
(c) If the reviewing official determines that the reporting individual is not in compliance with applicable laws and regulations, the reviewing official will notify the individual of that opinion and after an opportunity for personal consultation notify the individual of the steps that should be taken to assure compliance and the date by which such steps should be taken.
(d) The use of any steps to bring the individual in compliance are to be in accordance with regulations issued by the Director of the Office of Government Ethics.
(e) To assist employees in avoiding situations in which they would not be in compliance with applicable laws and regulations, the designated Commission ethics official is to maintain a list of those circumstances or situations that have resulted or may result in noncompliance and the lists are to be periodically published and furnished to individuals required to file reports under this Act.
§ 706.24 Public access to financial disclosure reports.
(a) Pursuant to section 105(b) of the Act, each report will be made available for public inspection within 15 days after the report is received by the agency, whether or not the review of the report prescribed by section 106 of the Act has been completed.
(b) Pursuant to section 105(b) of the Act, the following rules are applicable to public access to financial reports:
(1) A financial disclosure report may not be made available to any person nor may a copy thereof be provided to any person except upon written application by such person stating:
(i) That person's name, occupation, and address;
(ii) The name and address of any other person or organization on whose behalf the inspection or copy is requested; and
(iii) That such person is aware that it is unlawful 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. Any application for a report shall be available to the public during the period in which the requested report is available to the public.
(2) [Reserved]
(c) Requests for copies of financial disclosure reports of officers appointed by the President by and with the advice and consent of the Senate, as well as nominees to such offices and designated Commission ethics officials, may be directed to the Director of the Office of Government Ethics.
(d) To gain access to or to obtain a copy of a report filed with the Commission, an individual should appear in person at the office of the General Counsel of the Commission, 624 9th Street, NW., Washington, DC 20425, during the hours 8:30 a.m. to 4:30 p.m. and complete an application form. Requests by mail should contain the information described in paragraph (b) of this section, together with the signature of the requester. Requests that do not contain the required information will be returned. Notice of the statutory prohibitions on use will be attached to copies of reports provided in response to a request otherwise properly filled out.
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