6.55 Specific provisions for special Government employees.

6.56 Waiver of statements from certain special Government employees.

6.57 Time for submission of statements by special Government employees. 6.58 Circumstances requiring statements from special Government employees. AUTHORITY: This Part 6 issued under sec. 311, 42 Stat. 25, as amended, 31 U.S.C. 52. Interpret or apply 18 U.S.C. 201-218.

SOURCE: The provisions of this Part 6 appear at 33 F.R. 2369, Jan. 1, 1968, unless otherwise noted.

Subpart A-General Provisions

§ 6.1 Purpose of part.

The Government service requires the maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees to assure the proper performance of Government business and the maintenance of confidence by citizens in their Government. This is especially true of service in the U.S. General Accounting Office because of the unique functions and special trust placed upon the Office. General Accounting Office employees and special Government employees are therefore expected and required to exercise informed judgments to avoid misconduct and conflicts of interest and the appearance of conflicts of interest. In accordance with these concepts, this part sets forth the regulations and policies of the General Accounting Office which prescribe standards of conduct and responsibilities including requirements for reporting employment and financial interests for its employees and special Government employees.

§ 6.2 Definitions.

In this part:

(a) "Employee" means an officer or employee of the General Accounting Office other than a special Government employee.

(b) "Special Government employee" means an officer or employee who is retained, designated, appointed, or employed to perform, with or without compensation, for a period not to exceed 130 days during any period of 365 consecu

tive days, temporary duties either on a full-time or intermittent basis (18 U.S.C. 202).

(c) "Person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution.

(d) "Former employee" means a former General Accounting Office employee or former special Government employee, as defined in paragraph (b) of this section.

(e) Words imparting the masculine gender include the feminine as well, and words imparting the plural include the singular.

§ 6.3 Interpretation and advisory service.

The General Counsel, with the approval of the Comptroller General, shall designate a counselor for the General Accounting Office who shall be responsible for the coordination of counseling service provided under § 6.4 and for assuring that counsel and interpretations on questions of conflicts of interest matters covered by this part are available to deputy counselors designated under § 6.4.

§ 6.4 Appointment of deputy counselors.

Subject to the approval of the Comptroller General, the counselor named under 6.3 may designate, when appropriate and needed, deputy counselors to assist General Accounting Office employees and special Government employees. Deputy counselors designated under this paragraph shall be qualified and in a position to give authoritative advice and guidance to employees and special Government employees who seek advice and guidance on conflicts of interest questions. In those divisions where no deputy counselor has been designated, the counselor for the General Accounting Office will be available to assist the employees and special Government employees.

[34 F.R. 19965, Dec. 20, 1969]

§ 6.5 Compliance.

The heads of divisions and offices shall be responsible for seeing to it that this part is fully complied with in their respective divisions or offices and for issuing whatever supplementary instructions are deemed desirable. Except as otherwise specifically provided for in this part, any matter coming within the provisions of this part arising in the General Ac

counting Office will be referred immediately by the head of division or office or other official concerned to the Director, Office of Personnel Management, for appropriate disposition.

[34 F.R. 19965, Dec. 20, 1969]

§ 6.6 Disciplinary and other remedial

action.

(a) A violation of any of these regulations by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.

(b) When, after consideration of the explanation of the employee or special Government employee provided by § 6.53, the Comptroller General decides that remedial action is required, he shall take immediate steps to end the conflicts of interest or the appearance of conflicts of interest. Remedial action may include, but is not limited to:

(1) Changes in assigned duties; (2) Divestment by the employee or special Government employee of his conflicting interest;

(3) Disciplinary action; or

(4) Disqualification for a particular assignment.

§ 6.7 Effecting disciplinary and remedial actions.

Remedial action, whether disciplinary or otherwise, shall be effected in accordance with applicable laws and regulations.

§ 6.8 Distribution of regulations.

A copy of these regulations shall be furnished each employee and special Government employee.

§ 6.9 Access to pertinent laws and related materials.

Copies of pertinent laws, the Executive order, Comptroller General's Orders, and Civil Service Regulations and instructions relating to ethical and other conduct will be made available in the Office of Personnel upon request by employees and special Government employees. Subpart B-Regulations Governing Ethical and Other Conduct and Responsibilities of Employees

§ 6.10 General policy on conduct.

The personal demeanor of employees of the General Accounting Office is subject to the closest public and official scrutiny and as representatives of the

Office they are judged by their personal associates and activities as well as by their official actions and conduct. In all their dealings, employees of the General Accounting Office shall so conduct themselves as to permit no reasonable basis for suspicion of unethical conduct or practices. The obligation to protect fully the interests of the Government as a whole and the General Accounting Office as an agency of the Congress, demands the avoidance of circumstances which invite conflict between self-interest and the integrity of employment with the General Accounting Office. Loyalty to the Office and its programs and purposes is a necessary attribute.

§ 6.11 Proscribed actions.

An employee shall avoid any action whether or not specifically prohibited by this part, which might result in, or create the appearance of:

(a) Using public office for private gain;

(b) Giving improper preferential treatment to any person;

(c) Impeding Government efficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Government decision outside official channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Government or its operations.

§ 6.12 Gifts, entertainment, and favors.

Except as provided in § 6.13 and § 6.16, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(a) Has, or is seeking to obtain, contractual or other business or financial relations with the Federal Government;

(b) Conducts operations or activities that are subject to audit, investigation, decision, or regulation by the General Accounting Office; or

(c) Has interests that may be substantially affected by the performance of nonperformance of the employee's official duty.

§ 6.13 Permissible gifts, entertainment, and favors.

Despite the limitations established by § 6.12, the following exceptions are made: (a) A gift, gratuity, favor, entertainment, loan, or other similar favor of

monetary value may be accepted by the employee when it or they stem from a family or personal relationship, such as those between the employee and his parents, children, or spouse, and when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors.

(b) Food and refreshments of nominal value may be accepted on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where the employee may properly be in attend

ance.

(c) Loans from banks and other financial institutions may be accepted on customary terms to finance the proper and usual activities of employees, such as home mortgage loans.

(d) Unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value may be accepted. § 6.14 Gifts to superiors.

An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior or accept a gift presented as a contribution from an employee receiving less pay than himself (5 U.S.C. 7351).

§ 6.15 Gifts from foreign governments.

An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the United States Constitution and in Public Law 89-673, 80 Stat. 952.

§ 6.16 Reimbursement of travel and living expenses.

Neither 6.12 nor § 6.27 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part when not engaged on official business. However, this section does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits. When traveling on official business, no reimbursement may be accepted from private sources.

NOTE: Notwithstanding this section, the requirements relating to the acceptance of contributions and awards, travel, subsistence,

and other expenses in section 4111(a), title 5, United States Code, and the regulations thereunder in Subpart G, Part 410, Book III, Supplement 990-1, Federal Personnel Manual, continue to apply.

§ 6.17

Indebtedness of employees.

An employee shall pay each just financial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. For the purposes of this paragraph, a "just financial obligation" means one acknowledged by the employee or reduced to judgment by a court, and “in a proper and timely manner" means in a manner which the General Accounting Office determines does not, in the circumstances, reflect adversely on the Office as his employer. In the event of a dispute between an employee and an alleged creditor, this paragraph does not require the General Accounting Office to determine the validity of the disputed debt.

§ 6.18 Reports on indebtedness.

While the General Accounting Office will not become a collection agency for private creditors of an employee, each complaint of nonpayment of a debt will be referred to the employee concerned and the employee will be requested to report in writing as to what he proposes to do about the debt.

§ 6.19 Gambling, betting, and lotteries.

An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket.

§ 6.20 Use of Government property.

An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.

§ 6.21 Misuse of information.

For the purpose of furthering a private interest, an employee shall not, except as provided in § 6.27(b), directly or indirectly use, or allow the use of,

official information obtained through or in connection with his Government employment which has not been made available to the general public.

§ 6.22 Prohibited financial interests. An employee shall not:

(a) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities.

(b) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government employment.

§ 6.23 Bribery, graft, and conflicts of interest.

An employee shall not engage in acts prohibited by chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest as appropriate to the employee concerned. Three of the more important "conflict of interest" provisions are summarized as follows:

(a) An employee may not, except as provided by law for the proper discharge of his official duties, ask or seek any compensation for services by him or another in connection with any proceeding, request for a ruling or other determination before any Government agency or officer in which the United States is a party or has a direct and substantial interest (18 U.S.C. 203).

(b) An employee may not, except in the discharge of his official duties, represent anyone else (with or without compensation) before a court or Government agency in a matter in which the United States is a party or has a direct or substantial interest (18 U.S.C. 205).

(c) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209).

[33 F.R. 2369, Jan. 1, 1968, as amended at 34 F.R. 19965, Dec. 20, 1969] § 6.24

Conflicts resulting from assign

ments.

An employee will not participate in any audit, investigation, survey, examination, ruling, decision or determination, contract, claim, controversy, or other matter before the General Accounting Office in which he, his spouse, minor child, partner, organization in which

84-029-73——2

he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest with the following exceptions:

(a) The employee need not disqualify himself if his financial holdings are in shares of widely held diversified mutual funds or regulated investment companies in which he does not serve as director, officer, partner, or advisor. The indirect interest in business entities which the holder of shares in a widely diversified mutual fund or regulated investment company derives from ownership by the fund or investment company of stocks in business entities is hereby exempted from the provisions of 18 U.S.C. 208(a) in accordance with the provisions of 18 U.S.C. 208(b) (2) as being too remote or inconsequential to affect the integrity of the employee's services.

(b) If the employee first informs the Comptroller General through his head of division or office, in writing, of the nature and circumstances of the audit, investigation, survey, examination, ruling, decision or determination, contract, claim, controversy, or other matter in which he is participating and makes full disclosure of the financial interest and receives in advance a written determination made by the Comptroller General that the interest is not so substantial as to be deemed likely to affect the integrity of the employee's services, the employee need not consider himself disqualified (18 U.S.C. 208(b)).

§ 6.25 Disqualification procedure.

Where the employee, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner, or employee, or any person with whom he is negotiating or has an arrangement concerning prospective employment, has a financial interest in any matter in which he is participating as part of his official duties, he will so inform the Comptroller General through his head of division or office in writing, and he will thereupon be relieved of his duties and responsibilities in that particular matter unless the head of division or office, after consultation with and approval of the Comptroller General, finds that pursuant to § 6.24(b) of this part, the interest is too remote or too inconsequential to affect the integrity of the employee's services in which case the Comptroller General will notify the

employee in writing. In cases of disqualification of the employee, the assignment of the employee will be changed or the matter will be reassigned to another employee. A memorandum of disqualification will be made and forwarded by the Comptroller General to the employee with copies to the head of the division or office concerned, the Director of Personnel, and the Counselor for the General Accounting Office.

§ 6.26 Nondisqualifying interests.

This subpart does not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the Government so long as it is not prohibited by applicable law or regulations.

§ 6.27 Outside employment and other activity.

(a) An employee shall not engage in outside employment or other outside activity not compatible with the full and proper discharge of the duties and responsibilities of his Government employment. Incompatible activities include but are not limited to:

(1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, a conflict of interest; or

(2) Outside employment which tends to impair his mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner.

(b) Employees may (subject to the provisions of paragraph (c)(3) of this section) engage in teaching, lecturing, and writing that is not prohibited by law or the regulations in this part. An employee shall not, however, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Civil Service Commission or Board of Examiners for the foreign service, that depends on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the Comptroller General gives written authorization for the use of nonpublic information on the basis that such use is in the public interest. In

addition, the Comptroller General shall not receive compensation or anything of monetary value for any consultation, lecture, discussion, writing, or appearance, the subject matter of which is devoted substantially to the responsibilities, programs, or operations, of the General Accounting Office, or which draws substantially on official data or ideas which have not become part of the body of public information.

(c) This paragraph does not preclude an employee from:

(1) Participation in the activities of national or State political parties not precluded by law.

(2) Participation in the affairs of or acceptance of an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit, educational and recreational, public service, or civic organization.

(3) Outside employment when permission has been granted in advance by the Director, Office of Personnel Management, or his designee, and the employee has been notified in writing of the approval. This permission will be granted in accordance with the following policies, procedures, and limitations:

(i) In considering requests for outside employment, the following criteria will be applied-the provisions of applicable law; the regulations and policies incorporated in this part including the possibility of conflicts of interest; the general attendance record of the employee; the nature of his official duties in relation to the nature of the duties which will comprise the outside employment; the financial need or other justification for such outside employment; and the amount of time and hours of work required by the outside employment.

(ii) An employee will request permission to engage in outside employment by executing, in full, Form GAO 256 (Rev. 10/67) and forwarding it through his immediate supervisor to the head of his division or office.

(iii) The head of division or office will upon receipt of a fully executed Form GAO 256 (Rev. 10/67) evaluate the request in light of existing law, and policies and regulations provided by this part. Should the request be found proper and in the best interests of the Office and not in violation of law, regulations, and policies, the head of the division or office will transmit the request with his favorable recommendation to the Direc