Each employee will acquaint himself with each statute that relates to his ethical and other conduct as an employee of the General Accounting Office with particular reference to the following:

(a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. 312, the "Code of Ethics for Government Service."

(b) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

(c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913). (d) The prohibitions against disloyalty and striking (5 U.S.C. 118p, 118r).

(e) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

(g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 640).

(h) The prohibition against the misuse of a Government vehicle (5 U.S.C. 78c).

(i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(j) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (5 U.S.C. 637).

(k) The prohibition against fraud or false statement in a Government matter (18 U.S.C. 1001).

(1) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(n) The prohibitions against (1) embezzlement of Government money or

property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(0) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(p) The prohibition against proscribed political activities-the Hatch Act (5 U.S.C. 118i), and 18 U.S.C. 602, 603, 607, and 608.

Subpart C-Regulations Governing Ethical and Other Conduct and Responsibilities of Special Government Employees

§ 6.35 Use of Government employment.

A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

§ 6.36

Use of inside information.

A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purposes of this section, "inside information" means information obtained by reason of his Government employment which has not become part of the body of public information.

§ 6.37 Teaching, lecturing, or writing.

A special Government employee may, without prior approval, teach, lecture, or write in a manner not otherwise inconsistent with § 6.22 in regard to employees.

§ 6.39

SO em

Gifts, entertainment, and favors. Except as provided in § 6.12, a special Government employee, while ployed or in connection with his employment, shall not solicit or accept, directly or indirectly, anything of value as a gift, gratuity, loan, entertainment, or favor from a person who:

(a) Has, or is seeking to obtain contractual or other business or financial relations with the General Accounting Office.

(b) Has interests that may be substantially affected by the performance or nonperformance of his official duties. § 6.40 Miscellaneous statutory provisions.

Each special Government employee shall acquaint himself with each statute that relates to his ethical and other conduct as a special Government employee of the General Accounting Office and the Government with particular reference to the statutes cited in § 6.34 and the following:

(a) A special Government employee may not, otherwise than as provided by law for the proper discharge of his official duties, receive or agree to receive, or solicit any compensation for any services by himself or another; and may not, except in the proper discharge of his duties, represent or assist anyone, with or without compensation, before a department, agency, court, court-martial, officer, or any civil, military, or naval commission, in connection with a particular matter in which the United States is a party or has a direct or substantial interest, provided, however, that these restrictions apply to a special Government employee only in relation to a particular matter involving a specific party or parties:

(1) In which he has at any time participated personally and substantially as a Government employee or special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or

(2) Which is pending in the department or agency of the Government in which he is serving, except that this provision (§ 6.40(a)(2)) shall not apply when he has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days. He is bound by the restraint of this provision (§ 6.40 (a) (2))

despite the fact that the matter is not one in which he has ever participated personally and substantially (18 U.S.C. 203, 205).

(b) A special Government employee shall not participate in his governmental capacity in any matter in which to his knowledge he, his spouse, minor child, partner, organization in which 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 (18 U.S.C. 208).

(c) After his Government employment has ended, a special Government employee is subject to the prohibition pertaining to a "former employee" in matters connected with his former duties (18 U.S.C. 207).

Subpart D-Activities by Former
Employees

§ 6.41

Prohibited activities.

A former employee shall not:

(a) At any time after his Government employment has ended, knowingly represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and in which he participated personally and substantially for the Government (18 U.S.C. 207(a)).

(b) For 1 year after his Government employment has ended, appear personally before any court or Government agency as agent, or attorney for, anyone other than the Government in connection with a matter in which the Government is a party or has a substantial interest and which was under his official responsibility as an employee of the Government at any time during the last year of his Government employment (18 U.S.C. 202(b) and 207(b)).

§ 6.43 Employees required to submit

statements.

Except as otherwise provided in this part, statements of employment and financial interests (GAO Form 310) will be required from the following employees:

(a) The Comptroller General, the Assistant Comptroller General, and the General Counsel of the U.S. General Accounting Office.

(b) Employees in positions in grades GS-15, 16, 17, and 18 of the General Schedule established by the Classification Act of 1949, as amended, and all regional managers.

§ 6.44 Submission of employees' state

ments by agency and division heads.

The Comptroller General will file a statement of employment and financial interests (GAO Form 310) with the Director of Personnel who will retain it with other such statements; the Assistant Comptroller General and each head of division or office will submit his statement of employment and financial interests (GAO Form 310) to the Comptroller General.

8 6.46

Time for submission of statements.

Each employee required to submit a statement of employment and financial interests shall submit that statement to the appropriate office designated in §§ 6.44 and 6.45 not later than:

(a) Ninety days after the effective date of this part if employed on or before that effective date; or

(b) Thirty days after his entrance on duty, but not earlier than 90 days after the effective date, if appointed after that effective date.

§ 6.47 Supplementary statements.

Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supple

mentary statement at the end of the quarter in which the changes occur. Quarters end March 31, June 30, September 30, and December 31, except when the Comptroller General, for good cause shown, authorizes a different date in individual cases. If there are no changes or additions in a quarter, a negative report is not required. For the purpose of an annual review, a supplementary statement, negative or otherwise, is, however, required as of June 30 of each year. § 6.48 Interests of employees' 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 relatives by blood who are residents of the employee's household.

§ 6.49 Information not known by employees.

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.

§ 6.50 Information not required.

This part does not require an employee to submit on a statement of employment and financial 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 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.

§ 6.51 Confidentiality of employees'

statements.

Statements of employment and financial interests and supplementary statements shall be retained in a confidential

file secured in an appropriate manner by the Director of Personnel. No persons other than the Comptroller General, the Assistant Comptroller General, the head of division or office as to employees or special Government employees under his direction, the counselor for the General Accounting Office, or the Director of Personnel shall have access to such statements and no disclosure of information shall be made from such statements except as specifically authorized by the Comptroller General when he determines that such disclosure is in the interest of the United States.

§ 6.52

Review of statements by the Comptroller General.

The Comptroller General together with the counselor for the General Accounting Office will review each statement of employment and financial interests and each supplementary statement submitted directly to the Comptroller General by reason of § 6.44, as well as all relevant information from other sources incident thereto to determine whether there are any conflicts of interest or apparent conflicts of interest. Where no conflicts of interest or apparent conflicts of interest are found, the cases will be considered resolved until other pertinent information becomes available. If questions of conflicts of interest or apparent conflicts of interest arise, pertinent procedures established for employees and special Government employees elsewhere in this part will be followed.

§ 6.53

Review of statements by heads of divisions and offices.

The head of each division or office, for employees or special Government employees in his division, together with the counselor for the General Accounting Office will review each statement of employment and financial interests, each supplementary statement, and all relevant information from other sources, if any, to determine whether there are any conflicts of interest or apparent conflicts of interest on the part of the employee or special Government employee submitting the statement. If it is pertinent to a conflict-of-interest decision, the head of division or office or counselor may require the employee or special Government employee to supplement the

If the head of division or office and the counselor for the General Accounting Office agree that there are no conflicts of interest or apparent conflicts of interest in individual cases, the matter will be considered resolved until other information on the case becomes available or circumstances change.

§ 6.55 Findings of conflicts of interest.

When either the head of division or office or the counselor for the General Accounting Office believes that the statement of employment and financial interests or information from other sources discloses a conflict of interest or an apparent conflict of interest, the employee or special Government employee concerned will be asked to explain the conflict or appearance of conflict. If his explanation is satisfactory to both the head of division or office and the counselor for the General Accounting Office and they both agree that there is no conflict or apparent conflict, the case will be considered closed until further information or changed circumstances reactivate it. If they fail to agree or if both agree that there is a conflict or apparent conflict of interest on the part of the employee or special Government employee, a report will be made of the case to the Comptroller General for final disposition. This report will contain the views of the head of division or office and those of the counselor for the General Accounting Office; will point out specifically the areas of conflict or apparent conflict and the reasons why it is felt that a conflict or apparent conflict exists or does not exist; and will be signed by both these officials. The report will also contain a summary of the employee's explanation signed by him. The Comptroller General will then consider the matter, afford the employee or special Government employee concerned an opportunity to explain the conflict or apparent conflict, make a final decision and take appropriate action in accordance with § 6.7.

§ 6.56 Effect of employees' statements

on other requirements.

The statement of employment and financial interests and supplementary statements required of 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 of employment and financial interests 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.

§ 6.57 Specific provisions for special Government employees.

Except as provided in §§ 6.58 and 6.59 each special Government employee by the use of GAO Form 311 shall submit a statement of employment and financial interests which reports:

(a) All other employment; and

(b) The financial interests of the special Government employee which relate either directly or indirectly to the duties and responsibilities of the special Government employee.

§ 6.58 Waiver of statements from staff development consultants.

The provisions of § 6.57 are waived for special Government employees who are employed for the purpose of rendering advice, counsel, or expert services on recruiting and staff development including CPA review courses, because such employment is of a nature and at such a level of responsibility that any financial interests that they may have would be too remote to affect the integrity of their services in the General Accounting Office and the submission of statements would be unnecessary.

§ 6.59 Waiver of statements from other special Government employees.

In addition to the waiver expressed in § 6.58, the Comptroller General may

waive the requirement of § 6.57 for the submission of a statement of employment and financial interests in the case of a special Government employee when he finds that the duties performed by that special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the special Government employee is not necessary to protect the integrity of the General Accounting Office.

§ 6.60 Time for submission of statements by special Government employees.

A statement of employment and financial interests required to be submitted under § 6.57 shall be submitted not later than the time of employment of the special Government employee. Each special Government employee shall keep his statement current throughout his employment with the General Accounting Office by submission of supplementary statements covering changes in, or additions to, the information contained in his statement of employment and financial interests every 90 days after his appointment until he is no longer subject to § 6.57. Upon reappointment immediately following separation, the special Government employee shall file a new statement or certify that the latest statement on file is currently correct, whichever is proper.