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ander DCAA Regulations they must submit along with the form a copy of their job description, a statement as to whether or not in their opinion the employment or financial interest listed represents a conflict of interest, and a statement on the part of their supervisor that he has reviewed the report on employment and financial interest and that in his opinion the interests listed do not constitute a conflict of interest in the officer's or employees present position. The Statements and attachments are then forwarded directly to Counsel for his review.
4. (b) Where is the information deposited when it has been reviewed ? a. Upon receipt of the information, it is deposited in a secured safe in the Office of the Counsel.
5. Have you previously utilized similar questionnaires or required such information from your employees? If so, how does the new system differ from your former practices? Please supply copies of earlier forms.
A. This Agency, having been recently established as a Department of Defense Agency has not heretofore utilized questionnaires requesting comparable information from its employees.
WILLARD O. VICK;
Counsel (For the Director)
DEFENSE COMMUNICATIONS AGENCY
WASHINGTON, D.C., August 3, 1966. Memorandum for the Acting General Counsel, DOD, Subject: DD Form 1555, "Confidential Statement of Employment and Financial
Interests." 1. This is response to your memorandum of 19 July to the Director, DCA, on the subject matter in which you request that information be furnished upon which to base a reply to the specific questions raised in the July 11 letter of the (hairman, Constitutional Rights Subcommittee, to the Secretary of Defense. 2. The answers to the specific questions are:
(1) Three hundred and forty-five (345) employees in the Agency have been asked and have filed a Statement of Employment and Financial Interests (DD Form 1555). These employees are in the grade of GS-13 or above or Lt. Colonel or Commander or above.
(2) The Chief of Staff with the Counsel of the Agency together with the Heads of Headquarters Directorates and Field Activities is responsible for soliciting the Statements of Employment and Financial Interests.
(3) The Chief of Staff or the Chief of the Field Activity, as the case may be, in consultation with the Counsel, reviews the Statement of Employment and Financial Interests for a determination of a conflict or apparent conflict of interest. If a conflict or apparent conflict of interests is determined to exist, the matter is referred to the Director for disposition when it cannot be resolved.
(4) (a) (b) All Statements of Employment and Financial Interests are kept in safes as part of the official files of the Chief of Staff or the Head of a Headquarters Directorate, as the case may be, before and after they are reviewed.
(5) Similar Statements or such information as appears on the Statement of Employment and Financial Interests have not previously been utilized.
WILLIAM T. SMITH, Major General, USAF, Chief of Staff.
DEPARTMENT OF THE NAVY
WASHINGTON, D.C., July 26, 1966.
Enclosure: (1) Data for reply to Senator Ervin re Statements of Emplorment
and Financial Interests. 1. Enclosure (1) is forwarded in accordance with reference (a).
RICHARD A. BEAUMONT,
Deputy Under Secretary for Vanpower. STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS
(Data for reply to letter of Senator Ervin of July 11, 1966) (1) How many employees in your agency and what categories of eirporees have been or will be asked to complete standard of conduct questionnaires under the Order?
Paragraph XV.A of DOD Directive 5500.7 of 22 March 1976 prescribes the various categories of regular DOD personnel who are required to submit DD Form 1355, Confidential Statement of Employment and Financial interests. Insofar as concerns the Department of the Navy these are: (1) Personnel p:id at a level of the Federal Executive Salary Schedule established by the Federa, Executive Salary Act of 1964, as amended. (Sir officials of the Sary are listed in this schedule. (5 CSC 2211). Five are Presidential appointees). (2) Eduployees in Grade GS-16 or above of the General Schedule established by the Classification Act of 1949, as amended, or in comparable or higher positions du subject to that Act, including officers in the pay grade 07 or above. (GS-16 and above 235; officers of Navy and Marine Corps, 07 or above on active du: 370). (3) Civilian personnel in Grades GS-13, 14 and 15 and officers in par grades 05 and 06 whose basic duties and responsibilities require the incumbent to exercise judgment in making or recommending a Government decision of in taking or recommending Government action in regard to (a) contracting and procurement, (b) auditing or (c) activities in which the decision or action has an economic impact on the interests of any non-Federal enterprise. [1p proximately 12,500 are now employed in GS grades 13 through 1.5 and approximately 14,700 officers of the Navy and Marine Corps are now serving on active duty in the pay grades 05 and 06. It cannot be stated how many persons in the above category are now in assignments requiring the filing of statements). 14) Paragraph XV.G of DOD Directive 5500.7 also requires (ertain special Gorenment employees who are advisors or consultants to file statements prior to appointment. This requirement is carried over from prior directives. [The number of advisors and consultants is subject to constant change and is difficult to determine at any given date].
(2) Who in your agency is responsible for soliciting this information?
SecNav Instruction 1370.2D, issued by the Secretary of the Navy, requires submission of statements, as described above. Paragraph 6in of the Instruction places responsibility upon all chiefs and heads of commands, bureaus and offices and all commanding officers to see that the requirements of the entire Instructio2, including the requirement for submitting statements, are complied with.
(3) Which officials review it for violation of the standards?
Review of statements is accomplished in accordance with paragraph 6d of SecNav Instruction 5370.2D. In brief, each officer required to file forwards his statement to the superior officer having responsibility for siging his Fitness Report and each civilian employee required to file forwards his statement to the superior official having responsibility for reviewing his Performance Rating. That “appropriate supervisor" reviews the statement, attaches his written evaluation thereof to it and then forwards the file to a deputy counselor (inilitary or civilian attorney) for further examination. If both the appropriate supervisor and the deputy counselor agree that no conflict of interests is disclosed the statement is filed. If the appropriate supervisor and deputy counselor disagree, or if they agree that a conflict of interests exists, and if the conflict cannot be resolved at the supervisory level, the entire record is forwarded to the Navy Department in Washington for further review. The Under Secretary of the Navy is the final reviewing official for cases reflecting conflicts that cannot be resolved at a lower level.
(4) (a) What administrative procedures have been estabilshed to safeguard the confidentiality of the date?
Paragraph XV.M of DOD Directive 5500.7 provides, “An agency shall hold each atement of employment and financial interests, and each supplementary statetent, in confidence. An agency may not disclose information from a statement ccept as the agency head or the Civil Service Commission may determine for xod cause shown."
In addition, it is provided in paragraph 6e of SecNav Instruction 5370.2D that, Care shall be exercised, in the handiing of statements of employment and nancial interests, that they will be seen only by personnel on a need-to-know asis." (4) (b) Where is the information deposited when it has been reviewed ? If the initial review at the supervisory love! discloses no conflict, or if an xisting conflict can be resolved at that level, the statement is filed in the office f the supervisor responsible for reviewing it. (SecNav Instruction 5370.2D, aragraph 4d). Cases requiring referral to the Navy Department are filed, when nally resolved, in the Bureau of Vaval Personnel (Offices of the Navy), Marine forps Headquarters (Offices of the Marine Corps) or in the Office of Civilian lanpower Management (civilian employees), as appropriate, with information o the originating activity concerning the ultimate disposition of the case.
(5) Have you previously utilized similar questionnaires or required such nformation from your employees? If so, how does the new system differ from our former practices?
The President's memorandum of 2 May 1963, DOD) Directive 5500.7 of 17 May 963, Seclav Instruction 5370.2C of 1 December 1964 and Vary Civilian Peronnel Instructions required certain advisors and consultants to file statements of employment and financial interests, on DD Form 1.5.1.-1. The same requirenent is continued by DOD Directive 7500.7 of 22 March 1966 and Sec Vav Intruction 5370.2D of 29 June 1966. Essentially the same system of review was provided under the former directives as that obtaining under the current diectives. As noted, the same reporting form is prescribed for this purpose in the jew directive as that provided for in the former.
It may also be noted that under former directives (as well as under current lirectives) retired Regular officers of the Navy and Marine Corps were required o submit a statement of employment on DD Form 1357. The system of riling and review of these statements was the same under former directives as under hose currently in effect. There are approximately 47,300 retired Regular officers of the Navy and Marine Corps.
DEFENSE INTELLIGENCE AGENCY
WASIIINGTON, D.C., August 2, 1966. Memorandum for the general counsel, OSD Subject: DD Form 1555, “Confidential Statement of Employment and Financial
Interests." Reference: General Counsel Memorandum, 19 July 1966, DD Form 1555, “Confi
dential Statement of Employment and Financial Interests." The following information is submitted upon which to base a reply to specific questions raised in a letter from Senator Sam J. Ervin, Jr., Chairman, Constitutional Rights Subcommittee. The answers are keyed to the questions raised in Senator Ervin's letter.
a. Seven general/flag officers, twelve civilian employees in grade GS-16 and above, and an undetermined number of other personnel will be asked to file financial statements. The latter category are military officers in grades 05 and 06 and civilian employees in GS-13 and above whose basic duties and responsibilities require such individuals to exercise judgment in making or recommending a Government decision, or in taking or recommending Government action in regard to contracting or procurement, or decisions and actions which have economic impact on any non-Federal enterprise. The Agency is currently in the process of identifying individuals in the latter category and the number involved will not be available before 15 August 1966.
b. The Assistant Chief of Staff/Administration is responsible for soliciting financial statements from pertinent personnel within the Agency.
c. The General Counsel, Office of the Secretary of Defense, is the responsible official for the review.
d. (1) Since the information to be furnished on the financial statements is CEsidered to be privileged information, personnel have been advised to submit their statement in a sealed envelope addressed to the Assistant Chief of Staff/Admintration with the marking "NOT TO BE OPENED BY OTHER THAN DIASA." The Assistant Chief of Staff/Administration is responsible for consolidating, processing, and forwarding financial statements to the General Counsel, OSD.
(2) Financial statements are to be retained in the Office of the General Counse OSD.
e. This Agency has not previously utilized similar financial statements o: questionnaires, or required such information from its employees.
RICHARD W. WHITNEY,
(For the Director).
DEFENSE SUPPLY AGENCY
ALEXANDRIA, V'A., August 4, 1966. Memorandum for the General Counsel, Department of Defense. SUBJECT: DD Form 1555, “Confidential Statement of Employment and F:
nancial Interests." The following information is provided in response to your request of 19 July 1966, subject as above. The paragraphs correspond to the numbered questions in Senator Ervin's letter enclosed with your request.
1. 2.080 DSA employees have filed DD Forms 1555. These employees are in the categories specified in DoD Directive 5500.7. A few commanders of DSA field activities have, in addition, required a limited number of employees in grades below GS-13 and officers below lieutenant colonel or commander, in positions involving procurement or contract administration such as contracting officers, tn file a DD Form 1555. These employees are included in the above total.
2. The commanders of DSA field activities and the heads of Headquarters DSA principal staff elements are responsible for assuring that required Statements of Employment and Financial Interests (DD Form 1555) are filed by officers and employees in their organization.
3. Statements of Employment and Financial Interests (DD Form 15.55) are reviewed by the employee's immediate supervisor and by the counsel for the organization, except statements of heads of DSA primary level field activities. their deputies and counsel, are reviewed by the Counsel, DSA, and statements of the Director, Deputy Director, and Counsel, DSA, are reviewed by the General Counsel. Department of Defense.
4. (a) Statements of Employment and Financial Interests (DD Form 15:35 are submitted directly to the reviewing officials, usually in sealed envelopes. No other persons are authorized to have access to the statements.
(b) Statements of Employment and Financial Interests (DD Form 1555) are kept in locked cabinets or combination safes under the personal control of the reviewing counsel.
5. Similar statements have not previously been used, although in some cases employees were required to report outside employment. A copy of the form used to report outside employment at the two Defense Contract Administration Services field activities using a form for this purpose is enclosed (Enclosure 1).
R. M. LEMKE, Counsel
(For the Director.) (Following is the enclosure:)
1. I have read, understand and will comply with the provisicos os DSA Regulation No. 5500.1, dated 25 November 1964,
I am not engaged in any employer tha: paid or not paid, outside my position infense Contracë Administration Services igion, Atlanta.
In addition to my portion Wiha Defense Contract
The informion provided in this psragraph represents my status es of this di
understand thač if I wish to engage in outsiće emie ployment citer jnis sace, ! musi submit a request 20: edvance approval. to my supervisor.
s/ Johr. Doe
DCRA Form Lol 1 Oct 65