[Code of Federal Regulations]

[Title 45, Volume 1]

[Revised as of October 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 45CFR73.735-901]



[Page 187-188]

 

                        TITLE 45--PUBLIC WELFARE

 

                    SUBTITLE A--DEPARTMENT OF HEALTH

                           AND HUMAN SERVICES

 

PART 73_STANDARDS OF CONDUCT--Table of Contents

 

                 Subpart I_Reporting Financial Interests

 

Sec.  73.735-901  Reporting requirement of the Ethics in Government Act 

of 1978.





    (a) Applicability. The following employees and special Government 

employees shall submit public financial disclosure reports in accordance 

with the provisions of Title II of the Ethics in Government Act of 1978, 

Pub. L. 95-521, as amended:

    (1) Officers and employees (including consultants who will work more 

than 60 days in a calendar year) whose positions are classified at GS-16 

or above of the General Schedule, or whose basic rate of pay (excluding 

``step'' increases) under other pay schedules is equal to, or greater 

than, the rate for GS-16 (step 1);

    (2) Members of the uniformed services whose pay grade is 0-7 or 

above;

    (3) Officers and employees in any other positions determined by the 

Director of the Office of Government Ethics to be of equal 

classification to GS-16;

    (4) Administrative Law Judges;

    (5) Employees in the excepted service in positions which are of a 

confidential or policy-making character, unless their position has been 

excluded by the



[[Page 188]]



Director of the Office of Government Ethics;

    (6) Department Ethics Counselor; and

    (7) Deputy Ethics Counselors.





An employee who thinks that his or her position has been improperly 

included under the reporting requirements of this part may obtain a 

review of that determination by writing to the Department Ethics 

Counselor.

    (b) Filing Dates. Employees listed in Sec.  73.735-901 (a) of this 

subpart shall file a financial disclosure report:

    (1) Within 5 days after the transmittal by the President to the 

Senate of their nomination to a position requiring Senate confirmation, 

or

    (2) Within 30 days after assuming a covered position not requiring 

Senate confirmation unless the employee has left another covered 

position listed in Sec.  73.735-901 (a) of this subpart, or

    (3) Within 30 days after terminating Federal employment or assuming 

a position which is not listed in Sec.  73.735-901 (a) of this subpart; 

and

    (4) By May 15 of each calendar year, unless the employee has in that 

calendar year already submitted a financial disclosure report covering 

the preceding calendar year.

    (c) Submission of reports. (1) Executive level officers, non-career 

executives, deputy ethics counselors and Schedule C employees in the 

Office of the Secretary who are required to report in accordance with 

Sec.  73.735-901 (a) of this subpart shall submit their reports to the 

Department Ethics Counselor.

    (2) All other employees required to report in accordance with Sec.  

73.735-901 (a) of this subpart shall submit their reports to the 

reviewing official for their organizational component under procedures 

described in the Department's Personnel Manual. Personnel offices will 

keep a list of reviewing officials and will give each covered employee 

the name of the official to whom his or her report should be sent.

    (d) Review and certification of reports. (1) Each report submitted 

in accordance with this section shall be reviewed by the appropriate 

reviewing official within 60 days of its receipt. Upon reviewing a 

report and finding that the information contained therein reveals no 

conflict of interest or other violation of any provision of this part or 

applicable law, the reviewing officer shall certify the report with his 

or her signature.

    (2) The certification of a report filed in accordance with this 

section shall have the concurrence of the Office of the General Counsel.

    (3) Action to be taken by the reviewing official if the individual 

is not in compliance with applicable laws and regulations is discussed 

in Sec.  73.735-903 and Sec.  73.735-904.