[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: 45CFR73.735-902]



[Page 188-189]

 

                        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.  73.735-902  Reporting requirements for certain employees not covered 

by the Ethics in Government Act of 1978.



    (a) Applicability. The following employees and special Government 

employees shall submit confidential statements of employment and 

financial interests in accordance with the provisions of this subpart, 

provided they are not required to submit financial disclosure reports 

under Sec.  73.735-901. A list of the positions in this Department whose 

incumbents are required to file financial interest statements as 

prescribed by this subpart is available for review in all of the 

Departments servicing personnel offices.

    (1) Officers and employees in positions classified at GS-13 or above 

(or comparable pay level) who have decision-making responsibility for 

the following matters:

    (i) Contracting or procurement,

    (ii) Administering or monitoring grants or subsidies,

    (iii) Regulating or auditing private or other non-Federal 

enterprises, or

    (iv) Other activities where the decision or action would have an 

economic impact on the interest of any non-Federal enterprise.

    (2) Incumbents of any other positions designated by the head of the 

principal operating component, or by the Assistant Secretary for 

Management and Budget for the Office of the Secretary, to report 

employment and financial interests in order to protect the integrity of 

the Government and to avoid possible conflicts of interest. The 

designation of any such positions below the GS-13 grade must be approved 

by the Office of Personnel Management.

    (3) All experts, consultants, or advisory committee members who are 

not



[[Page 189]]



required to submit a public financial disclosure report in accordance 

with the Ethics in Government Act except:

    (i) Doctors, dentists and allied medical specialists performing 

services for, or consulted as to the diagnosis or treatment of, 

individual patients; or

    (ii) Veterinarians performing services for or consulted as to care 

and service to animals.

    (b) Filing dates. (1) Experts, consultants, and advisory committee 

members shall file a confidential Statement of Employment and Financial 

Interest no later than the date employment commences and shall file 

supplemental statements as necessary to keep all information submitted 

current and accurate.

    (2) Other individuals covered by Sec.  73.735-902 (a) of this 

subpart shall:

    (i) File a confidential statement no later than 30 days after 

assuming a covered position unless the employee, within 30 days before 

assuming the position, left another covered position in HHS that is 

included in Sec.  73.735-901(a) or Sec.  73.735-902(a) of this subpart; 

and

    (ii) Report changes in or additions to the information in the 

statement as of June 30 of each calendar year, or a different date set 

by employee's component with authorization by the Office of Personnel 

Management.

    (c) Submission and review of financial statements. (1) Heads of 

principal operating components, the Assistant Secretary for Management 

and Budget, and principal regional officials for employees under their 

appointing authority shall establish procedures to ensure that financial 

statements from covered employees are received and updated on a timely 

basis and are referred to the appropriate reviewing officials for review 

and certification. (See Sec.  73.735-202 (e)(1)).

    (2) The reviewing official shall review statements to determine 

whether conflicts of interest or apparent conflicts might arise from the 

activities reported thereon. If the review discloses no conflict or 

apparent conflict, the reviewing official shall certify the statement 

with his or her signature. Action to take if the individual is not in 

compliance with applicable laws and regulations is discussed in Sec.  

73.735-903 and Sec.  73.735-904.