[Code of Federal Regulations]
[Title 5, Volume 3]
[Revised as of January 1, 2008]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR2634.804]

[Page 542]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER XVI--OFFICE OF GOVERNMENT ETHICS
 
PART 2634_EXECUTIVE BRANCH FINANCIAL DISCLOSURE, QUALIFIED TRUSTS, AND 
 
                       Subpart H_Ethics Agreements
 
Sec. 2634.804  Evidence of compliance.

    (a) Requisite evidence of action taken. (1) For ethics agreements of 
nominees to positions requiring the advice and consent of the Senate, 
evidence of any action taken to comply with the terms of such ethics 
agreements shall be submitted by the designated agency ethics official, 
upon receipt of the evidence, to the Office of Government Ethics and to 
the Senate confirmation committee.
    (2) For ethics agreements of incumbents in positions which required 
the advice and consent of the Senate, evidence of any action taken to 
comply with the terms of such ethics agreements shall be submitted 
promptly by the designated agency ethics official to the Office of 
Government Ethics. A designated agency ethics official or an employee 
referred to in Sec. 2634.803(c) of this subpart who is neither a 
nominee to, nor an incumbent in, an advice-and-consent position, must 
also promptly send evidence of any action taken to comply with the terms 
of an ethics agreement to the Office of Government Ethics.
    (3) In the case of all other reporting individuals, evidence of any 
action taken to comply with the terms of an ethics agreement must be 
sent promptly to the designated agency ethics official.
    (b) The following materials and any other appropriate information 
constitute evidence of the action taken:
    (1) Recusal. A copy of any recusal instrument listing and describing 
the specific matters or subjects to which the recusal applies, a 
statement of the method by which the agency will enforce the recusal, 
and a list of the positions of those agency employees involved in the 
enforcement (i.e., the individual's immediate subordinates and 
supervisors).

    Example: A new employee of a Federal safety board owns stock in 
Nationwide Airlines. She has entered into an ethics agreement to recuse 
herself from participating in any accident investigations involving that 
company's aircraft until such time as she can complete a divestiture of 
the asset. She must give a copy of the recusal instrument to her 
immediate subordinates and supervisors, and to the designated agency 
ethics official. The employee has also agreed to recuse herself from any 
particular matter (as that term is used in 18 U.S.C. 208) that might 
arise with respect to any of her present or future holdings. There is no 
requirement to execute a recusal instrument for this type of general 
recusal, because it is simply a promise to abide by the terms of the 
statute.

    (2) Divestiture or resignation. Written notification that the 
divestiture or resignation has occurred.
    (3) Waivers. A copy of any waivers issued pursuant to 18 U.S.C. 
208(b)(1) or (b)(3) and signed by the appropriate supervisory official.
    (4) Blind or diversified trusts. Information required by subpart D 
of this part to be submitted to the Office of Government Ethics for its 
certification of any qualified trust instrument. If the Office of 
Government Ethics does not certify the trust, the designated agency 
ethics official and, as appropriate, the Senate confirmation committee 
should be informed immediately.

[57 FR 11825, Apr. 7, 1992; 57 FR 21855, May 22, 1992]