(2) By leaving them at his office with his clerk or with a person in charge thereof; or

(3) By depositing them in a United States post office or post office box, enclosed in a sealed envelope, plainly addressed to such Respondent at the address under which he is enrolled, or at last address known to SBA.

(4) When the Respondent is represented by attorney, by service upon the attorney in the same manner as provided in paragraphs (b)(1), (2) and (3) of this section for service on the Respondent.

(c) Service of papers upon the Administrator. Papers shall be served upon the Administrator as follows:

(1) By delivering them to the General Counsel of SBA; or

(2) By depositing them in a United States post office or post office box, enclosed in a sealed envelope, plainly addressed to the General Counsel of the Small Business Administration, Washington, D.C. 20416.

§ 104.3 Notice.

(a) The notice shall specify the charges upon which the Administrator bases the suspension or revocation of the privilege of Respondent to appear before SBA. Any suspension of the privilege of the Respondent to appear before SBA shall become effective as of the date of the service of the notice upon the Respondent. Any revocation of the Respondent's privilege to appear before SBA shall not become effective earlier than 20 days from the Idate of service of the notice on Respondent.

(b) In the event that a Respondent, whose privilege to appear has been suspended pursuant to the notice provided for in paragraph (a) of this section, fails to file an answer or request to be heard in response to the charges made against him within 20 days from the effective date of the suspension, the Administrator may revoke such privilege.

§ 104.4 Extension of time.

The Administrator may, in his discretion and upon appropriate application and showing by the Respondent, extend the effective date of the suspension or revocation.

§ 104.5 Answer and request to be heard.

At any time prior to the effective date of a revocation of the Respondent's privilege to appear or within 20 days after his receipt of a notice of suspension, he may file an answer with SBA, or request in writing an opportunity to be heard in answer to the charges, or both. If the Respondent files an answer or requests such a hearing, the effective date of the revocation shall be stayed pending the decision of the Administrator (see § 104.8).

§ 104.6 Request for additional information.

If Respondent desires additional information as to the charges, he may present a request in writing to the Administrator, asking that the notice be made more specific and setting forth in detail the additional information requested. If the Administrator determines that such information is relevant and material to the charges, he shall furnish the Respondent with such information.

§ 104.7 Hearing.

The hearing shall be informal. It shall be held before the Administrator or any person duly authorized by the Administrator to hear the matter and shall be upon the charges and Respondent's answer thereto. Respondent may, in addition to filing a written answer, furnish affidavits or produce witnesses at the hearing in support of his answer. The Administrator or such duly authorized person may determine the time, place and manner in which Respondent shall be heard, the form in which evidence shall be received, and may adopt rules of procedure and modify same from time to time as the occasion requires for the orderly disposition of the charges. Written notice of the time and place of all hearings shall be given the Respondent in the manner provided in this part for the service of papers. No hearing shall be held without reasonable notice thereof to the Respondent. The Administrator or such duly authorized person may postpone or adjourn hearings when necessary or desirable, on notice to the parties. Following a hearing held

before a duly authorized person, said person shall prepare proposed findings and conclusions and present them to the Administrator.

[Amdt. 1, 42 FR 63636, Dec. 19, 1977]

§ 104.8 Decision.

The Administrator shall base his decision upon the record and, if a hearing shall have been held before a person designated by him, he shall give such weight as he shall deem appropriate to the recommended findings and conclusions of such employee. The decision shall state the effective date of any action taken and be served upon the Respondent in the manner provided in § 104.2(a).

[Amdt. 1, 42 FR 63636, Dec. 19, 1977]

§ 104.9 Effect of decision.

The decision of the Administrator shall, without further proceedings, be the final decision of SBA.

§ 104.10 Reopening.

Any Respondent whose privilege to appear has been suspended or revoked may make written application in duplicate to the Administrator to have the order of suspension or revocation vacated or modified upon the grounds of newly discovered information or that important information is now available which the applicant was previously unable to produce. Such application must set forth specifically such information, and shall state the reasons why the applicant was unable to produce such information when the original charges were heard. The Administrator, after consideration of the application, may in his sole discretion, grant or deny the application, or fix a time and place for a further hearing of the application and give notice thereof to applicant. In the event SBA shall issue an order vacating or modifying the prior order to suspend or revoke the privilege of a Respondent to appear before SBA, notice thereof shall be given by SBA to all those to whom notice of the original order was sent.

§ 104.11 Immaterial mistakes.

The Administrator shall disregard an immaterial misnomer of a third

RESTRICTIONS RELATING TO FORMER SBA EMPLOYEES

105.401 Acting as representative in matter previously under the official responsibility of former employee.

105.402 Acting as representative in matter in which former employee personally participated.

105.403 Employment of former employee by person previously the recipient of SBA assistance.

105.404 SBA assistance to person employing former SBA employee. 105.405 Personal appearance by former

Senior Employee in matter in which he personally participated.

105.406 Involvement by former Senior Employee in SBA decisional matters. 105.407 Proceedings for debarment from appearances before SBA for violations of post employment restrictions contained in 18 U.S.C. 207 (a), (b) and (c). 105.408 Cross references.

RESTRICTIONS RELATING TO PRESENT SBA EMPLOYEES

105.501 Involvement in matters in which Government has substantial interest. 105.502 Compensation relating to official duties from nongovernment source. 105.503 Gratuities from persons dealing with SBA.

105.504 Other gifts and gratuities.

105.505 Situations creating a conflict of interest or the appearance thereof.

(a) "SBA" means the Small Business Administration.

(b) "Administrator" means the Administrator of the Small Business Administration.

(c) "Employee" means an officer or employee of the Small Business Administration, regardless of his grade, status or place of employment, including employees on leave with pay or on leave without pay other than those on extended military leave. Unless stated otherwise, "Employee" shall include those within the category of "Special Government Employee."

(d) "Special Government Employee" means an officer or employee of SBA, who is retained, appointed or employed to perform temporary duties on a full-time or intermittent basis, with or without compensation, for not to exceed 130 days during any period of 365 consecutive days.

(e) "Government" means the Government of the United States.

(f) "Person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution.

(g) "Member of household" means (1) spouse and minor children of an employee; and (2) all blood relations of the employee and of his spouse who reside in the same place of abode with the employee.

(h) The use of the masculine gender throughout this part shall mean masculine or feminine.

(i) "SBA Assistance" means financial, contractual, grant, managerial or other aid, including size, section 8(a) or other eligibility determinations granted by SBA under applicable law. For the purposes of this part, this term shall also include an express decision to compromise or defer possible litigation or other adverse action.

(j) "Department” means any department, agency, independent establishment or wholly-owned corporation of the U.S. Government.

(k) "Standards of Conduct Committee" is that administrative body within SBA which administers and interprets standards of employee conduct. Its function and composition are explained in § 105.801 herein.

the confidence of the public in the integrity of the Government.

RESTRICTIONS RELATING TO FORMER SBA EMPLOYEES

(1) "Senior Employee" means SBA employee paid at the Executive Level pursuant to subchapter 11 of Chapter 53 of Title 5, U.S.C. and any other employee, GS-17 or above or a member of the Senior Executive Service who has significant decisionmaking or policy responsibilities and is so designated by the Director, Office of Government Ethics pursuant to 18 U.S.C. 207(d).

[Rev. 2, 41 FR 29656, July 19, 1976, as amended at 47 FR 12334, Mar. 23, 1982]

§ 105.301 General requirements.

(a) No employee in the conduct of official business shall grant preferential treatment to or discriminate against any person.

(b) In the performance of official duties, the interest of the Government is paramount and takes precedence over the private pecuniary and other interests of all employees and third parties.

(c) In the conduct of official business, the personal opinions of every employee must be subordinated to established Government policy and SBA procedures. No employee shall substitute his personal opinions or judgments for established Government policy.

(d) No employee shall engage in criminal, infamous, dishonest, immoral, disgraceful or other conduct prejudicial to the Government.

(e) Every employee shall conduct himself in such a manner that the work of SBA will be effectively and efficiently accomplished.

(f) Every employee shall observe the full requirements of courtesy, consideration and promptness in performing his official duties.

(g) No employee shall use public office to obtain or coerce private gain for himself or any other person.

(h) No employee shall make a Government decision outside official channels.

(i) No employee shall take any action which would adversely affect

in

as representative matter previously under official responsibility of former employee.

No former employee may, within two years after his employment with SBA has ceased, appear before SBA or in any proceeding conducted by or on behalf of SBA, or in which SBA has an interest, as agent, attorney or representative, or make any oral or written communicaitons to SBA with intent to influence, in connection with any claim, determination or other specific matter which was under his official responsibility within one year prior to the termination of his employment.

[47 FR 12334, Mar. 23, 1982]

§ 105.402 Acting as representative in matter in which former employee personally participated.

No former employee may ever, after his employment with SBA has ceased, appear as agent, attorney or representative before SBA or in any proceeding conducted by or on behalf of SBA, or in which SBA has an interest, or make any oral or written communication to SBA with intent to influence, in connection with any claim, determination or other specific matter in which he participated personally and substantially while an employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise.

[47 FR 12334, Mar. 23, 1982]

§ 105.403 Employment of former employee by person previously the recipient of SBA assistance.

No former employee, who occupied a position involving discretion or who exercised discretion with respect to the granting of SBA assistance or the administration of such assistance, may accept or retain a position as employee, partner, agent, attorney or otherwise with a concern which has received this SBA assistance for a period

of two years following the date of such assistance if—

(a) The date of such assistance or such administrative act with respect thereto was within the period of the employee's term of employment, or;

(b) The date of such assistance or such administrative act with respect thereto was within one year following the termination of such employment. Failure of a recipient of SBA assistance to comply with these provision may result, in the discretion of SBA, in the requirement for immediate repayment of SBA financial assistance, the immediate termination of other assistance involved or other appropriate action.

[Rev. 2, 41 FR 29656, July 19, 1976, as amended at 47 FR 12334, Mar. 23, 1982]

§ 105.404 SBA assistance to person employing former SBA employee.

(a) SBA shall not provide assistance to any person who has as an employee, owner, partner, attorney, agent, owner of stock, officer, director, creditor or debtor, any individual who, within one year prior to the request for such assistance was an SBA employee, without the prior approval of the Standards of Conduct Committee.

(b) In reviewing applications for assistance, the Standards of Conduct Committee will consider:

(1) The relationship of the former employee with the applicant concern; (2) The nature of the SBA assistance requested;

(3) The position held by the former employee with SBA and its relationship to the assistance requested; and

(4) The appearance of a possible conflict of interest that might arise if the assistance were granted.

[Rev. 2, 41 FR 29656, July 19, 1976, as amended at 47 FR 12334, Mar. 23, 1982]

§ 105.405 Personal appearance by former Senior Employee in matter in which he personally participated.

No former SBA Senior Employee may, within two years after his employment has ceased, assist by personal presence, another person in representations in any formal or informal appearance before SBA or in any formal or informal proceeding con

ducted by or on behalf of SBA, or in which SBA has an interest, in connection with any claim, determination or other specific matter in which he participated personally and substantially while an SBA Senior Employee through decision, approval, disapproval, recommendation, the rendering of advice or otherwise.

[47 FR 12334, Mar. 23, 1982]

§ 105.406 Involvement by former Senior Employee in SBA decisional matters. No former SBA Senior Employee may, within one year after his employment has ceased, make any formal or informal appearance before SBA or in any proceeding conducted by or on behalf of SBA as agent, attorney or representative or make any oral or written communication to SBA with intent to influence, in connection with any matter, whether or not dealing with a particular person or particular persons, which involves a decision, ruling, approval, disapproval, investigation, rulemaking or similar determination by SBA.

[47 FR 12334, Mar. 23, 1982]

§ 105.407 Proceedings for debarment from appearances before SBA for violations of post employment restrictions contained in 18 U.S.C. 207 (a), (b) and (c). (a) SBA may, in accordance with section 207(j) of 18 U.S.C. (included in the Ethics in Government Act of 1978, Pub. L. 95-521, as amended), as an administrative penalty for violation of 18 U.S.C. 207 (a), (b) or (c), prohibit a former SBA employee from making, on behalf of any other person, any informal or formal appearance before or, with intent to influence, any oral or written communication to SBA on a pending matter for a period not to exceed five years, or take other appropriate disciplinary action.

(b) The Standards of Conduct Committee (established pursuant to § 105.801) after reviewing all available information, may determine that there is reasonable cause to believe that a former employee (referred to in this section as Respondent) has violated 18 U.S.C. 207 (a), (b), or (c). This determination shall be set forth in a