§ 1321.47 Conflicts of interest policies and procedures for State agencies. ( a ) State agencies must have policies and procedures regarding conflicts of interest, in accordance with the Act and all other applicable Federal requirements. These policies and procedures must safeguard against conflicts of interest on the part of the State agency, employees, and agents of the State who have responsibilities relating to Title III programs, including area agencies on aging, governing boards, advisory councils, staff, and volunteers. Conflicts of interest policies and procedures must establish mechanisms to identify, avoid, remove, and remedy conflicts of interest in a Title III program at organizational and individual levels, including: ( 1 ) Ensuring that State agency employees and agents administering Title III programs do not have a financial interest in a Title III program;
( 2 ) Removing and remedying actual, perceived, or potential conflicts that arise due to an employee or agent's financial interest in a Title III program;
( 3 ) Establishing robust monitoring and oversight, including periodic reviews, to identify conflicts of interest in a Title III program;
( 4 ) Ensuring that no individual, or member of the immediate family of an individual, involved in administration or provision of a Title III program has a conflict of interest;
( 5 ) Requiring that other agencies that operate a Title III program have policies in place to prohibit the employment or appointment of Title III program decision-makers, staff, or volunteers with a conflict that cannot be adequately removed or remedied;
( 6 ) Requiring that a Title III program takes reasonable steps to suspend or remove Title III program responsibilities of an individual who has a conflict of interest, or who has an immediate family member with a conflict of interest, which cannot be adequately removed or remedied;
( 7 ) Ensuring that no organization which provides a Title III service is subject to a conflict of interest;
( 8 ) Prohibiting the officers, employees, or agents of the Title III program from soliciting or accepting gratuities, favors, or anything of monetary value from grantees, contractors, and/or subrecipients, except where policies and procedures allow for situations where the financial interest is not substantial, or the gift is an unsolicited item of nominal value;
( 9 ) Establishing the actions the State agency will require a Title III program to take in order to remedy or remove such conflicts, as well as disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the Title III program; and
( 10 ) Documenting conflict of interest mitigation strategies, as necessary and appropriate, when a State agency or Title III program operates an Adult Protective Services or guardianship program.
( b ) Individual conflicts include: ( 1 ) An employee, or immediate member of an employee's family, maintaining ownership, employment, consultancy, or fiduciary interest in a Title III program organization or awardee when that employee or immediate family member is in a position to derive personal benefit from actions or decisions made in their official capacity;
( 2 ) One or more conflicts between the private interests and the official responsibilities of a person in a position of trust;
( 3 ) One or more conflicts between competing duties; and
( 4 ) Other conflicts of interest identified in guidance issued by the Assistant Secretary for Aging and/or by State agency policies.
( c ) Organizational conflicts include: ( 1 ) One or more conflicts between competing duties, programs, and/or services; and
( 2 ) Other conflicts of interest identified in guidance issued by the Assistant Secretary for Aging and/or by State agency policies.