(3) The national interest would be served by granting the exception. § 0.735-27 Appearances by former employees before AEC. When a former employee proposes to act as agent or attorney before an AEC office on behalf of anyone other than the United States in connection with any of the matters cited in § 0.735-26, he is expected to make known to the appropriate official of the AEC office the fact of his former assignment with AEC. The manager of the field office or the head of the division or office, Headquarters, or employee before whom the former employee appears, before transacting business with the former employee or authorizing employees under his jurisdiction to transact any business with the former employee, shall call the former employee's attention to the restrictions and penalties contained in 18 U.S.C. 207. No AEC official or employee, except the General Counsel, shall offer to the former employee an interpretation of 18 U.S.C. 207 as applied to the situation at hand. § 0.735-28 Confidential statements of employment and financial interests. (a) Categories of employees required to submit statements.1 The following employees shall submit statements of employment and financial interests, prepared in accordance with paragraph (d) of this section: (1) Employees paid at a level of the Federal Executive Salary Schedule established by the Federal Executive Salary Act of 1964, as amended. (2) Employees in grade GS-16 or above, or in comparable or higher positions (including scientific and technical [STS] positions). (3) Employees in hearing examiner positions. (4) All consultants (including advisers and experts) (see AEC Manual Chapter 1 Section 401 of Executive Order 11222 established separate reporting requirements for an agency head, a Presidential appointee in the Executive Office of the President who is not subordinate to the head of an agency in that Office, and a full-time member of a committee, board, or commission appointed by the President. 2 As used in § 0.735-28, the term "employee," except as otherwise indicated, includes regular Government employees, special Government employees, and members of the Uniformed Services and employees of other Government agencies assigned or detailed to the AEC. 4139) and special Government employees. (A special Government employee who is not a consultant is not required to submit a statement of employment and financial interests when the operating [appointing] official finds that the duties of the position held by the special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For this purpose, "consultant" and "expert" have the meaning given those terms by Chapter 304 of the Federal Personnel Manual but do not include a physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients.) (5) Employees in positions or categories of positions, regardless of their official title, identified in Annex B to this part. (b) Annex B. (1) Annex B to this part shall be maintained and changes therein made by the Atomic Energy Commission in accordance with the criteria set forth in Annex C to this part. (2) Heads of Divisions and Offices, Headquarters, and Managers of Field Offices shall, in conformity with the above referenced criteria, recommend changes in Annex B to the Commission, the General Manager, or the Director of Regulation, as appropriate, for approval. (3) Incumbents of positions added to Annex B shall become subject to the reporting requirements of this part upon receipt of notification as to same, pursuant to paragraph (c) of this section. Annex B shall be republished to reflect changes in the list. (c) Notice to employees of time and place to submit statements. Regular Government employees required to submit statements shall be notified in writing of that fact by the Managers of Field Offices or the Assistant General Manager for Administration (for Headquarters employees), or by persons designated by them. The notice shall be accompanied by three copies of the statement form and shall tell the employee to which official he shall submit his statement (see par. (h) of this section). Such employee shall submit his statement to the designated official not later than: (1) 90 days after the effective date of the regulations in this part if employed on or before that effective date; or (2) 30 days after his entrance on duty but not earlier than 90 days after the effective date of the regulations in this part, if appointed after that effective date. Statements of special Government employees other than consultants (including experts and advisers) shall be submitted in accordance with the foregoing. Notice to such individuals shall also be in accordance with the foregoing. Statements of consultants (including experts and advisers) shall be submitted prior to appointment, and notice to same shall be in accordance with AEC Manual Chapter 4139. (d) Preparation of statement. Statements shall be prepared in accordance with the following: (1) Form and content of statement. The forms prescribed by AEC are: Regular Government employees-Form AEC269. Consultants (including experts and advisers) Form AEC-443. Special Government employees (other than consultants) Form AEC-443 (excluding items 2-11). (2) Interests of employee's relatives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this subparagraph, "member of an employee's immediate household" means those blood relations who are full-time residents of the employee's household. (3) Information not known by employees. If any information required to be included on the statement or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf, and shall report such request in Part IV of Form AEC-269 or item 16b. of Form AEC-443. (4) Information not required to be submitted. This section does not require an employee to submit on a statement or supplementary statement any information relating to: (i) The employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of a business enterprise. For the purpose of this section, educational and other institutions doing research and development or re lated work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement. (ii) Precise amounts of financial interests, indebtedness, or value of real property. The employee may, however, at a later time be required to reveal precise amounts if the AEC needs that information in order to carry out its responsibilities under applicable laws and regulations. (iii) For special Government employ ees: (a) Remote or inconsequential financial interests, as set forth in § 0.735-21 (c), and (b) Those financial interests which are determined by the official responsible for such employee's appointment as not to be related either directly or indirectly to the duties and responsibilities of said employee. (5) Supplementary statements. Changes in, or additions to, the information in an employee's statement shall be reported by the employee in a supplementary statement within 10 days following the end of the calendar quarter in which the changes occur. Quarters end March 31, June 30, September 30, and December 31. The forms prescribed in subparagraph (1) of this paragraph shall be used for this purpose and plainly marked "Supplementary." The changes and additions shall be identified in terms of the specific part(s) of the statement being modified. All changes or additions occurring during the preceding quarterly period are to be reported, not merely employment and financial interests status as of the reporting date. If there are no changes or additions in a quarter, a negative report is not required. However, for the purpose of annual review, a supplementary statement by the employee, negative or otherwise, is required as of June 30 of each year. The employee shall submit his supplementary statement(s) to the official who would be the recipient of an initial statement from the employee, as identified in paragraph (h) of this section. (e) Reviewing statements and reporting conflicts of interest. (1) The employee shall prepare the statement in triplicate, retain one copy, and submit two copies to the appropriate reviewer (see paragraph (h) of this section). (2) The reviewer of the statement shall assess it for conflicts or the appearance of conflicts of interests in the context of the employee's assigned duties and responsibilities in AEC. (3) If the reviewer desires advice and guidance, he may discuss the statement with the counselor or appropriate deputy counselor. (4) The reviewer shall discuss with the employee and point out any aspects of the statement which give rise, in the reviewer's opinion, to questions of conflict or of appearance of conflict. (The reviewer shall not take, or direct the employee to take, any action with respect to such conflict without first seeking the advice of the counselor or appropriate deputy counselor.) (5) The reviewer shall in all cases record his opinion as to the presence or absence of a conflict on both copies of the statement, and forward same to the AEC counselor or deputy counselor, as appropriate. (6) The AEC counselor or deputy counselor shall review the statement, and discuss any questions with the reviewer and/or employee. (7) If the AEC counselor or deputy counselor believes that the statement evidences no question of conflict of interest, he shall record his opinion on both copies of the statement, and notify the reviewer. (8) If the AEC counselor or deputy counselor believes there is a question of conflict of interest, he shall return the statement to the reviewer with his opinion recorded thereon. (The counselor or deputy counselor shall make his services available to the reviewer and employee involved to assist in effecting a resolution of any conflict or appearance of conflict.) The reviewer shall report to the counselor or deputy counselor the results of endeavors to effect resolution of the conflict at the employee-reviewer level, which results shall be recorded on the employee's statement and submitted to the counselor or deputy counselor for review and approval. (9) When a statement submitted or information from other sources indicates a conflict between the interests of an employee and the performance of his services for the AEC and when the conflict or appearance of conflict is not resolved at a lower level in the AEC, the information concerning the conflict or appearance of conflict shall be reported to the General Manager, or Director of Regula tion, as appropriate, through the counselor. The employee concerned shall be provided an opportunity to explain the conflict or appearance of conflict. (10) When, after consideration of the explanation of the employee provided for in subparagraph (9) of this paragraph, the General Manager or Director of Regulation decides that remedial action is required, he shall take immediate action to end the conflict or appearance of conflict of interest. Remedial action may include, but is not limited to: (i) Changes in assigned duties; (ii) Divestment by the employee of his conflicting interest; (iii) Disciplinary action; or (iv) Disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations. Disciplinary remedial action with respect to a member of the Uniformed Services or an employee of another Government agency assigned or detailed to the AEC shall be effected only by the parent military service or employing agency. (11) Upon completion of processing, both AEC copies of statements shall be filed in the office of the counselor or deputy counselor, in a special file maintained for that purpose. If an AEC reviewer subsequently requires a copy of a statement for purposes of carrying out responsibilities under this part, he may request same from the counselor or deputy counselor. (12) The required supplementary statements shall be processed in the same manner as an initial statement. When an AEC reviewer or the counselor or a deputy counselor receives a supplementary statement from an employee for whom he does not have an initial statement, he shall request the file from the counselor or deputy counselor of the employee's previous office. (f) Confidentiality of employee's statements. AEC shall hold each statement of employment and financial interests, and each supplementary statement, in confidence. AEC shall not disclose information from a statement except in accordance with the procedures set forth in paragraph (e) of this section, or as the General Manager, or the Director of Regulation, as appropriate, or the Civil Service Commission shall determine for good cause shown. (g) Effect of employee's statements on other requirements. The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by an employee or the absence of any requirement that an employee submit such a statement does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation. (h) To whom statements are to be submitted. Submission of required statements shall be in accordance with the following: (1) Submitted to the Commission: (ii) The Deputy General Manager. (iv) The Deputy Director of Regula (viii) The General Counsel.. (ix) Director, Division of Inspection. (2) Submitted to the Individual Commissioners: Special Assistants. (3) Submitted to the General Manager: (i) Members of his immediate staff. (ii) Assistant General Managers. (iii) Director, Division of Military Application. (iv) Managers of Operations Offices. (v) The Controller. (4) Submitted to the Assistant General Managers and the Director of Regulation: (i) Members of their immediate staffs. (ii) Heads of Divisions and Offices, Headquarters, reporting directly to them. (5) Submitted to the Assistant General Manager: Heads of Divisions and Offices, Headquarters, not reporting directly to an Assistant General Manager. (6) Submitted to Managers of Field Offices and Heads of Divisions and Offices, Headquarters: Employees under their respective jurisdictions. (7) Submitted to officials responsible for their appointments: Special Government employees, including consultants, experts, and advisers. Each employee has a positive duty to acquaint himself with each statute that relates to his ethical and other conduct as an employee of the AEC and of the Government. Certain of these statutes are referred to in §§ 0.735-21-0.735-27. Attention of employees is also directed to the following statutory provisions: (a) The prohibitions contained in the following sections of the Atomic Energy Act of 1954, as amended: Section 222, "Violation of Specific Sections"; section 223, "Violation of Sections Generally"; section 224, "Communication of Restricted Data"; section 225, "Receipt of Restricted Data"; section 226, "Tampering with Restricted Data"; and section 227, "Disclosure of Restricted Data." (42 U.S.C. 2272 through 2277) (b) The prohibitions against the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783). (c) The prohibition against the disclosure of confidential information (18 U.S.C. 1905). (d) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784). (e) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913) . (f) The prohibition against proscribed political activities-The Hatch Act (5 U.S.C. 1181) and 18 U.S.C. 602, 603, 607 and 608. (See AEC Manual Chapter 4122, "Political Activity.") (g) The prohibition against bribery of public officials and witnesses (18 U.S.C. 201). (h) The prohibition against acceptance or solicitation to obtain appointive public office (18 U.S.C. 211). (i) The prohibitions against disloyalty and striking (5 U.S.C. 118p, 118r). (See also AEC Manual Chapter 4121, "Oath of Office" and AEC Manual Chapter 4166, "Employee-Management Cooperation.") (j) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 640). (k) The prohibition against the misuse of a Government vehicle (5 U.S.C. 78(c)). (See also AEC Manual Chapter 5142, "Motor Vehicle and Aircraft Management.") (1) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719). (m) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (5 U.S.C. 637). (n) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001). (0) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). (See also AEC Appendix 0230, "Records Disposition.") (p) The prohibition against counterfeiting and forging transportation requests (18 U.S.C, 508). (q) The prohibition against embezzlement of Government money or property (18 U.S.C. 641). (See also AEC Manual Chapter 5101, "Personal Property and Supply Management.") (r) The prohibition against failing to account for public money (18 U.S.C. 643). (s) The prohibition against an employee's private use of public money (18 U.S.C. 653). (t) The prohibition against embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654). (u) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285). (v) The prohibition against making false entries in official records with intent to defraud or making false reports concerning moneys and securities with such intent (18 U.S.C. 2073). (w) The prohibition against receiving from any foreign Government "any present, decoration, or other thing," unless authorized by act of Congress and tendered through the Department of State (Constitution, Art. 1, sec. 9, clause 8; 5 U.S.C. 114-115a). (x) The prohibition against soliciting contributions from another employee for a gift or present to anyone in a superior official position; against a superior official accepting a gift as a contribution from employees receiving less salary than himself; and against an employee's making a donation as a gift to any official superior (5 U.S.C. 113). § 0.735-40 Outside employment and other outside activity. (a) AEC employees are entitled to the same rights and privileges with regard to outside employment and other outside activity as all other citizens. There is, therefore, no general prohibition against employees engaging in outside employment or other outside activity; except that no employee shall engage in such employment or activity if it is not compatible with the full and proper discharge of the duties and responsibilities of his Government employment. Incompatible activities include but are not limited to: (1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, conflicts of interests; or (2) Outside employment which tends to impair his mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner. (b) In any case in which there is a question as to the propriety of outside employment in which an employee proposes to engage and when the field office manager or head of the division or office, Headquarters, concludes that the proposed outside employment may be in violation of AEC policy, the following information shall be sent to the Director, Division of Personnel, Headquarters, for prior approval of the proposed activity (in consultation, as appropriate, with the counselor): (1) Name, job title, and grade of the employee involved; (2) a brief summary of his official AEC duties; (3) a brief description of the proposed employment, including the compensation to be received; and (4) the name and nature of the business of the employing individual or organization. (c) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209). (d) Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, Executive Order 11222, CSC regulations, or the regulations in this part. However, an |