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through subordinates, to approve, disapprove, or otherwise direct Government action.
(g) "Organization,” as used in this part in connection with 18 U.S.C. 208, means universities, foundations, nonprofit research entities and similar nonprofit organizations, States, countries and municipalities and subdivisions thereof as well as business organizations.
(h) “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. (31 FR 4502, Mar. 17, 1966, as amended at 40 FR 8775, Mar. 3, 1975)
26(c) and (d) shall be submitted for publication in the FEDERAL REGISTER.
(f) Disciplinary and other remedial action. (1) A violation of the regulations in this part by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.
(2) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders and regulations.
(g) Presidential appointees. Presidential appointees covered by section 401(a) of Executive Order 11222 shall not receive compensation or anything of monetary value for any consultation, lecture, discussion, writing, or appearance the subject matter of which is devoted substantially to the responsibilities, programs, or operations of NRC, or which draws substantially on official data or ideas which have not become part of the body of public information.
(31 FR 4502, Mar. 17, 1966, as amended at 40 FR 8775, Mar. 3, 1975)
$ 0.735-6 National emergency application.
The provisions of this part continue in effect without modification in a national emergency.
Subpart B-Conflict of Interest
$ 0.735-5 Basic requirements.
(a) Applicability. The provisions of this part apply to all current and former NRC employees and special Government employees. Except for $ 0.735-28, the provisions of this part are not applicable to employees of other Government agencies assigned or detailed to the NRC. Employees of other Government agencies assigned or detailed to the NRC are required by $ 0.735-28 to furnish a statement of employment and financial interests if they are performing duties of a position specified in $ 0.735-28(a). However, an employee of another Government agency assigned or detailed to the NRC is not relieved of his responsibilities under regulations or code of conduct prescribed by his parent agency.
(b) Cancellation of contracts. The Commission reserves the right to declare void, in accordance with law, any contract negotiated or administered in violation of the provisions of NRC reg. ulations, or statute.
(c) Scope of part. This part incorpo. rates the statutes, the instructions and specific procedures, pertaining to an employee's conduct.
(d) Construction of criminal or civil statutes. The paraphrased version of any criminal or civil statute in this part shall not constitute a binding interpretation thereof upon the NRC or the Federal Government.
(e) Certifications. Certifications called for by 88 0.735-23(e) and 0.735
$ 0.735-20 General.
(a) Part I, “Policy,” of Executive Order 11222 states:
Where government is based on the consent of the governed, every citizen is entitled to have complete confidence in the integrity of his government. Each individual officer, employee, or adviser of government must help to earn and must honor that trust by his own integrity and conduct in all official actions.
(b) The elimination of conflicts of interest in the Federal service is one of the most important objectives in establishing general standards of conduct. A conflict of interest situation may exist where a Federal employee's private interests, usually of an economic form, conflict, or raise a reasonable question of conflict with his
public duties and responsibilities. The fully inform the head of his division or potential conflict is of concern wheth office, as appropriate, in writing of the er it is real or only apparent.
nature and circumstances of the par(c) An employee, including special ticular matter and of the financial inGovernment employee, shall not: (1) terests involved and shall request a Have a direct or indirect financial in written determination in advance as to terest that conflicts substantially, or the propriety of his participation in appears to conflict substantially, with such matter. his Government duties and responsi- (2) The head of his division or office, bilities; or (2) engage in, directly or in- as appropriate, after examining the indirectly, a financial transaction as a formation submitted, may relieve the result of, or primarily relying on, in employee from participation in the formation obtained through his Gov particular matter and so advise him in ernment employment.
writing; or, he may approve the em(d) An employee, including a Special ployee's participation in such matter Government employee, is not pre upon advising him in writing: cluded from having a financial interest (i) That he has determined the inor engaging in financial transactions terest is not so substantial as to be to the same extent as a private citizen deemed likely to affect the integrity of not employed by the Government so the services which the Government long as it is not prohibited by the law, may expect from such officer or emExecutive Order 11222, Office of Per ployee, and sonnel Management regulations, or (ii) That no provision of law and no the regulations in this part.
regulation in this part would appear to (e) Certain provisions in 18 U.S.C. be violated by the employee's partici201-209, dealing with conflicts of in pation in the particular matter. terest in Federal employment are re (3) When the head of his division or ferred to in $ $ 0.735-21 through 0.735 office believes it is inappropriate for
him to make a determination as pro(31 FR 4502, Mar. 17, 1966, as amended at vided in paragraph (b) (2) of this sec46 FR 51716, Oct. 22, 1981)
tion, he shall forthwith submit the in
formation with his recommendation $ 0.735-21 Acts affecting a personal finan. through channels to the Executive Dicial interest (based on 18 U.S.C. 208).
rector for Operations, who shall make (a) General. Except as permitted by a determination as provided in paraparagraphs (b), (c), and (d) of this sec- graph (b) (2) of this section, forwardtion, no employee shall participate ing the original of his determination personally and substantially as a Gov- to the submitting official and a copy ernment officer or employee, through to the employee involved. decision, approval, disapproval, recom- (4) A copy of each request and remendation, the rendering of advice, in sponse made under the provisions of vestigation, or otherwise, in a judicial paragraphs (b) (1) and (2) of this secor other proceeding, application, re- tion shall be forthwith forwarded quest for a ruling or other determina- through channels to the Executive Dition, contract, claim, controversy, rector for Operations as a matter of charge, accusation, arrest, or other record. Copies of all documents reparticular matter in which, to his ferred to in paragraphs (b) (1), (2), and knowledge, he, his spouse, minor child, (3) of this section shall be filed by the partner, organization in which he is holders thereof in their confidential serving as officer, director, trustee, files. partner, or employee, or any person or (5) Whenever it can be reasonably organization with whom he is negoti- anticipated that there will be a need ating or has any arrangment concern to invoke these procedures repeatedly, ing prospective employment, has a fi- and where it also appears that a nancial interest.
burden would be placed on the NRC (b) Granting of ad hoc exemptions. thereby, consideration should be given (1) If an employee desires to request by the head of his division or office to an exemption from the prohibition of dismissal or transfer of the employee paragraph (a) of this section, he shall to another position where the problems will not arise, or to the elimina value of financial interests in corporation of the outside interest creating tions shall be by means of: the difficulty. It is expected that the (i) Market value in the case of stocks employee concerned will take the ini- listed on national exchanges; or tiative in resolving any problem in this
(ii) Over-the-counter market quotaarea.
tions as reported by the National (c) Exemption of remote or inconse Daily Quotation Service in the case of quential financial interests. (1) In ac
unlisted stocks; or cordance with the provisions of 18 (iii) By means of net book value (i.e. U.S.C. 208(b)(2) the NRC has exempt.
assets less liabilities) in the case of ed the following financial interests
stocks not covered by the preceding from paragraph (a) of this section and
two categories. from the requirements of paragraph (b) of this section, upon the ground
With respect to debt securities, face that such interests are too remote or value shall be used for valuation purtoo inconsequential to affect the integ poses. rity of its employees' services:
(4) The dollar value and percentage (i) Financial interests in an enter- of financial interests listed above in prise in the form of shares in the own paragraph (c) (1) of this section shall ership thereof, including preferred be computed as of the date on which and common stocks whether voting or the employee first participated personnonvoting, and warrants to purchase ally and substantially in any particusuch shares;
lar matter, within the meaning of 18 (ii) Financial interests in an enter- U.S.C. 208(a), relating to the enterprise in the form of bonds, notes, or prise concerned. The dollar value and other evidence of indebtedness;
percentage so computed shall govern (iii) Investments in State or local during the entire period that the emgovernment bonds and investments in ployee participates in the particular shares of a widely held diversified matter unless, after the aforesaid date mutual fund or regulated investment of computation, he, or other person or company, except holdings in mutual organization referred to in paragraph investment funds or regulated invest. (a) of this section, acquires an addiment companies dealing primarily in tional interest in the same enterprise. atomic energy stocks;
In the event of such subsequent acquiProvided, That in the case of para
sition, the dollar value and percentage graph (c)(1)(i) and (ii) of this section: shall be recomputed as of the date of
(A) The total market value of the fi such acquisition. If, in such case, the nancial interests described in said sub dollar value and percentage computed divisions with respect to any individu exceeds the limitations described in al enterprise does not exceed $1000; paragraph (c) (1) of this section, the and
general exemption provided therein (B) The holdings in any class of shall no longer be applicable and an ad shares, or bonds, or other evidences of hoc exemption must be sought in acindebtedness, of the enterprise do not cordance with paragraph (b) of this exceed 1 percent of the dollar value of section. the outstanding shares, or bonds or (d) Special exemption for special other evidences of indebtedness in said Government employees. Federal Perclass.
sonnel Manual Chapter 735, Appendix (2) Where a person covered by this C provides that a special Government exemption is a member of a group or employee should in general be disganized for the purpose of investing in qualified from participating as such in equity or debt securities, the interest a matter of any type the outcome of of such person in any enterprise in which will have a direct and predict-. which the group holds securities shall able effect upon the financial interests be based upon said person's equity covered by 18 U.S.C. 208. However, share of the holdings of the group in that chapter states that the power of that enterprise.
exemption may be exercised in this sit(3) For purposes of paragraph (c) (1) uation "if the special Government emof this section, computations of dollar- ployee renders advice of a general
nature from which no preference or $0.735-23 Activities of officers and emadvantage over others might be gained ployees in claims against and other by any particular person or organiza matters affecting the Government tion." It is the policy of the Nuclear (based on 18 U.S.C. 205). Regulatory Commission in conformity (a) No employee shall otherwise with the foregoing, to exercise the than in the proper discharge of his of. power of exemption pursuant to 18
ficial duties: U.S.C. 208(b) in such situations. The
(1) Act as agent or attorney for prosauthority to grant such an exemption
ecuting any claim against the United is delegated to the NRC official re- States, or receive any gratuity, or any sponsible for appointment or designa share of or interest in any such claim tion of the particular consultant or ad. in consideration of assistance in the visor. This exemption is noted on the prosecution of such claim, or form NRC-443 by the appointing offi- (2) Act as agent or attorney for cial for the consultant or advisor con anyone before any department, cerned, by a statement that the em- agency, court, court-martial, officer, or ployee “need not be precluded from any civil, military, or naval commisrendering general advice in situations sion in connection with any proceedwhere no preference or advantage over ing, application, request for a ruling or others might be gained by any particu: other determination, contract, claim, lar person or organization."
controversy, charge, accusation, arrest,
or other particular matter in which (42 U.S.C. 2201(p), E.O. 11222, 5 CFR
the United States is a party or has a 735.104, 5 U.S.C. 552, 553)
direct and substantial interest. (31 FR 4502, Mar. 17, 1966, as amended at (b) A special Government employee 44 FR 41424, July 17, 1979)
shall be subject to paragraph (a) of
this section only in relation to a par80.735-22 Future employment (based on
ticular matter involving a specific 18 U.S.C. 208).
party or parties (1) in which he has at (a) Solicitation, negotiation, or ar any time participated personally and rangements for private employment
substantially as a Government emby an employee who is acting on
ployee or as a special Government embehalf of the NRC in any particular
ployee through decision, approval, dismatter in which the prospective em
approval, recommendation, the renployer has a financial interest are pro
dering of advice, investigation or oth
erwise, or (2) which is pending in the hibited. With the authorization of his
department or agency of the Governsupervisor, an employee may be re
ment in which he is serving: Provided, lieved of any assignment which, in the
That paragraph (b)(2) of this section absence of such relief, might preclude
shall not apply in the case of a special such solicitation, negotiation, or ar
Government employee who has served rangements.
in such department or agency no more (b) No employee shall undertake to than 60 days during the immediately act on behalf of the NRC in any ca- preceding period of 365 consecutive pacity in a matter that to his knowl. days. edge affects even indirectly any party (c) Nothing in paragraph (a) of this outside the Government with whom section prevents an employee, if not he is soliciting, negotiating, or has ar inconsistent with the faithful perrangements for future employment, formance of his duties, from acting except pursuant to the authorization without compensation as agent or atof the Commission, its designee, or the torney for any person who is the subExecutive Director for Operations, as ject of disciplinary, loyalty, or other appropriate, after full disclosure. (See personnel administration proceedings $ 0.735-21.)
in connection with those proceedings.
(d) Nothing in paragraph (a) of this (31 FR 4502, Mar. 17, 1966, as amended at
section prevents an employee from 40 FR 8775, Mar. 3, 1975)
acting, with or without compensation, as agent or attorney for his parents, spouse, child, or any person for whom, profit sharing, stock bonus, or other or for any estate for which, he is serv- employee welfare or benefit plan ing as guardian, executor, administra- maintained by a former employer. tor, trustee, or other personal fidu (c) Paragraph (a) of this section does ciary except in those matters in which not apply to a special Government emhe has participated personally and ployee or to an employee of the Govsubstantially as a Government em
ernment serving without compensaployee, through decision, approval, tion, whether or not he is a special disapproval, recommendation, the ren- Government employee. dering of advice, investigation, or oth
(d) Paragraph (a) of this section erwise, or which are the subject of his
does not prohibit acceptance of contriofficial responsibility, provided that
butions, awards, or other expenses for
but the Commission, its designee, the Ex
training or to attend meetings under ecutive Director for Operations, or the
the terms of chapter 41 of title 5, head of an office or division, as appro
United States Code. See NRC Appenpriate, approves.
dix 4150. (e)(1) Nothing in paragraph (a) of this section prevents a special Govern [31 FR 4502, Mar. 17, 1966, as amended at ment employee from acting as agent 32 FR 13651, Sept. 29, 1967) or attorney for another person in the
$ 0.735,25 Compensation to employees in performance of work under a grant by, or a contract with or for the benefit
matters affecting the Government of, the United States when represent
(based on 18 U.S.C. 203). ed by the NRC provided that the Ex (a) No employee shall, otherwise, ecutive Director for Operations shall
than as provided by law for the proper certify in writing that the national in discharge of official duties, directly or terest so requires. Such certification indirectly receive or agree to receive, shall be submitted for publication in
or ask, demand, solicit, or seek, any the FEDERAL REGISTER.
compensation for any services ren(2) The special Government employ
dered or to be rendered either by himee shall immediately notify the NRC
self or another in relation to any prowhen so designated to act as agent or ceeding, application, request for a attorney by his private employer.
ruling or other determination, con(f) Nothing in paragraph (a) of this
tract, claim, controversy, charge, accusection prevents an employee from
sation, arrest, or other particular giving testimony under oath or from
matter in which the United States is a making statements required to be
party or has a direct and substantial made under penalty for perjury or interest, before any department, contempt.
agency, court-martial, officer, or any (31 FR 4502, Mar. 17, 1966, as amended at civil, military, or naval commission. 40 FR 8775, Mar. 3, 1975)
(b) A special Government employee
shall be subject to paragraph (a) of $ 0.735-24 Receiving salary from source this section only in relation to a parother than the U.S. Government (based
ticular matter involving a specific on 18 U.S.C. 209).
party or parties (1) in which he has at (a) No employee shall receive any any time participated personally and salary, or any contribution to or sup substantially as a Government emplementation of salary, as compensa- ployee or as a special Government emtion for his services as an employee of ployee through decision, approval, disthe NRC from any source other than approval, recommendation, the renthe Government of the United States, dering of advice, investigation, or othexcept as may be contributed out of erwise, or (2) which is pending in the the treasury of any State, county, or department or agency of the Governmunicipality.
ment in which he is serving: Provided, (b) Nothing in paragraph (a) of this That paragraph (b)(2) of this section section prevents an employee of the shall not apply in the case of a special NRC from continuing to participate in Government employee who has served a bona fide pension, retirement, group in such department or agency no more life, health or accident insurance, than 60 days during the immediately