review of the complaint. A bargaining unit employee must use the grievance procedure negotiated with the National Treasury Employees Union.

[45 FR 26022, Apr. 17, 1980, as amended at 46 FR 51717, Oct. 22, 1981]

$ 0.735-29 Restriction against ownership of certain security interests by Commissioners, certain staff members and other related personnel

(a) No Commissioner or employee, including special government employees who are members of the Advisory Committee on Reactor Safeguards, the Atomic Safety and Licensing Board Panel or the Atomic Safety and Licensing Appeal Panel, who occupies a position at or above GS-13 or its equivalent, shall own any stocks, bonds, or other security interests issued by any entity falling within the categories set forth in paragraph (b)(1) of this section. This prohibition also applies to employees who occupy positions below the GS-13 level that fall within occupational codes designated by the Commission. The restrictions set forth in this section apply to spouse, minor child, or other members of the immediate household of a Commissioner, employee, or special government employee. In cases where the entity covered by the prohibition is a subsidiary of another corporation, the prohibition extends to the parent company.

(b) The Commission will publish twice yearly a list of stocks, bonds, and other security interests which employees covered by this section may not own.

(1) These are stocks, bonds, or other security interests issued by:

(i) Publicly or privately owned utilities which have filed an application with the Commission requesting an early site review, or seeking authorization to construct or operate a facility for the generation of electric energy by means of a nuclear reactor and those utilities which have received a construction permit or an operating license from the Commission that is currently effective.

(ii) State or local governments, if the primary purpose of the security is to finance the construction or operation of a nuclear reactor.

(iii) Companies manufacturing or selling nuclear power or test reactors. (iv) Architectural-engineering companies that have been engaged to provide services relating to a nuclear facility by an applicant for a construction permit or an applicant for an operating license, and architectural-engineering companies which have filed a standard reference design that is under Commission review or has been approved by the Commission and is currently effective.

(v) Companies licensed by the Commission to mill, convert, enrich, fabricate, store, or dispose of source or special nuclear material, or applicants for such licenses.

(2)(i) An individual covered by this section who owns securities described in paragraph (a)(1) of this section shall dispose of them no later than 365 days after the entities first appear on the list described in paragraph (a) of this section. Notwithstanding the provisions of § 0.735-21(c), no employee may participate personally and substantially in a particular matter affecting any entity that appears on the list as long as the employee or his spouse, minor child, or other members of his immediate household owns the security interest.

(ii) An individual newly employed by NRC who is covered by this section shall dispose of any securities described in paragraph (a)(1) of this section that the employee may own no later than 30 days after his entrance on duty and within the same period shall ensure and sign a certification that neither the employee nor any individual who is covered by this section through relationship with him owns any securities described in that paragraph.

(c) Each individual employed by NRC who is covered by this section shall each year sign either: (1) A certification that neither he nor any individual covered by this section through relationship with him owns any securities described in paragraph (a)(1) of this section or, if he or any such individual in fact owns securities therein described, (2) a certification identifying them, disclosing how and when they were acquired and stating ap

proximately when they will be disposed of.

(d) Securities described in paragraph (b)(1) of this section that are acquired by an individual who is covered by this section through gift, inheritance or other similar involuntary manner shall be disposed of within a reasonable time.

(e) The Commission may exempt an employee from the restrictions of this section where divestiture of the stock, bond, or other security interest is determined to be inequitable by the Commission.

(42 U.S.C. 2201(p), E.O. 11222, 5 CFR 735.104, 5 U.S.C. 552, 553)

[44 FR 41424, July 17, 1979]

Subpart C-Other Restrictions Imposed by Statute on Conduct of Employees

$0.735-30 Description of statutory provisions.

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 NRC 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).

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(f) The prohibition against scribed political activities in chapter III of chapter 73 of title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608. (See NRC 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. 7311, 18 U.S.C. 1918). (See also NRC Manual Chapter 4121, "Oath of Office" and NRC Manual Chapter 4166, "LaborManagement Relations Program for Federal Employees.")

(j) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(k) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a(c)).

(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 (18 U.S.C. 1917).

(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 NRC 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 NRC Manual Chapter 5201, "Personal Property 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 an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

(x) The Code of Ethics for Government Service (5 U.S.C. 7301).

[32 FR 13652, Sept. 29, 1967, as amended at 40 FR 50704, Oct. 31, 1975; 46 FR 51717, Oct. 22, 1981]

Subpart D-Restrictions Imposed by NRC Administrative Decision on Conduct of Employees

§ 0.735-40 Outside employment and other outside activity.

(a) There is no general prohibition against employees engaging in outside employment or other outside activity; except that no employment or activity may be undertaken which is not compatible with the full and proper discharge of the duties and responsibilities of the employee's 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) Acceptance of any employment, fee, compensation, or payment of expense, from (i) A Commission licensee; (ii) an applicant for Commission license; (iii) an organization directly engaged in activities in the commercial nuclear field; (iv) a Commission contractor; (v) a Commission supplier; (vi) holder of a license issued by a State pursuant to an agreement between the Commission and the State; (vii) a trade association which represents clients concerning nuclear matters; or (viii) a law firm or other organization

which is participating in an NRC proceeding or which regularly represents itself or clients before the NRC, unless written authorization is received pursuant to § 0.735-40(b). Ordinarily, an employee will be authorized to serve as an instructor at an academic institution which holds a Commission license, or to engage in other proposed activities of a similar character; or

(3) Outside employment which tends to impair his mental or physical capacity to perform his Government duties and responsibilities in an acceptable

manner.

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(b) In any case in which there is a question as to the propriety of outside employment in which an employee proposes to engage, or where prior written authorization is required pursuant to § 0.735-40(a)(2), the employee's office or division head shall prepare and transmit the following information the appropriate individual(s) specified in paragraph (f) of this section: (1) Name and job title of the employee involved; (2) a brief summary of the employee's official NRC duties; (3) a brief description of the proposed employment or outside activity, including the compensation to be received; (4) the name and nature of the business of the employing individual or organization; (5) his views whether the outside employment or activity should be authorized.

(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, Office of Personnel Management regulations, or the regulations in this part. However, an employee shall not, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Office of Personnel Management or Board of Examiners for the Foreign Service, that is dependent on information obtained as a

result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the Executive Director for Operations has given written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(e) Except as allowed for training or to attend meetings under section 4111 of title 5, United States Code, and Executive Order 10800, no employee shall accept a fee from an outside source on account of a public appearance, a speech, or lecture, if the public appearance or the preparation or delivery of the speech or lecture was a part of the official duties of the employee, if the public appearance, the speech, or the lecture was made during official working hours, or if travel for the purpose of the public appearance, speech, or lecture was made at Government expense. In addition, no employee shall accept a fee for the preparation, publication, or review of an article, story, or book if it was prepared during official working hours and/or was a part of the official duties of the employee.

(f) Employees of offices reporting to the Commission through the Executive Director for Operations must receive the written authorization of the Executive Director for Operations before engaging in activities covered by paragraphs (a)(2) and (b) of this section. The Executive Director for Operations before making his decision shall consult with the head of the employee's office or division and with the counselor or deputy counselor. Employees of boards, panels, and offices reporting directly to the Commission must receive the written authorization of the head of their office before engaging in activities covered by Paragraphs (a)(2) and (b) of this section. The head of the employee's office before making his decision shall consult with the counselor or deputy counselor.

(g) Bona fide reimbursements for expenses of travel and such other necessary subsistence may be accepted if (1) It is not prohibited by paragraph (a) of this section, (2) if reimbursement from the government is not received;

§ 0.735-41

Misuse of information.

For the purpose of furthering a private interest, an employee shall not, except as provided in § 0.735-40(d), directly or indirectly use, or allow the use of, official information obtained through or in connection with his Government employment which has not been made available to the general public. See also section 68a of the Atomic Energy Act of 1954, 42 U.S.C., section 2098(a), “Public and acquired lands," which provides as follows:

a. No individual, corporation, partnership, or association, which had any part, directly or indirectly, in the development of the atomic energy program, may benefit by any location, entry, or settlement upon the public domain made after such individual, corporation, partnership, or association took part in such project, if such individual, corporation, partnership, or association, by reason of having had such part in the development of the atomic energy program, acquired confidential official information as to the existence of deposits of uranium, thorium, or other materials in the specific lands upon which such location, entry, or settlement is made, and subsequent to August 30, 1954, made such location, entry, or settlement, or caused the same to be made for his, or its, or their benefit.

(a) Except as provided in paragraph (b) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with NRC;

(2) Conducts operations or activities that are regulated by NRC or is an applicant for a license from NRC; or

(3) Has interests that may be substantially affected by the performance or nonperformance of his official duty. (b) The following exceptions are authorized as being necessary and appropriate in view of the nature of the NRC's work and the duties and responsibilities of its employees:

(1) When the circumstances make it Iclear that it is obvious family or personal relationships (such as those between the parents, children, or spouse of the employee and the employee) rather than the business of the persons concerned which are the motivating factors;

(2) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where an employee may properly be in attendance;

(3) Acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans;

(4) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars and other items of nominal intrinsic value; and

(5) Acceptance of transportation not inconsistent with the provisions of paragraph (c) of this section.

(c) No employee shall accept free transportation in motor vehicles, aircraft, or other means, for official or unofficial purposes from NRC contractors, prospective contractors, licensees or prospective licensees, or representatives of any of them when such transportation might reasonably be interpreted as seeking to influence the im

partiality of the employee or the agency.

(d) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351), nor shall an employee directly or indirectly solicit from, accept from, offer to, or grant to an official superior or subordinate employee a loan of more than a nominal amount. However, this paragraph does not prohibit: (1) A voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement, or (2) a loan as described above of more than a nominal amount where a special personal or business relationship is involved, with prior approval of the higher-ranking employee's supervisor, after consultation with the counselor for NRC, or a deputy counselor, as provided in § 0.735-3(h). A copy of such approval shall be filed as provided for in § 0.735-28(e)(11).

(e) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in Pub. L. 95-105, 91 Stat. 862.

[31 FR 4502, Mar. 17, 1966, as amended at 32 FR 13653, Sept. 29, 1967; 38 FR 1271, Jan. 11, 1973; 43 FR 1929, Jan. 13, 1978]

§ 0.735-43 Use of Government property.

An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.

§ 0.735-44 Scandalous conduct.

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