government during their appointment to OEO.

(f) Activities and compensation in matters involving the Government. (1) No employee, otherwise than in proper discharge of his official duties, may act as agent or attorney for anyone in a claim against the Government or in connection with a particular matter pending before any agency, court, or officer of the Government in which the Government is a party or has a direct and substantial interest (18 U.S.C. 205). Therefore, an employee may not participate in negotiations or informal discussions with any Government agency on behalf of private persons or organizations; nor may he write letters to Government officials on their behalf.

(2) No employee may, otherwise than as provided by law for the proper discharge of his official duties, directly or indirectly receive, agree to receive, or solicit any compensation for services rendered or to be rendered either by himself or another in relation to any claim against the Government, or to a proceeding or other particular matter before any agency, court, or office of the Government in which the United States is a party or has a direct and substantial interest (18 U.S.C. 203). Therefore, an employee may help private persons or organizations prepare grant applications. program reports, and other material which is designed to become the subject of dealings between the non-Government organization and a Government agency only if he receives no compensation for such services and if he does not violate subparagraph (1) of this paragraph.

(3) In the case of a special Government employee (as defined in § 1015.7352(a)), the restrictions of this paragraph apply only to activities in connection with matters pending before OEO and other matters in which the employee has participated personally as an employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise. Furthermore, special Government employees who are not employed on a full-time basis are not subject to the restriction against working on matters pending before OEO until they have worked 60 working days for OEO within the past year. However, full-time special Government employees are required by OEO policy to observe this restriction from the first day of their appointment.

(4) This section does not prohibit an employee:

(i) From acting without compensation as agency or attorney for any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings, as long as so acting is not inconsistent with the performance of his duties; or

(ii) From acting, with or without compensation, as agent or attorney for his parents, spouse, child, or for any person or estate he is serving in a fiduciary capacity, except in those matters in which he has participated personally for the Government or which are the subject of his official responsibility; or

(iii) From giving testimony under oath or from making statements required to be made under penalty for perjury or contempt (18 U.S.C. 205).

[32 F.R. 13965, Oct. 7, 1967; 33 F.R. 19822, Dec. 27, 1968]

§ 1015.735-18 Disqualifications arising from private financial interests and from holding office in outside organizations.

(a) Financial interests of employee, family members, and partners. No employee may participate personally as an OEO employee in any matter in which, to his knowledge, he, his spouse, minor child, or partner has a financial interest, whether directly or indirectly (such as through ownership of securities).

(b) Financial interest of employers, prospective employers, and organizations which the employee serves. No employee may participate personally as an OEO employee in any matter in which, to his knowledge, (1) an organization which he is serving as an officer, director, trustee, or employee, whether for compensation or not, or (2) an organization with which he is negotiating for, or has any arrangement concerning, future employment, has a financial interest. An employee may negotiate for prospective employment with a non-Government organization only when he has no duties as an OEO employee which could affect that organization's interest, or after he has disqualified himself, on the written permission of his supervisor, from such duties.

(c) General exemptions—(1) Small stock holdings. Ownership by an employee, or his spouse, minor child, or partner of stock or other securities of

interest in a matter before OEO is exempt from paragraph (a) of this section if (i) the interest in that organization amounts to less than $5,000 in market value and less than 1 percent of that organization's outstanding stock or other securities, and (ii) the employee, his spouse and minor children are not active in the management and have no other connection with or interest in that organization. Such an interest is hereby determined pursuant to 18 U.S.C. 208(b) (2) to be too inconsequential to affect the integrity of the employee's services.

(2) Indirect stock holdings. Ownership by an employee, or his spouse, or minor children of certain indirect financial interests in matters before OEO are exempt from paragraph (a) of this section. These interests are shares in publicly held mutual funds, banks, investment and insurance companies, and similar organizations, which in turn own an interest in an organization involved in a matter before OEO. Such an interest is hereby determined pursuant to 18 U.S.C. 208(b) (2) to be too remote to affect the integrity of the employee's services.

(3) Remote employment. Employment of an OEO employee with an agency of a State or local government is exempt from paragraph (b) of this section with respect to other agencies of that State or local government which are clearly distinguishable and remote from the agency which he is serving. His interest in matters involving such other agencies is hereby determined pursuant to 18 U.S.C. 208(b) (2) to be too remote to affect the integrity of the employee's services. For instance, employment as a teacher at a State university will not constitute employment with that State with respect to dealings with the State welfare department. However, for the purpose of this exemption, the effect of employment with a particular State agency must be determined by the Office of General Counsel on the facts of each particular case.

(d) Application for specific exemptions. (1) Specific exemptions may be obtained to permit an employee to participate in a particular matter in which his financial interest is insubstantial, and to permit an employee to participate in any matters which may arise concerning particular private organizations in which his interest is insubstantial.

(2) An employee may obtain specific exemptions by written application through his supervisor to the General Counsel. The application should describe the employee's OEO duties, his relevant financial interest or outside association, why it is insubstantial, and the particular matter involved.

(3) Exemptions granted shall be communicated in writing, a copy of which shall be included in the employee's official personnel folder.

(e) Interest prior to OEO employment. No employee may advise, recommend, or otherwise participate in the decision with which OEO concludes its consideration of a grant or contract application which the employee, prior to his OEO appointment, helped to develop. It is not improper, however, for the employee to contribute his special knowledge to the OEO officers making that decision.

(f) Indirect personal interest. No employee may participate in any decision by OEO which might affect or appear to affect favorably his career or professional reputation through the use by OEO of publications, systems, programs, etc., prepared by him outside the course of, or prior to, his OEO employment.

§ 1015.735-19 Service on boards of OEO grantees.

No employee may serve as a member of the board of directors of any grantee or delegate agency (other than a religious organization) under section 221 or 222 of the Economic Opportunity Act, as amended. Service on the board of a religious organization as defined in § 1015.735-17 (c) (1) is not prohibited. A special Government employee (as defined in § 1015.735-2(a)) may serve as a board member if he has not served OEO for more than 60 days during the immediately preceding period of 365 days, but he may not in any event perform any service as such a board member during any part of any day on which he serves as an OEO employee. See also § 1015.735-17 (c) in relation to employment with grantee and delegate agencies.

[32 FR. 13965, Oct. 7, 1967; 33 FR. 19822, Dec. 27, 1968]

§ 1015.735-20 Employee indebtedness.

OEO considers the indebtedness of its employees to be a matter of their own concern. OEO will not be placed in the position of acting as a collection agency or of determining the validity or amount of debts. Nevertheless, employees shall

No employee may use or allow the use of Federal property for other than official activities. Each employee is responsible for protecting and conserving Federal property, including equipment and supplies.

§ 1015.735–22 Gambling, betting, and lotteries.

No employee shall participate, on premises owned or leased by the Government, or anywhere else while on duty, in the operating of gambling devices, in conducting an organized lottery or pool, in games for money or property, or in selling or purchasing numbers tickets. § 1015.735-23 False statements.

No employee shall knowingly falsify or conceal a material fact, or make any false statement or representation, or use a document he knows to be false, in connection with any official Government matter (18 U.S.C. 1001).

§ 1015.735-24 Conduct prejudicial to the Government.

No employee shall engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct prejudicial to the Government. § 1015.735-25 Former employees.

(a) Notification of employment with contractors or grantees. In order to prevent conflicts of interests, a former OEO employee should notify the General Counsel if, within 1 year after he leaves OEO, he accepts employment with an OEO contractor, grantee, or delegate agency. He will be advised promptly whether and how the services he may render to his new employer are restricted by the provisions of the following two paragraphs.

(b) Representing private organizations. No former employee shall act as agent or attorney before the Govern

ment for anyone other than the Government in connection with a particular matter in which he participated personally as an OEO employee (18 U.S.C. 207(a)). In addition to this statutory restriction, no former employee shall act as agent or attorney before the Government, for a period of 9 months after the termination of his OEO employment, in connection with any particular matter which is related to a matter in which he participated personally as an OEO employee during the last 9 months of his OEO employment. For the purposes of this paragraph and of paragraph (c) of this section, a matter shall be deemed to be related to another matter if it can be identified as growing out of the other matter. For example, a grant for a particular activity for a year would normally be considered to be a matter related to a grant for the same activity for the prior

year.

(c) Personal appearance as representative of private organizations. No former employee shall appear personally before any officer or agency of the Government in connection with a particular matter which was within his official responsibility during the last year of his OEO employment (18 U.S.C. 207(b)). The prohibited personal appearances include oral discussions, both face-to-face and by telephone, but do not include writing letters or sending telegrams. "Official responsibility," as defined in 18 U.S.C. 202(a), means intermediate or final authority, exercisable either personally or through subordinates, to approve, disapprove, or otherwise direct Government action. This prohibition lasts for 1 year after the termination of the employee's responsibility for such matters. In addition to this statutory restriction, no former employee shall appear personally before the Government, for a period of 9 months after the termination of his OEO employment, in connection with a matter which is related to a particular matter for which he was officially responsible during the last year of his OEO employment.

(d) Exemption for specialists. A former employee who has outstanding scientific or technological qualifications may represent another in a matter within the area of his scientific or technological expertise, if the Director has certified in writing published in the FEDERAL REGISTER that such representation is in the national interest. Application for such an

exemption shall be made in writing to the General Counsel.

(e) Additional rules. Former employees should continue to observe the provisions of § 1015.735-14, relating to the disclosure and misuse of inside information about OEO which they acquired while they were employees. Also some of the statutes listed in § 1015.73526 are applicable to all persons. For instance, 18 U.S.C., sections 594 and 600, relating to certain political activities, 18 U.S.C., Section 508, relating to falsification of Government transportation requests, and 18 U.S.C., section 641, relating to the mishandling of public money, apply to everyone, not just to persons presently employed by the Government. § 1015.735-26 Statutory provisions.

The statutes, and their United States Code citations, most important to employees and former employees are:

(a) The laws on bribery, graft, and conflicts of interests, 18 U.S.C. 201-224. (b) Prohibited political activities, 5 U.S.C. 7324-7327.

(c) Other laws on elections and political activities, 18 U.S.C. 591–612.

(d) Prohibition against dual pay, 5 U.S.C. 5533.

(e) Gifts from other employees, 5 U.S.C. 7351.

(f) Failure to make returns or reports, 18 U.S.C. 2075.

(g) Lobbying with appropriated funds, 18 U.S.C. 1913.

(h) Disloyalty and striking against the Government, 5 U.S.C. 7311 and 18 U.S.C. 1918.

(i) Employment of a member of a Communist organization, 50 U.S.C. 784. (j) (i) Disclosure of classified information, 18 U.S.C. 798, 50 U.S.C. 783; and (ii) disclosure of confidential information, 18 U.S.C. 1905.

(k) Habitual use of intoxicants to excess, 5 U.S.C. 7352.

(1) Misuse of a Government vehicle, 31 U.S.C. 638a (c).

(m) Misuse of the franking privilege, 18 U.S.C. 1719.

(n) Use of deceit in an examination or personnel action in connection with Government employment, 18 U.S.C. 1917.

(0) Fraud or false statements in a Government matter, 18 U.S.C. 1001.

(p) Mutilating or destroying a public record, 18 U.S.C. 2071.

(q) Counterfeiting and forging transportation requests, 18 U.S.C. 508.

(r) (i) Embezzlement of Government money or property, 18 U.S.C. 641; (ii) failing to account for public money, 18 U.S.C. 643; and (iii) 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.

(s) Unauthorized use of documents relating to claims from or by the Government, 18 U.S.C. 285.

(t) Acting as the agent of a foreign principal registered under the Foreign Agents Registration Act, 18 U.S.C. 219. (u) Accepting gifts, presents, or decorations from foreign governments except as authorized by 5 U.S.C. 7342, U.S. Constitution, art. I, sec. 9.

(v) House Concurrent Resolution 175, 85th Cong., 2d session, 25 Stat. B12, the "Code of Ethics for Government Service." Subpart C-Reports; Distribution; Supplemental Regulations

§ 1015.735-31 Reports of non-OEO in

terests.

(a) Reports required. The employees designated in paragraph (j) of this section are required to report to OEO their non-OEO employment, certain financial and property interests, and the names of certain of their creditors. The substance of these reports shall be as required by forms which are available from the Personnel Division. These reports shall be submitted to the Personnel Division.

(b) Nonreportable interests. Employees are not required to report a connection with or interest in a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization which is not conducted as a business enterprise, unless such organization does research and development or related work involving grants from or contracts with the Government, or unless such organization has or is likely to have a contract with or grant from OEO.

(c) Interests known to others. If any information required to be reported is not known to the employee but is known to another person, the employee shall request that person to submit the information in his behalf.

(d) Interests of family. The interest of a spouse, minor child, or other resident of the employee's household who is related to him by blood is considered to be an interest of the employee.

(e) When reports are due. Each employee required to make a report who is

employed by OEO when this part is published in the FEDERAL REGISTER shall submit the report within ninety days after that publication date. Each employee required to make a report who is to be appointed to OEO after the date of publication of this part must submit the report before entering on duty, provided that the Personnel Director may extend this deadline, for employees other than special Government employees, to a date not more than 30 days after entrance on duty.

(f) Supplemental reports. A supplemental report shall be filed by each person who is an employee of OEO on June 30 of any year, showing the required information as of that date. This report shall be filed not later than July 31. Notwithstanding the filing of the annual supplemental report, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of 18 U.S.C. 208 or this part. In addition, each special Government employee (as defined in § 1015.735–2(a)) shall keep his report current, so long as he is employed by OEO, through the submission of supplemental statements.

(g) Review. The Personnel Director shall designate a senior personnel officer who shall review the reports and shall report any conflict of interest, real or apparent, to the General Counsel who shall recommend such remedial action as may be necessary. Remedial action may include but is not limited to (1) changes in assigned duties, (2) divestment by the employee of his conflicting interest, or (3) disqualification from a particular assignment. The employee concerned shall be given the opportunity to explain any conflict of interest, real or apparent. All remedial action shall be taken in accordance with applicable laws, orders and regulations. Unresolved conflicts shall be reported to the Director.

(h) Confidentiality of reports. All information contained in these reports is confidential. The officer designated under paragraph (g) of this section shall maintain the reports in confidence and shall allow access to other OEO officials, or disclose information to them, only to the extent necessary to carry out the purpose of this part. No information from these reports shall be disclosed to persons outside OEO except, upon good cause shown, by order of the Civil Service Commission or the Director. Upon termi

nation of the employment in OEO of any person required to submit a report, such reports shall be disposed of in accordance with the appropriate disposal schedule prescribed by the Civil Service Commission.

(i) Effect on other provisions. Reports of non-OEO interests are additions to, not substitutes for, or derogations of, any similar requirement imposed by law, order, or regulations. The making of a report by an employee 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.

(j) Who must file reports. The employees listed below are required to file reports of non-OEO interests under this section. Any employee who believes that his position has been improperly included in this list may secure a review of such inclusion through the regular OEO grievance procedures.

(1) All employees, except the Director, in positions paid at a level of the Executive Schedule.

(2) Occupants of the following positions, if classified at GS-13 or above:

(i) In CAP headquarters: Director, Community Action Program; Deputy Director, Community Action Program; Director, Office of Special Field Programs; Director, Project Upward Bound; Deputy Director, Project Upward Bound; Director, Office of Program Planning; Director, Office of Training and Technical Assistance; Director, CAP Office of Health Affairs.

(ii) In Job Corps headquarters: Director, Job Corps; Deputy Director, Job Corps; Director of Financial Management.

(iii) In VISTA headquarters: Director, VISTA; Deputy Director, VISTA; Associate Directors, VISTA.

(iv) In the Office for Management: Assistant Director for Management; Deputy Assistant Director for Management; contracting officers.

(v) In the Office of Research, Plans, Programs, and Evaluation: Director; Deputy Director.

(vi) In the Office of Public Affairs: Assistant Director for Public Affairs; Public Information Officer (Administrative).

(vii) In the Office for Health Affairs: Director; Deputy Director; Executive Officer.

(vili) In the Information Center: Director; Deputy Director.