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quirements in connection with appar "known financial interest,” establishent or actual conflicting financial in ment of methods for filing statements, terests. One is a criminal statute, 18 and a report to Congress on June 1 of U.S.C. 208, which by its terms prohib- each year. Subsection (c) provides that its participation by any employee in specific positions or classes thereof certain official activities where he or which are nonregulatory and nonpolishe has a conflicting personal finan cymaking may be identified and official interest. Other requirements have cers or employees occupying such posibeen established under Executive tions shall be exempted from the reOrder 11222. The Executive order and quirements of section 313. Subsection Civil Service Commission regulations (d) provides that any officer or emrequire that employees occupying cer- ployee who is subject to, and knowingtain Government positions must ly violates subsection (a) shall be fined report all personal interests and out- not more than $2,500 or imprisoned side employment by filing a statement not more than one year, or both. Secof employment and financial interests. tion 20.735-18 implements the statuThe statute and the Executive order tory requirements of section 313 of the have the common objective of deter- Federal Land Policy and Management ring the occurrence of conflicting fi- Act. nancial interest situations. The statute (e) Mining in the Parks Act requireprohibits and punishes, while the Ex- ments. Section 13(a) of the act, Pub. L. ecutive order requires the statement 94-429, requires each officer or emof employment and financial interests ployee of the Department who perwhich is intended to serve as an aid to forms any function or duty under the the employee and those who review act, or any acts amended by the act, his or her statement in avoidance of and has a known financial interest (1) the conflicting situation through in any person subject to such acts or advice and counseling.
(2) in any person who holds a mining (c) General applicability. The re- claim within the boundaries of units quirements of 18 U.S.C. 208 apply to of the National Park System, to file all employees of the Department not- annually with the Secretary a written withstanding the requirement under statement disclosing all such interests this subpart for filing a statement of held during the preceding calendar employment and financial interests by year. Such statement is subject to excertain employees. All employees shall amination and is available for copying avoid acquiring a financial interest or by the public upon request. Subsection taking any action that could result in (b) requires definition of the term a violation of 18 U.S.C. 208 or of these “known financial interest,” establishregulations.
ment of methods for filing statements, (d) Federal Land Policy and Man and a report to Congress on June 1 of agement Act requirements. Section each year. Subsection (c) provides that 313(a) of the act, Pub. L. 94-579, 90 specific positions or classes thereof, Stat. 2743, requires each officer or em- which are nonregulatory and nonpoliployee of the Department who per cymaking may be identified and the forms any function or duty under the officers or employees occupying such act and has a known financial interest positions shall be exempted from the in any person who (1) applies for or re- requirements of section 13. Subsection ceives any permit, lease, or right-of- (d) provides that any officer or emway under, or (2) applies for or ac- ployee who is subject to and knowingquires any land or interest therein ly violates subsection (a) shall be fined under, or (3) is otherwise subject to not more than $2,500 or imprisoned the provisions of the act to file annu not more than one year, or both. Secally with the Secretary a written state tion 20.735-19 implements the statument disclosing all such interests held tory requirements of section 13 of the during the preceding calendar year. Mining in the Parks Act. Such statement is subject to examina. (f) Energy Policy and Conservation tion and is available for copying by Act requirements. Section 522(a) of the the public upon request. Subsection act, 42 U.S.C. 6392, requires each offi(b) requires definition of the term cer or employee of the Department
ments of section 605 of the Outer Continental Shelf Lands Act Amendments of 1978. (41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4321, Jan. 19, 1979)
§ 20.735–12 Statutory prohibitions.
(a) The statutes generally spoken of as the conflict of interest laws, insofar as they relate to regular employees, are sections 203, 205, 207, 208, and 209 of Title 18 of the United States Code. The Department of Justice, in a memorandum of January 28, 1963 (28 FR 985; 18 U.S.C. 201, note) summarized the main provisions of conflict of interest laws as follows:
who performs any function or duty under the act and has a known financial interest in any person engaged in certain specified businesses or in property from which coal, natural gas, or crude oil is commercially produced, to file annually with the Secretary a written statement disclosing all such interests held during the preceding calendar year. Such statement is subject to examination and is available for copying by the public upon request. Subsection (b) requires defini. tion of the term "known financial interest,” establishment of methods for filing statements, and a report to Con gress on June 1 of each year. Subsection (c) provides that specific positions or classes thereof which are nonregulatory and nonpolicymaking may be identified and officers or employees occupying such positions shall be exempted from the requirements of section 522. Subsection (d) provides that any officer or employee who is subject to, and knowingly violates sub
on (a) shall be fined not more than $2,500 or imprisoned not more than one year, or both. Section 20.73520 implements the statutory requirements of section 522 of the Energy Policy and Conservation Act.
(g) Outer Continental Shelf Lands Act Amendments of 1978 requirements. Section 605(a) of the Amend ments, 43 U.S.C. 1864, requires each officer or employee of the Department who performs any function or duty under the Outer Continental Shelf Lands Act, as amended, to file annually with the Secretary a written statement disclosing all such interests held during the preceding calendar year. Such statement is subject to examination and is available for copying by the public upon request. Subsection 605(c) provides that specific positions or classes thereof which are nonregulatory and nonpolicymaking may be identified and officers or employees occupying such positions shall be exempted from the requirements of section 605. Subsection 605(d) provides that any officer or employee who is subject to, and knowingly violates section 605(a) shall be fined not more than $2,500 or imprisoned not more unan one year, or botn. Section 20.73517 implements the statutory require
A regular officer or employee of the Government—that is, one appointed or employed to serve more than 130 days in any period of 365 days--is in general subject to the following major prohibitions (the citations are to the new sections of Title 18 of the United States Code):
1. He may not, except in the discharge of his official duties represent anyone else before a court or Government agency in a matter in which the United States is a party or has an interest. This prohibition applies both to paid and unpaid representation of another (18 U.S.C. 203 and 205).
2. He may not participate in his governmental capacity in any matter in which he, his spouse, minor child, outside business associate, or person with whom he is negotiating for employment has a financial interest (18 U.S.C. 208).
3. He may not, after his Government employment has ended represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and in which he participated personally and substantially for the Government (18 U.S.C. 207(a)).
4. He may not, for one year after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and which was within the boundaries of his official responsibility during the last year of his Government service (18 U.S.C. 207(b)). This temporary restraint of course gives way to the permanent restraint described in paragraph 3 if the matter is one in which he participated personally and substantially.
5. He may not receive any salary, or supplementation of his Government salary, from a private source as compensation of his services to the Government (18 U.S.C. 209).
(b) In addition to the general provisions contained in Title 18 U.S.C. the following restrictions are imposed specifically on selected Department of the Interior employees by other statutes.
(1) 43 U.S.C. 11 applies to the Bureau of Land Management employees. Section 11 provides:
The officers, clerks, and employees in the Bureau of Land Management are prohibited from directly or indirectly purchasing or becoming interested in the purchase of any of the public land; and any person who violates this section shall forthwith be removed from his office. An employee, or the spouse of an employee, stationed in Alaska may purchase or lease one tract of land, not exceeding five acres, for residence or recreation purposes in the State of Alaska.
(2) 30 U.S.C. 6 imposes certain restrictions upon Bureau of Mines employees. Section 6 provides:
In conducting inquiries and investigations authorized under sections 1, 3, and 5 to 7 of this Title neither the Director nor any member of the Bureau of Mines shall have any personal or private interest in any mine or the products of any mine under investigation, or shall accept employment from any private party for services in the examination of any mine or private mineral property or issue any report as to the valuation or the management of any mine or other private mineral property.
Nothing herein shall be construed as preventing the temporary employment by the Bureau of Mines, at a compensation not to exceed $10 per day, in a consulting capacity or in the investigation of special subjects, of any engineer or other expert whose principal professional practice is outside of such employment by said bureau.
(3) 43 U.S.C. 31(a) imposes certain restrictions upon Geological Survey employees. Section 31(a) provides in part:
The Director and members of the Geological Survey shall have no personal or private interests in the lands or mineral wealth of the region under survey, and shall execute no surveys or examinations for private parties or corporations. Members of the Geological Survey are restricted by section 31(a) from holding any personal or private interests, direct or indirect, in lands whose title is in the United States. They are also
restricted from holding personal or private interests, direct or indirect, in the mineral wealth of such lands. This latter provision is extended by $ 20.735-13(b) of this subpart to re strict employees of the Geological Survey from holding substantial p sonal or private interests, direct or in direct, in any private mining or miner al enterprise doing business in the United States except where specifical: ly authorized by the Director of Geo. logical Survey.
(4) 25 U.S.C. 68, which concerns trading with Indians provides:
No person employed in Indian affairs shall have any interest or concern in any trade with the Indians, except for, and on account of, the United States; and any person offending herein, shall be liable to a penalty of $5,000, and shall be removed from his office. The preceding law should be read in light of 25 U.S.C. 68a, which relates to employees making purchases from Indians, and 25 U.S.C. 441, which relates to Indian employees being entitled to Indian benefits. In addition, 25 CI 251.5 and 251.6 provide exceptions applicable to each of these laws.
(c) Section 201(f) of the Surface Mining Control and Reclamation Act, Pub. L. 95-87, 91 Stat. 450, requires that: No employee of the Office or any other Federal employee performing any function or duty under this act shall have a direct or indirect financial interest in underground or surface coal mining operations. Whoever knowingly violates the provisions of the above sentence shall, upon conviction, be punished by a fine of not more than $2,500, or by imprisonment for not more than one year, or both. For purposes of this act. “Office" means Office of Surface Mining Reclamation and Enforcement. Provisions implementing section 201(f), Pub. L. 95-87, are contained in 30 CFR Part 706 and are incorporated here by reference. Therefore, if you are an employee of the Office or a Federal employee who performs any function or duty under the act, you are required to comply with 30 CFR Part 706. Compliance with the filing requirements established by the act and 30 CFR Part 706 satisfies the requirements for
other confidential financial reporting under 43 CFR 20.735-22. (41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4321, Jan. 19, 1979)
$ 20.735-13 Specific prohibitions imposed
by regulations. (a) [Reserved]
(b) Geological Survey. In addition to the statutory restrictions cited in $ 20.735-12(b)(3), members of the Geological Survey shall not hold substantial personal or private interests, direct or indirect, in any private mining enterprise doing business in the United States. The Director of Geological Survey may authorize exceptions to this restriction on an individual basis for cause.
(c) Office of the Secretary: The statutory restrictions quoted in $ 20.73512(b) shall also apply to the employees of the Office of the Secretary and other organizational entities reporting directly to the Secretarial officer who are required to file a statement of employment and financial interests under $ 20.735-22. Employees in the Office of Water Research and Technology are exempted from the statutory prohibitions in $ 20.735-12(b). The Secretary of the Interior may authorize other exceptions to this restriction for individual employees or a class of employ. ees for cause. [41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4321, Jan. 19, 1979)
Indian Affairs must give preference to Indians in all personnel actions, and is pursuing a policy of Indian Self-Determination. In recognition of these factors, membership in an Indian tribe, band or pueblo which receives services from Interior or ownership of interests in an Indian or Alaska Native corporation established under the Indian Reorganization Act or the Alaska Native Claims Settlement Act shall not be considered a conflicting interest except as restricted by the provisions of this section. Ownership of interests in an Indian or Alaska Native corporation shall be reported by the employee on the statement of employment and financial interests whenever such a statement is required.
(1) Except for membership on a tribal election board, an Indian or Alaska Native employee of the Bureau of Indian Affairs may, with the approval of the Commissioner, be involved in tribal affairs as an officer or representative when circumstances justify and no real or apparent conflict of interest is created. Requests will be handled on a case-by-case basis and, if approved will require that such duties be carried out while on (i) off duty hours, (ii) leave without pay, (iii) administrative leave, or (iv) an Intergovernmental Personnel Act assignment. If service is provided to a tribe or Alaska Native Corporation in accordance with these special conditions, the employee may not thereafter, if the tribal organization with which he served is within the jurisdiction or area of responsibility of the office to which the employee is assigned, participate in his governmental capacity in a decision or recommendation involving a particular matter in which he participated while serving the tribal organization. It is the duty of the employee to identify to his supervisor the extent of participation in tribal matters and request, when appropriate, that he be relieved from acting on the matter in his governmental capacity.
(2) An Indian or Alaska Native may hold, in the Bureau of Indian Affairs, a policy or decision-making position as identified in the Bureau of Indian Affairs Manual Part 735, on his or her home reservation, Area Office, or in
§ 20.735-14 Indian and Alaska Native or
ganizations. (a) General restrictions. Indian and Alaska Native employees are subject to the general restrictions on financial interests set forth in $ 20.735-15 and on outside work set forth in § 20.73516 of this subpart.
(b) Special conditions. Many Indian or Alaska Native employees of the Department, especially within the Bureau of Indian Affairs are members of federally recognized tribes, bands, pueblos or corporations created under the Alaska Native Claims Settlement Act. These employees cannot absolve themselves of tribal membership or ownership in Indian or Alaska Native corporations. Additionally, by operation of law and policy, the Bureau of
the Central Office, with approval of (4) The restrictions stated in this the Commissioner, when the following section shall apply to temporary and conditions are met:
intermittent employees and consult(i) During tenure the employee may ants employed by the Department not lease more than $500 in value per except employees or consultants who year from the tribe or Alaska Native are members of boards or other orgacorporation for his or her personal nization which have as a principal purbenefit. The Commissioner may au pose consultation with the Departthorize exceptions from the $500 limi ment or Bureau of Indian Affairs on tation on an individual basis for cause; the programs and policies of the De
(ii) Divestiture of tribal financial in partment related to Indians and terest (as well as any personal outside Alaska Natives. financial interest) that creates an ap (5) The terms “officer or representaparent or actual conflict situation tive" as used in this section mean the unless such divestiture is precluded by
occupant of an elective or other posilaw or the Commissioner determines tion in an official governing body of that factors, such as but not limited to
the tribe, band, pueblo or corporation tribal custom or severe financial hard
or any position of the governing body ship, provide a basis for authorizing an which carries with it the right to vote individual exception;
in the proceedings of the body or to (iii) Acquisition of Indian lands is
make substantial decisions on behalf limited to five (5) acres or less during
of the governing body. tenure in office and may be further restricted to no acquisition of Indian $ 20.735-15 Financial interests. lands if the employee presently holds
(a) No Department employee shall: any Indian lands; (iv) Acquisition of any loans or
(1) Have a direct or indirect financial grants through the tribal governing
interest that conflicts substantially, or
appears to conflict substantially, with body is prohibited during tenure in
his or her Government duties and reoffice by the employee, spouse, minor children or other relatives residing in
sponsibilities. the employee's home. As an exception,
(2) Engage in, directly or indirectly, loans or grants are not prohibited for
a financial transaction resulting from, Higher Education and Adult Vocation
or primarily relying on, information al Training programs;
obtained through his or her Govern(v) Any personal indebtedness to the
ment employment. tribal governing body will be settled in
(3) Have an interest in a contract full prior to appointment. The Ap
with the Government or with an pointing Officer may grant extensions
Indian tribe for the purchase, transnot to exceed 90 days after appoint
portation, or delivery of goods or supment; and
plies for the Indian tribes. While Fed(vi) Any other specific conflict must
eral employees may, under regulations be satisfactorily resolved.
of the Secretary, purchase products, (3) An Indian or Alaska Native em services or commodities from Indians, ployee of the Department shall not
such purchases may not be made for make nor participate in a substantial
the purposes of resale (25 U.S.C. manner in any decision of the Depart. 87(a)). ment if he has a private direct interest (b) Definitions: as defined in § 20.735-15(b) in the re “Apparent conflict.” A situation sults of the decision. If the decision is where a reasonable member of the one which the employee would be ex public could suppose an employee to pected to make if he or she had no be in conflict, even though he or she direct interest, the matter shall be re- might not be. ferred to the next higher authority of “Conflict." A situation where an emthe Department which does not have ployee's public duty is or will be afsuch private direct interest in an ap fected by his or her interest, such as propriate form but without recommen when the employee owns or has an indation by the employee having a pri- terest in a company, land, or other vate direct interest.
entity, which is or will be affected by