are beneficiaries of blind trusts are required to disclose only interests that are initially committed to the blind trust, not of interests thereafter acquired by the trustee of which the employee or officer has no actual knowledge.

(2) Covered employees having no known financial interests to report shall file a form DI-211A indicating thereon, where appropriate, "None".

(f) Procedure. (1) Review and analysis of statements. The head of each affected bureau or office will annually review and update Appendix E in accordance with paragraph (b) of the section. After the employee files a statement pursuant to paragraphs (b), (c), (d), and (e) of this section, review and analysis of the statement shall be pursuant to § 20.735-23, insofar as what is provided there is not inconsistent with the provisions of

section.

this

(2) Procedures for remedial action shall be pursuant to § 20.735-24, insofar as what is provided there is not inconsistent with the provisions of this section.

(3) Appeals procedures shall be pursuant to § 20.735-25, insofar as what is provided there is not inconsistent with the provisions of this section.

(4) The annual report required by section 13(b)(2) of the act shall be prepared under the supervision of the Department ethics counselor for submission to the Congress by June 1.

(g) Public access to and copying of statements; fees. (1) Form DI-211A shall be available for review or copying at those offices where employees are required to file pursuant to § 20.735-22(c). Within 30 days after receipt (by March 1) the DI-211A forms will be available to the public centrally at the Department Library, 18th and C Streets, N.W., Washington, D.C. 20240.

(2) The fee schedule for services performed in obtaining or copying a statement is set forth in 43 CFR Part 2, Appendix A, which is made applicable to this regulation.

§ 20.735-20 Specific regulations under the Energy Policy and Conservation Act. (a) Definitions. (1) “Covered employee" means an officer or employee of

the Department of the Interior performing a function or duty under the Energy Policy and Conservation Act, 42 U.S.C. 6201, whose position has not been exempted by the Secretary of the Interior from the reporting requirements of section 522 of the act.

(2) "Energy property" means real property from which coal, natural gas or crude oil is commercially produced. (3) "Person" means an individual, corporation, partnership, association, consortium, company, firm, society, trust, joint venture, joint stock company, or any entity organized for a common business purpose, wherever situated, domiciled, or doing business, who directly or through other persons subject to their control does business in any part of the United States. For purposes of this definition, the United States includes the Outer Continental Shelf.

(4) "Engaged in energy business" means the active conduct of one or more of the businesses of exploring, developing, producing, or refining, transporting by pipeline, or distributing (other than at the retail level) coal, natural gas, or petroleum products. A parent company or holding company is "engaged in energy business" if one of its subsidiaries in the United States is "engaged in energy business". A mutual fund or investment club is within the definition if it specializes in a business or businesses which explore, develop, refine, transport by pipeline or distribute (other than at the retail level) coal, natural gas, or petroleum products in the United States.

(5) "Pecuniary interest" means any monetary or financial interest (whether owned directly by a covered employee or held for the employee's benefit by a trustee), including, but not limited to (i) the ownership of common stock, preferred stock, bonds, debentures, warrants or a partnership share, (ii) a leasehold, rental permit, license, right of way, or contract, or (iii) a pension or retirement plan, shared income or other arrangement as a result of current or prior employment or professional association.

(6) "Known financial interest" means (i) any energy property which a covered employee owns or has a right

to occupy or use and (ii) any pecuniary interest of a covered employee in a person whom the employee knows, or could reasonably be expected to know, owns or has the right to occupy energy property or is engaged in energy business.

(b) Who shall file. (1) The act applies to all officers and employees of the Department who perform functions or duties under it. All such officers and employees must file a public disclosure statement unless they occupy a position which has been specifically exempted by the Secretary of the Interior from the reporting requirements of section 522 of the act or are no longer employed by the Department at the time a filing is due.

(2) Appendix F to this part lists the bureaus and offices of the Department, or subunits thereof, performing functions or duties under the act and also lists positions which the Secretary has determined are of a nonregulatory and nonpolicymaking nature and has exempted from the reporting requirements of section 522 of the act.

(3) The head of each affected bureau of office will annually review and update the related portion of Appendix F to this part. Proposed revisions or a certification that revision is not required shall be submitted to the Department ethics counselor by no ater than September 30 of each year. The Secretary may revise Appendix F by the addition or deletion of positions at any time he determines such revisions are required to carry out the purpose of the law or the regulations of this part. Additions to, deletions rom and other amendments of the ist of positions in Appendix F are efSective upon notification to the incumbents or publication in the FEDERAL REGISTER.

(c) When to file. Each covered employee required to file a public disclosure statement shall file such a statement on form DI-211B (see Appendix B-5). The ethics counselor shall notify each such employee, and furnish the form to the employee by December 15 of each year. The employee shall file a completed statement with the appropriate ethics counselor by no later than February 1 of each year showing

applicable holdings and interests for the previous calendar year.

(d) Where to file. The Secretary shall file his statement with the Department ethics counselor. All other covered employees shall file their statements as provided in § 20.735-22(c) for form DI-212 (Statement of Employment and Financial Interests).

(e) What to report. (1) Covered employees will report all information required on form DI-211B (Appendix B5). An employee is not required to report:

(i) Holdings owned by his spouse or children.

(ii) Holdings acquired by trustee for blind trust. Covered employees who are beneficiaries of blind trusts are required to disclose only interests that are initially committed to the blind trust, not of interests thereafter acquired by the trustee of which the employee or officer has no actual knowledge.

(2) Covered employees having no known financial interest to report shall file a form DI-211B indicating thereon, where appropriate, "None".

(f) Procedure. (1) Review and analysis of statements. The head of each affected bureau or office will annually review and update Appendix F in accordance with paragraph (b) of the section. After the employee files a statement pursuant to paragraphs (b), (c), (d) and (e) of this section, review and analysis of the statement shall be pursuant to § 20.735-23, insofar as what is provided there is not inconsistent with the provisions of this section.

(2) Procedures for remedial action shall be pursuant to § 20.735-24, insofar as what is provided there is not inconsistent with the provisions of this section.

(3) Appeals procedures shall be pursuant to § 20.735-25, insofar as what is provided there is not inconsistent with the provisions of this section.

(4) The annual report required by section 522(b)(2) of the act shall be prepared under the supervision of the Department ethics counselor for submission to the Congress by June 1.

(g) Public access to and copying of statements: fees. (1) Form DI-211B shall be available for review or copy

ing at those offices where employees are required to file pursuant to § 20.735-22(c). Within 30 days after receipt (by March 1) the DI-211B forms will be available to the public centrally at the Department Library, 18th and C Streets, N.W., Washington, D.C. 20240.

(2) The fee schedule for services performed in obtaining or copying a statement is set forth in 43 CFR Part 2, Appendix A, which is made applicable to this regulation.

§ 20.735-21 Certificates of disclaimer.

Each employee covered by the restrictions in §§ 20.735-12 and 20.735-13 will sign a certificate upon entrance to duty or upon transfer between bureaus or offices, indicating that he or she is aware of the restrictions pertinent to his or her employment and that he or she is in compliance with such restrictions. Each employee currently employed and covered by one or more of the restrictions in §§ 20.735-12 and 20.735-13 will sign such a certificate within 120 days of the effective date of these regulations unless the head of the bureau or office concerned determines that a similar certificate previously signed by the employee is adequate. If an employee is unable to sign the certificate, he or she must submit a statement of facts to the appropriate ethics counselor for review and action under the provisions of §§ 20.735-23 through 20.735-25. (See Appendix A for applicable certificate.)

§ 20.735-22 Employees required to file statements of employment and financial interests: Manner of filing.

(a) Who shall file. All employees who Occupy a position classified GS-15 or higher shall file a Statement of Employment and Financial Interests (form DI-212). In addition each employee whose position is listed in Appendix C to this part shall file a form DI-212. The head of each bureau or office will annually review and update the related portion of Appendix C to this part. Proposed revisions or a certification that revision is not required shall be submitted to the Department ethics counselor by no later than September 30 of each year. The Secretary may revise Appendix C by the addition

or deletion of positions at any time he determines such revisions are required to carry out the purpose of law, the Executive order, the Civil Service Commission regulations, or the regulations of this part. Additions to, deletions from, and other amendments of the list of positions in Appendix C are effective upon actual notification to the incumbents. The amended Appendix C shall be submitted annually for publication in the FEDERAL REGISTER. Employees are and shall be included in the Appendix C pursuant to the following criteria:

(1) Employees in administrative law judge positions regardless of pay level.

(2) Employees classified at GS-13 or above (or comparable pay level) who are in positions whose duties and responsibilities require making a Government decision or taking a Government action which could result in a conflict of interest. Examples (not allinclusive) of such duties are:

Contracting and procurement.

Administering or monitoring grants, loans or subsidies.

Selecting concessioners, approving or administering concessions contracts, or approving concessions management policies.

Regulating, auditing, or inspecting private or other non-Federal enterprise.

Recommending policy for private or other non-Federal enterprise.

Sitting on special committees that may influence policies on private or other non-Federal enterprise.

Appraising or acquiring real estate for the Government.

Enforcing Federal laws.

Conducting other activities where the decision or action has an economic impact on the interests of any private or other nonFederal enterprise.

(3) Employees in other positions classified at GS-13 or above (or comparable pay level) who are in positions whose duties and responsibilities may create an appearance of a conflict of interest. Presidential Interchange Executives and other employees on loan to the Department from industry or other non-Government agency are included under this requirement. Others which may be included are those positions involving such duties as the following:

Participation in the decision-making process on matters that may affect private or other non-Federal enterprise.

Planning or developing activities that may affect private or other non-Federal enterprise.

Reviewing results of operations.

Meeting with public media personnel or preparing and disseminating public information.

Supervising others who must file employment and financial interest statements.

Analyzing or reviewing economic data relating to or of potential value to non-Federal enterprise.

Conducting any other activities that could have an economic impact on the interests of any private or other non-Federal enterprise.

(4) Employees classified at GS-12 or below who are in positions that meet the criteria for positions at GS-13 or above and also:

Who have duties similar to those of a GS13 in the same occupation in those areas of responsibility where a significant potential for conflict of interest exists.

Who function with a minimum of supervision either because of the nature of their job or because of remote location.

Who make Government decisions that directly affect the economic interests of any private or other non-Federal enterprise.

(5) Filing by employee on temporary assignment or detail. (i) In some instances, temporary assignments or details will involve employees in policy or decision-making situations different from those in the employee's regular position. An employment and financial interest statement may be necessary, either because the position to which the employee is temporarily assigned is listed in the appendix to this regulation, or because the bureau or office head, task force leader, or project manager, may decide the temporary or detail position requires it.

(ii) In these instances, the temporarily assigned or detailed employee shall file an employment and financial interest statement before the effective date of the assignment or detail, or, if the employee has a statement on file, it shall be updated and reviewed by the applicable ethics counselor for conflict or possible conflict with the employee's new duties.

(iii) Each bureau or office is responsible for implementing paragraph (a)(5)(ii) of this section so that statements are filed or updated and re

viewed. Assignments of 30 days or less are exempt from the requirement.

(b) When to file. Each employee required to file a statement of employment and financial interest shall file such a statement on Form DI-212. (See Appendix B-1.) The ethics counselors shall notify each such employee and furnish the form to the employee by December 15 of each year. The employee shall file a completed statement of employment and financial interest with the appropriate ethics counselor:

(1) By no later than February 1 of each year showing holdings and interests as of December 31, or

(2) Within thirty days after notification that his or her position has been added to the list in Appendix C, or classified at GS-15 or above or

(3) At the time of entrance on duty if a new employee. Persons transferring between bureaus or offices will be treated as new employees.

(c) Where to file. (1) The Department ethics counselor, his or her immediate supervisor, and the Assistant Secretary Policy, Budget and Administration will file statements with the Under Secretary.

(2) Persons in the following positions will file statements with the Department ethics counselor: The Under Secretary; Deputy Under Secretaries; Assistants to the Secretary; Solicitor and Deputy Solicitor; Assistant and Deputy Assistant Secretaries; Heads of bureaus and offices; the High Commissioner and Deputy High Commissioner of the Trust Territory; and such others as the Secretary may designate.

(3) Employees in the Office of the Solicitor (except for the Solicitor and Deputy Solicitor) will file statements with the Solicitor or the Deputy Ethics Counselor for the Office of the Solicitor, as the Solicitor may direct.

(4) Employees in the Office of Hearings and Appeals (except for the Director) will file statements with the Director, Office of Hearings and Appeals or the Deputy Ethics Counselor for the Office of Hearings and Appeals as the Director may direct.

(5) Employees in the Office of Water Research and Technology (except for the Director) will file statements with the Director, Office of Water Re

search and Technology or the Deputy Ethics Counselor for the Office as the Director may direct.

(6) Employees and special Government employees in the Office of the Secretary and in other Department offices, except those employees mentioned in paragraphs (c)(1), (2), (3), (4), and (5), of this section will file statements with the Chief, Division of Personnel Services, Office of Secretarial Operations.

(7) Employees and special Government employees in bureaus (except for the head of the bureau) will file statements with the bureau head, Deputy Ethics Counselor, or the Assistant Ethics Counselor as the head of the bureau may direct.

(d) What to report. (1) Employees will report all information required on form DI-212 (Appendix B-1). An employee is not required to report connection with, or interest in:

(i) A professional society;

(ii) A charitable, religious, social, fraternal, recreational, public service, civil, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related 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 of employment and financial interests.

(2) Except where Organic Act restrictions apply, either by statute or regulation (§§ 20.735-12 and 20.73513), an employee may also exclude:

(i) Holdings in widely held mutual funds, investment clubs or regulated investment companies not specializing in a particular industry.

(ii) Savings or deposits in banks, credit unions, building and loan associations, or insurance companies.

(3) Retirement benefits, vested rights to retirement benefits, or investments in self-employment or individual retirement plans must be reported by employees on form DI-212. Such interests shall be reviewed on a case by case basis to ensure that they do not place the employee in a conflict or appearance of conflict situation.

(4) If any information required to be included on a statement of employment and financial interests or supplementary statement is not known to the employee but is known to another person, the employee shall request that other person to submit information on his behalf on form DI-212 to the appropriate ethics counselor. This requirement may be waived for holdings in an approved blind trust (§ 20.735-24(a) (3)).

(e) Confidentiality of employees' statements. (1) Each statement of employment and financial interests is a "Nonsecurity Confidential" document and will be held in confidence. The statement will be transmitted in a blue envelope so marked by the employee to the ethics counselor designated in paragraph (c) of this section. Ethics Counselors are responsible for maintaining the statements in strict confidence. Employees having access to statements shall not allow information to be disclosed from statements except to those individuals who must have access in order to carry out responsibilities assigned by these regulations or specific law.

(2) Statements of employment and financial interest will be retained by the ethics counselors who actually perform the review. The personnel office holding the employee's official personnel folder must be notified when the review has been completed. All statements shall be destroyed two years after an employee leaves a position in which a statement is required or two years after the employee leaves the Department, whichever is earlier.

[41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4321, Jan. 19, 1979]

§ 20.735-23 Review and analysis of statements.

(a) Each employee and special Government employee statement shall be reviewed by the ethics counselor with whom it is filed by no later than March 3 of each year to ensure that the employee is in compliance with these regulations. The ethics counselor may consult with the Regional Solicitor, or the Division of General Law of the Office of the Solicitor in Washington, as the case may be (§ 20.735

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