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participated personally and substantially visions governing employees (see for the Government (18 U.S.C. 207(a)).

$ 20.735-31). 4. He may not, for one year after his Gov

(c) Coercion. A special Government ernment employment has ended, represent

employee shall not use his Governanyone other than the United States in connection with a matter in which the United

ment employment to coerce, or give States is a party or has an interest and

the appearance of coercing, a person which was within the boundaries of his offi. to provide financial benefit to himself cial responsibility during the last year of his or another person, particularly one Government service (18 U.S.C. 207(b)). This with whom he has family, business, or temporary restraint of course gives way to

financial ties. the permanent restriction described in paragraph 3 if the matter is one in which he par

(d) Gifts, entertainment, and favors. ticipated personally and substantially.

Except as provided in § 20.735-32(a), a

special Government employee, while 8 20.735-42 Restrictions upon special Gov so employed or in connection with his ernment employees.

employment, shall not receive or solicIn most instances, special Govern

it from a person having business with ment employees are subject to the

his agency anything of value as a gift, Federal statutes relating to standards

gratuity, loan, entertainment, or favor of conduct the same as regular em

for himself or another person, particuployees. Although all these statutes

larly one with whom he has family, are not referenced in these regula

business, or financial ties. tions, the more pertinent ones are

$ 20.735-43 Statement of employment and listed in $ 20.735-51(a). The special

financial interests. Government employee should become acquainted with these. In addition, the

(a) Each special Government emattention of the special Government ployee who occupies a position of conemployee is directed to the following sultant or expert shall file a statement regulations which are of particular ap of employment and financial interests plication and relate to the area of as provided in paragraph (b) of this ethical conduct as a special Govern section. A special Government employment employee:

ee who does not occupy a position of (a) Use of Government employment. consultant or expert shall, nonetheA special Government employee shall less, file such a statement if the posinot use his Government employment tion is found by the appointing officer for a purpose that is, or gives the ap- to be of such a nature or at such a pearance of being, motivated by the level of responsibility that the submisdesire for private gain for himself or sion of a statement is necessary to proanother person, particularly one with tect the integrity of the Government. whom he has family, business or fi Special Government employees occunancial ties.

pying positions other than those men(b) Use of inside information. (1) A tioned in this paragraph are not respecial Government employee shall quired to file statements. not use inside information obtained as (b) Special Government employees a result of his Government employ who are required to submit statements ment for private gain for himself or of employment and financial interests another person either by direct action pursuant to paragraph (a) of this secon his part or by counsel, recommen tion shall fill out and submit to the dation, or suggestion to another appropriate ethics counselor desigperson, particularly one with whom he nated in § 20.735-22, form DI-213, has family, business, or financial ties. “Statement of Employment and Fi. For the purpose of this paragraph nancial Interests." This form provides "inside information” means informa for the reporting of: tion obtained under Government au- (1) All employment, including emthority which has not become part of ployment without compensation; and the body of public information.

(2) All financial interests, including (2) Special Government employees any interest held by the spouse or may teach, lecture, or write in a minor child or relation living in the manner not inconsistent with the pro- same household of a special Govern

ment employee. The special Govern (e) For the purpose of this section ment employee is not required to the terms “consultant” and “expert" report connection with, or interest in: have the meanings given those terms (i) A professional society;

by Chapter 304 of the Federal Person(ii) A charitable, religious, social, nel Manual, but do not include: fraternal, recreational, public service, (1) A physician, dentist, or allied civil, or political organization or a sim medical specialist whose services are ilar organization not conducted as a procured to provide care and service to business enterprise. For the purpose of patients; or this section, educational and other in. (2) A veterinarian whose services are stitutions doing research and develop procured to provide care and service to ment or related work involving grants animals. of money from or contracts with the Government are deemed “business en

Subpart E-Bibliography of Statutes terprises” and are required to be included in an employee's statement of $20.735-51 Miscellaneous statutory proviemployment and financial interests.

sions and restrictions. (iii) Holdings in widely held mutual funds, investment clubs, or regulated

(a) Employees will become acquaintinvestment companies not specializing

ed with the statutory provisions that

relate to their ethical and other conin a particular industry. (iv) Savings or deposits in banks,

duct, among which the following are credit unions, building and loan associ

particularly relevant: ations, or insurance companies;

(1) House Concurrent Resolution (c) In an instance involving the pro

175, 85th Congress 2nd Session, 72 posed employment of a special Gov.

Stat. B12, the "Code of Ethics for ernment employee for highly special

Government Service.” ized and limited duties, the head of a

(2) Chapter 11 of Title 18, United bureau or office may propose to the

States Code, relating to bribery, graft, Department ethics counselor a report

and conflicts of interest, as appropriing of financial interests restricted to

ate to the employee concerned. such interests as may be determined to

(3) The prohibition against lobbying be relevant to the duties the special

with appropriated funds (18 U.S.C. Government employee is to perform.

1913). If a restricted reporting of financial

(4) The prohibitions against disloyalinterests is approved by the Depart- ty and striking (5 U.S.C. 7311, 18 ment ethics counselor in advance of employment, Form DI-213 may be re (5) The prohibitions contained in vised to reflect the narrower require

the Freedom of Information Act ment.

against failing to disclose information (d) The statement of employment

disclosure of which is required by that and financial interests shall be submit

Act (5 U.S.C. 552(a) (4) (F)). ted before the special Government em

(6) The prohibitions against (i) disployee enters on duty. Each special

closure of classified information (18 Government employee shall keep his

U.S.C. 798, 50 U.S.C. 783); (ii) disclostatement current through his em

sure of confidential information (18 ployment with the Department by the

U.S.C. 1905); and (iii) disclosure of insubmission of supplementary state

formation which is restricted by the ments. Prior to the reappointment of a

Privacy Act (5 U.S.C. 552a(i) (1)). special Government employee to per

(7) The provision relating to the haform the same or different functions, bitual use of intoxicants to excess (5 with or without a break in service, a U.S.C. 7352). new statement shall be obtained. (8) The prohibition against the Statements filed by special Govern misuse of a Government vehicle (31 ment employees shall be reviewed, U.S.C. 638a(c)). processed and retained in the same (9) The prohibition against the manner as those filed by regular em- misuse of the franking privilege (18 ployees ($ 20.735-23).

U.S.C. 1719).

(10) The prohibition against the use of deceit in an examination or person nel action in connection with Government employment (18 U.S.C. 1917).

(11) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(12) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(13) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(14) The prohibitions against (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).

(15) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(16) The prohibition against political activities in Subchapter III of Chapter 73 of Title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608.

(17) The prohibition against an employee acting as an agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

(18) The requirement that each officer or employee of the Department of the Interior performing a function or duty under the Energy Policy and Conservation Act file a written statement disclosing known financial interests in certain business and property (42 U.S.C. 6392).

(19) The requirement that each officer or employee of the Secretary of the Interior performing a function or duty under Pub. L. 94-429, 90 Stat. 1342, file a written statement disclosing known financial interest in any person subject to the Act and other acts specified therein, or in any person who holds a mining claim within the boundaries of units of the National Park System.

(20) The requirement that each officer or employee of the Secretary and

of the Bureau of Land Management performing a function or duty under Pub. L. 94-579, 90 Stat. 2743, file a written statement disclosing known financial interest in any person who applied for or receives any permit, lease, or right-of-way under, or applies for or acquires any land or interests therein under, or is otherwise subject to the provisions of, the Act.

(21) The provisions of the Federal Election Campaign Act Amendments of 1976; Pub. L. 94-283 which provides that no person while an elected or appointed officer or employee of any branch of the Federal Government shall accept

(i) Any honorarium of more than $2,000 (excluding amounts accepted for actual travel and subsistence expenses for such person and his spouse or an aide to such person, and excluding amounts paid or incurred for any agent's fees or commissions) for any appearance, speech, or article; or

(ii) Honorariums (not prohibited by paragraph (a)(1) of this section) aggregating more than $25,000 in any calendar year.

(22) The requirement that each employee of the Office of Surface Mining Reclamation and Enforcement or any other Federal employee performing any function or duty under Pub. L. 9587, 91 Stat. 445, file a written statement disclosing any direct or indirect financial interest in underground or surface coal mining operations.

(23) The requirement that each officer or employee of the Department of the Interior performing a function or duty under the Outer Continental Shelf Lands Act, as amended, file a written statement disclosing known financial interest in any person who applies for or receives any permit or lease under, or is otherwise subject to the provisions of that Act.

(b) The foregoing statutes shall be available for review in the office of each Ethics Counselor. [41 FR 56101, Dec. 23, 1976, as amended at 44 FR 4322, Jan. 19, 1979]

to the appropriate Ethics Counselor for review and action.

APPENDIX A-1-UNITED STATES DEPARTMENT OF THE INTERIOR, U.S. GEOLOGICAL SURVEY, EMPLOYEE CERTIFICATION

PRIVACY ACT NOTICE 43 U.S.C. 31(a) and 5 U.S.C. 301 constitute the authority for requesting this certification. This certification must be signed; failure to do so could be cause for denying appointment or for appropriate disciplinary action.

This certification will be used to record officially the fact that you have knowledge of, and are in compliance with, the restrictions pertinent to your employment. The information certified to will be considered confidential and will form a part of the records of the office where you file; as such the contents may be routinely disclosed to authorized auditors, the Civil Service Commission, the Department of Justice and to appropriate law enforcement agencies.

APPENDIX A-2-UNITED STATES DEPARTMENT OF THE INTERIOR, BUREAU OF INDIAN AFFAIRS, EMPLOYEE CERTIFICATION

I have been given a copy of Department of the Interior Regulations governing Responsibilities and Conduct of Employees (43 CFR 20.735). I have been advised of the name and location of the Bureau and Deputy Ethics Counselors. I understand that I may discuss questions or concerns related to my responsibilities, conduct, and financial interests with these individuals.

I certify I have been informed of the statutory restrictions contained in Title 43, U.S. Code, Section 31(a), which provides that employees of the Geological Survey shall have no personal or private interest in the lands or mineral wealth under survey, and shall execute no surveys or examinations for private parties or corporations.

The Department has determined that these restrictions prohibit an employee of the Geological Survey from having any personal or private interest, direct or indirect, in lands whose title is in the United States. Further, an employee of the Geological Survey is prohibited by the U.S. Code from having any personal or private interest in the mineral wealth of such lands and from executing surveys or examinations for private parties. By paragraph 20.735-13(b) of the Regulations, the Department has also prohibited an employee of the Geological Survey from having a substantial personal or private interest, direct or indirect, in any private mining or mineral enterprise doing business in the United States except where specifically authorized by the Director of Geological Survey.

I certify that to the best of my knowledge I do not have any personal or private interest direct or indirect in the Federally owned lands of the United States nor in the mineral wealth of such lands.

I also certify that to the best of my knowledge I do not have any substantial personal or private interest, direct or indirect, in any private mining or mineral enterprise doing business in the United States except where the Director has authorized me to have such interest.

I have been given a copy of Department of the Interior Regulations governing Responsibilities and Conduct of Employees (43 CFR 20.735). I have been advised of the name and location of the Deputy or Assistant Ethics Counselor for my office. I understand that I may discuss questions or concerns related to my responsibilities, conduct and financial interests with this individual.

I certify I have been informed and am in compliance with the statutory restrictions contained in Title 25 U.S.C., Section 68, (also referred to in 25 U.S.C. 68a and 441 and 25 CFR 251 and 252) which prohibits any person employed in Indian affairs in the Department of the Interior from having an interest or concern in any trade with the Indians, except for, and on account of, the United States.

I also certify I will not in the future acquire any such interest or concern in violation of the law, so long as I am employed in the Department and involved with Indian affairs.

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to the appropriate Ethics Counselor for review and action.

PRIVACY ACT NOTICE 25 U.S.C. 68 and 5 U.S.C. 301 constitute the authority for requesting this certification. This certification must be signed; failure to do so could be cause for denying appointment or for appropriate disciplinary action.

This certification will be used to record officially the fact that you have knowledge of, and are in compliance with, the restrictions pertinent to your employment. The information certified to will be considered confidential and will form a part of the records of the office where you file; as such the contents may be routinely disclosed to authorized auditors, the Civil Service Commission, the Department of Justice and to appropriate law enforcement agencies.

INSTRUCTIONS 1. All applicable employees of the Bureau of Land Management shall complete the certifications on this form.

2. Signed certificates shall be sent to and maintained by the appropriate Ethics Counselor.

3. If an employee is unable to sign the certificate, he must submit a statement of facts to the appropriate Ethics Counselor for review and action.

APPENDIX A-3—UNITED STATES DEPARTMENT OF THE INTERIOR, BUREAU OF LAND MANAGEMENT, EMPLOYEE CERTIFICATION

PRIVACY ACT NOTICE 43 U.S.C. 11 and 5 U.S.C. 301 constitute the authority for requesting this certification. This certification must be signed; failure to do so could be cause for denying appointment or for appropriate disciplinary action.

This certification will be used to record officially the fact that you have knowledge of, and are in compliance with, the restrictions pertinent to your employment. The information certified to will be considered confidential and will form a part of the records of the office where you file; as such the contents may be routinely disclosed to authorized auditors, the Civil Service Commission, the Department of Justice and to appropriate law enforcement agencies.

I have been given a copy of Department of the Interior Regulations governing Responsibilities and Conduct of Employees (43 CFR 20.735). I have been advised of the name and location of the Deputy or Assistant Ethics Counselor for my office. I understand that I may discuss questions or concerns related to my responsibilities, conduct and financial interests with this individual.

I certify that I understand and that I am in compliance with the statutory restrictions in Title 43 U.S.C. 11, which 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 office.

I also certify that neither I nor my spouse has, nor is either of us in the process of acquiring, in violation of 43 CFR, Part 7, any interest, direct or indirect, in any lands or resources administered by the Bureau of Land Management.

I further certify I understand that if either I or my spouse acquires during my employment, interest in lands or resources administered by the Bureau of Land Management, by gift, devise, bequest or operation of law, that I am required to submit a statement of facts surrounding such acquisition promptly through channels to my bureau head for transmittal to the Secretary of the Interior for decision or other necessary action.

APPENDIX A-4_UNITED STATES DEPART

MENT OF THE INTERIOR, BUREAU OF MINES, EMPLOYEE CERTIFICATION

I have been given a copy of Department of the Interior Regulations governing Responsibilities and Conduct of Employees (43 CFR 20.735). I have been advised of the name and location of the Deputy or Assistant Ethics Counselor for my office. I understand that I may discuss questions or concerns related to my responsibilities, conduct, and financial interests with this individual.

I certify that I have been informed of and that I am in compliance with the statutory restrictions contained in Title 30 U.S.C., Section 6, which prohibit employees of the Bureau of Mines from having any personal or private interest in any mine or the products of any mine under investigation by the Bureau; accepting employment from any private party for services in the examination of any mine or private mineral property; or issuing any report as to the valuation or the management of any mine or other private mineral property other than as part of my official duties.

(Date)

(Signature of Employee)

(Date)

(Signature of Employee)

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