Subpart D-Statements of Employment and Financial Interests

§ 1001.735-401 Employees required to submit statements:

Employees shall submit statements of employment and financial interests in accordance with the criteria established in 5 CFR 735.403. An employee required to file a financial statement under the provisions of the "Ethics in Government Act of 1978" (Public Law 96-521) shall not file a statement under this subpart.

[49 FR 1332, Jan. 11, 1984]

§ 1001.735-402 Employee's complaint on filing requirement.

An employee who believes that his or her position has been improperly included as one requiring submission of a statement of employment and financial interests may obtain a review of that designation through the OPM internal grievance procedure.

[49 FR 1332, Jan. 11, 1984]

§ 1001.735-403 Form of statements.

An employee required to submit a statement of employment and financial interests should submit that statement in the format prescribed by the Office of Personnel and EEO.

[49 FR 1333, Jan. 11, 1984]

§ 1001.735-404 Time for submission of statements.

An employee required to submit a statement of employment and financial interests by § 1001.735-401 shall submit that statement no later than 30 days after the date of entrance on duty in the position covered by § 1001.735-401.

§ 1001.735-405 Supplementary statements.

Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement, in the format prescribed by the Office of Personnel of OPM, as of September 30 of each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this sec

tion, 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 conflict-of-interest provisions of section 208 of title 18, United States Code, or subpart B of this part.

[49 FR 1333, Jan. 11, 1984]

§ 1001.735-406 Interests of employees' relatives.

The interests of a spouse, minor child, or other member of an employee's immediate household are considered to be interests of the employee. For the purpose of this section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household.

§ 1001.735-407 Information not known by employees.

If any information required to be included on a statement of employment and financial interests or on a supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit the information in his behalf.

§ 1001.735-408 Information not required.

An employee is not required to submit on a statement of employment and financial interests, or on a supplementary statement, any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, 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.

[36 FR 6874, Apr. 9, 1971, as amended at 40 FR 48339, Oct. 15, 1975]

§ 1001.735-409 Review of statements.

(a) All statements of employment and financial interest shall be submitted to the staff office, program office or regional office where the position is located. The head of the office, regional director or delegee, shall review all statements for potential conflicts of interest before forwarding them to the Office of the General Counsel where the statements will be maintained.

(b) When a statement submitted under this section indicates a conflict between the interests of an employee and the performance of services for the Government, and when the conflict or appearance of conflict cannot be resolved by the reviewing official, the information concerning the conflict shall be reported to the General Counsel of OPM. The employee concerned shall be given an opportunity to explain the conflict or appearance of conflict before remedial action is initiated.

[36 FR 6874, Apr. 9, 1971, as amended at 45 FR 83473, Dec. 19, 1980; 49 FR 1333, Jan. 11, 1984]

§ 1001.735-410 Confidentiality of statements.

Each statement of employment and financial interests, and each supplementary statement, shall be held in confidence and retained in limited access files of the reviewing official. The use of information on the statements shall be limited to that necessary to carry out the purposes of this part. Information from a statement or a supplementary statement shall not be disclosed except by decision of the Director of OPM.

§ 1001.735-411 Effect of statements on other requirements.

The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for or in derogation of any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by

an employee does not permit him or any other person to participate in a matter in which he or the other person's participation is prohibited by law, order, or regulation.

§ 1001.735-412 Submission of statements by special Government employees. (a) Each special Government employee shall submit a statement of employment and financial interests not later than the time of his employment. Each special Government employee shall keep his statement current throughout his period of employment by the submission of supplementary statements.

(b) A special Government employee shall submit his statement of employment and financial interests in the format prescribed by the Office of Personnel and EEO of OPM. The statement shall be filed with the Assistant Director of OPM for Personnel, who shall review it for potential conflicts of interest before forwarding it to the Office of the General Counsel, where all such statements will be maintained. All such statements shall be accorded the confidentiality prescribed in § 1001.735-410.

(c) The provisions of §§ 1001.735-406 through 1001.735-411 apply to special Government employees in the same manner as to employees.

(d) The Director of OPM may waive the requirement in paragraph (a) of this section for the submission of a statement of employment and financial interests in the case of a special Government employee who is not a consultant or an expert when he finds that the duties of the position held by that special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For the purposes of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual.

[36 FR 6874, Apr. 9, 1971, as amended at 49 FR 1333, Jan. 11, 1984]