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Part 1450 Employee Responsibilities and Conduct

SUBPART A---GENERAL PROVISIONS

AUTHORITY: The provisions of this Part 1450 issued Sec.

under section 702, E.O, 11222, 30 F.R. 6469, 3 CFR, 1450.735-1 Purpose.

1965 Supp. ; 5 CFR 735.104. 1450,735-2 Definitions. 1450.735-3 Interpretation and advisory service.

SUBPART A GENERAL PROVISIONS 1450.73544 Reviewing statements and reporting con

1450.735-1 Purpose.--The maintenance of flicts of interest. 1450.735-5 Disciplinary and other remedial action. unusually high standards of honesty, integrity, 1450.735-6 Notice to employees.

impartiality, and conduct by Government em1450.735-7 Financial interests exempted from statu ployees and special Government employees is tory prohibition.

essential to assure the proper performance of the SUBPART BETHICAL AND OTHER CONDUCT AND RE

Government business and the maintenance of SPONSIBILITIES OF EMPLOYEES

confidence by citizens in their Government. 1450.735-21 Proscribed actions.

The avoidance of misconduct and conflicts of 1450.735-22 Gifts, entertainment, and favors.

interest on the part of Government employees 1450.735-23 Outside employment

and special Government employees through in1450.735-24 Financial interests.

formed judgment is indispensable to the main1450.735-25 Use of Government property.

tenance of these standards. To accord with 1450.735-26 Misuse of information. 1450.735-27 Indebtedness.

these concepts, this part prescribes standards of 1450.735–28 Gambling, betting, and lotteries.

conduct and responsibilities of employees and 1450.735-29 General conduct; conduct prejudicial to special Government employees, and governs the Government.

statements reporting employment and financial 1450.735-30 Miscellaneous statutory provisions.

interests of such employees. SUBPABT C-ETHICAL AND OTHER CONDUCT AND RE 1450.735-2 Definitions.--As used in this SPONSIBILITIES OF SPECIAL GOVERNMENT EMPLOYEES

part: 1450.735–31 Use of Board employment.

(a) "Board”

means The Renegotiation 1450.735 32 Use of inside information.

Board, including the regional boards, except 1450.735-33 Coercion.

when the context indicates otherwise. 1450.735-34 Gifts, entertainment, and favors. 1450.735-35 Miscellaneous statutory provisions.

(b) "Employee" means a member or em1450.735-36 General provisions.

ployee of the Board, but does not include a

special Government employee. SUBPART D-STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS

(C) "Executive order" means Executive Or1450.735-41 Form and content of statements.

der No. 11222 of May 8, 1965. 1450.735–42 Employees required to submit statements. (d) “Person” means an individual, a corpo1450.735-42a Employee's complaint on Aling require

ration, a company, an association, a firm, a ments. 1450.735-43 Employees not required to submit state partnership, a society, a joint stock company, or ments.

any other organization or institution. 1450.735-44 Time and place for submission of em

(e) "Special Government employee" means a ployees' statements. 1450.735–45 Supplementary Statements.

"special Government employee” as defined in 1450.735_46 Interests of employees' relatives.

section 202 of Title 18 of the United States 1450.735-47 Information not known by employees. 1450.735-48 Information prohibited.

Code, such as a consultant, expert, etc., who is 1450.735-49 Confidentiality of statements.

employed by the Board.
1450.735-50 Effect of statements on other require 1450.735~3 Interpretation and advisory

ments.
1450.735-51 Specific provisions for special Govern-

service(a) The Board shall designate a ment employees.

counselor for the Board, who shall also serve as

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the designee of the Board to the Civil Service Commission, on matters covered by this part. Such counselor shall be responsible for coordination of the Board's counseling services provided under this section, and for assuring that counseling and interpretations on questions of conflicts of interest and other matters covered by this part are available to deputy counselors designated under paragraph (b) of this section.

(b) The Board shall designate a deputy counselor for the headquarters office of the Board and for each regional board. Such deputy counselors shall give advice and guidance to each employee or special Government employee in their respective locations who seeks advice and guidance on questions of conflicts of interest or other matters covered by this part. The deputy counselors shall report to the counselor at such times and in such manner as the counselor shall prescribe.

(c) Employees and special Government employees are strongly urged to feel free to seek advice and guidance from the appropriate deputy counselor on questions of conflicts of interest and other matters covered by this part, so that the requirements of proper conduct may be fully understood and observed at all times.

(d) Counseling service shall be available to employees and special Government employees during the hours of business of the Board, or a regional board, upon request to the appropriate deputy counselor.

1450.735-4 Reviewing statements and reporting conflicts of interest.-(a) Statements of employment and financial interests of each employee and special Government employee, submitted under Subpart D of this part, shall be submitted to the counselor designated pursuant to section 1450.735–3(a), who shall review such statements for conflicts of interest or apparent conflicts of interest.

(b) When a statement submitted under Subpart D of this part, or information from other sources, indicates in the judgment of the counselor a conflict between the interests of an employee or special Government employee and the performance of his services for the Board, the counselor, or at his request the appropriate deputy counselor, shall consult with such employee or special Government employee, and when necessary with his superior, in an effort to resolve the conflict or appearance of conflict by any

of the methods described in subparagraphs (1),
(2), and (3) of $ 1450.735–5 (c). If the matter
is not resolved to the satisfaction of the coun-
selor, the information concerning the conflict or
appearance of conflict shall be reported to the
Board by the counselor for disciplinary or other
remedial action pursuant to the provisions of
§ 1450.735–5. In the latter event, written notice
of such referral to the Board shall be given
by the counselor to the affected employee or spe-
cial Government employee. Such notice shall
include advice that such employee or special
Government employee will be provided an op-
portunity to explain to the Board the conflict
or appearance of conflict.

(c) In order to preserve the standards of
honesty, integrity, and impartiality required
of Government employees in accordance with
the provisions of section 208, title 18, United
States Code, and the regulations in this part,
every employee, whether or not designated in
8 1450.735-42, should use extreme care to avoid
participation in any matter with respect to
which he has a financial or other interest which,
whether or not required to be reported under
Subpart D of this part, would conflict or appear
to conflict with his performance of services for
the Board. If a matter is assigned to an em-
ployee having such an interest, he shall forth-
with report such interest through his immediate
superior to the appropriate deputy counselor.
If the deputy counselor is unable to resolve the
conflict or appearance of conflict, he shall so
report to the counselor, who shall then proceed
as in paragraph (b) of this section.

(d) Section 208, title 18, United States Code,
reads as follows:

SEC. 208. Acts affecting a personal financial interest. (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement con

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cerning prospective employment, bas financial part, and all amendments thereto, at the time of
interest

his entrance on duty. At least semi-annually,
Shall be fined not more than $10,000, or imprisoned

the regulations in this part shall be brought to
not more than 2 years, or both.

the attention of all employees and special Gov-
(b) Subsection (a) hereof shall not apply (1) if the
officer or employee first advises the Government official ernment employees, each of whom shall be re-
responsible for appointment to his position of the na quired at each such time to execute a statement
ture and circumstances of the judicial or other proceed in form as follows:
ing, application, request for a ruling or other determi-
nation, contract, claim, controversy, charge, accusation,

I have read and I understand the provisions of Part

1450 of the Renegotiation Board Regulations, and I
arrest, or other particular matter and makes full dis-
closure of the financial interest and receives in advance agree to abide thereby as long as I remain an employee
a written determination made by such official that the

of The Renegotiation Board.
interest is not so substantial as to be deemed likely to It shall be the responsibility of the Director,
affect the integrity of the services which the Govern-

Office of Administration, to carry out the pro-
ment may expect from such officer or employee, or (2)

visions of this section.
if, by general rule or regulation published in the
FEDERAL REGISTER, the financial interest has been ex-

1450.735–7 Financial interests exempted
empted from the requirements of clause (1) hereof as from statutory prohibition.-Pursuant to the
being too remote or too inconsequential to affect the

provisions of subsection (b) of 18 U.S.C. 208, integrity of Government officers' or employees' services.

the Board has determined that the following fiAdded Pub. L. 87-849, 81(a), October 23, 1962, 76

nancial interests are too remote or too inconStat. 1124.

sequential to affect the integrity of the services 1450.735-5 Disciplinary and other reme

of its employees, and therefore has exempted dial action.m(a) Any violation of the regula

such interests from the requirement of this tions in this part, by an employee or special

part: Investments in widely held diversified Government employee, may be cause for dis

mutual funds (i.e., open-end management inciplinary action, which may be in addition to

vestment companies as defined by section 5 of the any penalty prescribed by law.

Investment Company Act of 1940, 15 U.S.C. (b) When, after consideration of the ex

80a-5) in which the employee does not serve as planation of the employee or special Govern

a director, officer, partner, or adviser. ment employee provided by $ 1450.735-4(b), the Board decides that remedial action is required, SUBPART BETHICAL AND OTHER the Board will take immediate action to end the CONDUCT AND RESPONSIBILITIES conflicts or appearance of conflicts of interest.

OF EMPLOYEES (c) Remedial action under paragraph (a)

1450.735-21 Proscribed actions. An emor (b) of this section may include, but is not limited to:

ployee shall avoid any action, whether or not (1) Changes in assigned duties;

specifically prohibited by this subpart, which

might result in, or create the appearance of: (2) Divestment by the employee or special

(a) Using public office for private gain; Government employee of his conflicting interest ;

(b) Giving preferential treatment to any (3) Disqualification for a particular assign

person; ment; or

(c) Impeding Government efficiency or econ(4) Disciplinary action.

omy; Remedial action, whether disciplinary or other (d) Losing complete independence or imwise, will be effected in accordance with any ap partiality; plicable laws, Executive orders, and regulations. (e) Making a Government decision outside 1450.735-6 Notice to employees. Within

official channels; or twenty (20) days after the effective date of the (f) Affecting adversely the confidence of the regulations in this part, or of any amendment public in the integrity of the Board or the Govthereto, each employee and special Government ernment. employee shall be provided with a copy of this 1450.735-22 Gifts, entertainment, and fa. part, or of such amendment. Each new employee vors. (a) Except as provided in paragraph or special Government employee appointed (b) of this section, an employee shall not solicit, thereafter shall be provided with a copy of this or accept, directly or indirectly, any gift, gra

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