tions who are residents of the employee's household.

$735.408 Information not known by employees.

If any information required to be included on a statement of employment and financial interests or 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 information in his behalf.

§ 735.409 Information not required.

This subpart does not require an employee to submit on a statement of employment and financial interests or 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.

[33 FR 12487, Sept. 4, 1968, as amended at 40 FR 48339, Oct. 15, 1975]

§ 735.410 Confidentiality of employees'

statements.

An agency shall hold each statement of employment and financial interests, and each supplementary statement, in confidence. To insure this confidentiality, an agency shall designate which employees are authorized to review and retain the statements. Employees so designated are responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to carry out the purpose of this part. An agency may not disclose information from a statement except as OPM or the agency head may determine for good cause shown.

§ 735.411 Effect of employees' 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 his or the other person's participation is prohibited by law, order, or regulation.

§ 735.412 Specific provisions of agency regulations for special Government employees.

(a) Agency regulations issued under this subpart for special Government employees, as a minimum, shall contain provisions covering the reporting requirements set forth in this section.

(b) Except as provided in paragraph (c) of this section, each agency head shall require each special Government employee to submit a statement of employment and financial interests which reports:

(1) All other employment; and

(2) The financial interests of the special Government employee which the agency determines are relevant in the light of the duties he is to perform.

(c) An agency head may waive the requirement in paragraph (b) 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 the agency 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 purpose of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual, but do not include:

(1) A physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients; or

(2) A veterinarian whose services are procured to provide care and service to animals.

(3) A specialist appointed for intermittent confidential intelligence consultation of brief duration.

(d) A statement of employment and financial interest required to be submitted under this section shall be submitted not later than the time of employment of the special Government employee as provided in the agency regulations. Each special Government employee shall keep his statement current throughout his employment with the agency by the submission of supplementary statements.

[33 FR 12487, Sept. 4, 1968, as amended at 34 FR 6515, Apr. 16, 1969]

Subpart E-Regulations Supplement

ing the Financial Reporting Provisions of the Ethics in Government Act

AUTHORITY: Title II of the Ethics in Government Act of 1978 (Pub. L. 95-521), 5 U.S.C. App.

SOURCE: 44 FR 26844, May 9, 1979, unless otherwise noted.

§ 735.501 Purpose.

This subpart provides interim regulations to supplement Title II of the Ethics in Government Act of 1978 (Pub. L. 95-521), hereinafter referred to as "the Act". These regulations are not intended to state reporting requirements comprehensively, but only to deal with selected problems as a supplement to the reporting requirements of the Act. Comprehensive regulations will be published at a later time.

§ 735.502 Agency regulations.

Each agency may issue regulations implementing this subpart. These regulations:

(a) Shall be consistent with the Act and with this subpart, and

(b) Shall impose no additional reporting requirements on individuals subject to the Act, except as may be specifically authorized by statute or by the Office of Government Ethics.

§ 735.503 Additional instructions regarding certain persons required to file. (a) Under section 201(f)(3) of the Act a report is required of any person occupying a position which is not classified on the General Schedule, but the rate of pay for which (excluding "step" increases) is equal to, or greater than, the rate of pay fixed for GS-16 (step 1) by the General Schedule.

(b) Under section 201(f)(5) of the Act, a report is required of any person in the executive branch in a position excepted from the competitive service by reason of being of a confidential or policymaking character. However, an exclusion is available, as provided below, for a person in any such position classified below GS-16 (or the rate of basic pay for which is less than the minimum rate of basic pay fixed for GS-16) who has no role in advising or making policy determinations with respect to agency programs or policies. Such persons may include chauffeurs, private secretaries, stenographers and those who hold positions of similar nature where consistent with the basic criterion set forth in the preceding sentence. The foregoing exclusion will be effective as follows:

(1) The exclusion of any person pursuant to this paragraph will be effective as of the time the employing agency or other governmental entity files with the Office of Government Ethics a list and description of each position for which exclusion is sought, as well as the identity of its current occupant. Such a list must be filed with the Office of Government Ethics on or before the date on which such reports are due under the Act.

(2) In the event that the Office of Government Ethics finds that one or more positions has been improperly excluded, it will so advise the agency or other governmental entity and set a date for the filing of the report.

§ 735.504 Information required to be reported-reporting forms.

Information required to be reported by the Act shall be set forth in the manner specified in, and in accordance with the instructions contained in, Standard Forms issued by the Office of Personnel Management, to be used as follows:

(a) Standard Form 278-for use by an officer or employee filing (1) an annual report pursuant to section 201(d) of the Act; or (2) a departure report upon termination of employment, pursuant to section 201(e) of the Act;

(b) Standard Form 278A- for use by (1) a candidate for nomination or election to the office of President or Vice President pursuant to section 201(c) of the Act; (2) an individual assuming a position for which reporting is required pursuant to section 201(a) of the Act; or (3) and individual whose nomination has been transmitted by the President to the Senate, pursuant to section 201(b) of the Act.

§ 735.505 Custody of and public access to reports.

(a) Official Position Descriptions. (1) A copy of the official position description of the Government office or position held by the reporting individual shall, if available, be attached by the designated agency ethics official or by the Secretary concerned to each report filed. If an official position description is not available, but another form of position description is, the latter shall be attached.

(2) The requirements of paragraph (a)(1) of this section, apply to members of the uniformed services, except that such position descriptions need not be attached at the time a list of individuals nominated for appointment to a rank in the uniformed services is transmitted to the Senate, unless otherwise requested by a committee of the Senate considering such nominations.

(b) Availability for public inspection. (1) Pursuant to section 205(b) of the Act, each report must be made available for public inspection within 15 days after the report is received by the agency, whether or not the review of the report prescribed by section 206 of the Act has been completed;

(2) An agency may request the name of an individual seeking inspection of, or a copy of, any report filed, but may not state or suggest that the furnishing of such identity is a condition of access to a report.

§ 735.506 Waiver regarding certain personal gifts.

An individual seeking an exemption pursuant to subsection 202(a)(2)(B) of the Act (to exempt one or more gifts from aggregation under the provisions of said subsection) shall file a request with the Office of Government Ethics which sets forth: the identity and occupation of the donor; a statement that the relationship between the donor and the reporting individual is purely personal in nature; and a statement that neither donor nor any person or organization for whom the donor actually works or serves as a representative conducts business with, or is subject to regulation by, or is directly affected by action taken by, the agency by which the reporting individual is employed. In the event that the immediately preceding statement cannot be made without qualification, the reporting individual may indicate such qualifications along with a statement demonstrating that he or she plays no role in any official action which might directly affect the donor or any organization for which such donor works or serves as a representative. Such a request will be made publicly available if, and at the time, it is granted.

§ 735.507 Review of reports and corrective action.

Any corrective action required pursuant to subsection 206(b)(3) of the Act shall ordinarily be completed within 90 days after an individual is notified, pursuant to subsection 206(b)(2)(B), that he or she is not is compliance with applicable laws and regulations.

§ 735.508 Extensions for filing of reports.

A designated agency ethics official may, for good cause, grant to any employee or class of employees:

(a) An extension of up to 20 days, or (b) In the case of employees located outside the continental United States, an extension of up to 45 days. An additional extension of 15 days may be granted where the employee sets forth in writing reasons showing good cause for an additional extension. Any other

§ 736.101 Definitions.

In this part: (a) "Federal employment" means all civilian service for the Federal government including (1) appointments to Federal Advisory Committees or to membership agencies, whether or not salaried; (2) cooperative work assignments in which the individual has access to Federal materials such as examination booklets or performs service for or under supervision of a Federal agency but may be paid by another organization, such as a State or local government; (3) volunteer arrangements in which the individual performs service for or under the supervision of a Federal agency; and (4) volunteer or other arrangements in which the individual represents the United States Government or any agency thereof.

(b) "Agency" means any authority of the Government of the United States, whether or not it is within or subject to review by another agency and includes any executive department, military department, Government corporation, Government controlled corporation or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency.

§ 736.162 Purpose of investigation.

In conducting an investigation, either by personal investigation or by written inquiry, to determine suitability, eligibility or qualifications of individuals for Federal employment. Federal contracts or access to classified information or restricted areas, the investigating agency will notify the source from which information is re

quested of the purposes for which the information is sought and how it will be used. Procedures used in conducting investigations must take proper account of the rights of the individual being investigated as well as the rights of the individual furnishing testimony or information.

§ 736.103 Personal investigation.

In conducting a personal investigation, including a telephone inquiry, to determine suitability, eligibility or qualifications of individuals for Federal employment, Federal contracts or access to classified information or restricted areas in which selection standards demand loyalty, good character and trustworthiness, the interviewing agent will notify each person interviewed and each custodian of record contacted that all information provided, including the source's identity, may be disclosed to the individual being investigated upon that individual's request. This notification must be made at some time during the interview. The agent may promise confidentiality if requested by the source, and in his discretion notify the source that he may have confidentiality where the agent feels that such notification is necessary to secure information pertinent to his investigation or inquiry. If such a request is made, the confidentiality will apply only to the source's identity, and any information furnished by the source that would reveal the identity of the source. A promise of confidentiality will require the investigative agency and all other agencies that receive information obtained under the promise to take all reasonable precautions to protect the confidentiality of the source's identity. Pledges of confidentiality may not be assumed, and the interviewing agent may not ask a source to request confidentiality. Each agency shall prepare implementing instructions for its investigators or agents consistent with these regulations.

§ 736.104 Written inquiry.

In requesting information by a written inquiry concerning the character, loyalty and qualifications of an individual to determine suitability, eligibility or qualifications for Federal em