ager, or the Director of Regulation as appropriate, after full disclosure, or in the case of a field employee, the field office manager under whom he is employed. (See § 0.735-21.)

§ 0.735-23 Activities of officers and employees in claims against and other matters affecting the Government (based on 18 U.S.C. 205).

(a) No employee shall otherwise than in the proper discharge of his official duties:

(1) Act as agent or attorney for prosecuting any claim against the United States, or receive any gratuity, or any share of or interest in any such claim in consideration of assistance in the prosecution of such claim, or

(2) Act as agent or attorney for anyone before any department, agency, court, court-martial, officer, or any civil, military, or naval commission in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest.

(b) A special Government employee shall be subject to paragraph (a) of this section only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided, That subparagraph (2) of this paragraph shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days.

(c) Nothing in paragraph (a) of this section prevents an employee, if not inconsistent with the faithful performance of his duties, from acting without compensation as agent or attorney for any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings.

(d) Nothing in paragraph (a) of this section prevents an employee from acting, with or without compensation, as agent or attorney for his parents, spouse,

child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except in those matters in which he has participated personally and substantially as a Government employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or which are the subject of his official responsibility, provided that the General Manager, the head of a division or office, Headquarters, or a field office manager, as appropriate, approves.

(e) (1) Nothing in paragraph (a) of this section prevents a special Government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States when represented by the AEC provided that the General Manager shall certify in writing that the national interest so requires. Such certification shall be submitted for publication in the FEDERAL REGISTER.

(2) The special Government employee shall immediately notify the AEC when so designated to act as agent or attorney by his private employer.

(f) Nothing in paragraph (a) of this section prevents an employee from giving testimony under oath or from making statements required to be made under penalty for perjury or contempt.

§ 0.735-24 Receiving salary from source other than the U.S. Government (based on 18 U.S.C. 209).

(a) No employee shall receive any salary, or any contribution to or supplementation of salary, as compensation for his services as an employee of the AEC from any source other than the Government of the United States, except as may be contributed out of the treasury of any State, county, or municipality.

(b) Nothing in paragraph (a) of this section prevents an employee of the AEC from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profit sharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer.

(c) Paragraph (a) of this section does not apply to a special Government employee or to an employee of the Government serving without compensation, whether or not he is a special Government employee.

(d) Paragraph (a) of this section does not prohibit acceptance of contributions, awards, or other expenses for training or to attend meetings under the terms of chapter 41 of title 5, United States Code. See AEC Appendix 4150.

[31 F.R. 4502, Mar. 17, 1966, as amended at 32 FR. 13651, Sept. 29, 1967]

§ 0.735-25 Compensation to employees in matters affecting the Government (based on 18 U.S.C. 203).

(a) No employee shall, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly receive or agree to receive, or ask, demand, solicit, or seek, any compensation for any services rendered or to be rendered either by himself or another in relation to any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest, before any department, agency, court-martial, officer, or any civil, military, or naval commission.

(b) A special Government employee shall be subject to paragraph (a) of this section only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially as a Government employee or as a special Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or (2) which is pending in the department or agency of the Government in which he is serving: Provided, That subparagraph (2) of this paragraph shall not apply in the case of a special Government employee who has served in such department or agency no more than 60 days during the immediately preceding period of 365 consecutive days.

§ 0.735-26 Disqualification of former officers and employees in matters connected with former duties or official responsibilities (based on 18 U.S.C. 207).

(a) No employee, after his employment has ceased, shall knowingly act as agent or attorney for anyone other than the United States in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or par

ties in which the United States is a party or has a direct and substantial interest and in which he participated personally and substantially as an employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, while so employed.

(b) No employee, within 1 year after his employment has ceased, may appear personally before any court or department or agency of the Government as agent, or attorney for, anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or directly and substantially interested, and which was under his official responsibility as an employee of the Government at any time within a period of 1 year prior to the termination of such responsibility.

(c) Nothing in paragraph (a) or (b) of this section prevents a former employee with outstanding scientific or technological qualifications from acting as attorney or agent or appearing personally in connection with a particular matter in a scientific or technological field if the General Manager or the Commission, as appropriate, shall make a certification in writing, submitted for publication in the FEDERAL REGISTER, that the national interest would be served by such action or appearance by the former employee.

(d) A former AEC employee who desires to request for himself an exception to the legal restrictions set forth above on the basis of "scientific or technological" grounds may do so by submitting a written request to the head of the AEC office with which he would do business, who in turn will forward it to the General Manager with his recommendation. The General Manager, if he approves the exception, shall advise the former employee in writing through the AEC office with which he applied and shall submit for publication in the FEDERAL REGISTER a statement to the effect that:

(1) The former employee has outstanding scientific or technological qualifications;

(2) The exception provided by 18 U.S.C. 207(b) is granted for a particular matter in a scientific or technological field; and

(3) The national interest would be served by granting the exception.

§ 0.735-27 Appearances by former employees before AEC.

When a former employee proposes to act as agent or attorney before an AEC office on behalf of anyone other than the United States in connection with any of the matters cited in § 0.735-26, he is expected to make known to the appropriate official of the AEC office the fact of his former assignment with AEC. The manager of the field office or the head of the division or office, Headquarters, or employee before whom the former employee appears, before transacting business with the former employee or authorizing employees under his jurisdiction to transact any business with the former employee, shall call the former employee's attention to the restrictions and penalties contained in 18 U.S.C. 207. No AEC official or employee, except the General Counsel, shall offer to the former employee an interpretation of 18 U.S.C. 207 as applied to the situation at hand.

§ 0.735-28 Confidential statements of employment and financial interests.'

(a) Categories of employees required to submit statements. The following employees shall submit statements of employment and financial interests, prepared in accordance with paragraph (d) of this section:

(1) Employees paid at a level of the Executive Schedule in subchapter II of chapter 53 of title V, United States Code.

(2) Employees in positions or categories of positions regardless of their official titles, identified in Annex B to this part.

1 Section 401 of Executive Order 11222 establishes separate reporting requirements for an agency head, a Presidential appointee in the Excutive Office of the President who is not subordinate to the head of an agency in that Office, and a full-time member of a committee, board, or commission appointed by the President.

'As used in § 0.735-28, the term "employee", except as otherwise indicated, includes regular Government employees, special Government employees, and members of the Uniformed Services and employees of other Government agencies assigned or detailed to the AEC.

(3) All consultants (including advisers and experts) (see AEC Manual Chapter 4139) and special Government employees. (A special Government employee who is not a consultant is not required to submit a statement of employment and financial interests when the operating (appointing) official finds that the duties of the position held by the 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 this purpose, "consultant" and "expert" have the meaning given those terms by Chapter 304 of the Federal Personnel Manual but do not include a physician, dentist, or allied medical specialist whose services are procured to provide care and service to the patients.)

(b) Annex B. (1) Annex B to this part shall be maintained and changes therein made by the Atomic Energy Commission in accordance with the criteria set forth in Annex C to this part.

(2) Heads of Divisions and Offices, Headquarters, and Managers of Field Offices shall, in conformity with the above referenced criteria, recommend changes in Annex B to the Commission, the General Manager, or the Director of Regulation, as appropriate, for approval.

(3) Incumbents of positions added to Annex B shall become subject to the reporting requirements of this part upon receipt of notification as to same, pursuant to paragraph (c) of this section. Annex B shall be republished to reflect changes in the list.

(c) Notice to employees of time and place to submit statements. Regular Government employees required to submit statements shall be notified in writing of that fact by their respective reviewing officials (see paragraph (h)), or by persons designated by them. The notice shall be accompanied by three copies of the statement form. By copy of the notification, the counselor or appropriate deputy counselor shall be informed by reviewing officials of those employees required to submit statements. Each employee notified hereunder shall submit his statement to his reviewing official not later than:

(1) 90 days after the effective date of the regulations in this part if employed on or before that effective date; or

(2) 30 days after his entrance on duty but not earlier than 90 days after the effective date of the regulations in this part, if appointed after that effective date.

Statements of special Government employees other than consultants (including experts and advisers) shall be submitted in accordance with the foregoing. Notice to such individuals shall also be in accordance with the foregoing. Statements of consultants (including experts and advisers) shall be submitted prior to appointment, and notice to same shall be in accordance with AEC Manual Chapter 4139.

(d) Preparation of statement. Statements shall be prepared in accordance with the following:

(1) Form and content of statement. The forms prescribed by AEC are: Regular Government employees-Form AEC269.

Consultants (including experts and advisers) Form AEC-443.

Special Government employees (other than consultants) Form AEC-443 (excluding items 2-11).

(2) Interests of employee's relatives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this subparagraph, "member of an employee's immediate household" means those blood relations who are full-time residents of the employee's household.

(3) Information not known by employees. If any information required to be included on the statement 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, and shall report such request in Part IV of Form AEC-269 or item 16b. of Form AEC-443.

(4) Information not required to be submitted. This section does not require an employee to submit on a statement or supplementary statement the following:

(i) 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 organiza

tion or a similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of 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.

(ii) Precise amounts of financial interests, indebtedness, or value of real property. The employee may, however, at a later time be required to reveal precise amounts if the AEC needs that information in order to carry out its responsibilities under applicable laws and regulations.

(iii) Remote or inconsequential financial interests, as set forth in § 0.73521(c).

(iv) For special Government employees: Those financial interests which are determined by the official responsible for such employee's appointment as not to be related either directly or indirectly to the duties and responsibilities of said employee.

(5) Supplementary statements. Changes in, or additions to, the information contained in a regular Government employee's statement shall be reported by the employee in a supplementary statement as of June 30 each year, filled within 10 days thereof. Changes in, or additions to, the information contained i.1 a special Government employee's statement shall be reported by the special Government employee in a supplementary statement within 10 days following the end of the calendar quarter in which the changes occur. Quarters end March 31, June 30, September 30, and December 31. The forms prescribed in subparagraph (1) of this paragraph shall be used for this purpose and plainly marked "Supplementary". The changes and additions shall be identified in terms of the specific part(s) of the statement being modified. All changes or additions occurring during the reporting period are to be reported, not merely employment and financial interests status as of the reporting date. If there are no changes in or additions to a special Government employee's statement, a negative quarterly report is not required. However,

for the purpose of annual review, a supplementary statement by regular and special Government employees, negative or otherwise, is required as of June 30 of each year. The employee shall submit his supplementary statement to the official who would be the recipient of an initial statement from the employee, as identified in paragraph (h) of this section. Notwithstanding the filing of the report(s) required by this section, 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 conflicts-of-interest provisions of section 200 of title 18, United States Code, or this Part 0.

(e) Reviewing statements and reportin conflicts of interest. (1) The employee shall prepare the statement in triplicate, retain one copy, and submit two copies to the appropriate reviewer (see paragraph (h) of this section).

(2) The reviewer of the statement shall assess it for conflicts or the appearance of conflicts of interests in the context of the employee's assigned duties and responsibilities in AEC.

(3) If the reviewer desires advice and guidance, he may discuss the statement with the counselor or appropriate deputy counselor.

(4) The reviewer shall discuss with the employee and point out any aspects of the statement which give rise, in the reviewer's opinion, to questions of conflict or of appearance of conflict. (The reviewer shall not take, or direct the employee to take, any action with respect to such conflict without first seeking the advice of the counselor or appropriate deputy counselor.)

(5) The reviewer shall in all cases record his opinion as to the presence or absence of a conflict on both copies of the statement, and forward same to the AEC counselor or deputy counselor, as appropriate.

(6) The AEC counselor or deputy counselor shall review the statement, and discuss any questions with the reviewer and/or employee.

(7) If the AEC counselor or deputy counselor believes that the statement evidences no question of conflict of interest, he shall record his opinion on both copies of the statement, and notify the reviewer.

(8) If the AEC counselor or deputy counselor believes there is a question of conflict of interest, he shall return the statement to the reviewer with his opinion recorded thereon. (The counselor or deputy counselor shall make his services available to the reviewer and employee involved to assist in effecting a resolution of any conflict or appearance of conflict.) The reviewer shall report to the counselor or deputy counselor the results of endeavors to effect resolution of the conflict at the employee-reviewer level, which results shall be recorded on the employee's statement and submitted to the counselor or deputy counselor for review and approval.

(9) When a statement submitted or information from other sources indicates a conflict between the interests of an employee and the performance of his services for the AEC and when the conflict or appearance of conflict is not resolved at a lower level in the AEC, the information concerning the conflict or appearance of conflict shall be reported to the General Manager, or Director of Regulation, as appropriate, through the counselor. The employee concerned shall be provided an opportunity to explain the conflict or appearance of conflict.

(10) When, after consideration of the explanation of the employee provided for in subparagraph (9) of this paragraph, the General Manager or Director of Regulation decides that remedial action is required, he shall take immediate action to end the conflict or appearance of conflict of interest. Remedial action may include, but is not limited to:

(i) Changes in assigned duties; (ii) Divestment by the employee of his conflicting interest;

(iii) Disciplinary action; or

(iv) Disqualification for a particular assignment.

Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations. Disciplinary remedial action with respect to a member of the Uniformed Services or an employee of another Government agency assigned or detailed to the AEC shall be effected only by the parent military service or employing agency.

(11) Upon completion of processing, both AEC copies of statements shall be