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 prohibited. 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. § 1001.735-409 Review of statements. (a) The Executive Director, the Deputy Executive Director, the Assistant to the Chairman, the General Counsel, the Deputy General Counsel, and the Chairman of the Board of Appeals and Review shall submit their statements of employment and financial interests, and their supplementary statements, directly to the Commission for review. (b) Bureau directors, regional directors, and the heads of staff offices who report to the Executive Director shall submit their statements of employment and financial interests, and their supplementary statements, directly to the Executive Director for review. (c) All other employees covered under § 1001.735-401 shall submit their statements of employment and financial interests, and their supplementary statements, directly to the Director, Bureau of Management Services, for review. (d) When a statement submitted under paragraph (b) or (c) of this section indicates a conflict between the interests of an employee and the performance of his services for the Government, and when the conflict or appearance of conflict cannot be resolved by the reviewing official, he shall report the information concerning the conflict or appearance of conflict to the Chairman through the counselor for the Commission. The employee concerned shall be given an opportunity to explain the conflict or appearance of conflict before remedial action is initiated. § 1001.735-410 Confidentiality of state ments. 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 Chairman of the Commission. § 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 Personnel Division. The statement is filed with the Director, Bureau of Management Services, and is 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 Chairman of the Commission 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 consult ant 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. Special Government employees. Disqualification because of private financial interests. 1300.735-10 Additional prohibitions-regular Government employees. Additional prohibitions-special Government employees. 1300.735-12 Exemptions and exceptions 1300.735-11 1300.735-25 Reporting of employment and financial interests special Government employees. 1300.735-26 Reviewing statements of financial interests. Appendix A. AUTHORITY: The provisions of this Part 1300 issued under E.O. 11222; 3 CFR, 19641965 Comp.; 5 CFR 735.104. SOURCE: The provisions of this Part 1300 appear at 33 F.R. 2484, Feb. 1, 1968; 33 F.R. 10785, July 30, 1968; 35 F.R. 19232, Dec. 19, 1970, unless otherwise noted. § 1300.735-1 Purpose. (a) The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by regular employees and special Government employees is essential to assure the proper performance of Government business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interest on the part of regular employees and special Government employees through informed judgment is indispensable to the maintenance of these standards. (b) This part is intended to foster the foregoing concepts. It is issued in compliance with the requirements of Executive Order No. 11222 of May 8, 1965, and is based upon the provisions of that order, the regulations of the Civil Service Commission issued thereunder (Part 735 of this title), and the statutes cited elsewhere in this part. 135 F.R. 19232, Dec. 19, 1970. (a) For the purposes of this part, the terms "employee," "regular employee,' and "regular Government employee" mean any officer or employee of the Office of Management and Budget except a special Government employee. (b) The term "special Government employee" means an officer or employee who is retained, designated, appointed, or employed by the Office of Management and Budget to perform, with or without compensation, for not more than 130 days during any period of 365 consecutive days temporary duties either on a full-time or intermittent basis. (c) The term "person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution. § 1300.735-3 ployees. Special Government em (a) All employees shall conduct themselves on the job in such a manner that the work of the Office is efficiently accomplished and courtesy, consideration, and promptness are observed in dealings with the Congress, the public, and other governmental agencies. (b) All employees shall conduct themselves off the job in such a manner as not to reflect adversely upon the Office or the Federal service. (c) In all circumstances employees shall conduct themselves so as to exemplify the highest standards of integrity. An employee shall avoid any action, whether or not specifically prohibited by this part, which might result in, or create the appearance of: (1) Using public office for private gain; (2) Giving preferential treatment to any person; (3) Impeding Government efficiency or economy; (4) Losing complete independence or impartiality; (5) Making a Government decision outside official channels; or (6) Affecting adversely the confidence of the public in the integrity of the Government. § 1300.735-5 Responsibilities of employees. (a) The Director of Administration shall distribute copies of this part to each regular employee and special Government employee within 30 days after the effective date thereof. In the case of a new regular employee or special Government employee entering on duty after the date of such distribution, a copy shall be furnished at the time of his entrance on duty. All regular and special Government employees shall familiarize themselves with the contents of this part. (b) Copies of the Executive order, regulations, and statutes referred to in § 1300.735-1, together with various explanatory materials, are available for inspection in the Personnel Office at any time during regular business hours. Employees are encouraged to consult these basic materials in any case of doubt as to the proper application or interpretation of the provisions of this part. (c) Attention of all employees is directed to House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the "Code of Ethics for Government Service", which is attached to this part as appendix A. § 1300.735-6 Interpretation and advisory service; counseling. (a) The Director shall appoint a Counselor for the Office who shall serve also as the Office's designee to the Civil Service Commission on matters covered by this part. The Director may, in his discretion, appoint one or more deputy counselors to serve under the direction of the Counselor. (b) The Director of Administration shall notify all employees and special Government employees of the availability of counseling services, and of how and where such services are available. Such notification shall be made within 90 days after the effective date of this part, and periodically thereafter. In the case of a new employee or special Government employee appointed after the date of such notification, notification shall be given at the time of his entrance on duty. (a) A conflict of interest may exist whenever an employee has a substantial personal or private interest in a matter which involves his duties and responsibilities as an employee. The maintenance of public confidence in Government clearly demands that an employee take no action which would constitute the use of his official position to advance his personal or private interests. It is equally important that each employee avoid becoming involved in situations which present the possibility, or even the appearance, that his official position might be used to his private advantage. (b) Neither the pertinent statutes nor the standards of conduct prescribed in this part are to be regarded as entirely comprehensive. Each employee must, in each instance involving a personal or private interest in a matter which also involves his duties and responsibilities as an employee, make certain that his actions do not have the effect or the appearance of the use of his official position for the furtherance of his own interests or those of his family or his business associates. (c) The principal statutory provisions relating to bribery, graft, and conflicts of interest are contained in Chapter 11 of the Criminal Code, 18 U.S.C. 201-224. Severe penalties are provided for violations, including variously fine, imprisonment, dismissal from office, and disqualification from holding any office of honor, trust, or profit under the United States. § 1300.735-9 Disqualification because of private financial interests. (a) Unless authorized to do so as provided hereafter in this section, no employee shall participate personally and substantially as a Government employee in a particular matter in which, to his knowledge, he has a financial interest. (18 U.S.C. 208). (1) For the purposes of this section(i) An employee participates personally and substantially in a particular matter through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise; (ii) A particular matter is a judicial or other proceeding, application, request for ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter; and (iii) A financial interest is the interest of the employee himself or 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 concerning prospective employment. (b) An employee who has a financial interest (other than a financial interest exempted under paragraph (c) of this section) in a particular matter which is within the scope of his official duties shall make a full disclosure of that interest to the Director of Administration in writing. He shall not participate in such matter unless and until he receives a written determination by the Director pursuant to section 208 of Title 18, United States Code, that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect of him. If the Director does not make such a determination, he shall direct such remedial action as may be appropriate under the provisions of § 1300.735-26. (c) The financial interests described in this paragraph are hereby exempted, pursuant to the provisions of section 208 of Title 18, United States Code, from the restrictions of paragraph (a) of this section and of section 208 of Title 18 as being too remote or inconsequential to affect the integrity of an employee's services in a matter: (1) Stocks, bonds, or policies in a mutual fund, investment company, bank, or insurance company, provided that in the case of a mutual fund, investment company, or bank, the fair value of such stock or bond holding does not exceed 1 percent of the value of the reported assets of the mutual fund, investment company, or bank. In the case of a |