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§ 2200.735-402b Employees not required to submit statements.

Employees in positions that meet the criteria in paragraph (b) of § 2200.735402 may be excluded from the reporting requirement when the Head of the Agency determines that:

(a) The duties of a position are such that the likelihood of the incumbent's involvement in a conflict-of-interest situation is remote;

(b) The duties of a position are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review over the incumbent or the inconsequential effect on the integrity of the Government; or

(c) The use of an existing or alternative procedure approved by the Civil Service Commission is adequate to prevent possible conflicts of interest. [32 F.R. 17574, Dec. 8, 1967]

§ 2200.735-403 Time and place for submission of employees' statements. Except as provided in § 2200.735-104, an employee required to submit a statement of employment and financial interests under this part shall submit that statement to the appropriate Division Head not later than:

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

(b) Thirty days after his entrance on duty, but not earlier than 90 days after the effective date, if appointed after that date.

§ 2200.735-404 Supplementary state

ments.

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 as of June 30, each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report 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 conflict-of-interest provisions of section 208 of Title 18, United States Code, or Subpart B of this part.

(32 F.R. 17574, Dec. 8, 1967]

§ 2200.735-405 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 section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household.

§ 2200.735-406 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.

§ 2200.735-407 Information prohibited.

This part 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.

§ 2200.735-408 Confidentiality of employees' statements.

The Agency shall hold each statement of employment and financial interests, and each supplementary statement, in confidence. To insure this confidentiality, the Head of the 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. The Agency may not disclose information from a statement except as the

Civil Service Commission or the Head of the Agency may determine for good cause shown.

[32 F.R. 17574, Dec. 8, 1967]

§ 2200.735-409 Effect of employees' statements on other requirements.

The statements of employment and flnancial 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.

§ 2200.735-410 Specific provisions of Agency regulations for special Government employees.

(a) Except as provided in paragraph (b) of this section or paragraph (d) of this section, special Government employees are required 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 Head of the Agency determines are

relevant in the light of the duties he is to perform.

(b) The Head of the Agency 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 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.

(c) 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 this part. Each special Government employee shall keep his statement current throughout his employment with the Agency by the submission of supplementary statements.

(d) A statement of employment and financial interests is not required under this part from a Board Member. Each Board Member who is subject to 3 CFR 100.735-31 is required to file a statement only if requested to do so by the Counsel to the President.

[31 F.R. 13787, Oct. 27, 1966, as amended at 32 F.R. 17574, Dec. 8, 1967]

66.005-72-25

Part

CHAPTER XIII-NATIONAL COMMISSION ON

PRODUCT SAFETY1

2300 Employee responsibilities and conduct.

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2300.735-108 2300.735-109

ployees.

2300.735-107 Statements of employment and financial interest. Supplementary statements. Commission regulations governing statements of employment and financial interest of special Government employees.

2300.735-110 Statutory and miscellaneous provisions.

AUTHORITY: The provisions of this Part 2300 issued under E.O. 11222; 3 CFR, 19641965 Comp.; 5 CFR 735.101 et seq.

SOURCE: The provisions of this Part 2300 appear at 34 F.R. 2479, Feb. 21, 1969, unless otherwise noted.

$2300.735-101 Adoption of Regulations.

Pursuant to 5 CFR 735.104(f), the National Commission on Product Safety (referred to hereinafter as the Commission) hereby adopts the following sections of Part 735 of Title 5, Code of Federal Regulations: §§ 735.101, 735.102, 735.201a, 735.202 (a), (d), (e), (f), 735.210, 735.303(a), 735.304,

735.302,

134 F.R. 2479, Feb. 21, 1969.

735.305(a), 735.403 (a), 735.404, 735.405, 735.407-735.411, 735.412 (b), and (d). These adopted sections are modified and supplemented as set forth in this part. § 2300.734-102 Review of statements of employment and financial interest.

Each statement of employment and financial interest submitted under this part shall be reviewed by the Executive Director of the Commission. When this review indicates a conflict between the interests of an employee or special Government employee of the Commission and the performance of his services for the Government, the Executive Director shall have the indicated conflict brought to the attention of the employee or special Government employee, grant the employee or special Government employee an opportunity to explain the indicated conflict, and attempt to resolve the indicated conflict. If the indicated conflict cannot be resolved, the Executive Director shall forward a written report on the indicated conflict to the Chairman of the Commission, through the counselor for the agency designated under 5 CFR 735.105(a), who shall take action pursuant to § 2300.735-103 as he deems appropriate.

§ 2300.735-103 Disciplinary and other remedial action.

An employee or special Government employee of the Commission who violates any of the regulations herein or those adopted under § 2300.735-101 may be disciplined. The disciplinary action may be in addition to any penalty prescribed by law for the violation. In addition to or in lieu of disciplinary action, remedial action to end conflicts or appearance of

conflicts of interest may include but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Government employee of his conflicting interest; or

(3) Disqualification for a particular assignment.

§ 2300.735-104 Gifts, entertainment, and favors.

The Commission authorizes the exceptions to 5 CFR 735.202(a) set forth in 5 CFR 735.202(b) (1)-(4). No other exceptions are authorized.

§ 2300.735-105 Outside employment and other activity.

(a) An employee of the Commission may engage in outside employment or other outside activity not incompatible with the full and proper discharge of the duties and responsibilities of his Government employment as set forth in § 735.203 of this title adopted by $2300.735-101. An employee who desires to engage in outside employment shall obtain approval in advance of such employment from the Executive Director of the Commission.

§ 2300.735-106 Specific provisions of Commission regulations governing special Government employees.

(a) Special Government employees of the Commission shall adhere to the standards of conduct applicable to employees as set forth in these regulations and adopted under § 2300.735-101, except that special Government employees need not obtain approval in advance of outside employment as required by 2300.735-105 hereof.

(b) Special Government employees of the Commission may teach, lecture, or write in a manner not inconsistent with 5 CFR 735.203(c).

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Notwithstanding the filing of the annual supplementary statement required by 5 CFR 735.406, 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 208 of title 18, United States Code, these regulations, or the regulations adopted under § 2300.735-101.

§ 2300.735-109 Commission regulations governing statements of employment and financial interest of special Government employees.

All special Government employees of the Commission are required to submit statements of employment and financial interest.

§ 2300.735-110 Statutory and miscellaneous provisions.

(a) Pursuant to Public Law 90-146 no employee or special Government employee of the Commission's staff shall disclose data or information relating to the business transactions, trade secrets, or names of customers of any person, corporation or organization that is received pursuant to the conduct of any study or investigation of this Commission.

(b) No employee or special Government employee shall disclose any information concerning the safety, hazards, or quality of products or procedures of any person, corporation, or organization which has been received in confidence pursuant to the conduct of any study or investigation of this Commission unless such information has been released officially to the public by the Commission or unless such release has been authorized by the Commission.

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