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Sec. 1506.702 Time and place for submission of
confidential statements. 1506.703 Custody and review of confiden
tial statements; remedial action. AUTHORITY: E.O. 11222, 3 CFR, 1964-1965 Comp., p. 306; E.O. 12142, 44 FR 36927; 5 CFR 735.104; Pub. L. 95-521, as amended by Pub. L. 96-19.
SOURCE: 45 FR 60371, Sept. 11, 1980, unless otherwise noted.
Subpart A-General Provisions; Notice to Employees; Advisory
consideration or as a fee for an appearance, speech, or article.
(c) "Person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other group, organization or institution.
(d) “Special Government employee" means an officer or employee of the OFI who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed 130 days during any period of 365 consecutive days, temporary duties either on a full-time or intermittent basis.
(e) “Project sponsor" means one of the persons designated to construct and operate a portion of the Alaska Natural Gas Transportation system.
(f) “Logistics agreement” means an agreement negotiated with a project sponsor governing the provision to OFI field employees of food, lodging, transportation, and medical and office facilities by the project sponsor. Logistics agreements are entered into because of the scarcity of such facilities in remote areas along the project route.
$ 1506.101 Purpose.
It is the purpose of these regulations to set high ethical standards of conduct for employees of the Office of the Federal Inspector (OFI). The OFI is a unique agency in a number of conduct-related ways, stemming mainly from its character as a project-specific agency. The OFI is charged with expediting the regulatory processes involved in the construction of a single pipeline system designed to transport Alaska Natural Gas to the contiguous states. Thus, OFI employees deal closely with the sponsors of, and governmental bodies involved in, just one project. On the first anniversary of the completion of the project, the OFI will cease to exist. These regulations reflect the unique charter of this proj. ect-specific agency. $ 1506.102 Authority.
These regulations are promulgated pursuant to Executive Orders 11222, 11590 and 12142, to section 7(a)(5) of the Alaska Natural Gas Transportation Act, to the Ethics in Government Act of 1978, and to implementing regulations of the Office of Government Ethics (OGE).
$ 1506.104 Coverage.
(a) The provisions of Subpart A of this part apply to all regular employees and all special Government employees.
(b) The provisions of Subpart B of this part apply to all regular employ
8 1506.103 Definitions.
In these regulations:
(a) “Employee" means an officer or employee of the Office of the Federal Inspector for the Alaska Natural Gas Transportation System.
(b) “Honorarium” means a payment of money or anything of value received by an officer or employee of the Federal Government, if accepted as
(C) The provisions of Subpart C of this part apply to all senior Executive Service employees, both special and regular, and to the Federal Inspector.
(d) The provisions of Subpart D of this part apply to those regular employees who meet the criteria set forth in the first section of that subpart, $ 1506.401.
(e) The provisions of Subpart E of this part apply to all special Government employees.
(f) The provisions of Subpart F of this part apply to special Government employees who are paid at a rate equivalent to GS-16 or above.
(g) The provisions of Subpart G of this part apply to those special Government employees who meet the cri
teria set forth in the first section of
Subpart B-Rules of Conduct for that subpart, $ 1506.701.
Employees 8 1506.105 Notice to employees. (a) Each employee and special Gov
8 1506.201 Generally prohibited conduct. ernment employee shall be furnished An employee shall avoid any action a copy of these regulations within 90 which might result in or create the apdays of their effective date.
pearance of: (b) Each new employee and special (a) Using public office for private Government employee shall be fur- gain; nished a copy of these regulations at (b) Giving preferential treatment to the time of his or her entrance on
any person; duty.
(c) Impeding Government efficiency (c) Thereafter, each employee and
or economy; special Government employee shall be
(d) Losing complete independence or reminded of these regulations once a
impartiality; year and shall be informed on a timely
(e) Making a Government decision basis of any changes in these regula
outside official channels; or tions.
(f) Affecting adversely the confi(d) The agency ethics officers shall
dence of the public in the integrity of have copies of all pertinent laws, ex
the Government. ecutive orders, OFI regulations and OGE regulations available for review
8 1506.202 Acceptance and solicitation of by employees and special Government
gifts, entertainment, and favors. employees.
(a) Apart from the exceptions listed $ 1506.106 Interpretation and advisory in paragraph (b) of this section, an service.
employee shall neither solicit nor (a) There shall be an advisory serv
accept any gift, gratuity, favor, enterice which will furnish interpretations
tainment, loan, or any thing of mone
tary value from a person who: and advice to employees and to special Government employees on questions
(1) Has, or is seeking to obtain, conwhich they may have concerning these
tractual business or financial relations
with the OFI; regulations. (d) The General Counsel of the OFI
(2) Is regulated by the OFI; or shall be the Designated Agency Ethics
(3) Has interests that may be subOfficer (ethics officer). The ethics of
stantially affected by the performance ficer shall coordinate the agency's
of the employee's official duty. counseling and interpretation services (b) Exceptions to the prohibitions of and serve as the OFI designee to the
paragraph (a) of this section are: OGE on appropriate matters.
(1) An employee may accept food (c) The Federal Inspector and the and refreshments of nominal value on General Counsel shall appoint such infrequent occasions in the ordinary deputy ethics officers as they deem course of a luncheon or dinner meetnecessary.
ing when, and only when, it is imprac(d) Each employee and special Gov- ticable to pay for the food or refreshernment employee shall be informed ments, and of the availability of the advisory serv- (2) An employee may accept unsoliice within 90 days after these regula- cited promotional materials, such as tions become effective. New employ: pens, pencils, note pads, and calendars ees, both special and regular, shall be which are of nominal value. informed about this service upon en- (C) An employee shall not solicit a trance on duty.
contribution from another employee (e) Any employee or special Govern- for a gift to an official superior, make ment employee who has a question a donation as a gift to an official supeabout the application of these regula- rior, or accept a gift from an employee tions has a duty to consult the ethics receiving less pay than himself. Howofficer or deputy officer concerning ever, this paragraph does not prohibit the question.
a voluntary gift of nominal value on a
8 1506.204 OFI's reimbursement of project
sponsors for logistical support. (a) Because of the limited travel, lodging, medical, and office facilities along the route of the project in Alaska, employees in the field will be relying upon the logistical support of the project sponsor. Normally, all logistical support provided by the project sponsor will be provided in accordance with the “logistics support agreement” between the sponsor and the OFI. Under the terms of this agreement, OFI will reimburse the sponsor for this support.
(b) If it is necessary for an employee to rely upon logistic support of the sponsor or other person which is not within the scope of the “logistics support agreement,” the employee shall notify the ethics officer or the Federal Inspector as soon as practicable.
(c) The employee may accept the logistics support which is beyond the scope of the “logistics support agreement” only if the Federal Inspector determines that such acceptance facilitates the conduct of official business and is in the best interest of the Government.
8 1506.203 Acceptance of reimbursement
for official travel. (a) Subject to the exceptions listed in paragraph (b) of this section, an employee may be reimbursed for his official travel expenses only by the OFI.
(b) There are the following statutory exceptions to paragraph (a) of this section:
(1) Contributions and awards incident to training in non-Government facilities, and payment of travel, subsistence, and other expenses incident to attendance at meetings, may be made to and accepted by an employee, without regard to section 209 of title 18, if the contributions, awards, and payments are made by an organization determined by the Secretary of the Treasury to be an organization described by section 501(c)(3) of title 26 which is exempt from taxation under section 501(a) of title 26. (5 U.S.C. 4111).
(2) An employee may accept reimbursement of expenses related to being detailed to State and local governments or to universities (5 U.S.C. 3371).
(3) If and when the Secretary of State assigns an employee to a foreign government, the employee may accept, with the approval of the OFI, reimbursement for his or her pay and allowances (22 U.S.C. 1451).
(4) If and when an employee is detailed to a public international organization in which the United States participates, the OFI may accept reimbursement for the detailed employee's pay, travel expenses, and allowances (5 U.S.C. 3343).
8 1506.205 Outside employment.
(a) An employee shall not engage in outside employment or other outside activity which is incompatible with the full and proper discharge of the duties and responsibilities of his or her Government employment. Incompatible activities include but are not limited to:
(1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, conflicts of interest; or
(2) Outside employment which tends to impair his or her mental or physical capacity to perform Government duties and responsibilities in an acceptable manner.
(b) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209).
(c) Employees are encouraged to engage in teaching, lecturing, and writing which is not prohibited by law, Executive Order, OGE regulations, or this part. However, an employee shall not, either for or without compensation, engage in teaching, lecturing, or writing which depends on information obtained as a result of his or her Government employment, except when that information has been made available to the general public or will be made available on request. An employee also shall not accept an honorarium for any consultation, writing, speech, lecture, or appearance, the subject matter of which draws substantially on official data or ideas which have not become part of the body of public information.
(d) The Federal Inspector may not have, in any calendar year, outside earned income which is in excess of fifteen percent of his Government compensation (Pub. L. 95-521, amended, section 210).
(e) Any employee engaged in outside paid employment on a substantially regular basis shall notify his or her supervisor, who in turn will evaluate the continuation of such outside employment relative to paragraph (a) of this section.
$ 1506.207 Prohibited financial interests.
(a) No employee shall have a financial interest that conflicts substantially, or appears to conflict substantially, with his or her Government duties and responsibilities.
(b) As applied, paragraph (a) of this section requires that no employee shall own securities of any company (or its parent or affiliate):
(1) Which initially owns and produces gas to be transported through the Alaska Natural Gas Transportation System (the system);
(2) Which "first purchases” gas to be transported through the system;
(3) Which is involved in the ownership of the system; or
(4) Which is very substantially involved by contract in the construction or design of the system.
(c) A list of the companies whose securities are prohibited under the criteria of paragraph (b) of this section shall be issued to each employee upon entrance on duty. A list of these companies shall be distributed to all employees annually and whenever change in circumstances requires modification of the list.
(d) In addition to the specific companies (meeting the criteria in paragraph (b) of this section and listed according to paragraph (c) of this section), there are other categories of companies to which the prohibition in paragraph (a) of this section may or may not apply. Employees should consider the following factors:
(1) Ownership of the securities of other oil and gas companies is not at present prohibited. Employees are advised, however, that, if such other companies become involved in either the system or ownership of gas to be transported through the system, ownership of the securities of those companies will, at that time, become prohibited.
(2) As a general rule, the securities of those companies supplying goods or services for the planning or construction of the system are not prohibited from ownership by employees. Nevertheless, certain of those companies could supply such a large share of goods or services for the system that
8 1506.206 Acceptance of honoraria.
(a) No employee shall accept an honorarium for any consultation, writing, speech, lecture, or appearance, the subject matter of which is devoted substantially to the responsibilities, programs, or operations of the OFI.
(b) No employee shall accept an honorarium for any consultation, writing, speech, lecture, or appearance which he performs while on duty.
(c) No employee shall accept an honorarium of more than $2,000 for any appearance, speech, or article, or accept honoraria aggregating more than $25,000 in any calendar year (2 U.S.C. 441i).
(d) No employee shall accept an honorarium from a person who:
(1) Has, or is seeking to obtain, contractual or other business or financial relations with the OFI;
(2) Conducts operations or activities which are regulated by the OFI; or
(3) Has interests which may be substantially affected by the performance or nonperformance of his official duty.
the general public or would not be made available to the public on request.
employees also may not own their securities.
(3) Employees shall not own the securities of companies described in this paragraph only if and when a specific company is included in the prohibited securities list provided in accordance with paragraph (c) of this section.
(e) If employees have any questions or doubts regarding the ownership of securities, they should contact the ethics officer for advice.
(f) An employee may seek a waiver of the prohibitions imposed by paragraphs (a) and (b) of this section for a particular financial interest. In order to obtain such a waiver, an employee must fully disclose his financial interest to the ethics officer and to the Federal Inspector. If the ethics officer and the Federal Inspector determine that the disclosed financial interest is not so substantial as to be likely to affect the integrity of the employee's Government services, they may grant a waiver.
(g) The prohibitions of paragraphs (a) and (b) of this section do not apply to mutual funds (unless investing primarily in oil and gas securities) and investments in mutual savings banks. Further, if an employee has continued to participate in a bona fide pension, retirement, group life, health, or accident insurance plan or other employee welfare or benefit plan that is maintained by a business or nonprofit organization or which he is a former employee, that financial interest is exempted from the prohibitions of paragraphs (a) and (b) of this section, except when the welfare or benefit plan is a profit-sharing or stock-bonus plan.
$ 1506.210 Indebtedness.
An employee shall pay each just financial obligation in a proper and timely manner, especially one imposed by law, such as Federal, State or local taxes. For the purpose of this section, a "just financial obligation" means one acknowledged by the employee or reduced to judgment by a court or one imposed by law, and “in a proper and timely manner” means in a manner which the agency determines does not, under the circumstances, reflect adversely on the Government as the employee's employer. In the event of dispute between an employee and an alleged creditor, this section does not require the OFI to determine the validity or amount of the disputed debt.
§ 1506.211 Gambling, betting, and lotter
No employee shall participate in any gambling activity while on Government property or while on duty for the Government. However, organizations composed of Federal employees may conduct fund-raising activities in accordance with procedures approved by the Federal Inspector (Executive Order 10927).
$ 1506.212 General conduct prejudicial to
the Government. No employee shall engage in criminal, infamous, dishonest or disgraceful conduct, or other conduct prejudicial to the government.
$ 1506.208 Use of Government property.
No employee shall use, or allow the use of, government property for any activity which is not officially approved. An employee has a positive duty to protect and conserve Government property which has been issued or entrusted to him.
8 1506.213 Miscellaneous statutory provi.
sions. Each employee shall acquaint himself with the following statutory provisions which relate to Federal employee conduct. Copies, explanations, and interpretations of these provisions may be obtained from the ethics officer or his deputy.
(a) House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the “Code of Ethics for Government Service."
(b) Chapter 11 of Title 18, United States Code, relating to bribery, graft,
8 1506.209 Misuse of information.
No employee shall use, or allow the use of, official information obtained through his Government employment which has not been made available to