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ing a date by which such action should be taken.
(c) Remedial steps may include:
(1) Divestiture of a conflicting interest,
(3) Establishment of a qualified blind trust, or
(4) Request for an exemption under 18 U.S.C. 208(b).
(d) If the employee complies with the suggested remedial steps, the ethics officer shall sign and date the report.
from, a statement, except to carry out the purposes of these regulations. The OFI will not disclose information from a statement, except as the Office of Government Ethics or the Federal Inspector may determine for good cause shown. $ 1506.408 Employee's complaint on filing.
Any employee who feels that he or she has been unjustly required to file a confidential statement shall be af. forded an opportunity for review of that requirement through the OFI's grievance procedure. Any employee who wishes to be afforded that opportunity shall consult the ethics officer concerning the proper procedure. $ 1506.409 Review of reports and remedial
action. (a) The ethics officer shall review each confidential statement of employment and financial interests. Upon determining that the employee is in compliance with applicable laws and regulations, the ethics officer shall sign and date the report.
(b) If the ethics officer believes that additional information is necessary, such information shall be requested. The employee of whom this request is made shall be afforded a reasonable opportunity to respond.
$ 1506.411 Procedure upon employee's re
fusal to comply. (a) If the employee does not comply with the suggested remedial steps, the ethics officer shall refer the matter for appropriate action to the Federal Inspector.
(b) Appropriate action may include:
(1) Any of the remedial steps listed in paragraph (c) of $ 1506.410,
(c) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with applicable law.
Subpart E-Rules of Conduct for Special Government Employees
$ 1506.501 Applicability.
The provisions of this subpart apply to all special Government employees, as defined in $ 1506.103 of these regulations.
$ 1506.410 Procedure after review of addi.
tional information. (a) If, after reviewing the additional information, the ethics officer concludes that the employee is in compliance with applicable law, the ethics officer shall sign and date the report and so notify the employee.
(b) If, after reviewing the additional information, the ethics officer concludes that the employee is not in compliance with applicable law, the ethics officer shall:
(1) Notify the employee of that opinion,
(2) Afford the employee an opportunity for personal consultation, if practicable,
(3) Determine what remedial action should be taken to bring the employee into compliance, and
(4) Notify the employee in writing of the remedial action required, indicat
§ 1506.502 Use of Government employ
ment. No special Government employee shall use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for him or herself or another person, particularly one with whom he or she has family, business, or financial ties.
$ 1506.503 Use of inside information.
(a) No special Government employee shall, either by direct action on his or her part or by counsel, recommendation, or suggestion to another person,
use inside information, obtained as a or dinner meeting when, and only result of his or her Government em- when, it is impracticable to pay for the ployment, for private gain for him or food or refreshments (that is, when herself or another person, particularly the special Government employee is one with whom he or she has family, unable to ascertain either the price of business, or financial ties. For the pur- the food or refreshments or an appropose of this section, “inside informa- priate person to pay for the food or retion” means information, obtained freshments), and under Government authority, which (2) A special Government employee has not become part of the body of may accept unsolicited promotional public information.
materials, such as pens, pencils, note (b) No special Government employee pads, and calendars which are of nomishall, either for or without compensa- nal value. tion, engage in teaching, lecturing, or writing that depends on information 8 1506.506 Prohibited financial interests. obtained as a result of his or her OFI
(a) No special Government employee employment, except when that infor
shall have a financial interest that mation has been made available to the
conflicts substantially with his or her general public or will be made availa
Government duties and responsibilble on request, or when the agency
ities. head gives written authorization for use of nonpublic information on the
(b) As applied, paragraph (a) of this
section requires that no special Govbasis that the use is in the public in
ernment employee shall own securities terest.
of any company (or its parent or affili8 1506.504 Coercion.
(1) Which initially owns and proNo special Government employee shall use his or her Government em
duces gas to be transported through
the Alaska Natural Gas Transportaployment to coerce, or give the ap
tion System (the system); pearance of coercing, a person to provide financial benefit to him or herself
(2) Which first purchases gas to be or another person, particularly one
transported through the system; with whom he or she has family, busi
(3) Which is involved in the ownerness, or financial ties.
ship of the system; or
(4) Which is very substantially in8 1506.505 Gifts, entertainment, and volved by contract in the construction favors.
or the design of the system. (a) Apart from the exceptions listed
(c) A list of the companies whose sein paragraph (b) of this section, no
curities are prohibited under the critespecial Government employee shall so
ria of paragraph (b) of this section licit or accept for him or herself or shall be issued to each special Governanyone else any gift, gratuity, favor,
ment employee upon entrance entertainment, loan,
duty. A list of these companies shall thing of monetary value from a person
be distributed to all special Governwho:
ment employees annually and when(1) Has, or is seeking to obtain, con
ever change in circumstances requires tractual business or financial relations
modification of the list. with OFI,
(d) In addition to the specific compa(2) Is regulated by OFI, or
nies (meeting the criteria in paragraph (3) Has interests that may be sub- (b) of this section and listed according stantially affected by the special Gov- to paragraph (c) of this section), there ernment employee's performance of are other categories of companies to his Government duty.
which the prohibition in paragraph (a) (b) Exceptions to the prohibitions of of this section may or may not apply. paragraph (a) of this section are:
Special Government employees should (1) A special Government employee consider the following factors: may accept food and refreshments of (1) Ownership of the securities of nominal value on infrequent occasions other oil and gas companies is not at in the ordinary course of a luncheon present prohibited. Special Govern
ment employees are advised, however, tion, except when the welfare or benethat if such other companies become fit plan is a profit-sharing or stockinvolved in either the system or own- bonus plan. ership of gas to be transported through the system, ownership of the 8 1506.507 Miscellaneous statutory provisecurities of those companies will, at
sions. that time, become prohibited.
Each special Government employee (2) As a general rule, the securities
shall acquaint him or herself with the of those companies supplying goods or
following statutory provisions which services for the planning or construc
relate to Federal employee conduct. tion of the system are not prohibited
Copies, explanations, and interpretafrom ownership by special Govern- tions of these provisions may be obment employees. Nevertheless, certain
tained from the ethics officer or his of these companies could supply such
deputy. a large share of goods or services for
(a) House Concurrent Resolution the system that special Government
175, 85th Congress, 2d session, 72 Stat. employees also may not own their se
B12, the “Code of Ethics for Governcurities.
ment Service". (3) Special Government employees
(b) Chapter 11 of Title 18, United shall not own the securities of compa
States Code, relating to bribery, graft, nies described in this paragraph only
and conflicts of interest, as appropriif and when a specific company is in
ate to the special Government employcluded in the prohibited securities list
ee concerned. provided in accordance with para
(c) The prohibition against lobbying graph (c) of this section.
with appropriated funds (18 U.S.C. (e) If special Government employees
1913). have any questions or doubts regard
(d) The prohibition against disloyaling the ownership of securities, they should contact the ethics officer for
ty and striking (5 U.S.C. 7311, 18 advice.
U.S.C. 1918). (f) A special Government employee
(e) The prohibitions against (1) the may obtain a waiver of the prohibi
disclosure of classified information (18 tions, imposed by paragraphs (a) and
U.S.C. 798, 50 U.S.C. 783); and (2) the (b) of this section, for a particular fi
disclosure of confidential information
(18 U.S.C. 1905). nancial interest. In order to obtain a waiver, a special Government employ
(f) The provision relating to the ha
bitual use of intoxicants to excess (5 ee must fully disclose his financial interest to the ethics officer and to the
U.S.C. 7352). Federal Inspector. If the ethics officer
(g) The prohibition against the and the Federal Inspector determine
misuse of a Government vehicle (31 that the disclosed financial interest is
U.S.C. 638a(c)). not so substantial as to be likely to
(h) The prohibition against the affect the integrity of the special Gov
misuse of the franking privilege (18 ernment employee's services, they may
U.S.C. 1719). grant a waiver.
(i) The prohibition against the use (g) The prohibitions of paragraphs
of deceit in an examination or person(a) and (b) of this section do not apply
nel action in connection with Governto mutual funds and investments in ment employment (18 U.S.C. 1917). mutual savings banks. Further, if a (j) The prohibition against fraud or special Government employee has con
false statements in a Government tinued to participate in a bona fide matter (18 U.S.C. 1001). pension, retirement, group life, health, (k) The prohibition against mutilator accident insurance plan or other ing or destroying a public record (18 employee welfare or benefit plan that U.S.C. 2071). is maintained by a business or non- (1) The prohibition against counterprofit organization of which he is a feiting and forging transportation reformer employee, that financial inter- quests (18 U.S.C. 508). est is exempted from the prohibitions (m) The prohibition against (1) emof paragraphs (a) and (b) of this sec- bezzlement of Government money or property (18 U.S.C. 641); (2) failure to the duties of his or her office or posiaccount for public money (18 U.S.C. tion for more than sixty days in a cal643); and (3) embezzlement of the endar year. money or property of another person (b) Notwithstanding paragraph (a) in the possession of an employee by of this section, a special Government reason of his employment (18 U.S.C. employee who is subject to public fi654).
nancial disclosure requirements and (n) The prohibition against unau- actually performs the duties of his or thorized use of documents relating to her position for more than sixty days claims from or by the Government (18 in a calendar year shall file a 278 form U.S.C. 285).
within fifteen days after the sixty-first (0) The prohibitions against certain day of such employment, unless expolitical activities in the "Hatch Act” cepted under $ 1506.604. (5 U.S.C. 7324-7327 and 18 U.S.C. 602, 603, 607, and 608).
$ 1506.604 Special waiver of public disclo(p) The prohibition against an em- sure requirement for special Governployee acting as the agent of a foreign ment employees. principal registered under the Foreign (a) In unusual circumstances, the DiAgents Registration Act (18 U.S.C. rector, Office of Government Ethics, 219).
may grant a request for a waiver of
any reporting requirement otherwise Subpart F-Public Financial Disclosure applicable for an individual who is rea
Requirements for Special Govern- sonably expected to perform, or has ment Employees.
performed, the duties of his of her
office or position for less than one 8 1506.601 Special Government employees hundred and thirty days in a calendar
subject to public financial disclosure year, but only if the Director deterrequirements.
mines that: Every special Government employee
(1) Such individual is a special Gov
ernment employee, whose position is classified at GS-16 or above or who is paid at an equiva
(2) Such individual is able to provide lent rate shall annually file a 278
services specially needed by the Govform, the public financial disclosure
(3) It is unlikely that the individual's
outside employment or financial inter8 1506.602 Applicability of subpart C to ests will create a conflict of interests, special Government employees.
(4) Public financial disclosure by All of the provisions in Subpart C,
such individual is not necessary under concerning public financial disclosure
the circumstances. by regular employees, shall apply
(b) In requesting a waiver pursuant equally to special Government em
to paragraph (a) of this section, the ployees. Therefore, every special Gov
procedures of the OGE (5 CFR ernment employee who must file a
734.205) shall be followed. public financial disclosure statement should familiarize him or herself with that subpart and look to it for guid
Subpart G-Confidential Disclosure ance in meeting his or her public fi
By Special Government Employees nancial disclosure obligations.
8 1506.701 Special Government employees 8 1506.603 Exception for special Govern- required to submit confidential state
ment employees who are employed for ments of employment and financial inless than sixty days.
terests. (a) A special Government employee (a) Unless subject to the public fiwho must otherwise file a 278 form nancial disclosure requirements of may be excepted from this obligation Subpart E of this part or unless if, as determined by the ethics officer, exempted under paragraph (b) of this the special Government employee is section, every special Government emnot reasonably expected to perform ployee shall submit a confidential
employment of the special Government employee. Special Government employees shall keep their statements current throughout their employment with the agency by the submission of supplementary statements.
statement of employment and financial interests.
(b) The requirement of paragraph (a) of this section may be waived for a special Government employee who is neither a consultant nor an expert and whose duties are such that disclosure of interests is not necessary to protect Government integrity. For the purpose of this subsection, “consultant” and “expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual.
8 1506.703 Custody and review of confi
dential statements; remedial action. The confidential statements of employment and financial interests filed by special Government employees shall be kept in custody and reviewed in the same manner as are the confidential statements of regular employees. Special Government employees shall be afforded the same procedural safeguards as are regular employees in any remedial action taken against them.
$ 1506.702 Time and place for submission
of confidential statements. Confidential statements of employment and financial interests shall be submitted to the OFI ethics officer not later than the commencement of