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Subpart D-Regulation

D-Regulation Governing Ethical and Other Conduct and Responsibilities of Special Government Employees

8 302.51 Use of Government employment.

A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

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U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

(g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(h) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a(c)).

(i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(j) The prohibition against interference with civil service examinations (18 U.S.C. 1917).

(k) The prohibition against fraud or false statement in Government matter (18 U.S.C. 1001).

(1) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(n) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(0) The prohibition against unauthorized use of documents relating to claims from or by the Government.

(p) The prohibition against proscribed olitical activities—in Subchapter III of Chapter 73 of Title 5, United States Code, and 18 U.S.C. 602, 603, 607, and 608.

(q) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

8 302.52 Use of inside information.

A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purposes of this paragraph, "inside information" means information obtained by reason of his Government employment which has not been made available to the general public.

302.53 Teaching, lecturing, and writing.

A special Government employee may, without prior approval, teach, lecture, or write in a manner not otherwise inconsistent with $ $ 302.32 and 302.38 of Subpart C of this regulation.

$ 302.54 Coercion.

A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.

Excerpts from the more important statutes of general applicability are quoted in Appendix A to Comptroller General's Order No. 1.21.

$ 302.55 Gifts, entertainment, and favors.

Except as provided in § 302.24 of Subpart C of this regulation (as in the case of employees), a special Government employee, while so employed or in connection with his employment, shall not receive or solicit, either for himself or another person, particularly one with whom he has family, busi

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matter is not one in which he has ever participated personally and substantially (18 U.S.C. 203, 205).

(b) A special Government employee shall not participate in his governmental capacity in any matter in which to his knowledge he, 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, has a financial interest (18 U.S.C. 208).

(c) After his Government employment has ended, a special Government employee is subject to the prohibition pertaining to a “former employee" in matters connected with his former duties (18 U.S.C. 202(a), 207).

(d) To the extent that the conflict of interest statutes apply to a special Government employee, they apply to his activities on all days during the period of his appointment to the Board, beginning with the date on which he takes an oath of office as a Government employee, whether he works on a full-time or intermittent basis. Similarly, the ethical standards prescribed in this subpart apply to the special Government employee during the full period of his appointment as an employee, and not merely on the days on which he performs services as an employee.

$ 302.56 Miscellaneous statutory provi.

sions. Each special Government employee shall acquaint himself with each statute that relates to his ethical and other conduct as a special Government employee of the Board and the Government with particular reference to the statutes cited in § 302.42 of Subpart C of this regulation and the following:

(a) A special Government employee may not, otherwise than as provided by law for the proper discharge of his official duties, receive or agree to receive, or solicit any compensation for any services by himself or another, and may not, except in the proper discharge of his duties, represent or assist anyone, with or without compensation, before department, agency, court, court-martial, officer, or any civil, military, or naval commission, in connection with a particular matter in which the United States is a party or has a direct or substantial interest: Provided, however, That these restrictions apply to a special Government employee 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 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, except that this provision (8 302.56(a)(2) of this subpart) shall not apply when he has served in such department or agency no more than 60 days during the immediately preceding period of 365 days. He is bound by the restraint of this provision despite the fact that the

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Subpart E-Prohibited Activities by

Former Employees

$ 302.61 Prohibited activities.

A former employee shall not:

(a) At any time after his Government employment has ended, knowingly represent anyone other than the United States in connection with a matter in which the United States is a party or has an interest and in which he participated personally and substantially for the Government (18 U.S.C. 207(a)).

(b) For 1 year after his Government employment has ended, appear personally before any court or Government agency as agent or attorney for anyone other than the Government in connection with a matter in which the Government is a party or has a substantial interest and which was under his official responsibility as an employee of the Government at any time during the last year of his Government employment (18 U.S.C. 202(b) and 207(b)).

Federal Employees Classification Act are excluded from the reporting requirement of $ 302.72 of this subpart. The likelihood of their involvement in a conflicts-of-interest situation is remote or the degree of supervision over them and the review of their work is such that the integrity of the Government is protected. This paragraph does not in any way modify or limit any employee's responsibilities under $$ 302.33-302.36, inclusive, of Subpart C of this regulation.

Subpart F-Regulation Governing

Statements of Employment and Financial Interests

$ 302.71 Form and content of statements.

(a) The statements of employment and financial interests required to be submitted by this subpart shall contain, as a minimum, the information required by GAO Form 310 (Rev. 9/ 67) and GAO Form 311 (Rev. 9/67), respectively.

(b) The submission of a statement of employment and financial interests is not intended to relieve the employee from complying with other applicable provisions of law or this regulation. In particular, the employee is not thereby permitted to participate in a matter where such participation is prohibited by 18 U.S.C. 208.

$ 302.74 Employee's complaint on filing

requirement. An employee who feels that his position has been improperly included by this subpart as one requiring the submission of a statement of employment and financial interests may obtain a review of that requirement by filing a grievance with the Chairman.

$ 302.75 Where to submit statements.

(a) The Chairman will file a statement of employment and financial interests (GAO Form 310) with the Di. rector, Office of Personnel Management, General Accounting Office, who will retain it. The other Board members, the Executive Secretary and staff assistants will file a statement of employment and financial interests (GAO Form 310) with the Chairman.

(b) Employees required to submit a statement of employment and financial interests will submit their statements (GAO Form 310) to the Executive Secretary.

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§ 302.72 Requirement to submit state

ments. Except as otherwise provided in this regulation, statements of employment and financial interests (GAO Form 310, Rev. 9/67) will be required from the following:

(a) Board members and the Executive Secretary and any staff assistant to Board member. Any Board member filing equivalent statements of employment and financial interests in connection with his employment at another Federal agency shall not be required to submit this information in connection with employment at the Board.

(b) Employees in positions equivalent to grades GS-14 or above under the Federal Employees Classification Act.

(c) Special Government employees, subject to the provisions of $ $ 302.87302.90, inclusive, of this subpart.

$ 302.76 When to submit statements.

Each employee required to submit a statement of employment and financial interests shall submit that statement to the appropriate officer designated in § 302.75 of this subpart.

(a) Ninety days after the effective date of this regulation, if employed on or before that effective date (unless the employee has already submitted a statement as required by this regulation and that statement continues to be accurate).

(b) Thirty days after his entrance on duty in or after his promotion to a position subject to this subpart.

8 302.73 Employees not required to submit

statements. Employees in positions equivalent to grades GS-13 and below under the

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8 302.77 Supplementary statements.

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 of each year in which the changes occur. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this paragraph, each employee shall at all times avoid acquiring a financial interest that could result in taking an action that would result in a violation of the conflicts-of-interest provisions of section 208 of Title 18, United States Code, or Subparts C and D of this regulation. 8 302.78 Interests of employees' 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 paragraph, “member of an employee's immediate household” means those relatives by blood who are residents of the employee's household.

tracts with the Government deemed “business enterprises” and are required to be included in an employee's statement of employment and financial interests.

(b) An employee need not report on his statement of employment and financial interests shares of widely held, diversified mutual funds or regulated investment companies in which he does not serve as director, officer, partner, or advisor. The indirect interest in business entities which the holder of shares in a widely diversified mutual fund or regulated investment company derives from ownership by the fund of investment company of stocks in business entities is considered too remote or inconsequential to affect the integrity of the employee's services.

8 302.79 Information not known by em

ployees. 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.

§ 302.81 Confidentiality of statements.

Statements of employment and financial interests and supplementary statements shall be retained in a confidential file secured in an appropriate manner by the Chairman or the Executive Secretary. No persons other than the Chairman or the Executive Secretary, as to employees or special Government employees under his direction, or the Counselor for the Board shall have access to such statements and then only to carry out the purposes of this regulation. No disclosure of information shall be made from such statements except as specifically authorized by the Chairman for good cause shown.

8 302.80 Information not required.

(a) This regulation 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 paragraph, education and other institutions doing research and development or related work involving grants of money from or con

& 302.82 Review of statements by the

Chairman. The Chairman and the Counselor for the Board, if requested to do so by the Chairman, will review each statement of employment and financial interests and each supplementary statement submitted directly to the Chairman by reason of $ 302.75(a) of this subpart, as well as all relevant information from other sources incident thereto to determine whether there are any conflicts of interest or apparent conflicts of interest. Where no conflicts of interest or apparent conflicts of interest are found, the cases will be considered resolved unless other pertinent information becomes available. If questions of conflicts of interest or apparent conflicts of interest arise, pertinent procedures established for employees and special Government employees elsewhere in this regulation will be followed.

$ 302.83 Review of statements by the Ex

ecutive Secretary. The Executive Secretary, for other employees or special Government employees, together with the Counselor for the Board, will review each statement of employment and financial interests, each supplementary statement, and all relevant information from other sources, if any, to determine whether there are any conflicts of interest or apparent conflicts of interest on the part of the employee or special Government employee submitting the statement. If it is pertinent to a conflict-of-interest decision, the Executive Secretary may request the employee or special Government employee to supplement the information on GAO Form 310 or GAO Form 311 by stating the number or amount of shares, stock options, bonds, and other securities owned by him, his spouse, minor child, or other members of his immediate household.

unless further information or changed circumstances reactivate it. If there is believed to be a conflict or apparent conflict of interest on the part of the employee or special Government employee, a report will be made of the case to the Chairman for final disposition. This report will contain the views of the Executive Secretary and those of the Counselor for the Board, will point out specifically the areas of conflict or apparent conflict and the reasons why it is felt that a conflict or apparent conflict exists or does not exist, and will be signed by both these officials. The report will also contain a summary of the employee's explanation signed by him. The Chairman will then consider the matter, afford the employee or special Government employee concerned an opportunity to explain the conflict or apparent conflict, make a final decision, and take appropriate action in accordance with $$ 302.5(b) and 302.6 of Subpart A.

§ 302.84 Findings of no conflict of inter

est. If the Executive Secretary believes that there are no conflicts of interest or apparent conflicts of interest in individual cases, the matter will be considered resolved unless other information on the case becomes available or circumstances change.

8 302.86 Effect of employees' statements

on other requirements. The statement 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 of employment and financial interests 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.

8 302.85 Findings of conflict of interest.

With respect to statements of employment and financial interests reviewed by the Executive Secretary under $ 302.83 of this subpart, when the Executive Secretary or the Counselor for the Board believes that the statement or information from other sources discloses a conflict of interest or an apparent conflict of interest, the employee or special Government employee concerned will be asked to explain the conflict or appearance of conflict. If his explanation is satisfactory, the case will be considered closed

§ 302.87 Specific provisions for special

Government employees. Except as provided in § 302.88 of this subpart, each special Government employee, by the use of GAO Form 211 (Rev. 9/67), shall submit a statement of employment and financial interests which reports:

(a) All other employment; and

(b) The financial interests of the special Government employee as indicated on GAO Form 311. A special Government employee need not report financial interests in widely held, diversified mutual funds or regulated in

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