§ 735.403a Employee's complaint on filing requirement. Agency regulations issued under this subpart shall inform employees of the opportunity for review through the agency's grievance procedure of a complaint by an employee that his position has been improperly included under the regulations of his agency as one requiring the submission of a statement of employment and financial interests. § 735.404 Employees not required to submit statements. (a) Employees in positions that meet the criteria in paragraph (b) of § 735.403 may be excluded from the reporting requirement when the agency determines that: (1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflicts-of-interest situation is remote; (2) 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 (3) The use of an existing or alternative procedure approved by OPM is adequate to prevent possible conflicts of interest. (b) A statement of employment and financial interests is not required by this subpart from an agency head, a Presidential appointee in the Executive Office of the President who is not subordinate to the head of an agency in that office, or a full-time member of a committee, board, or commission appointed by the President. These employees are subject to separate reporting requirements under section 401 of the Executive order. § 735.404a Interests not required to be reported. Agency regulations issued under this subpart may exclude the reporting of any interest which has, by general rule or regulation published in the FEDERAL REGISTER under section 208(b)(2) of title 18, United States Code, been exempted as too remote or too inconsequential to affect the integrity of employees' services. § 735.405 Time and place for submission of employees' statements. An employee required to submit a statement of employment and financial interests under the regulations of his agency shall submit that statement to the office designated in the agency regulations not later than: (a) Ninety days after the effective date of the agency regulations issued under this part if employed on or before that effective date; or (b) Thirty days after his entrance on duty, but not earlier than ninety days after the effective date, if appointed after that effective date. § 735.406 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 each year, except when OPM authorizes a different date on a showing by an agency of necessity therefor. 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 conflicts-of-interest provisions of section 208 of title 18, United States Code, or Subpart B of this part. § 735.407 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 section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household. § 735.408 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. § 735.409 Information not required. This subpart 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 deemed "business enterprises" and are required to be included in an employee's statement of employment and financial interests. are An agency shall hold each statement of employment and financial interests, and each supplementary statement, in confidence. To insure this confidentiality, an 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. An agency may not disclose information from a statement except as OPM or the agency head may determine for good cause shown. § 735.411 Effect of employees' 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 state ment 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. § 735.412 Specific provisions of agency regulations for special Government employees. (a) Agency regulations issued under this subpart for special Government employees, as a minimum, shall contain provisions covering the reporting requirements set forth in this section. (b) Except as provided in paragraph (c) of this section, each agency head shall require each special Government employee 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 agency determines are relevant in the light of the duties he is to perform. (c) An agency head may waive the requirement in paragraph (b) 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. For the purpose of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual, but do not include: (1) A physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients; or (2) A veterinarian whose services are procured to provide care and service to animals. (3) A specialist appointed for intermittent confidential intelligence consultation of brief duration. (d) A statement of employment and financial interest required to be sub In this part: (a) “Federal employment" means all civilian service for the Federal government including (1) appointments to Federal Advisory Committees or to membership agencies, whether or not salaried; (2) cooperative work assignments in which the individual has access to Federal materials such as examination booklets or performs service for or under supervision of a Federal agency but may be paid by another organization, such as a State or local government; (3) volunteer arrangements in which the individual performs service for or under the supervision of a Federal agency; and (4) volunteer or other arrangements in which the individual represents the United States Government or any agency thereof. (b) "Agency" means any authority of the Government of the United States, whether or not it is within or subject to review by another agency and includes any executive department, military department, Government corporation, Government controlled corporation or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent regulatory agency. § 736.102 Purpose of investigation. In conducting an investigation, either by personal investigation or by written inquiry, to determine suitability, eligibility or qualifications of individuals for Federal employment. Federal contracts or access to classified information or restricted areas, the investigating agency will notify the source from which information is requested of the purposes for which the information is sought and how it will be used. Procedures used in conducting investigations must take proper account of the rights of the individual being investigated as well as the rights of the individual furnishing testimony or information. § 736.103 Personal investigation. In conducting a personal investigation, including a telephone inquiry, to determine suitability, eligibility or qualifications of individuals for Federal employment, Federal contracts or access to classified information or restricted areas in which selection standards demand loyalty, good character and trustworthiness, the interviewing agent will notify each person interviewed and each custodian of record contacted that all information provided, including the source's identity, may be disclosed to the individual being investigated upon that individual's request. This notification must be made at some time during the interview. The agent may promise confidentiality if requested by the source, and in his discretion notify the source that he may have confidentiality where the agent feels that such notification is necessary to secure information pertinent to his investigation or inquiry. If such a request is made, the confidentiality will apply only to the source's identity, and any information furnished by the source that would reveal the identity of the source. A promise of confidentiality will require the investigative agency and all other agencies that receive information obtained under the promise to take all reasonable precautions to protect the confidentiality of the source's identity. Pledges of confidentiality may not be assumed, and the interviewing agent may not ask a source to request confi dentiality. Each agency shall prepare implementing instructions for its investigators or agents consistent with these regulations. § 736.104 Written inquiry. In requesting information by a written inquiry concerning the character, loyalty and qualifications of an individual to determine suitability, eligibility or qualifications for Federal employment, Federal contracts or access to classified information or restricted areas, the form, instructions or correspondence used by an agency will include: (a) A notification that information provided, including the respondent's identity, will be disclosed to the individual on his or her request; and (b) Except for law enforcement or educational custodians of records, (1) Space for the respondent to request a pledge that his or her identity will not be disclosed to the subject of the inquiry, or (2) An offer to make special arrangements to obtain significant information which the respondent feels he or she cannot provide without a pledge of confidentiality as to identity. § 736.105 Public availability of investigative files. (a) The Office or other Government agency does not disclose the personnel investigations records of individuals when the production of such records would (1) Interfere with enforcement proceedings; (2) deprive a person of a right to a fair trial or impartial adjudication; (3) constitute an unwarranted invasion of personal privacy; (4) disclose the identity of a confidential source, and in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source; (5) disclose investigative techniques and procedures; or (6) endanger the life and physical safety of law enforcement personnel. (b) Requests for investigative records are to be submitted to the Chief, OPM-NACI Center, FOI/PA, Boyers, Pennsylvania 16018. If the in Subpart B-Substantive Provisions 737.5 Restrictions on any former Government employee's acting as representative as to a particular matter in which the employee personally and substantially participated. 737.7 Two-year restriction on any former Government employee's acting as representative as to a particular matter for which the employee had official responsibility. 737.9 Two-year restriction on a former senior employee's assisting in representing as to a matter in which the employee participated personally and substantially. 737.11 One-year restriction on a former senior employee's transactions with former agency on a particular matter, regardless of prior involvement. 737.13 Limitation of restrictions of 18 U.S.C. 207(c) to less than the whole of a department or agency. 737.15 Exemption for scientific and technological information. 737.17 Exemption for persons with special qualification in a technical discipline. 737.19 Testimony and statements under oath or subject to penalty of perjury. 737.21 Partners of present or former Government employees. 737.23 Officials of a State; officials of corporations created by an Act of Congress and public international organizations. 737.25 Standards and procedures for designating senior employee positions pursuant to 18 U.S.C. 207(d). 737.27 Administrative ceedings. enforcement 737.29 Effective date of restrictions. pro 737.31 Separate statutory agencies: Desig nations. 737.32 Separate components of agencies or bureaus: Designations. 737.33 "Senior Employee” designations. AUTHORITY: Titles II and IV of Pub. L. 95521 (October 26, 1978), as amended by Pub. L. 96-19 (June 13, 1979), 5 U.S.C. Appendix; Pub. L. 98-150 (November 11, 1983); 18 U.S.C. 207. SOURCE: 45 FR 7406, Feb. 1, 1980; 45 FR 9253, Feb. 12, 1980, unless otherwise noted. EDITORIAL NOTE: The following index of paragraphs is provided for the convenience of the reader: Sec. Subpart A-General Provisions 737.1 Purpose and policy. (a) Authority. (b) Consultation with the Attorney General. (c) Policy and limitations. 737.3 Definitions. (a) Statutory definitions. (b) Interpretative definitions. Subpart -Substantive Provisions Sec. 737.5 Restrictions on any former government employee's acting as representative as to a particular matter in which the employee personally and substantially participated. (a) 18 U.S.C. 207(a). (b) Representation. (1) Attorneys and agents. (2) Others. (3) Appearances, communications made with intent to influence. (4) Government visits to other premises. (5) Elements of "influence" and potential controversy required. (6) Assistance. (7) Project responses not included. (c) "Particular matter involving a specific party or parties". (1) Specific matters vs. policy matters. (2) Technical matters. (3) Relationship of personal participation to specificity. (4) The same particular matter must be involved. (5) United States must be a party or have an interest. (d) "Participate personally and substantially". (1) Basic requirements. (2) Participation on ancillary matters. (3) Role of official responsibility in determining substantial participation. (e) Agency responsibility in complex cases. 737.7 Two-year restriction on any former government employee's acting as representative as to a particular matter for which the employee had official responsibility. (a) 18 U.S.C. 207(b)(i). (2) Determining official responsibility. (4) Knowledge of matter pending required. (5) Self-disqualification. (c) "Actually pending." (d) Other essential requirements. (e) Measurement of two-year restriction period. 737.9 Two-year restriction on a former senior employee's assisting in representing as to a matter in which the employee participated personally and substantial ly. (a) 18 U.S.C. 207(b)(ii). (b) Limitation to "representational" assistance by "personal presence" at an appearance. (c) Managerial and other off-scene assist ance. (d) Representational assistance. (e) Measurement of restriction period. 737.11 One-year restriction on a former (b) Transactions exempted from 18 U.S.C. 207(c). (c) No prior involvement required. (d) Specific parties unnecessary. (e) Element of controversy or influence required. (f) Agency activity or interest in matter. (g) Application or proposals for funding of research. (h) Personal matters. (i) Statements based on special knowledge. (j) Measurement of one-year restriction period. 737.13 Limitation of restrictions of 18 U.S.C. 207(c) to less than the whole of a department or agency. (a) Authority. (b) Distinctions between 18 U.S.C. 207(e) and 207(d)(1)(C). (c) Separate Statutory Components. (1) Procedure. (2) Standards. (3) Effect of designation. (d) Separate nonstatutory components. (1) Procedure. (2) Standards. (3) Effect of determination. |