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8 2200.735–402b Employees not re
quired to submit statements. Employees in positions that meet the criteria in paragraph (b) of $ 2200.735– 402 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 sub
mission 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. Notwith standing 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 em
ployees' 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] 8 2200.735_409 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 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 Gov
ernment 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. 131 F.R. 13787, Oct. 27, 1966, as amended at 32 F.R. 17574, Dec. 8, 1967)
CHAPTER XIIl—NATIONAL COMMISSION ON
Employee responsibilities and conduct.
PART 2300_EMPLOYEE RESPONSI 735.305(a), 735.403(a), 735.404, 735.405, BILITIES AND CONDUCT
735.407–735.411, 735.412 (b), and (d). Sec.
These adopted sections are modified and 2300.735–101 Adoption of regulations.
supplemented as set forth in this part. 2300.735–102 Review of statements of em.
& 2300.734-102 Review of statements of ployment and financial interest.
employment and financial interest. 2300.735–103 Disciplinary and other reme Each statement of employment and dial action.
financial interest submitted under this 2300.735–104 Gifts, entertainment, and
part shall be reviewed by the Executive favors. 2300.735–105 Outside employment and other
Director of the Commission. When this activity.
review indicates a conflict between the 2300.735–106 Specific provisions of Commis
interests of an employee or special Govsion regulations governing ernment employee of the Commission special Government em and the performance of his services for ployees.
the Government, the Executive Director 2300.735–107 Statements of employment and shall have the indicated conflict brought financial interest.
to the attention of the employee or spe2300.735–108 Supplementary statements.
cial Government employee, grant the 2300.735-109 Commission regulations gov
employee or special Government emerning statements of employment and financial in
ployee an opportunity to explain the interest of special Government
dicated conflict, and attempt to resolve employees.
the indicated conflict. If the indicated 2300.735–110 Statutory and miscellaneous conflict cannot be resolved, the Executive provisions.
Director shall forward a written report
on the indicated conflict to the ChairAUTHORITY: The provisions of this Part 2300 issued under E.O. 11222; 3 CFR, 1964
man of the Commission, through the 1965 Comp.; 5 CFR 735.101 et seq.
counselor for the agency designated un
der 5 CFR 735.105(a), who shall take SOURCE: The provisions of this Part 2300
action pursuant to $ 2300.735–103 as he appear at 34 F.R. 2479, Feb. 21, 1969, unless
deems appropriate. otherwise noted.
$ 2300.735-103 $ 2300.735–101 Adoption of Regula
Disciplinary and other
remedial action. tions. Pursuant to 5 CFR 735.104(f), the Na
An employee or special Government
employee of the Commission who violates tional Commission on Product Safety
any of the regulations herein or those (referred to hereinafter as the Commis
adopted under $ 2300.735–101 may be sion) hereby adopts the following sec
disciplined. The disciplinary action may tions of Part 735 of Title 5, Code of Fed be in addition to any penalty prescribed eral Regulations: $ $ 735.101, 735.102. by law for the violation. In addition to or 735.201a, 735.202 (a), (d), (e), (f), in lieu of disciplinary action, remedial 735.210, 735.302, 735.303(a), 735.304, action to end conflicts or appearance of 134 F.R. 2479, Feb. 21, 1969.
conflicts of interest may include but is (1) Group Chiefs. not limited to:
(2) Attorneys. (1) Changes in assigned duties;
(3) Investigators. (2) Divestment by the employee or (4) Engineers. special Government employee of his con (b) Each statement of employment and ficting interest; or
financial interest required by this sec(3) Disqualification for a particular tion shall be submitted to the Executive assignment.
Director of the Commission. $ 2300.735–104 Gifts, entertainment,
(c) An employee who believes that his and favors.
position has been improperly included
in this section as one requiring the subThe Commission authorizes the ex
mission of a statement of employment ceptions to 5 CFR 735.202(a) set forth in
and financial interests may obtain a re5 CFR 735.202(b) (1)-(4). No other
view of his complaint under the agency's exceptions are authorized.
grievance procedure. & 2300.735–105 Outside employment $ 2300.735-108 Supplementary stateand other activity.
ments. (a) An employee of the Commission
Notwithstanding the filing of the anmay engage in outside employment or
nual supplementary statement required other outside activity not incompatible by 5 CFR 735.406, each employee shall with the full and proper discharge of the
at all times avoid acquiring a financial duties and responsibilities of his Govern
interest that could result, or taking an ment employment as set forth in
action that would result, in a violation of § 735.203 of this title adopted by
the conflicts-of-interest provisions of $2300.735-101. An employee who desires
section 208 of title 18, United States Code, to engage in outside employment shall
these regulations, or the regulations obtain approval in advance of such em
adopted under $ 2300.735-101. ployment from the Executive Director
& 2300.735-109 Commission regulations of the Commission.
governing statements of employment $ 2300.735–106 Specific provisions of and financial interest of special GovCommission regulations governing
ernment employees. special Government employees.
All special Government employees of (a) Special Government employees of the Commission are required to submit the Commission shall adhere to the
statements of employment and financial standards of conduct applicable to em
interest. ployees as set forth in these regulations
& 2300.735-110 and adopted under $ 2300.735–101, ex
Statutory and miscellacept that special Government employees
neous provisions. need not obtain approval in advance of (a) Pursuant to Public Law 90–146 no outside employment as required by employee or special Government em& 2300.735–105 hereof.
ployee of the Commission's staff shall (b) Special Government employees of disclose data or information relating to the Commission may teach, lecture, or the business transactions, trade secrets, write in a manner not inconsistent with
or names of customers of any person, 5 CFR 735.203(c).
corporation or organization that is re(c) Pursuant to 5 CFR 735.305(b), the ceived pursuant to the conduct of any Commission authorizes the same excep
study or investigation of this Commistions concerning gifts, entertainments,
sion. and favors for special Government em (b) No employee or special Governployees as are authorized for employees ment employee shall disclose any inby section 2300.735–104.
formation concerning the safety, $ 2300.735-107 Statements of employ.
hazards, or quality of products or pro
cedures of any person, corporation, or ment and financial interest.
organization which has been received in (a) In addition to the employees re
confidence pursuant to the conduct of quired to submit statements of employ
any study or investigation of this Comment and financia. interest under 5 CFR
mission unless such information has been 735.403(a), employees in the following
released officially to the public by the positions in grade GS-13 and above shall submit statements of employment and Commission or unless such release has financial interest:
been authorized by the Commission.