§ 601.735-42 Involvement in proceedings affecting the United States. (a) Regular officers and employees. (1) A regular officer or employee of ACDA may not, except in the discharge of his official duties represent anyone else, for pay or without pay, before a court or Government agency in a matter in which the United States is a party or has an interest (18 U.S.C. 203 and 205). (2) Exceptions: The following exceptions relating to sections 203 and 205 apply to a regular officer or employee: (i) He may represent another person, without compensation, in a disciplinary, loyalty, or other personnel matter if not inconsistent with the faithful performance of his duties. (ii) He may give testimony under oath or make statements required to be made under penalty for perjury or contempt. (iii) He may represent with or without compensation, his parents, spouse, child, or a person or estate he serves as a fiduciary provided: (a) The matter is not one in which he has participated personally and substantially as a Government employee or which is the subject of his official responsibility, and (b) the Executive Director approves. (b) Special Government employees. (1) A special Government employee may not, except in the discharge of his official duties, represent anyone else, for pay or without pay. (i) Before a court or Government agency in a matter in which the United States is a party or has an interest and in which he has at any time participated personally and substantially for the government (18 U.S.C. 203 and 205). (ii) In a matter pending before the agency he serves unless he has served there on no more than 60 days during the past 365 (18 U.S.C. 203 and 205). He is bound by this restraint despite the fact that the matter is not one in which he has ever participated personally and substantially. (2) Exceptions: The following exceptions relating to section 203 and 205 apply to a special Government employee: (i) The exceptions specified in paragraph (a) (2) of this section for regular officers and employees, and also, (ii) He may be allowed by the Director of ACDA to act as agent or attorney for his regular employer or for another person in the performance of work under an ACDA grant or contract provided: (a) The Director certifies in writing that the national interest requires it, and (b) the certification is submitted for publication in the FEDERAL REGISTER. (c) Former employees. A former regular officer or employee of ACDA, as well as a former special Government employee, is restricted as follows: (1) (i) He may not, after his Government employment has ended, represent anyone other than the United States in connection with a matter in which the United States is a party or has a direct and substantial interest and in which he participated personally and substantially for the Government (18 U.S.C. 207 (a)). (ii) Exceptions: This section of 18 U.S.C. permits the following exception for both regular and special Government employees: The Director of ACDA, notwithstanding anything to the contrary in the provisions of subsections 207 (a) and (b) of Title 18, U.S. Code, may permit a former officer or employee with outstanding scientific or technological qualifications to act as agent or attorney or to appear personally in connection with a particular matter in a scientific or technological field if the Director makes a certification in writing submitted for publication in the FEDERAL REGISTER that the national interest would be served by such action or appearance by the former officer or employee. (2) (i) He may not, for one year after his Government employment has ended represent anyone other than the United States in connection with a matter in which the United States is a party or has interest and which was within the boundaries of his official responsibility during the last year of his Government service (18 U.S.C. 207(b)). (ii) Exceptions: The exceptions to subparagraph (1) of this paragraph apply. Upon receipt of a letter of complaint against an employee from an alleged creditor, the Personnel Officer, after consulting an attorney in the Office of the General Counsel, where appropriate, will notify the employee and will determine whether the alleged debt is a "just financial obligation"; such as one acknowledged by the employee or reduced to judgment by a court. If the debt is determined to be a just financial obligation, the Personnel Officer will give the employee any appropriate assistance, other than financial, toward payment of the debt in a "proper and timely manner"; that is, in a manner that does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between an employee and an alleged creditor, this section does not require the Agency to determine the validity or amount of the disputed debt. [32 F.R. 12944, Sept. 12, 1967] § 601.735-53 Action by Executive Di All employees are prohibited from the following activities under pain of criminal penalty: (a) Soliciting political contributions generally (18 U.S.C. 602) and in Federal installations (18 U.S.C. 603). (b) Making political contributions to "any other officer, clerk, or person in the service of the United States, or to any Senator or Member or Delegate to Congress or Resident Commissioner" toward the promotion of any political object (18 U.S.C. 607). (c) Contributing more than $5,000 during any calendar year toward the campaign, nomination, or election of a candidate for an elective Federal office; or purchasing "any goods, commodities, advertising, or articles * * *, the proceeds of which, or any portion thereof, directly or indirectly inures to the benefit of or for any candidate for an elective Federal office * (18 U.S.C. 608.) [31 F.R. 4391, Mar. 15, 1966, as amended at 32 F.R. 12944, Sept. 12, 1967] Subpart G-Statements of Employment and Financial Interests § 601.735-71 Employees required to submit statements. (a) The following employees of ACDA (and persons assigned or loaned to ACDA) are required to submit statements of employment and financial interests: (1) The Deputy Director. (7) The Assistant Contracting Officer. (8) The Chairman of the Research Council. (9) Attorneys in grades GS-13 and above who exercise procurement responsibilities. § 601.735-72 Submission of statements and supplementary statements. (a) Regular officers and employees. Each employee coming within the list in § 601.735-71(a) (1) through (9) must submit a fully completed ACDA Form 18 in duplicate to the Office of the General Counsel no later than: (1) Ninety days after the effective date of the regulations in this part if employed on or before that effective date; or (2) 30 days after he becomes subject to the reporting requirements by occupying a position covered under § 601.735-71(a) (1) through (9) if he occupies the position after that effective date. Changes in, or additions to, the information contained in an employee's statement of employment and financial interest shall be reported in a supplementary statement (ACDA Form 18) as of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required hereunder, 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 18 U.S.C. 208 or of the regulations in this part. One copy of ACDA Form 18 will be returned to the employee following review and determination by the counselor or deputy counselor that no conflict of interest is involved. (b) Special Government employees. Each special Government employee must submit a fully completed ACDA Form 19 in duplicate to the Office of the General Counsel before he may be appointed for duty or before his appointment may be extended into a new fiscal year. During his period of employment with the Agency, he must notify the Office of the General Counsel, in writing, of any significant change in his Federal or nonFederal employment and in his financial interest within 30 days after the change occurs. One copy will be returned to the special Government employee following review and determination as specified in paragraph (a) of this section. (c) 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 substituation 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. [31 F.R. 4391, Mar. 15, 1966, as amended at 32 F.R. 12945, Sept. 12, 1967] § 601.735-73 Contents of statements. The instructions for listing required information on Forms ACDA 18 and 19 are generally self-explanatory. In supplying the information, each employee shall, however, observe the following refinements: (a) Business enterprises. Educational and other institutions doing research and development or related work involving grants of money from, or contracts with, the Government are considered business enterprises and must be included in an employee's statement of employment and financial interests whenever applicable. Otherwise, no information is required about employment or financial interests 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. (b) Interest of employee's relatives. The interest of an employee includes the interest of a spouse, minor child, or other member of the employee's immediate household (blood relations who are full time residents of the employee's household.) (c) Amount of financial interest. No employee is required to show the amount of the financial interest or indebtedness, or value of real property listed on Form ACDA 18 or 19. (d) Information not required to be submitted. An employee is not required to disclose those remote or inconsequential financial interests described in § 601.735-15(b). (e) Information to be supplied by others. If any of the required information, including holdings placed in trust, is not known to the employee but is known to another person, the employee must request that other person to submit the information and report the request on ACDA Form 18 or 19 and on supplementary statement. (Sec. 41, 76 Stat. 1119, sec. 503, 75 Stat. 631; 18 U.S.C. 208, 22 U.S.C. 2581) [31 F.R. 4391, Mar. 15, 1966, as amended at 35 F.R. 4621, Feb. 17, 1970] § 601.735-74 Confidentiality of state ments. ACDA will hold in confidence each statement of employment and financial interests and each supplementary statement made by an employee. Each statement shall be sent by its maker directly to the General Counsel. Such statements will be retained and safeguarded under the control of the General Counsel. Access to, or information from, a statement will not be allowed except to carry out the purposes of these conflict of interest provisions. Information from a statement may be disclosed only upon the determination of the Chairman of the Civil Service Commission or of the Director of the Arms Control and Disarmament Agency that disclosure is for good cause shown. attorney or attorneys designated deputy counselors by the General Counsel, in order to determine whether a conflict of interest or an apparent conflict of interest may exist between a regular employee's or a special Government employee's services to the Government and his outside interests. If a conflict or apparent conflict is discovered, the designated attorney acting as deputy counselor for the Agency will discuss the situation with the employee and offer him an opportunity to explain the conflict or apparent conflict. Unless the conflict or apparent conflict is resolved as a result of the discussion, the information concerning the matter shall be reported to the Director of ACDA through the General Counsel, who is counselor for the Agency. [32 F.R. 12945, Sept. 12, 1967] § 601.735-76 Action by the Director. The Director shall consider the report of conflict or apparent conflict of interest made by the counselor for the Agency and the explanation made by the employee. If the Director decides that remedial action is required, he must take immediate action to end a real or apparent conflict of interest, or take preventive action to forestall a potential conflict. (See § 601.735-12(f).) Copies of records. 602.6 Written requests. § 601.735-75 Review of statements and report of conflict of interest. Each statement of employment and financial interests and each supplementary statement will be reviewed by the General Counsel or by an experienced As used throughout this part, the following words have the meaning set forth below: Act. Act means the Act of June 5, 1967, sometimes referred to as the "Freedom of Information Act" or the Public Information Section of the Administrative Procedure Act, as amended P.L. 90-23, 81 Stat. 54, and codified at 5 U.S.C. 552. ACDA. The acronym ACDA stands for the U.S. Arms Control and Disarmament Agency. Agency. Agency means the U.S. Arms Control and Disarmament Agency. Assistant Director. Assistant Director means an Assistant Director of the Arms Control and Disarmament Agency. Deputy Director. Deputy Director means the Deputy Director of the U.S. Arms Control and Disarmament Agency. Director. Director means the Director of the U.S. Arms Control and Disarmament Agency. Organic Statute. Organic Statute means the Act establishing the U.S. Arms Control and Disarmament Agency, Public Law 87-297, 75 Stat. 631, 22 U.S.C. 2551 et seq., as amended. Records. The word "records" includes all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by the U.S. Arms Control and Disarmament Agency in pursuance of Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by the Agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because the informational value of data contained therein. Library or museum material made or acquired and preserved solely for reference or exhibition purposes, extra copies of documents preserved only for convenience of reference, and stocks of publications and of processed documents are not included within the definition of the word "records". Subpart A-Reference Information Center § 602.2 Places where and methods whereby records may be inspected, copies obtained or requests made. (a) Any person desiring records relative to arms control and disarmament matters in which the U.S. Arms Control and Disarmament Agency has been or is engaged, should apply in person between the hours of 9 a.m. and 5 p.m. on weekdays (holidays excluded) at the ACDA Reference Information Center in the Agency headquarters, State Department Building, 320 21st Street NW., in Washington, D.C., or write to the Chief, Reference Information Center at Agency headquarters if the petitioner is a resi |