der if such reimbursement would in effect constitute an unauthorized augmentation of the Commission's appropriation. (See Decision B-128527 of the Comptroller General, dated Mar. 7, 1967.)

(3) A special Government employee, while so employed or in connection with his employment, shall not:

(i) Solicit a contribution from another employee for a gift to an official superior;

(ii) Make a donation as a gift to an official superior; or

(iii) Accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351).

(iv) The prohibitions of subdivisions (i), (ii), and (iii) of this subparagraph are not intended to prohibit voluntary gifts or donations of nominal value made to an employee on a special occasion such as marriage, illness, resignation or retirement.

(4) A special Government employee, while so employed or in connection with his employment, shall not accept a gift, present, decoration, or any other thing from a foreign government unless authorized by Congress as provided by the Constitution and in P.L. 89-673, 80 Stat.

952.

(f) Representation of others.-(1) During Commission employment. A special Government employee is prohibited, except as permitted in the proper discharge of his official duties or by express statutory exemption, from acting as agent or attorney, with or without compensation, in a particular matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which the special Government employee participated personally and substantially. Special Government employees who have served the Commission for more than 60 days during the immediately preceding period of 365 days are also subject to a similar prohibition with respect to particular matters pending before the Commission during their period of service even though they have not participated personally and substantially in such matters. These prohibitions are limited by the following exemptions:

(1) A special Government employee may act as agent or attorney for another person in the performance of work under grant by or contract with the United States if the head of the department or agency concerned with the grant

or contract first makes a written certification, submitted for publication in the FEDERAL REGISTER, that such representation is required in the national interest.

(ii) When not inconsistent with faithful performance of duty, special Government employees may also represent any person, without compensation, in disciplinary, loyalty, or other personnel matters.

(iii) Subject to the express written approval of the Chairman of the Commission' a special Government employee may, with or without compensation, represent a parent, spouse, child, or person or estate he serves as fiduciary on matters in which the United States is a party or has an interest except matters in which he has participated personally and substantially as a special Government employee or which are the subject of his official responsibility.

(iv) A special Government employee may also give testimony under oath or make statements required to be made under penalty for perjury or contempt. (18 U.S.C. 203 and 205.)

(2) Following termination of Commission employment. (i) A special Government employee shall not, after his employment has ceased,' knowingly act as agent or attorney for anyone other than the United States in any matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which the special Government employee participated personally and substantially during his Commission employment. (18 U.S.C. 207(a).)

(ii) A special Government employee shall not, within 1 year after his Commission employment has ceased,' appear personally before any court or Government agency as agent or attorney for anyone other than the United States in any matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest which was under his official responsibility as a special Government employee at any time within 1 year prior

As the Government official responsible for appointment of the special Government employee to his position.

For the purposes of sec. 207 of title 18, U.S. Code, the employment of a special Government employee ceases on the day his appointment expires or is otherwise terminated, as distinguished from the day on which he last performs service.

(iii) Section 1.4(c) of the Federal Power Commission's rules of practice and procedure (18 CFR 1.4(c)) prohibits a former special Government employee from acting as attorney, expert witness or representative in connection with any proceeding before the Commission in which the special Government employee participated during his service with the Commission unless such appearance is expressly authorized by the Commission upon a verified showing that it would not be contrary to the public interest and unethical or prejudicial to the interests of the Commission. [Order 319, 31 F.R. 4124, Mar. 9, 1966, as amended by Order 353, 32 F.R. 15240, Nov. 3, 1967]

§3.735-27 Ethical conduct.

(a) Use of Government property. A special Government employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. A special Government employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.

(b) Misuse of information. (1) A special Government employee shall not use inside information obtained as a result of his Commission 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. "Inside information" means information obtained under Commission authority which has not become part of the body of public information.

(2) (i) Special Government employees shall not, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing or writing for the purpose of the special preparation of a person or class of persons for an examination of the Civil Service Commission or of the Board of Examiners for the Foreign Service, that is dependent on information obtained as a result of Commission employment, except when that information has been made available to the general public or will be made available on request or when the Executive Director has given written authorization for the use of nonpublic

(ii) Section 1.36 of the Commission's rules of practice and procedure (18 CFR 1.36) sets up the procedures for making available to the public, information in the public files and records of the Commission and specifies the particular files and records which are not generally available to the public. Section 1.36(f) defines the responsibilities of employees, including special Government employees, when served with a subpena duces tecum and outlines the procedures to be followed when the material sought is not part of the public files and records of the Commission.

(3) Section 301(b) of the Federal Power Act and section 8(b) of the Natural Gas Act prohibit any employee, including a special Government employee, in the absence of Commission or court direction, from divulging any fact or information which may come to his knowledge during the course of examination of books or other accounts.

(4) The nature and time of any proposed action by the Commission are confidential and shall not be divulged to anyone outside the Commission. The Secretary of the Commission has exclusive responsibility and authority for authorizing the initial public releases of information concerning Commission actions or decisions.

(5) Section 1.4(d) of the Commission's rules of practice and procedure (18 CFR 1.4(d)) states the prohibitions against ex parte communications in onthe-record proceedings to Commissioners, members of their personal staffs, hearing examiners or other employees, including special Government employees, participating in the decision in such proceedings.

(c) Indebtedness. Special Government employees shall pay each just financial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. "A just financial obligation" means one acknowledged by the special Government employee or reduced to judgment by a court, and "in a proper and timely manner" means in a manner which the Commission determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between a special Government employee and an alleged creditor, the Commission shall not be required to determine the validity or

amount of the disputed debt. Each special Government employee should arrange his personal financial affairs to avoid any request to the Commission for administrative action to assist in the collection of debts.

(d) Gambling, betting, and lotteries. A special Government employee shall not participate, while on Government-owned or leased property or while on duty for the Government, in any gambling activity, including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket. This paragraph does not preclude fundraising activities by employee organizations under section 3 of Executive Order 10927, March 18, 1961, 26 F.R. 2383.

(e) General conduct. Special Government employees shall conduct themselves in such manner that the work of the Commission is effectively accomplished and shall also observe the requirments of courtesy, consideration, and promptness in dealing with or serving the public. Special Government employees shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government and to the Commission. [Order 319, 31 F.R. 4124, Mar. 9, 1966; 31 F.R. 4448, Mar. 16, 1966, as amended by Order 368, 33 F.R. 14233, Sept. 20, 1968]

§ 3.735-28 Statements of employment and financial interests.

(a) Forms. A copy of each of the following forms is appended to this Subpart. D.3

(1) FPC Form 499-Statement of employment and financial interests.

(2) FPC Form 855-Certification of receipt and agreement for special Government employees.

(b) Special Government employees required to submit; time of submission.(1) FPC Form 499-Statement of employment and financial interests. All special Government employees shall submit FPC Form 499 at the time the appointment is processed, and shall also submit a supplemental report on FPC Form 499 whenever any changes in or additions to the information contained in original FPC Form 499 occur during the period of the appointment.

(2) FPC Form 855-Certification of receipt and agreement for special Gov

3 Forms filed as part of the original document.

ernment employees. (i) All special Government employees in the employ of the Commission on March 9, 1966, shall complete this form within 5 days after receipt of this Subpart D.

(ii) All special Government employees appointed after March 9, 1966, shall complete this form at the time the appointment is processed.

(c) Place of submission. All FPC forms listed in paragraph (a) of this section shall be submitted to the Office of Personnel in an envelope marked "Personal Attention: Director, Office of Personnel Programs."

(d) Confidentiality. The Executive Director, the Director, Office of Personnel Programs, and the Agency Counselor shall be responsible for keeping all FPC forms listed in paragraph (a) of this section strictly confidential, and shall not grant access to, or permit disclosure of information from, these forms except to carry out the purpose of these regulations. Information contained thereon will not be disclosed except in accordance with the regulations of the Civil Service Commission or on a determination of good cause made by the Chairman of the Federal Power Commission.

(e) Information not required. A special Government employee is not required to supply information relating to his connection with, except employment, including employment required to be reported under § 3.735-25(b), or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or any similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of a business enterprise. 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. Information showing the value of financial interests is not required.

(f) Effect of submission of forms on other requirements. Submission of any FPC form listed in paragraph (a) of this section is in addition to and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. A special Government employee's submission of any of these forms 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.

[Order 319, 31 F.R. 4124, Mar. 9, 1966, as amended by Order 353, 32 F.R. 15240, Nov. 3, 1967]

§ 3.735-29 Interpretation and advisory service.

(a) Availability. The interpretation and advisory service established under § 3.735-8 is available to all special Government employees seeking counsel and advice regarding the interpretation and applicability of the provisions and subject matter of this Subpart D.

(b) Duty of special Government employee to consult. Any special Government employee, who is uncertain as to the application of any provision of this Subpart D or is uncertain as to whether any contemplated action is permissible, or who believes any provision will cause him undue hardship, should submit his question, view, or request to his Deputy Counselor, either orally or in writing. The Deputy Counselor shall inform the special Government employee of his views, recommendations and reasons therefor, either orally or in writing when requested by the special Government employee or when the Deputy Counselor, in his discretion, considers a written reply advisable. The Deputy Counselor shall also send a memorandum or a copy of his written reply to the Director, Office of Personnel Programs for consideration and appropriate determination and action. At the request of the special Government employee, the Deputy Counselor shall, and at his own discretion may, submit his written reply to the special Government employee's inquiry to the Agency Counselor for review.

[Order 319, 31 F.R. 4124, Mar. 9, 1966, as amended by Order 353, 32 F.R. 15240, Nov. 3, 1967]

§ 3.735-30 Procedure for reviewing statements of employment and fi nancial interests and reporting conflicts of interest.

(a) The Director, Office of Personnel Programs shall review all statements of employment and financial interests (FPC Form 499) submitted by special Government employees pursuant to this Subpart D to determine whether there are any actual or apparent conflicts of interest.

(b) The Director, Office of Personnel Programs shall receive and investigate complaints and information from all

99-137-69- -7

sources, including other federal agencies, concerning the conduct of special Government employees.

(c) Bureau and office heads shall report any misconduct or violation of this Subpart D by special Government employees under their supervision and direction to the Director, Office of Personnel Programs.

(d) When the Director, Office of Personnel Programs believes, on the basis of information submitted in statements of employment and financial interests, and from other sources, that an actual or apparent conflict of interest exists, he shall immediately:

(1) Notify the Agency Counselor and the Executive Director.

(2) Inform the special Government employee concerned and provide him with full opportunity to explain the actual or apparent conflict to the Director, Office of Personnel Programs or the Agency Counselor.

(3) Endeavor to resolve the conflict in accordance with the standards and requirements of this Subpart D.

(e) When actual or apparent conflicts of interest are not resolved by the Director, Office of Personnel Programs, he shall report all information concerning the matter to the Chairman and/or the Executive Director through the Agency Counselor, and shall notify the special Government employee that such a report has been made. The special Government employee, at his own request, shall be given an opportunity to explain the actual or apparent conflict to the Chairman and/or the Executive Director.

[Order 319, 31 F.R. 4124, Mar. 9, 1966, as amended by Order 353, 32 F.R. 15240, Nov. 8, 1967]

§ 3.735-31 Disciplinary and other remedial action.

(a) Disciplinary action. Violation of the provisions of this Subpart D by any special Government employee, may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law. Appropriate disciplinary action shall be effected in accordance with applicable laws, executive orders, and regulations and may include one or more of the following: removal, suspension, reduction in grade The disciplinary action taken will depend upon the seriousness of the violation and pertinent conditions and circumstances. In instances where criminal violation is in

dicated, the matter will be referred by the Commission to the Department of Justice for appropriate action.

(b) Other remedial action. Other remedial action shall be effected in accordance with applicable laws, executive orders, and regulations and may include:

(1) Divestment by the special Government employee of his conflicting interest. (2) Changes in assigned duties.

(3) Disqualification for a particular assignment.

(c) Procedure. After receipt from the Agency Counselor of the conflicts-ofinterest report prepared by the Director, Office of Personnel Programs in accordance with the provisions of § 3.73530(e), and after consideration of the explanation provided by the special Government employee, the Chairman shall take such appropriate disciplinary

or other remedial action as may be required. If the Chairman concludes that there is no actual or apparent conflict of interest, or if no disciplinary or other remedial action is required, the Chairman shall so inform the special Government employee.

[Order 319, 31 F.R. 4124, Mar. 9, 1966, as amended by Order 353, 32 F.R. 15240, Nov. 8, 1967]

§3.735-32 Miscellaneous statutes and regulations.

Each special Government employee shall acquaint himself with the statutes and regulations relating to ethical conduct listed in § 3.735-11. The full texts of the statutes and regulations listed in §3.735-11 are available in the office of the Agency Counselor and the Office of Personnel Programs.

[Order 353, 32 F.R. 15240, Nov. 8, 1967]

4.42 Specifications for drawings.

APPLICATION FOR LICENSE FOR CONSTRUCTED MAJOR PROJECT OR MINOR PART THEREOF

4.50

Contents.

4.51 Additional exhibits.

APPLICATION FOR LICENSE FOR MINOR PROJECT

4.60 Contents.

APPLICATION FOR LICENSE FOR TRANSMISSION LINE ONLY

4.70 Contents.

4.71 Required exhibits.

APPLICATION FOR PRELIMINARY PERMIT AND AMENDMENTS THEREOF

4.80 Who may file.

Acceptance for filing or rejection of

applications.

Contents of application.

Hearing on application.

4.81

4 82

4.83

4 84

Amendments.

4.85

Issuance and

acceptance.

4.86

Construction work under permit.

AUTHORITY: The provisions of this Part 4 issued under secs 3(13). 4. 10(1), 23. 41 Stat. 1063. 1065. 1068, 1075, as amended, secs. 301 (b). 308, 309. 49 Stat. 854. 858; 16 US.C. 796 (13). 797. 803(1), 816. 825(b), 825g. 825h, unless otherwise noted.

SOURCE: The provisions of this Part 4 contained in Order 141.. 12 F.R. 8485, Dec. 19. 1947, unless otherwise noted.