ML19309F911
| ML19309F911 | |
| Person / Time | |
|---|---|
| Issue date: | 04/10/1980 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | |
| Shared Package | |
| ML19309F909 | List: |
| References | |
| NUDOCS 8005010627 | |
| Download: ML19309F911 (10) | |
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O Title 10--Energy CHAPTER l--NUCLEAR REGULATORY COMMISSION PART 0--CONDUCT OF EMPLOYEES Filing of Confidential Statements of Employment and Financial Interests by NRC Employees AGENCY:
U.S. Nuclear Regulatory Comission ACTION:
Final Rule
SUMMARY
The Nuclear Regulatory Commission has revised its regulations regarding those NRC employees who are required to fill out confidential statements of employment and financial interests and the dates when these statements are due.
April ' 7,1980 1
EFFECTIVE DATE:
FOR FURTHER INFORMATION CONTACT: Trip Rothschild, Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 (202-634-1465)
SUPPLEMENTARY INFORMATION:
The Nuclear Regulatory Commission has revised its regulations to provide that all NRC employees classified at grades GG-13 through GG-15 will file confidential statements of employment within thirty days after commencing NRC employment, and shall file annual statements thereafter which will be due on May 15.
All attorneys in the Offices of the General Counsel and Executive Legal Director, all professionals in the Office of Policy Evalua-tion, and all contracting officers in the Office of Administration will be covered by the reporting requirement, even if they are paid at a rate below GG-13.
Previously, most but not all NRC employees grades GG-13 through GG-15 were subject to the reporting requirement.
The' statements were due on July 10.
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Because these amendments relate solely to matters of agency management or personnel, good cause exists for omitting notice of proposed rulemaking, and public procedure thereon, as unnecessary, and for making the amendnents effec-tive upon publication in the FEDERAL REGISTER.
Pursuant to Executive Order 11222 of May 8,1965, 5 CFR 735.104, and sections 552 and 553 of Title 5 of the United States Code, the following amend-ments to Title 10, Chapter 1, Code of Federal Regulations, Part 0, are published as a document subject to codification, to be effective April 17, '1980 1.
0.735-28 is revised to read as follows:
0.735-28 Confidential statenents of employment and financial interests (a) Cateoories of employees reouired to submit statements.
The following employees shall submit confidential statements of employment and financial interesc prepared in accordance with paragraph (c) of this section.
These employees have duties and responsibilities which require the incumbent to report employment and financial interests in order to avoid involvement in a possible conflicts of interest situation, to protect the integrity of the government, and to carry out the purposes of the federal laws, executive orders and regulations pertaining to conflicts of interest.
(1) All employees paid at the levels of GG-13, GG-14, or GG-15.
(2) All employees occupying professional staff positions in the Office of Policy Evaluation, all contracting officers in the Office of Adminis-tration, and all attorneys in the Offices of the General Counsel and D
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Executive Legal Director (including those employees being paid below the GG-13 level).
(3) All special Government employees except those who have wonked 60 days or more in the previous calendar year and were paid during that period at a level of GG-16 or above, or an equivalent thereto.
(b) Notice of emplovees of time and place to submit statements.
Upon commenc-ing NRC employment, the Office of Administration will provide all employees covered by the reporting requirement with a copy of the statement fom.
Each employee covered by the reporting requirement shall submit his state-ment to the head of his office not later than 30 days after his entrance on duty.
Statements of special Government employees shall be submitted prior to appointment.
Each regular and special Government employee covered by the reporting requirement shall submit to the head of his office a supplementary annual statement by May 15 of each year.
The information provided in this annual supplement should reflect the indi-vidual's interests as of April 30.
Notwithstanding the filing of the i
report (s) 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 this Part 0.
(c) Preoaration of statement.
Statements shall be prepared in accordance with the following:
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(1) Statement Form.
The forms prescribed by NRC are:
Regular Government employees -- Form NRC 269.
Special Government employees -- Form NRC 443 (2) Statement Content a.
Interests of empioyee's relatives.
The interest of a spouse, minor child, or other member of an employee's immediate house-hold is considered to be an interest of the employee and must be reported.
For the purpose of this paragraph, " member of an employee's immediate household" means full-time residents of the employee's household.
b.
Information not known by enployees.
If any information required to be included on the statement 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 on his behalf, and shall report such request in Part IV of Form NRC 269 or item 16b. of Form NRC 443.
c.
Information not required to be submitted.
A statement or supplementary statement need not contain the following:
(i) Any information relating to the employee's connection with, or interest in, a professional society or a charitable,
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religious, social, fraternal, recreational, public service, civir., or political organization or a similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of a business enterprise.
For the purpose of this section, educational and other insti-tutions doing research and development or related work involv-ing grants of money from or contracts with the Government are deemed " business enterprises" and are required to be included in an employee's statement.
(ii) Precise amounts of financial interests, indebtedness, or value of real property.
The employee may, however, at a later time be required to reveal precise amounts if the NRC
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needs that information in order to carry out its responsi-bilities under applicable laws and regulations.
(iii) Remote or inconsequential financial interests, as set forth in 0 0.735-21(c).
(iv) For special Government employeas: Those financial interests which are determined by the official responsible for such employee's appointment as not to be related either directly or indirectly to the duties and responsibilities of said emp1 yee.
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(d) Reviewino statements and reportino conflicts of interest.
(1) The employee shall prepare the statement in duplicate, retain one copy, and submit one copy to the head of his office.
(2) The office head, in reviewing the statement, shall assess it for conflicts or the appearance of conflicts of interest in the con-text of the employee's assigned duties and responsibilities in the NRC.
(3)
If the office head desires advice and guidance, he may discuss the
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statement with the counselor or appropriate deputy counselor.
(4) The office head shall discuss with the employee and point out any aspects of the statement which give rise, in the office head's opinion, to questions of conflict or of appearance of conflict.
(The office head shall not take, or direct the employee to take, any action with respect to such conflict without first seeking the advice of the counselor or appropriate deputy counselor.)
(5) The office head shall in all cases record his opinion as to the l
presence or absence of a conflict on the statement and forward same to the NRC counselor or deputy counselor.
(6) The NRC counselor or deputy counselor shall review the statement, and discuss any questions with the employee and/or his respective office head.
(7)
If the NRC counsalor or deputy counselor believes that the statement evidences no question of conflict of interest, he shall record his opinion on the statement, and notify the office head.
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(8) If the NRC counselor or deputy counselor believes there is a question of conflict of interest, he shall return the statement to the office head with his opinion recorded thereon.
(The counselor or deputy counselor shall make his services available to the office head and employee involved to assist in effecting a resolution of any con-flict or appearance of conflict.) The reviewer shall report to the counselor or deputy counselor the results of endeavors to effect resolution of the conflict at the enployee-office head level, which results shall be recorded on the employee's statement and submitted i
l to the counselor or deputy counselor for review and approval.
(9) When a statement submitted or information from other sources indicates a conflict between the interests of an employee and the performance of his service for the NRC and when the conflict or appearance of conflict is not resolved by the head of the employee's office, or the counselor or deputy counselor, the information concerning the conflict or appearance of conflict shall be reported to the Commission, or the Executive Director for Operations, as appropriate.
The employee concerned shall be provided an opportunity to explain the conflict or appearance of conflict.
(10) When, after consideration of the explanation of the employee provided for in paragraph (d)(9) of this section, the Commission, or the Executive Director for Operations, as appropriate, decides that remedial action is required, immediate action to end the conflict or appearance of conflict of interest shall be taken.
Remedial action may include, but is not limited to:
(1) Changes in assigned duties; O
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(ii) Divestment by the employee of his conflicting interest; (iii) Disciplinary action; or (iv) Disqualification for a particular assignment.
Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive Orders, and regula-tions.
Disciplinary remedial action with respect to an employee of another Government agency assigned or detailed te the NRC shall be effected only by the parent agency.
(11) Upon completion of processing, the statement shall be filed in the office of the counselor or deputy counselor, 'in a special file main-tained for that purpose. An NRC office may request a copy of a state-ment from the counselor or deputy counselor, provided that it is required for purposes of carrying out responsibilities under this part.
(12) The required supplementary statements shall be processed in the same manner as an initial statement.
(e) Confidentiality of employees' statements.
NRC shall hold each statement of employment and financial interests, and each supplementary statement, in confidence.
To insure this confidentiality oniy the NRC counselor, deputy counselor (s), and those office heads to when reports are to be submitted (including those employees specifically designated by them to assist in the review as may be necessary) are authorized to reviek the statements as provided in this section.
The foregoing employees are responsible for i
maintaining the statements in confidence and shall not allow access to, or l
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allow information to be disclosed from, a statement except to carry out the purpose of this part.
NRC shall not disclose information from a statement except in accordance with procedures set forth in paragraph (d) of this section, or as the Commission, or the Executive Director for Operations, as appropriate, or the Office of Personnel fianagement shall determine for good cause shown.
(f) Effect of employee's statements on other reouirements.
The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for, or in deroga-tion of, any similar requirement imposed by law, order, or regulation.
The submission of a statement or supplementary statement by an employee or the absence of any requirement that an employee submit such a statement 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 regula-tion.
(g) Availability of review.
Any employee who believes that his position has been improperly included under this section as one requiring the submission of a statement of employment and financial interests may utilize the grievance procedure in NRC Manual Chapter 4157, for review of his complaint.
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i 2.
. Annues B and C are deleted from Part O.
I For the Comission t\\
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A a
f ~ SAMUEL J. C TtX Secretary of the Comission i
Dated at Washington,
. C.
h day of 1980.
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