§ 73.735–1004 45 CFR Subtitle A (10–1–02 Edition)

contract for which he or she would oth- in a matter of any type the outcome of erwise be disqualified because of hav- which will have a direct and predict- ing participated in the matter for the able effect upon the financial interests Government or because it is pending in covered by the section. a component in which the consultant However, the power of exemption may had served more than 60 days in the be exercised in this situation if the spe- past year. This provision gives the cial Government employee renders ad- head of a department the authority, vice of a general nature from which no notwithstanding any prohibition in ei- preference or advantage over others ther section 203 or 205, to allow a spe- might be gained by any particular per- cial Government employee to represent son or organization. The power of ex- before such department or agency ei- emption may also be exercised where ther his or her regular employer or an- the financial interests involved are other person or organization in the per- minimal in value. formance of work under a grant or con- tract. As a basis for this action, the § 73.735–1004 Requesting waivers or Secretary must first make a certifi- exemptions. cation in writing, published in the FED- (a) A consultant may present in writ- ERAL REGISTER, that it is required by the national interest. ing to the official for whom he or she (4) Section 205 contains two other ex- provides services requests for the waiv- emptive provisions, which apply to ers or exemptions specified in § 73.735– both special and regular Government 1003. That official will take, or refer employees. See § 73.735–702. the request for, action as appropriate, (c) 18 U.S.C. 207 applies to individuals and will see that the employee receives who have left Government service. See advice or decision on his or her re- Subpart N of these regulations. quest. (d) 18 U.S.C. 208 bears on the activi- (b) A file of all waivers or exemptions ties of Government personnel, includ- granted shall be maintained in such ing special Government employees, in manner that information can be given the course of their official duties. In promptly on individual cases or statis- general, it prevents a Government em- tics provided upon request. Generally, ployee from participating as such in a these records, together with written particular matter in which, to his or advice given in connection with less her knowledge, he or she, his or her formal requests concerning questions spouse, minor child, partner, or a profit of ethical standards, are kept with the or non-profit enterprise with which he employee’s statement of employment or she is connected has a financial in- and financial interests or financial dis- terest. However, the section permits an closure report (§ 73.735–1006). employee’s agency to grant him or her (c)(1) Waiver for reviewers from certain an ad hoc exemption if the interest is multi-campus institutions. Applicability not so substantial as to affect the in- of the prohibitions of 18 U.S.C. 208(a) tegrity of his or her services. Insignifi- and this subpart are hereby waived cant interests may also be waived by a pursuant to a determination that the general rule or regulation. The matters interest involved is too remote or too in which special Government employ- inconsequential to affect the integrity ees are disqualified by section 208 are of a special Government employee’s re- not limited to those involving a spe- view of a funding application or con- cific party or parties in which the tract proposal from one campus of one United States is a party or has an in- of the following multi-campus institu- terest, as in the case of sections 203, 205 tions, where the interest consists sole- and 207. Section 208 therefore extends ly of employment as a faculty member to matters in addition to contracts, (including Department Chairman) at a grants, judicial and quasi-judicial pro- separate campus of the same multi- ceedings, and other matters of an ad- campus institution: versary nature. Accordingly, a special The University of Alabama system con- Government employee, like all govern- sisting of the University of Alabama, the ment employees, should in general be University of Alabama in Birmingham, and disqualified from participating as such the University of Alabama in Huntsville.

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The campuses of the University of Cali- Southern Illinois University, and the Illinois fornia. Community Colleges. The system consisting of Colorado State The Indiana University and the other Indi- University, the University of Southern Colo- ana State owned institutions of higher edu- rado, and Fort Lewis College. cation. The Indiana University system consisting The University of Iowa, and Iowa State of eight universities on nine campuses, with University. the exception of the system-wide schools: the The University of Kansas, Kansas State School of Business; the School of Dentistry; University, Wichita State University, Fort the School of Medicine; the School of Nurs- Hays State University, Pittsburg State Uni- ing; and the School of Public and Environ- versity, and the Kansas Technological Insti- mental Affairs. tute. The University of Nebraska system con- Louisiana State University, and other Lou- sisting of the University of Nebraska—Lin- isiana State owned institutions of higher coln, the University of Nebraska at Omaha, education. and the University of Nebraska Medical Cen- The University of Massachusetts, and ter. other Massachusetts State owned institu- The campuses of the State University of tions of higher education. New York. The University of Michigan, Michigan The Oregon system of higher education State University, and Wayne State Univer- consisting of the University of Oregon, Or- sity. egon State University, Oregon Health The University of Minnesota, the Min- Sciences University, Portland State Univer- nesota State University System, and the sity, Western Oregon State College, South- Minnesota Community College System. ern Oregon State College, Eastern Oregon The University of Missouri, and other Mis- State College, and the Oregon Institute of souri State owned institutions of higher edu- Technology. cation. The campuses of the University of Ten- The University of Nebraska, and other Ne- nessee. braska State owned institutions of higher The separate universities comprising the education. University of Texas System. The State University of New York System, The separate universities comprising the and the City University of New York Sys- University of Wisconsin System. tem. The University of North Carolina, North (2) Institutions that are not subject to 18 Carolina State, and other North Carolina U.S.C. 208(a) and the subpart, because State owned institutions of higher edu- they are not part of the same organization cation. within the State. The following State in- Pennsylvania State University, the Uni- versity of Pittsburgh, Temple University, stitutions and systems of higher edu- Lincoln University, and the other State cation have been determined to be sep- owned colleges and universities in Pennsyl- arate from each other to such a degree vania. that no waiver is necessary in order to The University of Texas System, the Texas permit a faculty member (including A&M System, the Texas State University Department Chairman) employed by System, the University System of South one of the State institutions of higher Texas, the Lamar University System, the education to review a funding applica- University of Houston System, East Texas State University, Stephen F. Austin State tion or contract proposal from another University, West Texas State University, of the named institutions within that Midwestern University, North Texas State State: University, Texas Southern University, Texas Woman’s University, Texas Tech Uni- The University of Alabama System and versity and Pan American University. other Alabama State owned institutions of The University of Utah and Utah State higher education. University. The California Community Colleges, the California State Universities and Colleges, [46 FR 7369, Jan. 23, 1981, as amended at 51 and the University of California. FR 15627, Apr. 25, 1986] The University of Colorado, Colorado State University, and other Colorado State owned § 73.735–1005 Salary from two sources. institutions of higher education. Special Government employees are The University of Connecticut, Con- not subject to 18 U.S.C. 209 which pro- necticut State University, the Connecticut Technical Colleges, and the Connecticut hibits other employees from receiving Community Colleges. any salary, or supplementation of Gov- The University of Illinois, Illinois State ernment salary, from a private source University, Western Illinois University, as a compensation for services to the

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