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matter will be referred to the General ure to maintain or adhere to them, and Counsel who may refer it to the Advisory (d) establish procedures for furnishing Committee on Ethical Standards. He advice to management and to employees shall report all cases formally referred on the application of standards of conto him to the Secretary.
duct. These procedures involve the es$ 0.735-80 Confidentiality of employ
tablishment of an Advisory Committee on
Ethical Standards and the referral to ees' statements.
the Advisory Committee of problems reStatements of employment and finan
lating to bureau heads and officials who cial interests, and supplementary state
report directly to the Secretary. Probments shall be held in confidence. To
lems relating to all other employees on insure this confidentiality, bureaus and
which advice or guidance is necessary or offices shall designate which employees
desirable may also be referred to the are authorized to review and retain the
Committee through personnel or legal statements. Employees so designated are
channels. responsible for maintaining the statements in confidence and shall not allow
$ 0.735-92 The Department's Coun. access to, or allow information to be selor. disclosed from, a statement except to The General Coursel has been descarry out the purpose of this part. Infor ignated by the Secretary as the Counmation from a statement may not be dis selor for the Department on matters closed except as the Civil Service Com- covered by the regulations in this part. mission or the Secretary of the Treasury He is responsible for coordination of the may determine for good cause shown. counseling service within the Depart$ 0.735-81 Effect of employees' state
ment and for interpretations on ques
tions of conflicts of interest and other ments on other requirements.
matters under this part. He shall reThe statements of employment and fi
port matters formally referred to him nancial interests and supplementary
to the Secretary. statements required of employees under the regulations in this part are in addi- $ 0.735-93 Deputy Counselors. tion to, and not in substitution for, or in The Chief Counsel or legal advisor for derogation of, any similar requirement
each bureau is the Deputy Counselor for imposed by law, order, or regulation.
that bureau. As such, his responsibility The submission of a statement or sup
is to give authoritative advice and guidplementary statement by an employee
ance on conflicts of interest and other does not permit him or any other per
matters covered by this part. son to participate in the matter in which his or the other person's participation is
$ 0.735–94 Role of personnel officers. prohibited by law, order, or regulation. Personnel officers at all organizational RESPONSIBILITIES
levels are responsible for providing gen
eral guidance and assistance to super$ 0.735-90 Assignment of responsibili. visors and employees in implementing ties.
and adhering to the provisions of the The assignment of responsibilities to regulations in this part. Where quescarry out the provisions of this part is tions arise or where advice is sought by described below in $$ 0.735–91-0.735–97. either supervisors or employees which
involve either advice or interpretation $ 0.735-91 Department.
which is legal in nature, personnel ofThe Department's responsibilities are ficers will be responsible for seeing that to (a) issue policy and basic standards of the advice or interpretation is sought or conduct applicable to all Treasury em obtained from the Deputy Counselor or ployees. (b) periodically review the basic
the Counselor, as appropriate. standards issued and to review initially and periodically those additional stand
$ 0.735-95 Bureaus. ards issued by the bureaus, (c) set re
The responsibilities of the bureaus are quirements to insure that supervisors to (a) provide employees with basic and employees are aware of the stand standards of conduct and any additional ards of conduct, of their responsibilities standards and explanations necessary to in maintaining and adhering to those effectively carry out the policy of the standards and of the fact that discipli. President and of the Department, (b) nary action will be taken in cases of fail- see that employees and supervisors are
aware of their responsibilities in maintaining and adhering to established standards of conduct, (c) inform employees as to how and from whom they may get additional clarification of standards of conduct and related laws, rules, and regulations, (d) advise employees of the location or availability of regulations governing conduct in and on Treasury buildings and grounds ($ 0.735-50a), (e) insure that appropriate disciplinary action is taken against employees who violate standards of conduct and related laws, rules and regulations and against supervisors who fail to carry out their responsibilities in taking or recommending disciplinary action when appropriate against employees under them who have committed such offenses, and (f) review and evaluate the effectiveness of standards issued and their application.
NOTE: Bureaus shall provide employees with copies of the regulations in this part. New employees shall be given copies of the regulations in this part at the time of their employment. All employees will be reminded of the standards of conduct at least annually. This may be done by posting the standards on the bulletin board, by reminders in house organs or by other forms of written communication, including payroll inserts. $ 0.735-96 Supervisor.
It is the responsibility of each supervisor to (a) know the standards of conduct applicable to him and the employees under his supervision, (b) advise the employees under his supervision or help them obtain advice on the application of the standards of conduct, (c) adhere to them, (d) see that the employees under his supervision know and adhere to them also, and (e) take or recommend disciplinary action when appropriate in cases where the employees under his supervision violate the standards or the principles upon which they are based. $ 0.735–97 Employees.
Each employee in the Department is required to (a) know the standards of conduct and their application in his case, (b) seek information from his supervisor in case of doubt or misunderstanding on the application of the standards of conduct, (c) adhere to the standards of conduct, and (d) be aware of the consequences of violation of the laws, rules and regulations regarding conduct.
LISTING OF EMPLOYEES WHO MUST FILE
STATEMENTS & 0.735-100 Listing of employees.
Appendix A to this part is a listing of specific employees who must file statements. Bureau heads shall review the list of positions in Appendix A to this part on an annual basis and submit changes as appropriate. The effective date of any change is set by $ 0.735–70(e). Subpart B-Preventing Conflicts of
Interest on the Part of Special Government Employees in the Department
GENERAL PROVISIONS $ 0.735–200 Purpose.
This subpart implements the provisions of Executive Order 11222 dated May 8, 1965, relating to special Government employees in the Treasury Department. $ 0.735–201 Scope.
This subpart relates basically to special Government employees who are consultants and advisers, including experts. Submission of financial statements by special Government employees other than advisers, consultants, and experts is waived except where statements would otherwise be required under $ 0.735–70. Employees who are employed for more than 130 days are treated as regular employees and are subject to the provisions of Subpart A of this part. $ 0.735-202 Policy.
It is the Department's policy in issuing the instructions in this part to adhere rigidly to the policy set forth by the President that every citizen is entitled to have complete confidence in the integrity of his Government and that each individual officer, employee or adviser of the Government must help to earn and must honor that trust by his own integrity and conduct in all official actions. GENERAL RULES OF CONDUCT APPLICABLE
TO SPECIAL GOVERNMENT EMPLOYEES $ 0.735-203 Applicability of Subpart A
of this part. Special Government employees shall familiarize themselves with the rules of conduct contained in Subpart A of this part so they can be guided by the principles contained in those rules insofar as their employment with the Treasury is concerned. In addition, the rules of conduct in 88 0.735–204—0.735–209 specifically apply to them. $ 0.735-204 Use of Government em.
ployment. A special Government employee shall not use his Government employment for à purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties. $ 0.735–205 Use of inside information.
A special Government employee shall not use inside information obtained as a result of his Government 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" as used in this section means information obtained under Government authority which has not become part of the body of public information. $ 0.735-206 Teaching, lecturing, and
writing. Special Government employees may teach, lecture, or write providing such action is not prohibited by law, Executive Order 11222, or the regulations in this part. However, a special Government employee shall not, either with or without compensation, engage in teaching, lecturing, or writing that is dependent upon information obtained as a result of his employment with the Department, except when that information has been made available to the general public or will be made available on request, or when the official to whom he reports receives written authorization from the Secretary or the Advisory Committee for the Secretary for the use of non-public information on the basis that the use is in the public interest. § 0.735-207 Coercion.
A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly
one with whom he has family, business or financial ties. $ 0.735-208 Gifts, entertainment, and
favors. A special Government employee, while 80 employed or in connection with his employment, shall not receive or solicit from a person having business with the Treasury Department anything of value as a gift, gratuity, loan, entertainment, or favor for himself or another person, particularly one with whom he has family, business or financial ties. Exceptions to this are the same exceptions contained in Subpart A of this part for regular employees of the Department. $ 0.735–209 Miscellaneous statutory
provisions. The statutory provisions relating to Treasury employees referred to in 88 0.735–30a, 0.735–31, 0.735-32, 0.735–34, 0.735-42, 0.735–44, 0.735 46, 0.735-51, 0.735-53, 0.735–54, and 0.735-55 apply to special Government employees when serving in their official capacities with the Department. Where there are specific statutes applicable to employees in certain Treasury bureaus, the bureau concerned should inform its special Government employees of the applicability of those statutes to them.
CONFLICT OF INTEREST STATUTES $0.735-210 Applicability of 18 U.S.C.
203 and 205. (a) The prohibitions in 18 U.S.C. 203 and 205 applicable to special Government employees are less stringent than those which affect regular employees; i.e., those who are appointed for more than 130 days a year. These two sections in general operate to preclude & regular Government employee, except in the discharge of his official duties, from representing another person before a department, agency or court, whether with or without compensation, in a matter in which the United States is a party or has a direct and substantial interest. However, the two sections impose only the following major restrictions upon & special Government employee:
(1) He may not, except in the discharge of his oficial duties, represent anyone else before a court or Government agency in a 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 he disqualified because he had participated has at any time participated personally in the matter for the Government or it is and substantially in the course of his pending in an agency he has served more Government employment.
than 60 days in the past year. More (2) He may not, except in the dis particularly, the provision gives the head charge of his official duties, represent of a department or agency the power, anyone else in a matter involving a spe- notwithstanding any prohibition in cific party or parties in which the United either section 203 or 205 of Title 18, U.S. States is a party or has a direct and Code, to allow a special Government emsubstantial interest and which is pend ployee to represent before such departing before the agency he serves. How ment or agency either his regular emever, this restraint is not applicable if ployer or another person or organization he has served the agency no more than in the performance of work under a grant 60 days during the past 365. He is bound or contract. The action required to effect by the restraint, 'if applicable, regard the exemption is a certification by the less of whether the matter is one in Secretary to be submitted for publicawhich he has ever participated person tion in the FEDERAL REGISTER. Such cerally and substantially.
tifications will be forwarded to the Sec(bi These restrictions prohibit both retary through the General Counsel, and paid and unpaid representation and ap the exemption will not take effect until ply to a special Government employee the certification is published. on the days when he does not serve the (g) The other exemptive provision reGovernment as well as on the days when quiring action permits a special Governhe does.
ment employee to represent, with or (c) The rules to be followed in the without compensation, a parent, spouse, Treasury Department to determine the child, or person or estate he serves as a duration of employment of special Gov fiduciary, but only if he has the apernment employees and other temporary proval of the official responsible for employees in order to ascertain the appointments to his position and the application of these statutes are set forth matter involved is neither one in which in Personnel Bulletin No. 70–42.
he has participated personally or sub(d) An employee who undertakes stantially nor one under his official reservice with the Treasury Department sponsibility. The term “official responand another department or agency sibility” is defined in 18 U.S.C. 202 to shall inform each of his arrangements mean, in substance, the direct adminiswith the other.
trative or operating authority to control (e) There may be situations where a Government action. In the Treasury Deconsultant or adviser has a responsible partment, the “official responsible for position with his regular employer which appointments” for these purposes will be requires him to participate personally in the bureau head for purposes of those contract negotiations with the Treasury. appointed as consultants and advisers In this situation, the consultant or ad in bureaus, or the person to whom the viser should participate in the negotia appointee reports for purposes of those tions for his employer only with the appointed as consultants or advisers in knowledge of a responsible Treasury of the Office of the Secretary. ficial; i.e., the full-time official to whom the consultant or adviser reports. Prior
$ 0.735–211 Applicability of 18 U.S.C. to permitting such participation, the responsible Treasury official shall obtain (a) Section 207 of Title 18, U.S. Code the approval in writing of the Advisory applies to individuals who have left GovCommittee.
ernment service, including former spe(f) Section 205 of Title 18, U.S. Code cial Government employees. It prevents contains certain exemptive provisions. a former employee or special GovernThe first of these deals with a similar ment employee from representing ansituation which may arise after a Gov other person in connection with certain ernment grant or contract has been matters in which he participated pernegotiated. This provision in certain sonally and substantially on behalf of cases permits both the Government and the Government. The matters are those the private employer of a special Gov- involving a specific party or parties in ernment employee to benefit from his which the United States is also a party performance of work under a grant or or has a direct and substantial interest. contract for which he would otherwise be In addition, section 207 of Title 18, U.S.
Code, prevents a former employee or special Government employee, for a period of 1 year after his employment has ceased, from appearing personally for another person in such matters before a court, department, or agency if the matters were within the area of his official responsibility at any time during the last year of his Government service. It should be noted that a consultant or adviser usually does not have “official responsibility."
ib) For the purposes of section 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. Accordingly, the appointment of an adviser or consultant should be terminated promptly as soon as it is determined that his services are no longer required. $ 0.735-212 Applicability of 18 U.S.C.
208. (a) Section 208 of Title 18, U.S. Code, bears on the activities of Government personnel, including special Government employees, in the course of their official duties. In general, it prevents an employee or special Government employee from participating as such in a particular matter in which, to his knowledge, he, his spouse, minor child, partner, or a profit or nonprofit enterprise with which he is connected has a financial interest. However, the section permits such an employee's agency to grant him an ad hoc exemption if the interest is not so substantial as to affect the integrity of his services. Insignificant interests may also be waived by a general rule or regulation.
(b) The matters in which special Government employees are disqualified by section 208 of Title 18, U.S. Code, are not limited to those involving a specific party or parties in which the United States is a party or has an interest, as in the case of sections 203, 205, and 207 of Title 18, U.S. Code. Section 208, therefore, undoubtedly extends to matters in addition to contracts, grants, judicial and quasi-judicial proceedings, and other matters of an adversary nature. Accordingly, a special Government employee should in general be disqualified from participating as such in a matter of any type the outcome of which will have a direct and predictable effect upon the financial interests covered by
the section. However, the power of exemption may be exercised in this situation if the special Government employee renders advice of a general nature from which no preference or advantage over others might be gained by any particular person or organization. The power of exemption may, of course, be exercised also where the financial interests involved are minimal in value.
(c) Exemptions under section 208 of Title 18, U.S. Code may be made by general rule or regulation by the Secretary. Ad hoc exemptions may be made by the Secretary, the Under Secretary and the Under Secretary for Monetary Affairs, or upon obtaining the approval of the Advisory Committee on Ethical Standards, by other officials in the Office of the Secretary and by bureau heads to whom advisers and consultants report.
CONSULTANTS AND ADVISERS $ 0.735-220 3
Advice on rules of conduct and conflict of interest statutes. If a special Government employee who is a consultant or adviser has doubt as to the ethics of any conduct falling within the standards of conduct and conflict of interest statutes, he should confer with the Chief Counsel of the bureau in which he is serving or the General Counsel of the Department if he is serving in the Office of the Secretary. The Chief Counsel of any bureau may refer doubtful questions to the General Counsel. Questions of ethical judgment may be referred to the Advisory Committee on Ethical Standards by the General Counsel. $ 0.735-221 Industry, labor, agricul.
tural, and other representatives. There are situations where a consultant or adviser or member of an advisory committee may be providing advice as a representative of an outside group and not as an employee or special Government employee of the Department. Such questions normally arise with respect to members of advisory committees within the departments. Some advisory committees are clearly composed of representatives of industries. The Attorney General has ruled that the Advisory Group to the Commissioner of Internal Revenue is composed of persons serving in a representative capacity. Bureaus or offices using advisory committees may seek the advice of the Chief Counsel, or through him, the General Counsel, to determine whether members of any given