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advisory Committee are serving in & this part may occur, at the time of representative capacity and not as em- initial employment and each reappointployees of the Department. Persons ment thereafter each special Government serving in a representative capacity are · employee who is a consultant or adviser not subject to the conflict of interest will be required to supply a statement of laws, but they should nonetheless be (1) all other employment and (2) the guided by the considerations in this financial interests of the special Governpart covering such points as use of in ment employee which the head of the side information, abuse of office and bureau or office in which he serves detergifts.
mines are relevant in the light of the $ 0.735-222 Responsibility of the indi
duties he is to perform, including, but vidual special Government employee.
not limited to, the name of companies
in which he has a significant financial Each person appointed as a special
interest, and the nature of such finanGovernment employee in the Treasury cial interest. Each statement of financial Department is responsible for:
interests will be forwarded to the General (a) Familiarizing himself with the
Counsel through the Advisory Commitcontents of this part and the applica
tee on Ethical Standards along with & bility of the conflict of interest statutes statement of the duties which the proin his particular case.
posed special Government employee will (b) Seeking advice and assistance in
be assigned interpreting the laws and instructions (b) The supervisor of the special Govin case he has any questions concerning
ernment employee should review the them.
statement of employment and financial (c) Being alert to the possibility of
interests in relationship to the duties to conflicts of interest.
be performed and initially determine that (d) Furnishing the Department with no conflict of interest exists prior to information concerning his financial in
submission of the material to the Adterests and keeping this information
visory Committee. Accordingly, such current.
statements must be kept current during PROCEDURES TO BE FOLLOWED
the period the special Government emIN THE DEPARTMENT
ployee is on the Government rolls.
Changes in, or additions to, the infor$ 0.735-230 Information and assistance
mation contained in an employee's stateto special Government employees
ment of employment and financial and their supervisors.
interests shall be reported in a suppleEach special Government employee mentary statement to be furnished 6 appointed in the Department and each months after the date of employment. supervisor of a special Government em If no changes or additions occur, & negaployee will be given a copy of this part tive report is required, and the notation and will be required to familiarize him "no change" should be made on the self with the conflict of interest laws form. and the provisions of the instructions (c) The Department official or bureau applicable to him. If a special Govern head appointing a member of an advisory ment employee or prospective special board or committee to serve in an indiGovernment employee or a supervisor vidual rather than a representative desires assistance in interpreting the in capacity, may (1) waive disclosure of fistructions or laws, he will be referred nancial information when he considers to the Chief Counsel or General Counsel. that such information is not relevant to Either of the latter may refer questions the advisory duties of the board or comof ethical judgment to the Advisory Com mittee, or (2) waive disclosure of finanmittee on Ethical Standards. The com cial information except that which is mittee is identified in Treasury Order relevant to the advisory duties of such No. 215.
board or committee. Such waiver or & 0.735-231 Disclosure of financial in
partial waiver is for the convenience of
the Department and shall in no instance terests.
be considered a substitute for the exemp(a) In order to carry out its responsi tion procedures described under “Applibility to avoid the use of the services of cability of 18 U.S.C. 208" in this subpart. special Government employees in situa- If the official or bureau head elects to tions in which violations of the conflict waive or partially waive disclosure of inof interest laws or of the regulations in formation as described in this paragraph
rather than obtain complete disclosure employee as a consultant or adviser, the of financial information, he must report General Counsel will advise the Departin writing to the General Counsel ment of Justice, through the Ofice of through the Advisory Committee the Legal Counsel, in order to insure a connames of the persons to whom waivers sistent and authoritative interpretation were granted and the specific reasons for of the law. the waivers. In cases of doubt as to
80.735-236 Safeguard of information. which of the three actions is appropriate, he should obtain advice from the
Statements of employment and finanAdvisory Committee.
cial interests, and supplementary state
ments shall be held in confidence. To 8 0.735-232 Service with other Federal
insure this confidentality, bureaus and agencies.
offices shall designate which employees If a special Government employee is are authorized to review and retain the serving in other Federal agencies, he statements. Employees so designated are will be required to inform the Depart responsible for maintaining the statement and each of the agencies of his ments in confidence and shall not allow arrangements with the others so that access to, or allow information to be disappropriate administrative measures closed from, a statement except to carry may be effected. Information of service out the purpose of this part. Information with other Federal agencies will be sub from a statement may not be disclosed mitted along with the statement of em except as the Civil Service Commission ployment and financial interests and or the Secretary of the Treasury may demust be kept current while employed termine for good cause shown. with the Treasury Department.
Subpart (-Additional Rules and $ 0.735-233 Resolution of cases involv.
Guidelines Applicable to Employing a conflict or apparent conflict of interest.
ees Stationed in Foreign countries When a situation arises which indi
GENERAL PROVISIONS cates a conflict of interest or apparent $ 0.735-300 Purpose. conflict of interest and the matter is not resolved, information about the situation
This subpart sets forth additional rules will be reported to the General Counsel,
and guidelines applicable to employees who in turn will report to the Secretary.
and special Government employees staIn any such situation, the special Gov
tioned in foreign countries. ernment employee shall be provided an $ 0.735–301 Policy. opportunity to explain the conflict or
Treasury employees and special Govappearance of conflict.
ernment employees on official duty in $ 0.735-234 Disciplinary and other re foreign countries are both representamedial action.
tives of the Treasury Department and the A violation of the regulations in this
United States Government and guests of part may be cause for appropriate reme
the country in which they serve. This dial action which may be in addition to
subpart is intended simply to emphasize any penalty prescribed by law. Reme these points. dial action may include, but is not
$ 0.735–302 General provisions govern. limited to:
ing conduct in foreign countries. (a) Change in assigned duties;
Treasury employees and special Gov(b) Disqualification for a particular
ernment employees should familiarize assignment;
themselves with the standards of con(c) Divestment by the special Govern
duct for State Department personnel ment employee of his conflicting inter
overseas and be guided accordingly. The est;
most important provisions regarding (d) Disciplinary action.
conduct, not otherwise covered in this $0.735-235 Legal interpretation.
subpart, are contained in $ $ 0.735-310Whenever the General Counsel and the 0.735-316. Since application of the General Counsel of the Civil Service standards may vary slightly in different Commission believe that a substantial countries due to local differences, Treaslegal question is raised by the employ- ury employees and special Government ment of a particular special Government employees should look to the State De
partment embassy for the country in which service is being performed for guidance, interpretation and assistance.
SPECIFIC RULES OF CONDUCT § 0.735–310 Basic rule of conduct.
Treasury employees and special Government employees are obligated to obey the laws of the country in which they are assigned and to observe the rules of moral and courteous conduct in their official and personal lives. 8 0.735–311 Applicability to American
employees. Each head of a Treasury organization overseas shall insure that all employees and special Government employees under his jurisdiction have read and are familiar with the provisions of this part. 8 0.735–312 Applicability to members
of families. Restrictions placed on Treasury employees and special Government employees with respect to speeches, interviews and participation in activities abroad also shall apply to those members of the family of the employee and special Government employee who normally reside with him and are dependent on him. An employee or special Government employee shall be held to strict accountability for the actions of his family. Members of an employee's or special Government employee's family shall avoid expressing views which are unfriendly to or critical of the United States or the host country, their Governments, institutions, or people, either to or in the presence of persons of a foreign nationality. They shall, in addition, refrain from engaging in, or associating closely with, groups of people or organizations engaged in activities which are inimical to or embarrassing to the Government of the United States. § 0.735–313 Expression of thoughts
and views. Employees and special Government employees shall not allude in public speeches or newspaper interviews to disputes between governments or to active political issues in the United States or elsewhere, except with the authorization of the Department. $ 0.735-314 Political activities.
Treasury employees and special Government employees shall not engage in any form of political activity in the coun
try to which they are assigned. (This restriction does not apply to alien spouses who may continue to vote in their own countries.) § 0.735-315 Acceptance of employment
· by a member of a family. Members of the family of a Treasury employee or special Government employee overseas shall not transact or be interested in any business or engage for profit in any profession in the country to which the employee or special Government employee is assigned without the approval of the bureau concerned. Bureaus may make certain exceptions to this with respect to employment for the U.S. Government. $ 0.735–316 Sale of personal automo
biles and other personal property. The following provisions apply to all American employees and special Government employees regardless of agency, attached to United States embassies and constituent posts:
(a) The importation, sale or export of personal property including automobiles of American employees and special Government employees and their dependents must be in accordance with the laws, regulations and conventions of the host country.
(b) Personal property, including motor vehicles, brought to posts abroad by American employees and special Government employees must be for their bona fide personal use or that of their dependents, and not with intent of sale or transfer.
(c) Automobiles purchased for shipment to new posts of assignment should be unostentatious in appearance and modestly equipped.
(d) The employee or special Government employee will not be permitted to sell his personal property, including motor vehicles, at an amount in excess of the price he paid for it plus any taxes and customs paid by him, or for any valuable consideration in excess of the total of these amounts. However, an employee or special Government employee need not sell his personal property, including motor vehicles; he may export it, at his own or U.S. Government expense, under pertinent travel or shipping regulations. He must export it if required to do so by local law, local government regulation, or rules established by the ambassador.
(e) Full responsibility rests with the interpretation and of conditionis in overambassador for controlling the importa- seas locations.
APPENDIX A-IDENTIFICATION OF POSITIONS American employees or special Govern THE INCUMBENTS OF WHICH MUST FILS ment employees attached to the embassy FINANCIAL STATEMENTS or constituent posts. He will issue and
SPECIFIC POSITIONS ensure compliance with local regulations consistent with policy prescribed herein
Office of the Secretary and with other applicable regulations. All employees Grade 15 and above.
(f) Since conditions surrounding the All employees Grades 13 and 14, Omice of importation and sale of personal prop
Domestic Gold and Silver Operations. erty, including motor vehicles, vary
All contract and procurement personnel
Grades 13 and 14, Office of Administrative widely country by country, Treasury
Services. must rely on the ambassador to issue detailed local regulations and procedures
Office oj the General Counsel tailored to meet unique local situations. All attorneys Grade 16 and above, except In issuing such local regulations and pro those in the Office of the Director of Praccedures consideration should be given to
tice. the following alternatives among others
Bureau of Accounts available to the ambassador. The am Commissioner of Accounts. bassador may
Deputy Commissioner of Accounts. (1) Limit or prohibit importation of
Chief Disbursing Officer. certain kinds of personal property. (For
Director, Government Financial Operations.
Comptroller. example, he may limit the number or
Assistant Comptroller (Depositary Analysis). frequency of motor vehicles imported.)
Chief Auditor. (2) Limit classes of persons to whom Operating Facilities Officer. sales may be made. (For example, he Chief, Procurement Section. may arrange for personal property cales
Office of the Comptroller of the Currency to the host government, or to the U.S. Mission's commissary or employee asso
Deputy Comptroller of the Currency.
Chief National Bank Examiner. ciation for use or rental by it.)
Chief Counsel. (3) Limit the conversion of currency
Deputy Chief Counsel. realized from the sale of personal Associate Chief Counsel. property.
Regional Counsel. (4) Require the exportation of per Administrative Assistant to the Comptroller. sonal property at Government or the
Deputy Administrative Assistant to the
Comptroller. employee's or special Government em
Special Assistant to the Comptroller. ployee's expense under applicable travel
Chief Representative in Trusts. or shipping regulations.
Assistant Chief National Bank Examiner.
Director, International Division.
Chief, Organization Division. 80.735-320 Responsibility for guid.
Regional Administrator of National Banks. ance and assistance.
Deputy Regional Administrator of National
Banks. Supervisors in charge of Treasury ac
Bureau oj Customs tivities overseas are responsible for pro
Deputy Commissioner of Customs. viding guidance and assistance to their Assistant Commissioners of Customs. employees and special Government em Chief Counsel. ployees regarding conduct in such over Director, Audit Division.
Assistant Director, Audit Division. seas activities. In the event the super
Director, Financial Management Division. visor in the overseas location needs
Director, Appraisement and Collections Divi. assistance and guidance or interpreta sion tion, he should first look to the State Director, Inspection and Control Division.
Director, Technical Services Division. Department representative in the over
Director, Tariff Classification Rulings Diviseas country. If that is not possible or if
sion. he needs further assistance he should Director, Entry Procedures and Penalties contact his bureau head. Bureaus may Division. refer questions on the regulations in this
Director, Carriers, Drawback, and Bonds
Division. part to the Director of Personnel who
Director, Regulations Division. will confer with the State Department Director, Facilities Management Division. where necessary to assure uniformity of Customs Law Specialists GS-14 and above.
Regional Commissioners of Customs.
toms. Deputy Assistant Regional Commissioners
(Classification and Value). Deputy Assistant Regional Commissioners
(Inspection and Control). Deputy Assistant Regional Commissioners
(Financial Management). Regional Counsels. District Directors. Assistant District Directors. Special Agents in Charge. Assistant Special Agents in Charge. Deputy Special Agents in Charge. Customs Attaches. Resident Agents. Senior Resident Agents. Directors, Field Audit. Assistant Directors, Field Audit. Members and Supervisors of Import Special
ist Teams, GS-13 and above. Employees in Grades GS-15 and above and
persons in comparable or higher positions not subject to the Classification Act, not otherwise identified above,
except: Director, Office of Planning and Research. Planning and Research Officer, Office of
Planning and Research.
Bureau of Engraving and Printing
are responsible for making a Government decision or taking a Government action in regard to contracting or procurement.
Internal Revenue Service All Staff Assistants in the Office of the Com.
-Assistant Division Directors. Office of Assistant Commissioner (Data Proc
essing): -Director, Systems Divison. Office of Assistant Commissioner (Planning
- Director, Systems Development Division. Ofice of Assistant Commissioner (Techni.
Technical Advisor to Division Director. --Branch Chiefs.
-Personnel at GS-13 and above who have
authorty to sigo off on tax rulings. Office of Assistant Commissioner (Adminis
- Director, Facilities Management Division. Regional Commissioners. Regional Inspectors. Assistant Regional Commissioners of Ap
pellate, Audit, Collection, and Intelligence. Executive Assistants to the Assistant Re
gional Commissioners of Appellate, Audit,
Collection, and Intelligence. District Directors. Assistant District Directors. All Attorneys, GS-15 and above. Branch Chiefs, Assistant Branch Chiefs, and
Associate Branch Chiefs in Appellate in
Branch Offices. Contract and procurement personnel in G8 13 and above.
Bureau of the Mint Director of the Mint. Deputy Director of the Mint. Technical Consultant to the Director. Assistant Technical Consultant to the D1
rector. Chief and Assistant Chief, Management
Analysis and Production Division. Financial Manager and Assistant Financial
Manager, Budget and Finance Division. Contract Specialist. General Attorney. Superintendents and Assistant Superintend.
ents, Philadelphia and Denver Mints and
New York Assay Ofice. Officers in Charge, San Francisco Assay Of.
fice and Fort Knox Bullion Depository. Assistant Officer in Charge, San Francisco Assay Ofice.
Bureau of the Public Debt
U.S. Savings Bonds Division
U.S. Secret Service
Office of the Treasurer, United States
EMPLOYMENT AND FINANCIAL INTERESTS
NOTE: Appendix B filed as part of the origi. nal document (April 16, 1966).