Page images
PDF
EPUB

known by such segments of the public to be freely available on request to a Government agency.

(d) State or local government employment. An employee may not engage in outside employment under a State or local government except in accordance with Part 734 of the Civil Service regulations (5 CFR Part 734) and Department of Commerce Administrative Order 202– 734.

(e) Application of the limitations. This section does not preclude an employee from:

(1) Receipt of bona fide reimbursement, unless prohibited by law, for actual expenses for travel on official business and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made, subject to the following conditions:

(i) An employee may not be reimbursed, and payment may not be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits; and

(ii) Any such reimbursement shall be effected in accordance with Department of Commerce Administrative Order 203-9.

(2) Participation in the activities of National or State political parties not proscribed by law.

(3) Participation in the affairs of, or acceptance of an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service, or civic organization. $ 0.735–13 Financial interests.

(a) An employee shall not:

(1) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities; or

(2) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government employment.

(b) No employee shall participate in any manner, on behalf of the United

States, in the negotiation of contracts, the making of loans, and grants, the granting of subsidies, the fixing of rates, or the issuance of valuable permits or certificates, or in any investigation or prosecution, or in the transaction of any other official business, which affects chiefly a person (1) by whom he has been employed or with whom he has had any economic interest within the preceding 2 years, or (2) with whom he has any economic interest or any pending negotiations concerning a prospective economic interest, except with express prior authorization as provided for in Subpart G of this part.

(c) This section does not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the Government so long as it is not prohibited by law, Executive order, Civil Service regulations (5 CFR Part 735), or regulations in this part. $ 0.735–14 Use of Government time or

property. (a) An employee shall not directly or indirectly use, or allow the use of, Government time or property of any kind, including property leased to the Government, for other than officially approved activities.

(b) Each employee shall protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him. $ 0.735–15 Misuse of employment or

information. (a) Use of Government employment. An employee shall not use his Government employment for a 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.

(b) Use of inside information. For the purpose of furthering a private interest, an employee shall not, except as provided in § 0.735–12(c), directly or indirectly use, or allow the use of, information which has been or has the appearance of having been obtained through or in connection with his Goy

ernment employment and which has not been made available to the general public.

(c) Coercion. An 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.

(d) Disclosure of restricted information. No employee shall divulge restricted commercial or economic information, or restricted information concerning the personnel or operations of any Government agency, or release any such information in advance of the time prescribed for its authorized release.

(e) Discrimination. No employee, acting in his official capacity, shall, directly or indirectly, authorize, permit, or participate in any act or course of conduct which, on the ground of race, color, creed, national origin, or sex, excludes from participation, denies any benefit to, or otherwise subjects to discrimination any person under any program or activity administered or conducted by the Department or one of its units, or such employee. (See Department Order 195.) $ 0.735–16 Indebtedness.

(a) An employee shall pay each just financial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. For purposes of this section, “a just financial obligation" means one acknowledged by the employee or reduced to judgment by a court, and “in a proper and timely manner" means in a manner which, in the view of the Department, does not, under the circumstances, reflect adversely on the Government as his employer.

(b) In the event of dispute between an employee and an alleged creditor, this section does not require the Department to determine the validity or amount of the disputed debt. $ 0.735–17 Gambling, betting, and

lotteries. An employee shall not participate while on Government-owned or leased property or while on duty for the Gov

ernment, 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. However, this section does not preclude activities (a) necessitated by an employee's law enforcement duties, or (b) under section 3 of Executive Order 10927 (relating to solicitations conducted by organizations composed of civilian employees or members of the armed forces among their own members for organizational support or for benefit or welfare funds for their own members) and similar agency-approved activities. $ 0.735–18 General conduct prejudicial

to the Government. (a) General policy. Officers and employees of the Federal Government are servants of the people. Because of this, their conduct must, in many instances, be subject to more restrictions and to higher standards than may be the case in certain private employments. They are expected to conduct themselves in a manner which will reflect favorably upon their employer. Although the Government is not particularly interested in the private lives of its employees, it does expect them to be honest, reliable, trustworthy, and of good character and reputation. They are expected to be loyal to the Government, and to the department or agency in which they are employed.

(b) Specific policy. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

(c) Regulations applicable to public buildings and grounds. Each employee is responsible for knowing and complying with regulations of the General Services Administration and of the Department of Commerce applicable to public buildings and grounds. $ 0.735–19 Reporting undue influence

to superiors. Each employee shall report to his superior any instance in which another person inside or outside the Federal Government uses or attempts to use undue influence to induce, by reason of his offi

cial Government position, former Government employment, family relationship, political position, or otherwise, the employee to do or omit to do any official act in derogation of his official duty. Subpart E-Statements of Employ

ment and Financial Interests $ 0.735–20 General provisions.

(a) In order to carry out the purpose of this part, certain employees of the Department, specified in or pursuant to this part, will be required to submit statements of outside employment and financial interests for review designed to disclose conflicts of interest, apparent conflicts of interest on the part of employees, and other matters within the purview of this part.

(b) When a conflict or apparent conflict of interest on the part of an employee or other question of compliance with the provisions of this part arises and is not resolved at a lower level within the Department, e.g., by appropriate remedial action, the information concerning the matter shall be reported to the Secretary through the counselor for the Department designated in $ 0.735–38.

(c) In the event of a conflict or apparent conflict of interest on the part of an employee or other question of compliance with the provisions of this part, the employee concerned shall be provided an opportunity to explain the matter. After consideration of the conflict or apparent conflict of interest or other question of compliance, and the employee's explanation thereof, appropriate action shall be taken. $ 0.735–21 Form and content of state

ments. (a) Statements of employment and financial interests shall be submitted as far as practicable on one of the following forms, as appropriate:

(1) Form CD-220, “Confidential Statement of Employment and Financial Interests (For Use by Government Employees Other Than Special Government Employees)”; or

(2) Form CD-219, “Confidential Statement of Employment and Financial Interests (For Use by Special Government Employees).”

(b) Each of the foregoing forms shall contain, as a minimum, the information required by the formats prescribed by the Civil Service Commission in the Federal Personnel Manual.

(c) Each form shall also require a listing of the sources of (1) all income and gifts (not otherwise reported under financial interests or interests in real property) received by the employee or by any person on his behalf, (2) all contributions to any person for the benefit of or subject to the direction or control of the employee, or for payments for any liability or expense incurred by the employee, during the preceding year (exclusive of income, gifts and contributions from the employee's spouse, parents, children, and other close relatives), the acceptance of which may under the circumstances, result in, or create the apperance of, a conflict of interest.

(d) In addition, each form shall require listing of such other financial information as the responsible official concerned shall decide is relevant in the light of the duties the employee is to perform. The employee will not be required to reveal precise amounts of financial interest when such information is not necessary for a proper determination as to whether there is any apparent conflict of interest. $ 0.735–22 Employees required to sub

mit statements. Except as provided in $ 0.735–23, a statement of employment and financial interests shall be submitted by the following employees other than special Government employees:

(a) Employees paid at a level of the Federal Executive Salary Schedule established by the Federal Executive Salary Act of 1964, as amended.

(b) Employees in grade GS-15 or above of the General Schedule established by the Classification Act of 1949, as amended, or in comparable or higher positions not subject to that Act.

(c) Employees in hearing examiner positions as defined in Civil Service regulation 930.202(c) (5 CFR 930.202(c)).

(d) Employees in positions of grade GS-12 and above, or equivalent, the basic duties and responsibilities of which the head of the operating unit determines require the incumbent to exercise judgment in making or recommending a Government decision, or in taking or recommending a Government action, in regard to:

(1) Contracting or procurement, including the appraisal or selection of contractors, the negotiation or approval of contracts, the supervision of activities performed by contractors, the inspection of materials for acceptability, and the procurement of materials, services, supplies, or equipment;

(2) Administering or monitoring grants or subsidies, including grants to educational institutions and other nonFederal enterprises;

(3) Auditing of financial transactions;

(4) Regulating or auditing private or other non-Federal enterprise;

(5) Use and disposal of excess or surplus property; or

(6) Other activities (regardless of grade) where the decision or action has an economic impact on the interests of a non-Federal enterprise (e.g., export licenses, patents, tax amortization certificates, etc.). Positions in the above-listed categories may be excluded from the reporting requirement whenever the head of an operating unit, with the approval of the Assistant Secretary for Administration, determines that the duties of a position are at such a level of responsibility that the submission of a statement of employment and financial interests by the incumbent is not necessary because of the degree of supervision and review over the incumbent and the remote and inconsequential effect on the integrity of the Government and the Department. Each employee who occupies a position in one of the above-listed categories and who is not excluded from the reporting requirement shall be notified that he is subject to the reporting requirement. $ 0.735–23 Employees not required to

submit statements. A statement of employment and financial interests is not required by this part from the Secretary of Commerce or from a full-time member of a committee, board, or commission appointed by the President. These employees are subject

to separate reporting requirements under section 401 of Executive Order 11222. $ 0.735–24 Time and place for submis

sion of original statements. (a) An employee required to submit a statement of employment and financial interests under this part shall submit that statement not later than:

(1) Ninety days after the effective date of this part if the employee is employed by the Department on or before the effective date of this part; or

(2) Thirty days after the employee's entrance on duty date, but in no case earlier than 90 days after the effective date of this part.

(b) Statements shall be submitted to a personnel officer specified by the head of the operating unit or to such other person as the head of the operating unit, with the approval of the Secretary, may specify. Secretarial officers and heads of operating units shall submit their statements to the Secretary or to such person as the Secretary may designate. $ 0.735–25 Supplementary statements.

(a) Changes or additions:

(1) Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement not later than the end of the quarter in which the changes occur. Quarters end March 31, June 30, September 30, and December 31.

(2) If there are no changes or additions in a quarter, a negative report is not required, except as indicated in paragraph (b) of this section.

(b) For purposes of an annual review, a supplementary statement, negative or otherwise is required as of June 30 each year and shall be submitted within 2 weeks thereafter. $ 0.735–26 Interests of employees' rele

atives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an. interest of the employee. For the purpose of this section, "member of an employee's immediate household” means those blood relations who are members of the employee's household.

66-032-67-2

11

em

$ 0.735–27 Information not known by

employees. If any information required to be included on a statement of employment and financial interests 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 in his behalf. $ 0.735–28 Information not required.

This part does not require an employee to submit on a statement of employment and financial interests or supplementary statement any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, 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 in an employee's statement of employment and financial interests. $ 0.735–29 Confidentiality of

ployees' statements. No employee may have access to a statement of employment and financial interests, or a supplementary statement, unless his official duties make access necessary. Any employee who has access to such a statement shall hold it in confidence. No employee may disclose information from a statement to any person other than an employee of the Department of Commerce or the Civil Service Commission whose official duties make such disclosure necessary, or to other persons as the Civil Service Commission or the Assistant Secretary for Administration may determine for good cause shown. (The foregoing limitations do not apply to release of information by an employee with respect to a statement he has submitted under this section.) $ 0.735–30 Relation of this part to

other requirements. (a) The requirement that employees submit statements of employment and

financial interests and supplementary statements under this part is in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation.

(b) The submission of a statement or supplementary statement by an employee 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, including this part. $ 0.735–31 Special Government

ployees. (a) Special Government employees shall be required to report:

(1) All other employment; and

(2) Financial interests specified on Form CD-219.

(b) A waiver may be granted to the requirements of this section in the case of a special Government employee who is not a consultant or expert (as defined in Chapter 304 of the Federal Personnel Manual) when a determination is made that the duties of the position held by that special Government employee are of such a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. Any such waiver shall be approved by the head of the operating unit concerned or his designee. A copy of the waiver shall be filed with the deputy counselor for the organization unit concerned.

(c) The original statement of employment and financial interests required to be submitted by a special Government employee shall be submitted not later than his entry on duty. Each special employee shall keep his statement current throughout his employment with the Department by the submission of supplementary statements. Subpart F-Supplementary

Regulations $ 0.735-32 Departmental.

The Assistant Secretary for Administration may prescribe supplementary instructions consistent with this part.

em

« PreviousContinue »