Page images
PDF
EPUB

(W) Any other person who is determined legally not to be an officer or employee of the United States.

(b) "Special Government employee" shall mean an employee as defined in paragraph (a) of this section who is retained, designated, appointed, or employed to perform with or without compensation, for not to exceed 130 days during any period of 365 consecutive days, temporary duties on either a fulltime or intermittent basis.

(c) "Personnel oficer” means & personnel oficial to whom the power of appointment is redelegated under Administrative Order 202–250.

(d) “Operating unit” means, for purposes of this part, primary and constituent operating units designated as such in the Department Order Series of the Department of Commerce and, in addition, the Office of the Secretary.

(e) “Head of an operating unit,” for the purposes of this part, includes the Assistant Secretary for Administration with respect to the performance of functions under this part for the Ofice of the Secretary.

Subpart B-General Policy $ 0.735–5 General principles.

Apart from statute, there are certain principles of fair dealing which have the force of law and which are applicable to all officers of the Government. A public office is a public trust. No public oficer can lawfully engage in business activities which are incompatible with the duties of his office. He cannot, in his private or oficial character, enter into engagements in which he has, or can have, a conflicting personal interest. He cannot allow his public duties to be neglected by reason of attention to his private affairs. Such conflicts of interest are not tolerated in the case of any private fiduciary, and they are doubly proscribed for a public trustee. (40 Ops. Atty. Gen. 187, 190.) $ 0.735–6 Standards required in the

Federal service. 5 CFR 735.101 states: "The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government."

8 0.735–7 Special requirements of the

Department The close and sensitive relationship between the Department of Commerce and the Nation's business community calls for special vigilance on the part of all officers and employees to avoid even any appearance of impropriety. The regulations set forth in this part have been adopted in order to promote the efficiency of the service in the light of the particular ethical and administrative problems arising out of the work of the Department. 8 0.735–8 Limitations on private activi.

ties and interests. It is the policy of the Department to place as few limitations as possible on private activities or interests consistent with the public trust and the effective performance of the official business of the Department. There is no general statutory or regulatory limitation on the conduct of private activities for compensation by officers or employees of the Department, when the private activity is not connected with any interest of the Government. When the private activity does not touch upon some interest, it may be conducted if it falls outside applicable statutory limitations and regulatory limitations. Subpart C—Statutory Limitations

Upon Employee Conduct $ 0.735–9 Employee responsibilities.

Each employee and special Government employee has a positive duty to acquaint himself with the numerous statutes relating to the ethical and other conduct of employees and special employees of the Department and of the Government. Appendix A of this part contains a listing of the more important statutory provisions of general applicability. In caso of doubt on any question of statutory application to fact situations that may arise, the employee should consult the text of the statutes, which will be made available to him by his organization unit, and he should also avail himself of the legal counseling provided by this part. Subpart D-Regulatory Limitations

Upon Employee Conduct $ 0.735–10 Administrative extension of

statutory limitations. The provisions of the statutes identified in this part which relate to the ethi.

cal and other conduct of Federal em. ployees are adopted and will be enforced as administrative regulations, violations of which may in appropriate cases be the basis for disciplinary action, including removal. The fact that a statute which may relate to employee conduct is not identified in this part does not mean that it may not be the basis for disciplinary action against an employee. 8 0.735–10a Proscribed actions.

An employee shall avoid any action, whether or not specifically prohibited by this subpart, which might result in, or create the appearance of:

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding Government eficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Government decision outside oficial channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Government. $ 0.735–11 Gifts, entertainment, and

favors. (a) General limitations. Except as provided in paragraphs (b) and (f) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or any other thing of monetary value, for himself or another person, from a person who:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with the Department of Commerce;

(2) Conducts operations or activities that are regulated by the Department of Commerce; or

(3) Has interests that may be substantially affected by the performance or nonperformance of the employee's official duty or by actions of the Department.

(b) Exceptions. The following exceptions are authorized to the limitation in paragraph (a) of this section:

(1) Acceptance of a gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or other thing of monetary value incident to obvious family or personal relationships (such as those between the employee

and the parents, children, or spouse of the employee) when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors.

(2) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where an employee may properly be in attendance. For the purpose of this section, "nominal value" means that the value of the food or refreshments shall not be unreasonably high under the circumstances.

(3) Acceptance of loans from banks or other financial institutions on customary terms and on security not inconsistent with paragraph (a) of this section, to finance proper and usual activities of employees, such as home mortgage loans.

(4) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(5) Acceptance of a gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or other thing of monetary value when such acceptance is determined by the head of the operating unit concerned to be necessary and appropriate in view of the work of the Department and the duties and responsibilities of the employee. of each such determination shall be sent to the counselor of the Department.

(6) Special Government employees are covered by this section only while employed by the Department or in connection with such employment.

(c) [Reserved]

(d) Gifts to superiors. An employee shall not solicit a contribution from another employee for a gift to an oficial superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement. An employee who violates these requirements shall be removed from the service.

(e) Gifts from a foreign government. An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless acceptance is (1) authorized by Congress as provided

A copy

by the Constitution and in Public Law 89-673, 80 Stat. 952, and (2) authorized by the Department of Commerce as provided in Administrative Order 202-739.

(f) Reimbursement for travel expenses and subsistence. Neither this section nor 8 0.735–12 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967. (Requirements applicable to Department of Commerce employees are set forth in Department of Commerce Administrative Order 203–9.) $ 0.735–12 Outside employment or

other activity. (a) Incompatible outside employment or other outside activity. An employee shall not engage in outside employment or other outside activity not compatible (1) with the full and proper discharge of the duties and responsibilities of his Government employment, (ii) with the policies or interests of the Department, or (iii) with the maintenance of the highest standards of ethical and moral conduct. Incompatible activities include but are not limited to:

(1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, a conflict of interest;

(2) Outside employment which tends to impair the employee's mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner;

(3) Employment with any foreign government, corporation, partnership, instrumentality, or individual unless authorized by the Department;

(4) Employment by, or service rendered under contract with, any of the persons listed in $ 0.735–11(a);

(5) Receipt by an employee, other than a special Government employee, of

ang salary or anything of monetary value from a private source as compensation for his services to the Government. (18 U.S.C. 209)

(b) Improper benefit from official activity. (1) No employee of the Department shall receive compensation (e.g., an honorarium) or anything of monetary value, other than that to which he is duly entitled from the Government, for the performance of any activity during his service as such employee of the Department and within the scope of his official responsibilities.

(2) As used in this paragraph, "within the scope of his oficial responsibilities” means in the course of or in connection with his official responsibilities. (See 29 Comp. Gen. 163; 30 id. 246; 32 id. 454; 35 id. 354; B-131371, July 17, 1957.)

(3) An activity shall ordinarily be considered to be in the course of or in connection with an employee's official responsibilities if it is performed as a result of an invitation or request which is addressed to the Department or a component thereof, or which is addressed to an employee at his office at the Department, or which there is reason to believe is extended partly because of the official position of the employee concerned. (When in doubt, it may be asked whether it is likely that the invitation would have been received if the recipient were not associated with the Department.) Whether an employee is on leave while performing an activity shall be considered irrelevant in determining whether an activity is performed in the course of or in connection with the em. ployee's official responsibilities.

(4) Acceptance of a gift or bequest on behalf of the Department shall be made in accordance with Department Order 3 and Administrative Order 203-9,

(c) Teaching, lecturing, and writing. Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, Executive Order 11222, 5 CFR Part 735, or the regulations in this part and Administrative Order 201-4, "Writing for Outside Publication," subject to the following conditions:

(1) An employee shall not, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Civil Service Commission or the Board of Examiners for the Foreign Service, that depends on infor

mation obtained as a result of his granting of subsidies, the fixing of rates, Government employment, except when or the issuance of valuable permits or that information has been made avail- certificates, or in any investigation or able to the general public or will be made prosecution, or in the transaction of any available on request, or when the Assist- other official business, which affects ant Secretary for Administration or his chiefly a person (1) by whom he has been designee gives written authorization for employed or with whom he has had any the use of nonpublic information on the economic interest within the preceding 2 basis that the use is in the public interest. years, or (2) with whom he has any eco

(2) No employee shall receive com- nomic interest or any pending negotiapensation or anything of monetary value tions concerning a prospective economic for any consultation, lecture, discussion, interest, except with express prior auwriting, or appearance, the subject mat- thorization as provided for in Subpart G ter of which is devoted substantially to of this part. the responsibilities, programs, or opera

(c) This section does not preclude an tions of the Department of Commerce, employee from having a financial interor which draws substantially on official est or engaging in financial transactions data or ideas which have not become to the same extent as a private citizen not part of the body of public information. employed by the Government so long as As used in this subparagraph, “the body it is not prohibited by law, Executive of public information" shall mean infor- order, Civil Service regulations (5 CFR mation which has been disseminated Part 735), or regulations in this part. widely among segments of the public

$ 0.735–14 Use of Government time or which may be affected by or interested

property. in the information concerned, or which is known by such segments of the public

(a) An employee shall not directly or to be freely available on request to a

indirectly use, or allow the use of, GovGovernment agency.

ernment time or property of any kind, (d) [Reserved]

including property leased to the Govern(e) Application of the limitations.

ment, for other than officially approved This section does not preclude an em

activities. ployee from:

(b) Each employee shall protect and (1) [Reserved]

conserve Government property, includ(2) Participation in the activities of ing equipment, supplies, and other propNational or State political parties not

erty entrusted or issued to him. proscribed by law.

$ 0.735–15 Misuse of employment or (3) Participation in the affairs of, or information. acceptance of an award for a meritorious public contribution or achievement given

(a) Use of Government employment.

An employee shall not use his Governby a charitable, religious, professional, social, fraternal, nonprofit educational

ment employment for a purpose that is, and recreational, public service, or civic

or gives the appearance of being, moti

vated by the desire for private gain for organization.

himself or another person, particularly (32 F.R. 15222, Nov. 2, 1967, as amended at

one with whom he has family, business, 33 F.R. 9735, July 6, 1968)

or financial ties. $ 0.735–13 Financial interests.

(b) Use of inside information. For (a) An employee shall not:

the purpose of furthering & private in(1) Have a direct or indirect financial terest, an employee shall not, except as interest that conflicts substantially, or provided in g 0.735–12(c), directly or inappears to conflict substantially, with his directly use, or allow the use of, inforGovernment duties and responsibilities;

mation which has been or has the apor

pearance of having been obtained (2) Engage in, directly or indirectly, through or in connection arith his Govfinancial transaction as a result of, or

ernment employment and which has not primarily relying on, information ob

been made available to the general tained through his Government employ

public. ment.

(c) Coercion. An employee shall not (b) No employee shall participate in use his Government employment to any manner, on behalf of the United coerce, or give the appearance of coercStates, in the negotiation of contracts, ing, a person to provide financial benefit the making of loans, and grants, the to himself or another person, particu

[ocr errors]

larly one with whom he has family, busi- ganizational support or for benefit or ness, or financial ties.

welfare funds for their own members) (d) Disclosure of restricted informa- and similar agency-approved activities. tion. No employee shall divulge re

$ 0.735–18 General conduct prejudicial stricted commercial or economic infor

to the Government. mation, or restricted information concerning the personnel or operations

(a) General policy. Oficers and emof any Government agency, or release

ployees of the Federal Government are any such information in advance of the

servants of the people. Because of this,

their conduct must, in many instances, time prescribed for its authorized release. (e) Discrimination. No employee,

be subject to more restrictions and to acting in his official capacity, shall, di

higher standards than may be the case rectly or indirectly, authorize, permit,

in certain private employments. They or participate in any act or course of

are expected to conduct themselves in a conduct which, on the ground of race,

manner which will reflect favorably upon color, creed, national origin, or sex, ex

their employer. Although the Governcludes from participation, denies any

ment is not particularly interested in the benefit to, or otherwise subjects to dis

private lives of its employees, it does excrimination any person under any pro

pect them to be honest, reliable, trustgram or activity administered or con

worthy, and of good character and repuducted by the Department or one of its

tation. They are expected to be loyal to units, or such employee. (See Depart

the Government, and to the department ment Order 195.)

or agency in which they are employed.

(b) Specific policy. An employee shall $ 0.735–16 Indebtedness.

not engage in criminal, infamous, dis(a) An employee shall pay each just honest, immoral, or notoriously disgracefinancial obligation in a proper and ful conduct, or other conduct prejudicial timely manner, especially one imposed to the Government. by law such as Federal, State, or local (c) Regulations applicable to public taxes. For purposes of this section, "a buildings and grounds. Each employee just financial obligation" means one ac- is responsible for knowing and complyknowledged by the employee or reduced ing with regulations of the General Seryto judgment by a court, and “in a proper ices Administration and of the Departand timely manner" means in a manner ment of Commerce applicable to public which, in the view of the Department, buildings and grounds. does not, under the circumstances, reflect

$ 0.735–19 Reporting undue influence adversely on the Government as his

to superiors. employer. (b) In the event of dispute between

Each employee shall report to his an employee and an alleged creditor, this

superior any instance in which another section does not require the Department

person inside or outside the Federal Govto determine the validity or amount of

ernment uses or attempts to use undue the disputed debt.

influence to induce, by reason of his offi

cial Government position, former Gov$ 0.735-17 Gambling, betting, and

ernment employment, family relationlotteries.

ship, political position, or otherwise, the An employee shall not participate employee to do or omit to do any oficial while on Government-owned or leased act in derogation of his official duty. property or while on duty for the Gov

Subpart E-Statements of Employernment, in any gambling activity including the operation of a gambling

ment and Financial Interests device, in conducting a lottery or pool, $ 0.735–20 General provisions. in a game for money or property or in

(a) In order to carry out the purpose selling or purchasing a numbers slip or ticket. However, this section does not

of this part, certain employees of the De

partment, specified in or pursuant to this preclude activities (a) necessitated by

part, will be required to submit statean employee's law enforcement duties,

ments of outside employment and finanor (b) under section 3 of Executive Order

cial interests for review designed to 10927 (relating to solicitations conducted

disclose conflicts of interest, apparent by organizations composed of civilian conflicts of interest on the part of ememployees or members of the armed ployees, and other matters within the forces among their own members for or- purview of this part.

9

« PreviousContinue »