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classes in which the salary of a class for positions involving the operation of is adjusted to the responsibility and dif office machines. ficulty of the work. The salary range for (c) The Merit System Director will each class will consist of minimum, inter- prepare and establish registers of eligivening, and maximum rates of pay to bles in the order of their final scores and provide for salary advancements within will maintain the registers, make certifithe range. In arriving at such salary cation of eligibility, and keep all examischedules, consideration will be given to nation records. the prevailing rates for comparable posi (d) All positions, not specifically extions in other departments of the State empted herein, are to be filled from regisand to other relevant factors. The State ters of eligibles, except for emergency administrative agencies will adopt plans and provisional appointments for limited for salary advancements based upon periods. Appointments will be made by quality and length of service. Salary selection from a limited number of the laws and rules and regulations uniformly highest available eligibles on the approapplicable to departments of the State priate register. government will be given consideration (e) In the absence of an appropriate in the formulation of the compensation register, provisional appointments may plan.

be made pending competitive examina§ 70.8 Recruitment and appointment of

tion, provided each provisional appointee

is certified by the Merit System Director personnel.

as meeting at least the minimum quali(a) All positions in the State agencies,

fications established for the class of except those hereinbefore exempted, will

position, and further provided that no be filled by personnel selected on the

individual may receive successive probasis of merit, and in accordance with

visional or emergency appointments. standards and procedures set forth in

(f) Personnel selected from registers rules and regulations for the merit sys to fill permanent positions will serve a tem.

fixed probationary period. Permanent (b) Regulations governing the admin

appointment will be based upon an evalistration of examinations will include the

uation in writing of the performance of following provisions:

the employee during the probationary (1) Examinations for entrance to the period. service will be conducted on an open (g) An employee of an agency who has competitive basis, with adequate pub received appointment under a merit syslicity, and with a reasonable period for tem with standards substantially comfiling applications.

parable to these will retain the status (2) Applicants admitted to examina held by him under such merit system in tions will meet the minimum require the event the State agency is placed ments for the positions for which they under the jurisdiction of another merit apply as set forth in the specifications system. for the positions.

(h) An employee of an agency in which (3) Examinations will be practical in no comparable merit system has been in nature, constructed to reveal the capac operation may, upon the initial extension ity of the applicant for the position for of the merit system to such agency, which he is competing and his general obtain status through examination on an background and related knowledge, and open competitive or qualifying basis as will be rated objectively. A practical specified in the merit system rules and written test will be included, except that regulations. Such rules and regulations where exceptional qualifications of a may permit an employee with a specified scientific or professional character are period of service in the agency to be required, and competition through an automatically admitted to the examinaassembled examination is impracticable, tion covering the position held by him, an unassembled examination may be and may permit him to be retained at held.

the discretion of the State agency, pro(4) Examinations will also include: A viding he attains a passing grade in rating of training and experience for the such examination. more responsible positions; an oral ex

$ 70.9 Promotions. amination for positions requiring frequent contact with the public, or which Whenever practicable and in the best involve important supervisory or admin- interest of the service, a vacancy will be istrative duties; and a performance test filled by promotion, after consideration

Subpart C-Gifts, Entertainment and Favors Sec. 73.735-301 Accepting gifts and expenses

from outside sources. 73.785-302 Offers of gifts and expenses

from outside sources. 73.735–303 Gifts to official superiors. 73.735-304 Acceptance of awards. 73.735-305 Other prohibitions,

of the eligible permanent employees in the agency or in the career service, upon the basis of demonstrated capacity and quality and length of service. Promotions, whether or not from a competitive promotional register, will require certification of eligibility by the Merit System Director. & 70.10 Layoffs and separations.

(a) Regulations will be established governing layoffs, suspensions and separations, and governing leaves and the conditions for payment of salary at termination of services. Such regulations will include provisions for adequate competition among employees in classes affected by reduction in force, and for retention of employees based upon systematic consideration of type of appointment, length of service and efficiency.

(b) Employees who have completed the required probationary period of appointment and acquired permanent status will not be subject to separation except for cause, or for reasons of curtailment of work or lack of funds. In the event of separation, permanent employees will have the right of appeal to an impartial body through an established procedure provided for in the merit system rules. 8 70.11 Performance evaluations.

A system of periodic evaluations of work performance will be maintained. The manner in which such performance evaluations are to be used in promotions, salary advancements, and separations, as well as in the improvement of individual performance, will be provided for by regulation. $ 70.12 Personnel records and reports.

Such personnel records as are necessary for the proper maintenance of a merit system and effective personnel administration will be maintained by the State administrative agency. Periodic reports will be published by the Merit System Council.

Subpart D-Outside Employment 73.735-401 General provisions. 73.735–402 Professional and consultative

services. 73.735-403 Writing and editing. 73.735-404 Publishing. 73.735-405 Teaching and lecturing. 73.735–406 Holding office in professional

societies. 73.735-407 Holding office under State or

local government.

Subpart - Financial Interests 73.735-501 General provisions. 73.735-502 Employees in regulatory. pro

curement and contracting

activities. 73.735-503 Disposition of financial interest. 73.735-504 Exceptions.

Subpart F-Conduct on the Job 73.735-601 General provisions. 73.735-602 Role of career official in support

of Federal programs. 73.735-603 Use of Government funds. 73.735-604 Use of Government property. 73.735-605 Conduct in Federal buildings. 73.735-606 Use of official information. 73.735-607 Nondiscrimination. 73.735-608 Participation in management

of employee organizations.

Subpart - Financial Responsibility 73.735-701 General provisions. 73.735-702 Processing indebtedness com

plaints. 73.735–703 Telephone inquiries.

Subpart H-Political Activity 73.735-801 Applicability. 73.735-802 Restrictions.

Subpart 1--Administrative Approval for Certain

Activities 73.735-901 Applicability. 73.735-902 Requesting approval. 73.735-903 Annual reporting. 73.785-904 Maintenance of records.

PART 73-STANDARDS OF CONDUCT

Subpart A-General Provisions Sec. 73.735-101 Principles and purpose. 73.735-102 Applicability. 78.735-103 Responsibilties. 73.735–104 Advice and guidance. 73.735-105 Supplementation.

Subpart B-Miscellaneous Statutory Provisions 73.735-201 General.

Subpart J-Statements of Employment and

Financial Interest 73.735–1001 General. 73.735–1002 Applicability. 73.735–1003 Content of statements. 73.735–1004 Submission and review of state

ments. 73.735-1005 Maintenance of records.

Subpart K-Disciplinary and Remedial Action : bers of his family may not accomplish for Sec.

him that which he, himself, may not do. 73.735–1101 Disciplinary action.

The propriety of any activity must be 73.735–1102 Remedial action,

considered in relation to general ethical

standards of the highest order. Certain Subpart 1-Special Provisions Relating to Special Government Employees

standards are set by law. Others are set

by regulation and by policy. This part 73.735–1201 Applicability.

references or discusses these standards 73.735-1202 Ethical standards of conduct.

and constitutes the Department's regula73.735–1203 Statement of financial interests

tions on this subject. Failure to observe required. 73.735–1204 Special Government employees

any of the regulations in this part is who must submit statement cause for disciplinary action. of financial interests.

$ 73.735-102 Applicability, 73.735–1205 Coverage-consultants. 73.735–1206 Coverage--special Government The regulations in this part apply to

employees other than con all officers and employees of the Departsultants.

ment, including regular officers of the 73.735-1207 Restrictions-conflict-of-inter

Public Health Service Commissioned est statutes. 73.735-1208 Requesting waivers or exemp

Corps and Reserve Officers of the Corps tions.

while on active duty, except that the 73.735–1209 Negotiations for contracts or regulations in this part apply to special grants.

Government employees only to the extent 73.735–1210 Salary from two sources,

stated in Subpart L of this part. A speAppendix A--Index to Some Statutes and

cial Government employee is defined by Executive Orders Related to Conflict of In

law as

an officer or employee terest and Other Prohibited Activities.

* who is retained, designated, apAppendix B-Professional Occupations. pointed, or employed to perform, with Appendix C-Additional Positions the In

or without compensation, for not to excumbents of Which Must Complete Employ

ceed 130 days during any period of 365 ment and Financial Interest Statements.

consecutive days, temporary duties Appendix DConfidential Statement of Employment and Financial Interests (For

whether on a full-time or intermittent Use by Regular Government Employees).

basis * * *» Appendix E-Confidential Statement of

$ 73.735–103 Responsibilities. Employment and Financial Interests (For Use by Special Government Employees)

(a) Supervisors are responsible to a Appendix F—Code of Ethics for Govern large degree for maintaining high standment Service.

ards of conduct by employees they superAUTHORITY: The provisions of this part 73

vise. They shall be aware of the Deissued under E.o. 11222 of May 8, 1965, 30 partment regulations and apply the F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104. standards to work they do and superSOURCE: The provisions of this part 73 ap

vise. They shall inform new employees pear at 31 F.R. 4644, Mar. 18, 1966, unless as they come on duty and make sure that otherwise noted.

all employees are kept aware of the regu

lations. Supervisors shall take suitable Subpart A--General Provisions

action, including disciplinary action in $ 73.735-101 Principles and purpose.

accordance with Subpart K of this part,

when violations occur. In order to assure that the business of

(b) Each employee shall be responthis Department is conducted effectively,

sible for observing all generally accepted objectively and without improper influ

rules of conduct and with the specific ence or appearance thereof, all employees

provisions of law and the regulations must be persons of integrity and observe

in this part. He shall secure approvals unquestionable standards of behavior.

when required and file statements of An employee shall not engage in criminal, outside work and financial interests as infamous, dishonest, immoral, or notori appropriate, as stated in this part. He ously disgraceful conduct or other con is subject to discipline in accordance duct prejudicial to the Government. An with Subpart K of this part, when te employee must avoid conflicts of his violates laws, rules or regulations on conprivate interests with his public duties duct or the ethical principles involved. and responsibilities. Also, he must not When an employee has doubt about any do indirectly that which is improper for provision, he shall consult his supervisor, him to do directly. For example, mem the personnel office, the administrative

office or the counselor or deputy coun part are available as needed to deputy selor.

counselors. § 73.735–104 Advice and guidance.

(3) Render authoritative advice and

guidance on matters covered by the regThe following sources shall provide ulations in this part which are presented guidance and assistance as described on to him by employees, special Governmatters covered by the regulations in ment employees, management or perthis part:

sonnel offices in the Washington, D.C., (a) Supervisors shall advise employees metropolitan area or in the Social who come to them with questions on Security Administration headquarters, matters covered by the regulations in Baltimore, Md. this part, or, as they consider appro (4) Receive information on and repriate, shall refer such questions to solve or forward to the Secretary for higher levels of management, the per consideration, conflicts or appearance of sonnel office, or the counselor or deputy conflicts which appear in the Statements counselors who have been designated in of Employment and Financial Interests accordance with paragraphs (b) and (c) submitted under Subpart J or Subpart L of this section.

of this part, which are not resolved at a (b) The Regional Attorneys are desig lower level. nated deputy counselors for all employees (d) The names and addresses of the of the Department in the geographic counselor and deputy counselors will be areas covered by their respective re made available to employees by approgions, except as specified in paragraph priate bulletins, circulars, or other re(c)(3) of this section. Included are leases of a current nature. Any ememployees and special Government em ployee may also obtain the name and ployees of the regional offices, Public address of his counselor or deputy counHealth Service hospitals, clinics, or other selor through his personnel office and Public Health Service installations, Dis may seek advice and guidance theretrict Offices and Payment Centers of the from, either indirectly through his superSocial Security Administration, and Dis visor or the personnel office, or directly trict Offices of the Food and Drug Admin in person, by telephone, or by mail. istration. Deputy counselors shall: (1) Give authoritative advice and

§ 73.735–105 Supplementation. guidance when requested to employees,

Operating agencies may supplement special Government employees, manage

the regulations in this part with addiment officials and personnel offices with tional requirements where necessary. in their areas of jurisdiction.

Such requirements shall not be incon(2) Receive information on and at

sistent with Civil Service Regulations tempt to resolve, or refer to the Depart

and this part. The additional provisions ment counselor, conflicts of interest or

shall be submitted to the Division of Perappearances of conflicts of interest in sonnel Management, Office of AdminisStatements of Employment and Finan

tration, Office of the Secretary, for clearcial Interests submitted by employees ance and publication as necessary, as and special Government employees to supplements to this part. When issued, whom they are required to give advice a copy of the supplement shall be proand guidance, which are not resolved at vided to each employee to whom it aplower levels.

plies. (c) The Assistant General Counsel,

Subpart B-Miscellaneous Statutory Business and Administrative Law Divi

Provisions sion, Office of the General Counsel, is designated as the counselor for the De $ 73.735-201 General. partment. He shall:

Each employee and special Govern(1) Serve as the Department's des

ment employee shall acquaint himself ignee to the Civil Service Commission on

with each statute that relates to his ethimatters covered by the regulations in cal and other conduct as an employee of this part.

his operating agency, the Department, (2) Coordinate the Department's and the Government. These statutory counseling services and assure that coun provisions are referenced in Appendix seling and interpretations on questions A to this part and some are discussed at of conflicts of interest and other mat greater length in the various subparts ters covered by the regulations in this of this part. The statutes will be made

available for review upon the employee's request to the deputy counselor for his part of the Department or to the counselor. Subpart C-Gifts, Entertainment and

Favors 8 73.735–301 Accepting gifts and ex

penses from outside sources. (a) Law provides that a Federal employee shall not accept anything of value for or because of any official act he has performed or will perform. (See criminal provisions in Appendix A of this part.) In this connection, an employee shall not solicit or accept directly or indirectly any gift, gratuity, favor, entertainment, loan or any other thing of monetary value from members of the public with whom he has official relationships, whether or not proffered for or because of any action or decision of the employee, such as from a person or organization that:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with his agency;

(2) Conducts operations or activities that are regulated by his agency; or

(3) Has interests that may be substantially affected by the performance or nonperformance of his oficial duties.

(b) Exceptions to the provisions of paragraph (a) of this section are set forth as follows:

(1) When the acceptance of gifts or expenses clearly is motivated by obvious family or personal relationships (such as those between the parents, children, or spouse of the employee and the employee) and not by the business of the persons concerned.

(2) Food and refreshments of nominal value may be accepted 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.

(3) Loans may be accepted from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans.

(4) Unsolicited advertising or promotional material may be accepted, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(5) An employee may accept travel expenses from outside sources only when acceptance is approved in accordance with the provisions of the Department

Travel Manual. The Travel Manual states restrictions in this connection: "Neither payment in cash nor services in kind may be accepted where an inspectional or administrative-supervisory relationship exists between the traveler and the non-Federal organization offering to pay his expenses. Examples are: Food and Drug inspectors may not receive travel expenses in cash or kind from any individual business which it inspects unless the inspection is under the program of Certification Services or is part of a reconditioning operation; staff of the Department who have responsibility for making grants to States, local governments, or institutions may not receive travel expenses in cash or kind from organizational segments of the States, local governments, or institutions to which the traveler has responsibility for making grants or assuring compliance with grant regulations; grant-in-aid auditors may not accept travel expenses in cash or kind from any organization which they have responsibility for auditing." $ 73.735–302 Offers of gifts and ex.

penses from outside sources. Law provides criminal penalties for whoever directly or indirectly receives, gives, offers or promises anything of value for performance of or to influence the performance of an official act (Item 2, Appendix A of this part). $ 73.735–303 Gifts to official superiors.

An employee shall not solicit contributions from another employee for a gift to an employee in a superior official position. An employee in a superior official position shall not accept a gift presented as a contribution from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior official position (Item 24, Appendix A of this part). $ 73.735–304 Acceptance of awards.

(a) This subpart does not preclude an employee from accepting an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit education and recreational, public service, or civic organization.

(b) An employee shall not accept a gift, present, decoration or other thing from a foreign government unless au

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