Page images

(1) Although an employee's position but is known to another person, the emmay generally be included within the ployee shall request such other person to terms of subparagraph (1) of this para submit the information on his behalf. graph, such position may be excluded (7) Information not required. Emfrom the reporting requirement when it ployees are not required to submit inforis determined that:

mation relating to their financial inter(a) The duties of a position are such ests in any professional society not conthat the likelihood of the incumbent's ducted as a business enterprise as deinvolvement in a conflicts-of-interest scribed in the next sentence, charitable, situation is remote; or

religious, social, fraternal, recreational, (b) The duties of a position are at public service, civic, political, or similar such a level of responsibility that the organization not conducted as a business submission of a statement of employment enterprise. Professional societies, educaand financial interests is not necessary

tional institutions, and other nonprofit because of the degree of supervision and organizations engaged in research, dereview over the incumbent or the incon velopment, or related activities involving sequential effect on the integrity of the grants of money from, or contracts with, Government.

the Government are deemed “business (4) Submission of original and supple

enterprises” and are equired to be inmentary statements. Each employee cov

cluded in employees' statements of emered by this requirement shall complete

ployment and financial interests. the statement and submit it within 90

(8) Effect of employees' statements on days after the effective date of this part. other requirements. The statements of Each new employee shall complete and

employment and financial interests and submit the statement within 30 days supplementary statements required of after his entrance on duty or within 90

employees are in addition to, and are not days after the effective date of this part,

in substitution for, or in derogation of, whichever date is later. All changes in,

any similar requirement imposed by law, or additions to, the information con regulation, or Executive order. The subtained - in each employee's original

mission of the statement or supplemenstatement must be reported in a supple

tary statement by an employee does not mentary statement submitted by the

permit him or any other person to paremployee as of June 30 each year. If no

ticipate in any matter in which his or changes or additions occur a negative

the other person's participation is proreport is required. Not withstanding the

hibited by law, regulation, or Executive filing of the annual report required by

order. this subparagraph, each employee shall.

(9) Confidentiality of employees' at all times avoid acquiring a financial

statements. Each statement of employinterest that could result, or taking an

ment and financial interest and each action that would result, in a violation of

supplementary statement will be held in the conflicts of interest provisions of

strictest confidence. The officials desigsection 208 of title 18, U.S.C.,

nated below to receive such statements

or $ 1105.735–7 of this part. The Adminis

will not allow access to, or information trative Office of the Foundation is re

to be disclosed from, a statement except sponsible for informing each new,

to carry out a purpose of this part. Inaffected employee of the requirement for

formation will not be disclosed from the him to submit the statement within 30

statement except as the Civil Service days after his entrance on duty.

Commission or the appropriate Chair(5) Interests of employees' relatives.

man (or Chairmen, in the case of shared For purposes of the statement, the inter

staff members) may authorize for good ests of a spouse, minor child, or any other

cause shown. member of an employee's immediate

(10) Review of statements. (1) Each household who is a blood relation of the Deputy Chairman will submit his stateemployee, are considered to be interests ment to the appropriate Endowment of the employee.

Chairman (6) Information not known by em (i) Employees of either Endowment ployees. If information required to be in shall submit their statements to the cluded on the statement of employment Deputy Chairman of that Endowment. and financial interests (supplementary (1) Joint employees shall submit or otherwise, including holdings placed their statements to both Deputy in trust) is not known by the employee Chairmen.

(iv) When a statement submitted un (1) Using public office for private der subparagraph (2) or (3) of this gain; paragraph indicates a conflict between (11) Giving preferential treatment to the interests of an employee and the any person; performance of his services for the Gov (iii) Impeding Government efficiency ernment and when the conflict or ap or economy; pearance of conflict cannot be resolved (iv) Losing complete independence or by the Deputy Chairman (or by both impartiality; Deputy Chairmen in the case of joint (v) Making a Government decision employees), he shall report the informa outside official channels; or tion concerning the conflict or appear (vi) Affecting adversely the confiance of conflict to the Chairman through dence of the public in the integrity of the General Counsel. In the case of joint the Government. employees, information concerning the (b) Indebtedness. Employees are exconflict or appearance of conflict shall be pected to meet their just financial oblireported to both Chairmen. The employee gations and not to take advantage of concerned shall be given an opportunity the fact that their wages are not subject to explain the conflict or appearance of to garnishment for private debts. Failconflict before remedial action is ure to meet just financial obligations in initiated.

a proper and timely manner may result (b) Special Government employees. in disciplinary action, up to, and in(1) Each special Government employee cluding, removal. For the purpose of this shall submit a statement of employment, section, a "just financial obligation" and, unless otherwise directed, a state means one acknowledged by the emment of financial interests not later then ployee or reduced to judgment by a court, the time of his employment. It is neces and “in a proper and timely manner" sary that the special Government em means in a manner which the agency ployee report all Federal and non-Federal determines does not, under the circumemployment, and, when a statement of stances, reflect adversely on the Governfinancial interests is required, those fi ment as his employer. In the event of nancial interests which relate, either dispute between an employee and an directly, or indirectly, to his Foundation alleged creditor, this section does not reresponsibilities or duties.

quire the Endowment concerned to (2) Each special Government em determine the validity or amount of the ployee must file a supplementary state disputed debt. ment of employment and financial in (c) Payment of taxes. Employees are terests whenever a significant change expected to meet their obligations for occurs, either in his employment or payment of taxes to Federal, State, and financial interests, in order that his local authorities. Delinquency in paystatement may be kept current.

ment of Federal, State, and local taxes (3) The provisions of paragraph (a) is cause for disciplinary action, up to, (5) through (9) of this section apply to and including, removal. Federal agencies special Government employees in the are required to furnish State taxing ausame manner as to other employees. thorities (including the District of Co

lumbia) with a copy of Form W-2 in$ 1105.735–7 Employee conduct.

dicating annual earnings and Federal (a) General. (1) Each Endowment as income tax withheld. Employees are ausumes that an employee will conduct thorized to pay delinquent Federal taxes himself in a manner that will not dis by payroll deduction: Provided, That credit or embarrass himself or the En they make satisfactory arrangements dowment. However, it is pointed out that with the Internal Revenue Service to the violation of the regulations in this liquidate their tax liabilities in this manpart, or any criminal, infamous, dishon ner. When such arrangements are not est, immoral, or notoriously disgraceful made, District Directors of Internal Revconduct on the part of an employee enue have the authority to levy upon the (whether in official duty status or not), salaries of Federal employees for the full is cause for immediate disciplinary ac amount of delinquent Federal income tion, up to and including removal.

tax. (2) Employees shall avoid any action, (d) Financial interests. Any employee whethez or not specifically prohibited, may hold financial interests and engage which might result in or create the ap in financial transactions in the same pearance of:

way as any private citizen, provided that

such interests or activities are not pro especially applicable in those instances hibited by law, Executive order, or the where the employee has reason to believe regulations in this part. In particular, no that the person, institution, corporation, employee may have any direct or in or group: direct financial interest that conflicts (1) Has, is seeking, or is likely to seek, substantially or appears to conflict sub assistance, support, or funds from an stantially with his duties and responsi Endowment; or bilities as an Endowment employee. No (2) Conducts operations or activities employee shall carry out Endowment which are involved with, or are supported duties involving any organization in by, an Endowment; or which he has a direct or indirect finan (3) Has interests which might be subcial interest. No employee shall engage stantially affected by the employee's perdirectly or indirectly in any financial formance or nonperformance of duties; transaction resulting from, or primarily or relying on, information obtained through (4) May be attempting to affect the his employment, or use his employment employee's official actions. to coerce, or give the appearance of (i) An employee shall not solicit a coercing, a person, to provide financial contribution from another employee for benefit to himself or another.

a gift to an official superior, make a (e) Participation in Endowment grants donation as a gift to an official superior, by former Endowment employees. In or accept a gift from an employee receivcases not directly coming under the pro ing less pay than himself (5 U.S.C. 7351). hibitions of 18 U.S.C. 207 (relating to ac However, this paragraph does not protivities of former Government officials), hibit a voluntary gift of nominal value or the following rules shall apply:

donation in a nominal amount made on (1) In addition to the statutory bars a special occasion such as marriage, illagainst ever dealing with the U.S. Gov ness, or retirement. ernment in connection with a particular (ii) Employees are not permitted to matter in which he participated person accept a gift, or decoration, or other obally and substantially while an employee, jects from a foreign government unless and against dealing with the Government authorized by Congress as provided by for 1 year after leaving in connection the Constitution and in 5 U.S.C. 7342. with a matter under his official respon

(iii) Employees may accept promosibility while in the Government, a for tional material of nominal intrinsic value mer full-time employee of an Endow such as pens, pencils, note pads, calenment may not negotiate with either dars, etc. Employees may, on infrequent Endowment, with a view to obtaining occasions, accept items of nominal value support for himself or his organization, such as food in the ordinary course of a within 1 year after having left the En luncheon or dinner meeting, site visit, dowment, except with the written per or professional conference, when the emmission of the Chairman of the Endow ployee is properly in attendance. ment in which he had been employed. (iv) Neither this paragraph nor para

(2) A former full-time employee of an graph (g) of this section precludes an Endowment may not be compensated employee from receipt of bona fide refrom an Endowment grant directly or imbursement, unless prohibited by law, indirectly within 1 year of his leaving for expenses of travel and such other the Endowment, except with the written necessary subsistence as is compatible permission of the Chairman of the En with this part for which no Government dowment in which he had been employed. payment or reimbursement is made.

(3) In the case of joint employees, the However, this paragraph does not allow written permission referred to in sub an employee to be reimbursed, or payparagraphs (1) and (2) of this paragraph ment to be made on his behalf, for excesmust be given by both Chairmen.

sive personal living expenses, gifts, enter(f) Gifts, entertainment, and favors.

tainment or other personal benefits, nor Employees may not solicit, or accept di

does it allow an employee to be reimrectly or indirectly from any person, in

bursed by a person for travel on official stitution, corporation, or group, anything

business under agency orders when reof economic value as a gift, gratuity,

imbursement is proscribed by Decision favor, entertainment, or loan, which

B-128527 of the Comptroller General might be reasonably interpreted by

dated March 7, 1967. others as being of such a nature that (g) Outside employment and other It would affect his impartiality. This is activity. (1) Full-time employees shall

not engage in any outside employment or other outside activity not compatible with the full and proper discharge of their duties and responsibilities. Incompatible activities include, but are not limited to, acceptance of anything of monetary value which may result in or create the appearance of a conflict of interest.

(2) Full-time employees shall not engage in outside employment which tends to impair their health or capacity to discharge acceptably their duties and responsibilities.

(3) Full-time employees shall not receive anything of monetary value from a private source as compensation for their activities as Endowment employees.

(4) Employees shall not engage in teaching, lecturing, or writing which is dependent on official information obtained as a result of Government employment, except when the information has been, or is being made available to the general public, or will be made available to the public on request, or when the Chairman or Deputy Chairman of the Endowment concerned gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. However, employees are encouraged to engage in teaching, lecturing, and writing not prohibited by the regulations in this part, by law, or by Executive order.

(5) Employees shall not receive anything of monetary value for any consulting, lecturing, discussion, writing, or presentation, the subject of which is devoted to the responsibilities, programs, or operations of an Endowment, or which draws on official data or ideas which have not become part of the body of public information.

(6) Employees shall not serve as organizers or directors of conferences, colloquia or similar events supported by grant or contract from an Endowment, but may otherwise participate in such events provided they do not receive any compensation or economic benefit for such participation.

(7) Employees may, however, participate in the affairs of, and accept an award for meritorious public contribution or achievement given by a charitable, religious, fraternal, educational, recreational, public service, or civic organization.

(h) Advice or assistance to nonprofit or commercial organizations. The conditions under which full-time employees

may offer assistance or advice to nonprofit or commercial organizations are set forth in this paragraph (h). Although these conditions are stated as general rules, illustrative applications to specific situations are set forth as an aid to interpretation:

(1) General rules. While not on oficial duty, an employee may provide advice or assistance and receive compensation therefor, to either nonprofit or commercial organizations: Provided, That such services are unrelated to his Government activities and do not draw upon information deriving from Government sources not publicly available.

(2) Specific examples. (i) Visiting committees. Employees should not participate in the deliberations of a college or university visiting committee; however, an employee may meet with such groups as an Endowment official where it would be appropriate to attend a similar meeting with any other comparable group requesting his assistance.

(ii) Participation in non-Federal institutions. Employees may not participate in any way in the policy making or administration of a non-Federal institution which receives, or is eligible to receive, funds from a Federal agency.

(iii) Membership and office holding in professional societies. An employee may be a member of a professional society, but may not serve as an officer except where the society has not received any support from an Endowment during the preceding three years and the employee has no reason to expect it to seek support during the tenure of his office. If the society later requests support from an Endowment, the employee should resign his office in the society or request permission to remain in such office.

(i) Misuse of information. For the purpose of furthering a private interest, employees shall not (except as provided in paragraph (g) (4) of this section) directly or indirectly use, or allow the use of, official information obtained through, or in connection with, his Government employment which has not been made available to the general public.

(j) Compensation from Endowment. awarded funds. No full-time employee may receive any compensation, either directly indirectly, from funds awarded to contractors or grantees by either Endowment.

(k) Use of Federal property. No employee may use Federal property or facilities of any kind for other than


officially approved activities. Every em for, or to hold, a State or local office or ployee has the responsibility to protect to undertake the political management of and conserve all Federal property which a candidacy for such office, must secure has been entrusted to him.

the approval of the appropriate Endow(1) Exercise of notary powers. Employ ment Chairman or, in the case of memees who are notaries public may not bers of the shared staff, of both Chaircharge or receive any compensation for men. performing any notarial act during work (6) Full-time employees, with the ing hours, including the luncheon period. prior consent of the Chairman con

(m) Political activity. Restrictions in cerned, or of both Chairmen, in the case this section are applicable to employees of members of the shared staff, may hold on leave, leave without pay, or furlough, positions under a State or local governas well as to other regular employees. ment on a part-time basis only. IntermitIndividuals whose employment is on an tent employees may hold full-time or intermittent basis (not occupying a sub part-time State or local government stantial portion of their time) are sub positions. In both cases, the above reject to the political activities restrictions strictions on political activity must be only while they are in an active duty observed. status. The period of active duty status (n) An employee shall not participate, for a particular employee includes the while on Government-owned or leased entire 24-hour period of any day of actual property or while on duty for the Governemployment. The “Federal Personnel ment, in any gambling activity, such as Manual” may be consulted in the a lottery or the sale or purchase of Foundation Administrative Office. If an numbers, etc. employee is in doubt about permissible

$ 1105.735–8 Presenting grievances to activities, he should contact the Ad

Congress. ministrative Office for clarification. (1) Employees may not use their

Nothing in this part shall be construed official positions or influence for the pur

as abridging in any way the right of empose of interfering with an election and ployees, either individually or collecthey may not take an active part in

tively, to petition Congress, or any Mempolitical management or in political

ber thereof, or to furnish information, campaigns, except as provided in sub

when appropriate, to either House of paragraphs (4) and (5) of this para

Congress, or to any committee or memgraph.

ber thereof. (2) No employee may discriminate APPENDIX-RELATED STATUTORY PROVISIONS against another employee because of his political opinions or affiliations.

The following is a list of statutes related

to the conduct of Government employees and (3) Ar employee may not become a

consultants. Upon request, pertinent excerpts candidate for nomination or election to a of these statutes will be made available by Federal, State, county, or municipal the Administrative Ofice of the Foundation. office on a partisan political ticket. Nor

1. House Concurrent Resolution 175, 85th may an employee become a candidate

Congress, 2d session, 72 Stat. B12, the “Code as an independent when opposed by a

of Ethics for Government Service." partisan political candidate, except as

2. Chapter 11 of title 18, United States

Code, relating to bribery, graft, and conprovided in subparagraph (4) of this

flicts of interest, as appropriate to the emparagraph.

ployees concerned. (4) Certain political subdivisions in the 3. The prohibition against lobbying with vicinity of Washington, D.C., as well as appropriated funds (18 U.S.C. 1918). other municipalities, designated by the

4. The prohibitions against disloyalty and Civil Service Commission, have been

striking (5 U.S.C. 7811, 18 U.S.C. 1918). granted a limited exception to the rules

5. The probibition against the employ

ment of a member of a Communist organizaprohibiting political management or

tion (50 U.S.C. 784). candidacy for local office. In such munic

6. The prohibitions against (1) the disipalities, employees may become candi closure of classified information (18 U.S.C. dates as independents, even when op 798, 50 U.S.C. 783); and (2) the disclosure of posed by partisan political candidates. confidential information (18 U.S.C. 1905). (5) In general, employees are encour

7. The provision relating to the babitual aged to be candidates for, and to hold,

use of intoxicants to excess (5 U.S.C. 7852). State, county, or municipal offices of a

8. The prohibition against the misuse of

a Government vehicle (31 U.S.C. 6388.(c)). nonpartisan nature when permitted by 9. The prohibition against the misuse of law. Employees desiring to be candidates the franking privilege (18 U.S.C. 1719).

« PreviousContinue »