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CHAPTER 11—Office of the Assistant Secretary for Labor-Management Re
lations, Department of Labor
CHAPTER 1—National Railroad Adjustment Board
CHAPTER IV-Office of Labor-Management and Welfare-Pension Reports,
Department of Labor
CROSS REFERENCES: Railroad Retirement Board: See Employees' Benefits, 20 CFR
Chapter II. Social Security Administration, Department of Health, Education and Welfare: See Em
ployees' Benefits, 20 CFR Chapter III.
Note: Other regulations issued by the Department of Labor appear in 20 CFR Chapters I, IV, V; 41 CFR Chapter 50, 60. For Standards for a Merit System of Personnel Administration: See 45 CFR Part 70.
Subtitle A-Office of the Secretary
Ethics and conduct of Department of Labor employees.
in whole or in part by loans or grants from the United States.
financed and assisted construction (also labor standards provisions applicable to non-construction contracts subject to the Contract Work Hours
and Safety Standards Act).
Federal and Federally assisted construction.
in Federal Service Contracts.
and Executive Order 10582.
farms by Governmental acquisition of real property.
Labor-effectuation of Title VI of the Civil Rights Act of 1964.
Products Trade Act of 1965.
26 30 31
40 41 50 51 55 60 70 71
Subpart D-Gifts, Fees, Entertainment, and Favors 0.735–14 Acceptance of gratuities generally. 0.735–15 Payments, expenses, reimburse
ments, entertainments, etc.,
from non-Government sources. 0.735-16 Contributions and gifts to superi
ors. 0.735–17 Permissible gifts. Subpart E-Statements of Employment and
Financial Interests 0.735–18 Regular employees required to sub
mit statements, 0.735–19 Supplementary statements, regu
lar employees. 0.735–20 Special Government employees re
quired to submit statements. 0.735-21 Review procedures. 0.735–22 Statements of top staff and certain
other employees. 0.735-23 Confidentiality. 0.735-24 Review of files. 0.735-25 Interests of employees' relatives. 0.735–26 Information not known by em
ployees. 0.735-27 Information not required. 0.735–28 Effect of employees' statements on
other requirements. Appendix A
AUTHORITY: The provisions of this Part 0 issued under E.O. 11222; 3 CFR, 1964-1965 Comp., p. 306; 5 CFR 735.104; 18 U.S.C. secs. 201 through 209.
SOURCE: The provisions of this part o appear at 33 F.R. 10432, July 20, 1968, unless otherwise noted.
Subpart A-General $ 0.735-1 Purpose and scope.
(a) This part is designed to implement provisions of Executive Order 11222 of
May 8, 1965, “Prescribing Standards of Ethical Conduct for Government Oficers and Employees," and 5 CFR 735.101 et seq. It prescribes standards of conduct for employees of the Department of Labor relating to conflicts of interest arising out of outside employment, private business and professional activities, and financial interests. It sets forth requirements for the disclosure of such interests by Department employees. In addition, it states basic principles regarding employees' conduct on the job and the ethics of their relationship to the Department as their employer. The head of an administration, bureau, or cffice may with the approval of the Solicitor, adopt additional standards and procedures, not inconsistent with this part. Any such additional standards and procedures shall be furnished in writing to the employees affected. This part applies to all regular and special Government employees except to the extent otherwise indicated herein. For the purpose of this part:
(1) “Regular employee" means an officer or employee of the Department of Labor, but does not include a special Government employee.
(2) "Special Government employee" means an officer or employee of the Department of Labor 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 either on a full-time or intermittent basis.
(3) "Employee" means a regular and a special Government employee.
(4) The terms “bureau” and “office”, except where otherwise indicated, mean a bureau or office which is not a part of a larger administrative subdivision within the Department of Labor.
(b) This part, among other things, reflects prohibitions and requirements imposed by the criminal and civil laws of the United States. However, the paraphrased restatements of criminal and civil statutes in no way constitute an interpretation or construction thereof that is binding upon the Federal Government. Moreover, this part does not purport to paraphrase or enumerate all restrictions or requirements imposed by statutes, Executive orders, regulations or otherwise upon Federal employees. The omission nf a reference to any such re
striction or requirement in no way alters the legal effect of that restriction or requirement. $ 0.735-2 Counseling service.
(a) The Solicitor has been designated counselor to the Department in matters within the scope of the regulations in this part. Deputy counselors designated by the Solicitor will be available to consult with employees on questions relating to ethics, conduct, and conflict of interest. Employees are expected to familiarize themselves with the regulations in this part, the laws and regulations on which they are based, and the supplementary instructions issued by the administrations, bureaus, and offices in which they work. Attention of all employees is hereby directed to the statutes set forth in 5 CFR 735.210 (see Appendix A to this part). Attention of employees of the Office of Labor-Management and WelfarePension Reports is hereby directed to section 15(b) of the Welfare and Pension Plans Disclosure Act, which prohibits any Department employee from administering or enforcing the Act with respect to any employee organization in which he is a member or employer organization in which he has an interest. Employees who need clarification of the standards of conduct, and related laws, rules, and regulations should consult a deputy counselor.
(b) Each head of an administration, bureau, or office is responsible for application of the standards of conduct to employees under his jurisdiction. He is responsible for assuring that his employees are furnished copies of the regulations in this part not later than 90 days after their approval by the Civil Service Commission. Each new employee shall be furnished such a copy no later than the time of his entrance on duty. The heads of administrations, bureaus, and offices shall assure that employees are advised of the times and places where counseling services are available and the names of the deputy counselors. They shall assure that the regulations in this part are brought to the attention of each employee at least annually and at such other times as circumstances warrant. The heads of administrative subdivisions within the Office of the Secretary which are not a part of larger administrative subdivisions within such Office are responsible for application of the standards of conduct to employees
under their jurisdiction and for carrying out the other functions set forth in this section, $ 0.735–3 General.
(a) Failure of an employee to comply with any of the standards of conduct set forth in this part shall be a basis for such disciplinary or other remedial action as may be appropriate to the particular case. Such remedial action may include, but is not limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee of his conflicting interest;
(3) Disciplinary action; or
(4) Disqualification for a particular assignment.
(b) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, regulations, and applicable agreements between the Department Labor and employee organizations.
(c) The head of an administration may delegate authority under the regula. tions in this part. Delegations shall be at the highest practicable level. Delegations of final authority shall be in writing, in accordance with $ 0.735–1(a), and any such delegations to employing bureaus or offices within such administrations shall be made to no individual lower than the head or acting head of such bureau or office.
Subpart B-Conduct $ 0.735–4 General.
(a) The effectiveness of the Department of Labor in serving the public interest depends upon the extent to which the Department and its employees hold the public confidence. Employees are therefore required not only to observe the requirements of Federal laws, policies, orders, and regulations governing official conduct, they must also avoid any apparent conflict with these requirements. Each employee shall avoid situations in which his private interests conflict or raise a reasonable question of conflict with his public duties and responsibility. An employee shall avoid any action, whether or not specifically prohibited, which might result in or create the appearance of using public office for private gain, giving preferential treatment to any person, impeding Government efficiency or economy, losing complete independence or impartiality,