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Subtitle A-Office of the Secretary
Part 0 1 2 3
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 ap-
Policy No. 4 and Executive Order 10582.
assisted by grants.
Labor-effectuation of Title VI of the Civil Rights Act of 1964.
40 41 50 60
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 Executive order of May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104.
SOURCE: The provisions of this Part 0 appear at 31 F.R. 8306, June 14, 1966, unless otherwise noted.
Ethical Conduct for Government Officers 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 office 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.
(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 of a reference to any such restriction 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
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
(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, and regulations.
(c) The head of an administration may delegate authority under $ $ 0.735–8, 0.735–11, 0.735–15, and Subpart E of the regulations in this part. Delegations shall be at the highest practicable level. Delegations of final authority 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.
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 Welfare-Pension 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 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 Assistant Secretary for Administration shall carry out these functions with regard to employees in the Office of the Secretary. $ 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;
$ 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, making a Government decision outside of official channels, or affecting adversely the confidence of the public in the integrity of the Government.
(b) Employees must conduct themselves in such manner that the work of the Department is effectively accomplished. They must observe the requirements of courtesy, consideration and promptness in dealing with or serving the public and the clientele of the Department. Although it is the policy of the Department of Labor not to restrict or interfere with the private lives of its employees, each employee is expected to conduct himself at all times so that his actions will not bring discredit on the Department or the Federal service. Employees shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct prejudicial to the Government. $ 0.735–5 Nondiscrimination.
No employee in this Department while in the performance of his duty may discriminate against any other employee or applicant for employment because of race, color, religion, national origin, sex, or age. $ 0.735–6 Indebtedness.
The Department of Labor considers the indebtedness of its employees to be essentially a matter of their own concern. The Department of Labor will not be placed in the position of acting as a collection agency or of determining the validity or amount of contested debts. Nevertheless, failure on the part of an employee without good reason and in a proper and timely manner to honor his just financial obligations, that is, debts acknowledged by him to be valid or reduced to judgment by a court or to make or to adhere to satisfactory arrangements for the settlement thereof may be the cause for disciplinary action. In this connection each employee has a special obligation to meet his responsibilities for payment of Federal, State, and local taxes. For the purpose of this section, “in a proper and timely manner" means in a manner which the Department determines does not, under the circumstances, reflect adversely on the Government as his employer. $ 0.735–7 Gambling, betting, and lot
teries. An employee shall not participate, while on Government owned or leased property or while on duty for the Government, 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 and similar agency-approved activities.
11 in regard to teaching, lecturing, or writing, directly or indirectly use or allow the use of official information for private purposes or to further a private interest when such information has not been made available to the general public; nor may employees disclose official information in violation of any applicable law, Executive order, or regulation. $ 0.735–9 Misuse of Federal property.
An employee shall not directly or indirectly use or allow the use of Government property, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve such property and shall obey all rules and regulations applicable to its use. $ 0.735–10 Partisan political activities.
Employees are expected to observe the prohibitions on partisan political activities set forth in 18 U.S.C. Chap. 29 and section 9(a) of the Hatch Act. Explanations of the restrictions are set forth in the Employee Handbook, U.S. Civil Service Commission Pamphlet No. 20, and in the Federal Personnel Manual. Subpart 6-Outside Interests, Em
ployment, Business and Professional Activities
8 0.735–11 General.
(a) In the absence of restrictions made necessary by a Department employee's public responsibilities, he is entitled to the same rights and privileges as all other citizens. There is therefore no general prohibition against Department employees holding jobs, financial interests, or engaging in outside business or professional activities. Indeed, such outside activities as teaching, lecturing, and writing are generally to be encouraged since they frequently serve to enhance an employee's value to the Government as well as to increase the spread of knowledge in our society. The employing administration, bureau, or office, may however, impose reasonable restrictions upon such activities where appropriate and in accordance with $ 0.735–1. In addition, an employee may not, whether for or without compensation, engage in teaching, lecturing, or writing
$ 0.735–8 Misuse of official information.
Employees may not, except with specific permission or as provided in $ 0.735–
that is dependent on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request or when the head of his employing administration, bureau, or office gives written authorization for the use of nonpublic information on the basis that its use is in the public interest. In addition, an employee who is a Presi. dential appointee covered by section 401 of Executive Order 11222 of May 8, 1965, shall not receive compensation or anything of monetary value for any consultation, lecture, discussion, writing, or appearance, the subject matter of which is devoted substantially to the responsibilities, programs, or operations of his agency, or which draws substantially on official data or ideas which have not become part of the body of public information.
(b) No employee of the Department of Labor may accept any outside employment, engage in any outside business, professional, or other activity, or have financial interests if such employment, activity, or interests would be in substantial conflict with the interests of the Depa ment or the Government, would interfere with the performance of official duties, would prevent a regular employee from rendering full-time service to the Department or require so much time that his efficiency is impaired, or if such employment, activity, or interests would bring discredit on the Department or the Government. In addition, no employee may engage, directly or indirectly, in a financial transaction as a result of, or relying primarily on, information obtained through his Government employment.
(c) No employee may use or appear to use his Government employment to coerce any person, enterprise, company, association, partnership, society, or other organization or instrumentality to provide financial benefit to himself or another person.
(d) No employee may engage in outside employment under a State or local government except in accordance with Title 5, Part 734, Code of Federal Regulations. $ 0.735–12 Conflict-of-interest laws.
Sections 201 through 209 of Title 18, United States Code, include several re
strictions with regard to a Federal employee's outside interests, employment, business and professional activities. These provisions include prohibitions against:
(a) Participation as a Government employee in matters affecting a personal financial interest, including those of a spouse, minor child, partner or organization with which he has a connection or is seeking employment.
(b) Activities in connection with contracts, claims, and other matters in which the Government is a party or has an interest. Receipt of compensation in connection with such matters.
(c) Receipt of compensation for performing Government work from sources other than the Government. Employees who need guidance concerning the scope and application of these provisions and the exceptions thereto should consult a deputy counselor to the Department. $ 0.735–13 Clearance.
(a) Any employee who is engaged or is planning to engage in outside activities which he believes might be in conflict with this subpart or the conflict-of-interest provision of Title 18, U.S. Code, or might reasonably be so regarded by others shall request clearance from the head of his administration, bureau, or office as to whether such activities are prohibited. The request shall be in writing and shall include, at a minimum the identity of the employee, a statement of the nature of the employment or activity, and the amount of time to be devoted to the employment or activity. The head of the employing administration, bureau, or office may grant clearance only when such clearance would be consistent with applicable laws, orders, and regulations. He shall consult fully with the Solicitor where appropriate. If clearance is not granted, the employee shall not commence or continue the outside employment or activity.
(b) The Secretary or his designee will handle requests for clearance by the heads of administrations, bureaus, offices, Presidential appointees, members of boards or commissions appointed by the Secretary, employees in the immediate Office of the Secretary. Clearance matters involving other employees in the Of