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(c) Certain provisions of the Defense a limitation or requirement prescribed in Production Act of 1950, e.g., 50 U.S.C. or pursuant to this part. App. 2160(b) (2) (avoidance of conflicts
80.735-36 Responsibilities of operatof interest), 50 U.S.C. App. 2160 (b) (6)
ing units. (financial statements), and 50 U.S.C.
The head of each operating unit, or his App. 2160(f) (prohibition of use of confidential information for purposes of spec
(a) Furnish or make available to each ulation) (Business and Defense Services Administration and any other primary employee a copy of this part (or a comoperating unit affected); and
prehensive summary thereof) within 90 (d) Certain provisions of Public Law days after approval of this part by the
Civil Service Commission, and, upon 89–136, the Public Works and Economic
their issuance, a copy of any regulations Development Act of 1965, e.g., section 711 (restriction on employing certain EDA supplementary thereto (or a compre
hensive summary thereof); employees by applicants for financial
(b) Furnish or make available to each assistance), and section 710(b) (embezzlement, false book entries, sharing
new employee at the time of his entrance in loans, etc., and giving out unauthor- on duty a copy of this part as it may be
amended and any ized information for speculation).
lations (or a comprehensive summary $ 0.735-34 Effective date of supple
thereof); mentary regulations.
(c) Bring this part (or as it may be Supplementary regulations prescribed amended and any supplementary regupursuant to $ 0.735–33, shall become ef- lations thereto) to the attention of each fective upon approval by the issuing offi- employee annually, and at such other cer unless a different date is required by times as circumstances may warrant as law or a later date is specified therein. may be determined by the Assistant
Secretary for Administration; Subpart G-Administration
(d) Have available for review by em$ 0.735–35 Responsibilities of em- ployees, as appropriate, copies of laws, ployees.
Executive orders, this part, supplemenIt is the responsibility of each em
tary regulations, and pertinent Civil
Service Commission regulations and inployee:
structions relating to ethical and other (a) To assure, at the outset of his em
conduct of Government employees; ployinent, that each of his interests and activities is consistent with the require
(e) Advise each employee who is a ments established by or pursuant to this
special Government employee of his part;
status for purposes of 18 U.S.C. 203 and (b) To submit a statement of employment and financial interests at such
(f) Require each employee specified times and in such form as may be speci
in $ 0.735-22 to submit a statement of fied in or pursuant to this part;
employment and financial interests, as (c) To certify, upon entering on duty provided by or pursuant to this part; in the Department, that he has read this (g) Develop an appropriate form, with part and applicable regulations supple- the approval of the counselor of the Dementary thereto;
partment, on which the employee may (d) To obtain prior written authoriza- certify that he has read this part and tion of any interest or activity about the applicable regulations supplementary propriety of which any doubt exists in thereto, in accordance with $ 0.735the employee's mind, as provided in
35(c), and on which he may, if he so $ 0.735–39;
desires, indicate that he has a private (e) To confine each of his interests activity or interest about which he reand activities at all times within the re- quests advice and guidance as provided quirements established by or pursuant to
by $ 0.735–38. this part, including any authorizations
(h) Require each employee upon engranted pursuant to this part; and
tering on duty and at such other times (f) To obtain a further written au
as may be specified, to execute the certithorization whenever circumstances
fication required by $ 0.735–35(c); change, or the nature or extent of the
(1) Report to the program Secretarial interest or activity changes, in such a
Officer concerned and to the Assistant manner as to involve the possibility of a violation or appearance of a violation of
Secretary for Administration promptly
any instance in which an employee, after $ 0.735–37 Procedure. notice, fails to submit the certification
The review of statements of employrequired under $ 0.735–35(c) or a state
ment and financial interests shall inment of employment or financial inter
clude the following basic measures, ests required under this part within 14
among others: calendar days following the prescribed
(a) Statements shall be submitted to time limit for doing so; and
the designated officer, who will review (j) Take action to impress upon each
each employee's statement of employemployee required to submit a statement
ment and financial interests to ascerof employment and financial Interests,
tain whether they are consistent with upon his supervisor, and upon employees with whom the employee works, their
the requirements established by or pur
suant to this part. (See $ 0.735–24(b).) responsibility as follows:
(b) Where the statement raises any (1) The employee's supervisor is re
question of compliance with the requiresponsible (i) for excluding from the
ments of this part, it shall be submitted range of duties of the employee any con
to a deputy counselor for the organizatracts or other transactions between the
tion unit concerned. The deputy counGovernment and his outside employer,
selor may, in his discretion, utilize the clients, or entities in which he has an
advice and services of others (including Interest within the purview of this part, and (1) for overseeing the employee's
departmental facilities) to obtain fur
ther information needed to resolve the activities in order to insure that the
questions. public interest is protected from im
(c) The designated oficer shall mainproper conduct on his part and that he
tain the statements of employment and will not, through ignorance or inadvert
financial interests in a file apart from ence, embarrass the Government or
the official personnel files and shall take himself.
every measure practicable to insure their (2) The employee's supervisor and
confidentiality. Statements of employemployees with whom he works are re
ment and financial interests shall be sponsible for avoiding the use of the em
preserved for 5 years following the sepaployee's services in any situation in
ration of an employee from the Departwhich a violation of law, regulation, or
ment or following termination of any ethical standards is likely to occur or to
other relationship under which the indiappear to occur.
vidual rendered service to the Depart(3) The supervisor of an employee is
ment, except as may be otherwise responsible for initiating prompt and
authorized by the Assistant Secretary proper disciplinary or remedial action
for Administration or as required by when a violation, intentional or innocent,
law. is detected. (4) Employees shall avoid divulging
$ 0.735–38 Availability for counseling. to a special Government employee priv- (a) The General Counsel of the Delleged Government information which partment shall: is not necessary to the performance of
(1) Serve as the counselor for the his governmental responsibility or in
Department of Commerce with respect
to matters covered by the basic proviformation which directly involves the
sions cited in $ 0.735-2(a) and otherwise financial interests of his non-Govern
by or pursuant to this part; ment employer.
(2) Serve as the Department of Com(5) An employee shall make every merce designee to the Civil Service effort in his private work to avoid any Commission on matters covered by this personal contact with respect to negotia- part; and tions with the Department for contracts, (3) Coordinate the counseling services grants, or loans, if the subject matter is provided under this part and assure that related to the subject matter of his Gov- counseling and interpretations on quesernment employment. When this is not
tions of conflicts of interest and other possible, he may participate if not other
matters covered by this part are availwise prohibited by law (e.g., 18 U.S.C.
able to deputy counselors designated
under paragraph (b) of this section. 203 and 205) in the negotiations for his
(b) The counselor shall designate emprivate employer only with the prior
ployees who shall serve as deputy counapproval of the head of the operating selors for employees of the Department unit concerned.
of Commerce with respect to matters
covered by or pursuant to this part and ization and shall modify or stop the shall give authoritative advice and guid- activity or interest involved, as requested. ance to each employee who seeks advice
$ 0.735–40 Disciplinary and other reand guidance on questions of conflict of
medial action. Interests and other matters covered by
(a) Violation of a requirement estabor pursuant to this part.
(c) Each operating unit shall notify lished in or pursuant to this part shall its employees of the availability of coun- be cause for appropriate disciplinary
action, which may be in addition to any seling services and of how and where these services are available. This noti- penalty prescribed by law. fication shall be given within 90 days (b) When, after consideration of the after approval of this part by the Civil explanation of the employee provided by Service Commission and periodically
$ 0.735–20(c), the reviewing officer, in thereafter. In the case of a new em
cooperation with the responsible superployee appointed after the foregoing visory official, decides that remedial notification, notification shall be made action is required, he will take or cause at the time of his entrance on duty.
to be taken immediate action to end the (d) In each operating unit a deputy
conflict or appearance of conflict of incounselor shall advise and counsel each
terest. Remedial action may include,
but is not limited to: employee concerning any adjustments
(1) Changes in assigned duties; necessary in his financial interests or activities, or in any contemplated inter
(2) Divestment by the employee of his ests or activities, in order to meet the re
conflicting interest; quirements established by or pursuant
(3) Disciplinary action (including reto this part.
moval from the service); or
(4) Disqualification for a particular $ 0.735-39 Authorizations.
assignment. All requests for authorizations re
Remedial action, whether disciplinary or quired under this part shall be addressed
otherwise, shall be effected in accordance to the head of the operating unit con
with applicable laws, Executive orders, cerned. In the Office of the Secretary
and regulations. such requests shall be addressed to the
(c) No disciplinary or remedial acSecretary or such person as he may des
tion may be taken under this section ignate. When granted, authorizations
against an employee of another Federal will be in writing, and a copy of each
department or agency on detail to the authorization will be filed in the em
Department of Commerce other than ployee's official personnel file.
through and with the concurrence of the (a) In case of doubt, or upon the re
detailed employee's employing agency. quest of the employee concerned, cases or questions will be forwarded to the $ 0.735–41 Inquiries and exceptions. counselor or a deputy counselor. (See
(a) Inquiries relating to legal aspects $ 0.735–38.)
of the limitations set forth in or cited in (b) Where an activity requested to be or pursuant to this part should be subauthorized can be conducted as official mitted to the appropriate deputy counbusiness, it shall not be authorized as a selor. Inquiries relating to other aspects private activity, but shall be conducted of this part or regulations supplementary as official business.
thereto should be referred to the appro(c) Where authorizations involve priate personnel office. speaking, writing, or teaching, use of the (b) within the limits of administra. official title of the employee for identifi- tive discretion permitted to the Departcation purposes may be authorized, pro- ment, exceptions to the requirements of vided the employee makes it clear that this part may be granted from time to his statements and actions are not of an time in unusual cases by the head of the official nature.
operating unit, whenever the facts indi(d) If an authorization has been cate that such an exception would progranted for a specific activity or interest, mote the efficiency of the service. Each and the activity or interest is subse- request for such an exception should be quently deemed to constitute a viola- submitted in writing to the head of the tion of the limitations or requirements operating unit concerned, and shall conprescribed in or pursuant to this part, the tain a full statement of the justification employee concerned shall be notified in for the request, Reports concerning writing of the cancellation of the author- such requests, if approved, shall be for
warded to the program Secretarial Oficer concerned and to the Assistant Secretary for Administration by the head of the operating unit concerned. APPENDIX A-STATUTES GOVERNING CONDUCT
OF FEDERAL EMPLOYEES There are numerous statutes pertaining to the ethical and other conduct of Federal employees, far too many to attempt to list them all. Consequently, only the more important ones of general applicability are referred to in this Appendix.
A. BRIBERY AND GRAFT .01 Title 18, U.S.C., section 201, prohibits anyone from bribing or attempting to bribe a public official by corruptly giving, offering, or promising him or any person selected by him, anything of value with intent (a) to influence any official act by him, (b) to influence him to commit or allow any fraud on the United States, or (c) to induce him to do or omit to do any act in violation of his lawful duty. As used in section 201, “Public officials” is broadly defined to include officers, employees, and other persons carrying on activities for or on behalf of the Government.
.02 Section 201 also prohibits a public official's solicitation or acceptance of, or agreement to take, a bribe. In addition, it forbids offers or payments to, and solicitations or receipt by, a public official of anything of value "for or because of” any official act performed or to be performed by him.
.03 Section 201 further prohibits the offering to or the acceptance by a witness of anything of value involving intent to influence his testimony at a trial, Congressional hearing, or agency proceeding. A similar provision applies to witnesses “for or because of" testimony given or to be given. The provisions summarized in this section do not preclude lawful witness fees, travel and subsistence expenses, or reasonable compensation for expert testimony. B. COMPENSATION TO OFFICERS AND EMPLOYEES
IN MATTERS AFFECTING THE GOVERNMENT
.01 Title 18, U.S.C., section 203, prohibits an officer or employee from receiving compensation for services rendered for others before a Federal department or agency in matters in which the Government is a party or is interested.
.02 Section 203 applies to a special Government employee as follows:
a. If the special Government employee has served in the Department of Commerce more than 60 days during the preceding period of 365 days, section 203 applies to him only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially in his governmental capacity, or (2) which is pending in the Department of Commerce; or
b. If the special Government employee has served in the Department no more than 60 days during the preceding period of 365 days,
section 203 applies to him only in relation to a particular matter involving a specific party or parties in which he has at any time participated personally and substantially in his governmental capacity.
.03 Section 203 does not apply to a retired officer of the uniformed services while not on active duty and not otherwise an oficer or employee of the United States. C. ACTIVITIES OF OFFICERS AND EMPLOYEES IN
CLAIMS AGAINST AND OTHER MATTERS AFFECT-
.01 Title 18, U.S.C., section 205, prohibits an officer or employee, otherwise than in the performance of his official duties, from:
a. Acting as agent or attorney for prosecuting any claim against the United States, or receiving any gratuity, or any share of or interest in any such claim in consideration of assistance in the prosecution of such claim; or
b. Acting as agent or attorney for anyone before any Government agency, court, or officer in connection with any matter in which the United States is a party or has a direct and substantial interest.
.02 Section 205 applies to a special Gopernment employee as follows:
a. If the special Government employee has served in the Department more than 60 days during the preceding period of 365 days, section 205 applies to him only in relation to a particular matter involving a specific party or parties (1) in which he has at any time participated personally and substantially in his governmental capacity, or (2) which 18 pending in the Department of Commerce; or
b. If the special Government employee has served in the Department no more than 60 days during the preceding period of 365 days, section 205 applies to him only in relation to a particular matter involving a specific party or parties in which he has at any time participated personally and substantially in his governmental capacity.
Section 205 does not preclude: a. An employee, if not inconsistent with faithful performance of his duties, from acting without compensation as agent or attorney for any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings, in connection with those proceedings; or
b. An employee from giving testimony un. der oath or from making statements required to be made under penalty for perjury or contempt.
.04 Sections 203 and 205 do not preclude:
a. An employee from acting as agent or attorney for his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal iduciary, except in those matters in which he has participated personally and substantially as a Government employee or which are the subject of his oficial responsibility, provided the head of the operating unit concerned approves; or
* b. A special Government employee from personally and substantially in a govern-
.02 Section 208 does not apply:
a. If the officer or employee irst advises tired officer of the uniformed services while
the head of the operating unit concerned of not on active duty and not otherwise an
the nature and circumstances of the matter oficer or employee of the United States.
involved, makes full disclosure of the finanD. DISQUALIFICATION OF FORMER OFFICERS AND
cial interest, and receives in advance a writEMPLOYEES IN
ten determination made by such oficial, with MATTERS CONNECTED WITH FORMER DUTIES OR OFFICIAL RESPONSIBILITIES;
the approval of the appropriate program Sec
retarial Officer, that the interest is not so DISQUALIFICATION OF PARTNERS
substantial as to be deemed likely to affect .01 Title 18 U.S.C., section 207:
the integrity of the services which the Gov. a. Provides that a former Government ofi
ernment may expect from the oficer or emcer or employee, including a former special
ployee; or Government employee, shall be permanently
b. If, by general rule or regulation pubbarred from acting as agent or attorney for lished in the FEDERAL REGISTER, the financial anyone other than the United States in any
interest has been exempted from the requirematter in which the United States is a party
ments of section 208 as being too remote or or is interested and in which he participated
too inconsequential to affect the integrity of personally and substantially in a govern- Government officers' or employees' services. mental capacity; b. Bars a former Government officer or em
F. SALARY OF GOVERNMENT OFFICIALS AND ployee, including a special Government em
EMPLOYEES ployee, of an agency, for a period of 1 year .01 Title 18, U.S.C., section 209, prohibits: after his employment with it has ceased,
a. An officer or employee from receiving from appearing personally as agent or attor
any salary, or any contribution to or suppleney for another person before any court or
mentation of salary, as compensation for his agency in connection with a matter in which
services as an oficer or employee of the the Government has an interest and which
United States from any source other than the was under his official responsibility at the
Government of the United States, except as employing agency (e.g., Department of Com
may be contributed out of the treasury of a merce) at any time within 1 year prior to the end of such responsibility; and
State, county, or municipality; and c. Prohibits a partner of a person em
b. Any person or organization from paying,
contributing to, or supplementing the salary ployed by the Government, including a spe
of an officer or employee under circumstances cial Government employee, from acting as
which would make its receipt a violation of agent or attorney for anyone other than the United States in matters in which the em
subparagraph .01a, of this section.
.02 Section 209:
a. Does not prevent a Government emment or which are the subject of his official
ployee from continuing to participate in a responsibility.
bona fide pension or other welfare plan .02 Subparagraphs .01a. and .01b. of this
maintained by a former employer; section do not prevent a former officer or em
b. Exempts special Government employees ployee or special Government employee who
and employees serving the Government withhas outstanding scientific or technical quali
out compensation, and grants a correspondfications from acting as attorney or agent or
ing exemption to any outside person paying appearing personally before the Department
compensation to such individuals; and of Commerce in connection with a particular
c. Does not prohibit the payment or acmatter in a scientific or technological field
ceptance of sums under the terms of the 1 the Assistant Secretary of Commerce for
Government Employees Training Act.
“Code of Ethics for Government Service," served by such action or appearance by the
House Concurrent Resolution 175, 85th Con. former officer or employee.
gress, 2d Session, 72 Stat. B12 of July 11, 1958,
which reads as follows: E. ACTS AFFECTING A PERSONAL FINANCIAL
"Any Person in Government Service INTEREST
Should: .01 Title 18, U.S.C., section 208 prohibits
"Put loyalty to the highest moral princi. an oficer or employee, including a special
ples and to country above loyalty to persons, Government employee, from participating party, or Government department.