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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

designee, shall:

(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).

upplementary regu

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

205;

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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

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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

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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-
ING THE GOVERNMENT

.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

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.03

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* b. A special Government employee from personally and substantially in a govern-
acting as agent or attorney for another per- mental capacity in any matter in which, to
son in the performance of work under a grant his knowledge, he, his spouse, minor child,
by, or a contract with, or for the benefit of, partner, organization in which he is serving
the United States, provided the head of the as oficer, director, trustee, partner, or em-
operating unit concerned, with the approval ployee, or any person or organization with
of the appropriate program Secretarial Oficer, whom he is negotiating or has any arrange-
shall certify in writing that the national in- ment concerning prospective employment,
terest so requires, and such certification shall has a financial interest.
be published in the FEDERAL REGISTER.

.02 Section 208 does not apply:
.05 Section 205 does not apply to a re-

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:
ployee participates or has participated per-
sonally and substantially for the Govern-

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.
Science and Technology shall make a certif- G. CODE OF ETHICS FOR GOVERNMENT SERVICE
cation in writing, published in the FEDERAL
REGISTER, that the national interest would be

“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.

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