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Subtitle A-Office of the Secretary
Part 0 1 2
5 6 8
Employee responsibilities and conduct.
merce-effectuation of Title VI of the Civil Rights Act of 1964.
tered aircraft of certain commodities from and to Southern Rhodesia.
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PART O EMPLOYEE RESPONSIBILI
TIES AND CONDUCT
Subpart A-General Provisions Sec. 0.735–1 Purpose. 0.735-2 Relation to basic provisions. 0.735–3 Applicability. 0.7354 Definitions.
Subpart B-General Policy 0.735_5 General principles. 0.735–6 Standards required in the Federal
service. 0.735–7 Special requirements of the Depart
ment. 0.735–8 Limitations on private activities and
interests. Subpart C—Statutory Limitations Upon
Employee Conduct 0.735-9 Employee responsibilities.
Subpart D-Regulatory Limitations Upon
Employee Conduct Sec. 0.735–10 Administrative extension of statu
tory limitations. 0.735-10a Proscribed actions. 0.735-11 Gifts, entertainment, and favors. 0.735–12 Outside employment or other 8C
tivity. 0.735-13 Financial interests. 0.735–14 Use of Government time or prop
erty. 0.735-15 Misuse of employment or informa
tion. 0.735–16 Indebtedness. 0.735-17 Gambling, betting, and lotteries. 0.735-18 General conduct prejudicial to the
Government. 0.735–19 Reporting undue influence to su
Subpart E- -Statements of Employment and
Financial Interests Sec. 0.735-20 General provisions. 0.735–21 Form and content of statements. 0.735–22 Employees required to submit
statements. 0.735–22a Employee's complaint on filing
requirement. 0.735–23 Employees not required to submit
statements. 0.735-24 Time and place for submission of
original statements. 0.735–25 Supplementary statements. 0.735–26 Interests of employees' relatives. 0.735-27 Information not known by em
ployees. 0.735–28 Information not required. 0.735-29 Confidentiality of employees' state
ments. 0.735–30 Relation of this part to other
requirements. 0.735–31 Special Government employees.
Subpart Supplementary Regulations 0.735–32 Departmental. 0.735–33 Operating units. 0.735–34 Effective date of supplementary
Subpart G-Administration 0.735–35 Responsibilities of employees. 0.735–36 Responsibilities of operating units. 0.735–37 Procedure. 0.735–38 Availability for counseling. 0.735-39 Authorizations. 0.735-40 Disciplinary and other remedial
action. 0.735-41 Inquiries and exceptions. Appendix A-Statutes Governing Conduct of
Federal Employees. Appendix B-Position Categories, Grade GS
13 and Above, Requiring Statements of Employment and Financial Interests By
Incumbents. Appendix C-Position Categories Below GS
13 Requiring Statements of Employment and Financial Interests By Incumbents.
AUTHORITY: The provisions of this part o Issued under E.O. 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104.
SOURCE: The provisions of this part o appear at 32 F.R. 15222, Nov. 2, 1967, unless otherwise noted.
Subpart A-General Provisions $ 0.735–1 Purpose.
The purpose of this part is to set forth Department of Commerce policy and procedure relating to employee responsibilities and conduct. $ 0.735-2 Relation to basic provisions.
(a) This part implements the following:
(1) The provisions of law cited in this part;
(2) Executive Order 11222 of May 8, 1965 (3 CFR, 1965 Supp. p. 130);
(3) Part 735 of the Civil Service regulations (5 CFR 735.101–735.412, inclusive).
(b) This part prescribes additional standards of ethical and other conduct and reporting requirements deemed appropriate in the light of the particular functions and activities of this Department. $ 0.735–3 Applicability.
This part applies to all persons included within the term "employee” as defined in $ 0.735–4, except as otherwise provided in this part. 8 0.735–4. Definitions.
For purposes of this part, except as otherwise indicated in this part:
(i) Every officer and employee of the Department of Commerce (regardless of location), including commissioned officers of the Environmental Science Services Administration; and
(11) Every other person who is retained, designated, appointed, or employed by a Federal officer or employee, who is engaged in the performance of a function of the Department under authority of law or an Executive act, and who is subject to the supervision of a Federal officer or employee while engaged in the performance of the duties of his position not only as to what he does but also as to how he performs his duties, regardless of whether the relationship to the Department is created by assignment, detail, contract, agreement, or otherwise.
(2) Shall not include:
(i) Members of the Executive Reserve except when they are serving as employees of the Department under the circumstances described in subparagraph (1) of this paragraph;
(ii) Members of crews of vessels owned or chartered to the Government and operated by or for the Maritime Administration under a General Agency Agreement; or
(iil) Any other person who is determined legally not to be an officer or employee of the United States.
(b) "Special Government employee" shall mean an employee as defined in paragraph (a) of this section 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 on either a fulltime or intermittent basis.
(c) “Personnel oficer" means a personnel official to whom the power of appointment is redelegated under Administrative Order 202-250.
(d) "Operating unit” means, for purposes of this part, primary and constituent operating units designated as such in the Department Order Series of the Department of Commerce and, in addition, the Office of the Secretary.
(e) "Head of an operating unit,” for the purposes of this part, includes the Assistant Secretary for Administration with respect to the performance of functions under this part for the Office of the Secretary
Subpart B-General Policy $ 0.735-5 General principles.
Apart from statute, there are certain principles of fair dealing which have the force of law and which are applicable to all officers of the Government. A public office is a public trust. No public officer can lawfully engage in business activities which are incompatible with the duties of his office. He cannot, in his private or official character, enter into engagements in which he has, or can have, a conflicting personal interest. He cannot allow his public duties to be neglected by reason of attention to his private affairs. Such conflicts of interest are not tolerated in the case of any private fiduciary, and they are doubly proscribed for a public trustee. (40 Ops. Atty. Gen. 187, 190.) $ 0.735–6 Standards required in the
Federal service. 5 CFR 735.101 states: “The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government.” $ 0.735–7 Special requirements of the
Department. The close and sensitive relationship between the Department of Commerce and the Nation's business community calls for special vigilance on the part of all officers and employees to avoid even any appearance of impropriety. The regulations set forth in this part have been
adopted in order to promote the efficiency of the service in the light of the particular ethical and administrative problems arising out of the work of the Department. $ 0.735–8 Limitations on private activi.
ties and interests. It is the policy of the Department to place as few limitations as possible on private activities or interests consistent with the public trust and the effective performance of the official business of the Department. There is no general statutory or regulatory limitation on the conduct of private activities for compensation by officers or employees of the Department, when the private activity is not connected with any interest of the Government. When the private activity does not touch upon some interest, it may be conducted if it falls outside applicable statutory limitations and regulatory limitations. Subpart C—Statutory Limitations
Upon Employee Conduct $ 0.735-9 Employee responsibilities.
Each employee and special Government employee has a positive duty to acquaint himself with the numerous statutes relating to the ethical and other conduct of employees and special employees of the Department and of the Government. Appendix A of this part contains a listing of the more important statutory provisions of general applicability. In case of doubt on any question of statutory application to fact situations that may arise, the employee should consult the text of the statutes, which will be made available to him by his organization unit, and he should also avail himself of the legal counseling provided by this part. Subpart D-Regulatory Limitations
Upon Employee Conduct $ 0.735-10 Administrative extension of
statutory limitations. The provisions of the statutes identified in this part which relate to the ethical and other conduct of Federal employees are adopted and will be enforced as administrative regulations, violations of which may in appropriate cases be the basis for disciplinary action, including removal. The fact that a statute which may relate to employee conduct is not identified in this part does not mean that it may not be the basis for disciplinary action against an employee.
$ 0.735–10a Proscribed actions.
an employee may properly be in attendAn employee shall avoid any action,
ance. For the purpose of this section, whether or not specifically prohibited
“nominal value” means that the value of by this subpart, which might result in,
the food or refreshments shall not be or create the appearance of:
unreasonably high under the circum(a) Using public ofice for private
(3) Acceptance of loans from banks (b) Giving preferential treatment to
or other financial institutions on cusany person;
tomary terms and on security not in(c) Impeding Government efficiency
consistent with paragraph (a) of this or economy;
section, to finance proper and usual ac(d) Losing complete independence or
tivities of employees, such as home mortimpartiality;
gage loans. (e) Making a Government decision
(4) Acceptance of unsolicited advertisoutside official channels; or
ing or promotional material, such as (f) Affecting adversely the confidence
pens, pencils, note pads, calendars, and of the public in the integrity of the
other items of nominal intrinsic value. Government.
(5) Acceptance of a gift, gratuity,
favor, entertainment, loan, payment of 30.735–11 Gifts, entertainment, and expenses, fee, compensation, or other favors.
thing of monetary value when such ac(a) General limitations. Except as ceptance is determined by the head of the provided in paragraphs (b) and (f) of operating unit concerned to be necessary this section, an employee shall not and appropriate in view of the work of solicit or accept, directly or indirectly, the Department and the duties and reany gift, gratuity, favor, entertainment, sponsibilities of the employee. A copy loan, payment of expenses, fee, com- of each such determination shall be sent pensation, or any other thing of mone- to the counselor of the Department. tary value, for himself or another per- (6) Special Government employees are son, from a person who:
covered by this section only while em(1) Has, or is seeking to obtain, con- ployed by the Department or in connectractual or other business or financial tion with such employment. relations with the Department of Com
(c) [Reserved] merce;
(d) Gifts to superiors. An employee (2) Conducts operations or activities shall not solicit a contribution from that are regulated by the Department of another employee for a gift to an official Commerce; or
superior, make a donation as a gift to an (3) Has interests that may be substan- official superior. or accept a gift from ani tially affected by the performance or employee receiving less pay than himnonperformance of the employee's offi- self (5 U.S.C. 7351). However, this paracial duty or by actions of the Depart- graph does not prohibit a voluntary gift ment.
of nominal value or donation in a nom(b) Exceptions. The following excep- inal amount made on a special occasion tions are authorized to the limitation in such as marriage, illness, or retirement. paragraph (a) of this section:
An employee who violates these require(1) Acceptance of a gift, gratuity, ments shall be removed from the service. favor, entertainment, loan, payment of (e) Gifts from a foreign government. expenses, fee, compensation, or other An employee shall not accept a gift, thing of monetary value incident to ob- present, decoration, or other thing from vious family or personal relationships a foreign government unless acceptance (such as those between the employee is (1) authorized by Congress as provided and the parents, children, or spouse of by the Constitution and in Public Law the employee) when the circumstances 89–673, 80 Stat. 952, and (2) authorized make it clear that it is those relation- by the Department of Commerce as proships rather than the business of the vided in Administrative Order 202–739. persons concerned which are the moti- (f) Reimbursement for travel exvating factors.
penses and subsistence. Neither this sec(2) Acceptance of food and refresh- tion nor $ 0.735–12 precludes an employee ments of nominal value on infrequent oc- from receipt of bona fide reimbursement, casions in the ordinary course of a unless prohibited by law, for expenses of luncheon or dinner meeting or other travel and such other necessary submeeting or on an inspection tour where sistence as is compatible with this part
for which no Government payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor do it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967. (Requirements applicable to Department of Commerce employees are set forth in Department of Commerce Administrative Order 203–9.) $ 0.735–12 Outside employment or
other activity. (a) Incompatible outside employment or other outside activity. An employee shall not engage in outside employment or other outside activity not compatible (1) with the full and proper discharge of the duties and responsibilities of his Government employment, (ii) with the policies or interests of the Department, or (iii) with the maintenance of the highest standards of ethical and moral conduct. Incompatible activities include but are not limited to:
(1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, a conflict of interest;
(2) Outside employment which tends to impair the employee's mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner;
(3) Employment with any foreign government, corporation, partnership, instrumentality, or individual unless authorized by the Department;
(4) Employment by, or service endered under contract with, any of the persons listed in g 0.735–11(a);
(5) Receipt by an employee, other than a special Government employee, of any salary or anything of monetary value from a private source as compensation for his services to the Government. (18 U.S.C. 209)
(b) improper benefit from official activity. (1) No employee of the Department shall receive compensation (e.g., an honorarium) or anything of monetary value, other than that to which he is duly entitled from the Government, for the performance of any activity during
his service as such employee of the Department and within the scope of his official responsibilities.
(2) As used in this paragraph, "within the scope of his official responsibilities” means in the course of or in connection with his official responsibilities. (See 29 Comp. Gen. 163; 30 id. 246; 32 id. 454; 35 id. 354; B-131371, July 17, 1957.)
(3) An activity shall ordinarily be considered to be in the course of or in connection with an employee's official responsibilities if it is performed as a result of an invitation or request which is addressed to the Department or a component thereof, or which is addressed to an employee at his office at the Department, or which there is reason to believe is extended partly because of the official position of the employee concerned. (When in doubt, it may be asked whether it is likely that the invitation would have been received if the recipient were not associated with the Department.) Whether an employee is on leave while performing an activity shall be considered irrelevant in determining whether an activity is performed in the course of or in connection with the employee's official responsibilities.
(4) Acceptance of a gift or bequest on behalf of the Department shall be made in accordance with Department Order 3 and Administrative Order 203–9.
(c) Teaching, lecturing, and writing. Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, Executive Order 11222, 5 CFR Part 735, or the regulations in this part and Administrative Order 201-4, "Writing for Outside Publication,” subject to the following conditions:
(1) An employee shall not, either for or without compensation, engage in teaching, lecturing, or writing 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 Assistant Secretary for Administration or his designee gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.
(2) No employee shall 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 opera