« PreviousContinue »
relations with the Department of (6) Special Government employees Commerce;
are covered by this section only while (2) Conducts operations or activities employed by the Department or in that are regulated by the Department connection with such employment. of Commerce; or
(c) (Reserved] (3) Has interests that may be sub
(d) Gifts to superiors. An employee stantially affected by the performance
shall not solicit a contribution from or nonperformance of the employee's
another employee for a gift to an offiofficial duty or by actions of the De
cial superior, make a donation as a gift partment.
to an official superior, or accept a gift (b) Exceptions. The following excep
from an employee receiving less pay tions are authorized to the limitation
than himself (5 U.S.C. 7351). However, in paragraph (a) of this section: (1) Acceptance of a gift, gratuity,
this paragraph does not prohibit a volfavor, entertainment, loan, payment of
untary gift of nominal value or donaexpenses, fee, compensation, or other
tion in a nominal amount made on a thing of monetary value incident to
special occasion such as marriage, illobvious family or personal relation
ness, or retirement. An employee who ships (such as those between the em- violates these requirements shall be ployee and the parents, children, or removed from the service. spouse of the employee) when the cir. (e) Gifts from a foreign government. cumstances make it clear that it is An employee shall not accept a gift, those relationships rather than the present, decoration, or other thing business of the persons concerned from a foreign government unless acwhich are the motivating factors.
ceptance is (1) authorized by Congress (2) Acceptance of food and refresh- as provided by the Constitution and in ments of nominal value on infrequent Pub. L. 89-673, 80 Stat. 952, and (2) auoccasions in the ordinary course of a
thorized by the Department of Comluncheon or dinner meeting or other
merce as provided in Administrative meeting or on an inspection tour
Order 202–739. where an employee may properly be in
(f) Reimbursement for travel exattendance. For the purpose of this
penses and subsistence. Neither this section, “nominal value” means that the value of the food or refreshments
section nor $ 0.735-12 precludes an emshall not be unreasonably high under
ployee from receipt of bona fide reimthe circumstances.
bursement, unless prohibited by law, (3) Acceptance of loans from banks
for expenses of travel and such other or other financial institutions on cus
necessary subsistence as is compatible tomary terms and on security not in
with this part for which no Governconsistent with paragraph (a) of this ment payment or reimbursement is section, to finance proper and usual made. However, this paragraph does activities of employees, such as home not allow an employee to be reimmortgage loans.
bursed, or payment to be made on his (4) Acceptance of unsolicited adver- behalf, for excessive personal living tising or promotional material, such as expenses, gifts, entertainment, or pens, pencils, note pads, calendars, and other personal benefits, nor does it other items of nominal intrinsic value. allow an employee to be reimbursed by
(5) Acceptance of a gift, gratuity, a person for travel on official business favor, entertainment, loan, payment of
under agency orders when reimburseexpenses, fee, compensation, or other ment is proscribed by Decision Bthing of monetary value when such ac
128527 of the Comptroller General ceptance is determined by the head of
dated March 7, 1967. (Requirements the operating unit concerned to be
applicable to Department of Comnecessary and appropriate in view of
merce employees are set forth in Dethe work of the Department and the
partment of Commerce Administrative duties and responsibilities of the em
Order 203-9.) ployee. A copy of each such determination shall be sent to the counselor of the Department.
$ 0.735–12 Outside employment or other connection with an employee's official activity.
responsibilities if it is performed as a (a) Incompatible outside employ
result of an invitation or request ment or other outside activity. An em
which is addressed to the Department ployee shall not engage in outside em
or a component thereof, or which is ployment or other outside activity not
addressed to an employee at his office compatible (1) with the full and proper discharge of the duties and re
reason to believe is extended partly besponsibilities of his Government em cause of the official position of the ployment, (2) with the policies or in employee concerned. (When in doubt, terests of the Department, or (3) with it may be asked whether it is likely the maintenance of the highest stand that the invitation would have been ards of ethical and moral conduct. In received if the recipient were not assocompatible activities include but are
ciated with the Department.) Whether not limited to:
an employee is on leave while perform(i) Acceptance of a fee, compensa ing an activity shall be considered irtion, gift, payment of expense, or any relevant in determining whether an other thing of monetary value in cir- activity is performed in the course of cumstances in which acceptance may or in connection with the employee's result in, or create the appearance of,
official responsibilities. a conflict of interest;
(4) Acceptance of a gift or bequest (ii) Outside employment which tends on behalf of the Department shall be to impair the employee's mental or made in accordance with Department physical capacity to perform his Gov Order 3 and Administrative Order 203ernment duties and responsibilities in 9. an acceptable manner;
(c) Teaching, lecturing, and writing. (iii) Employment with any foreign Employees are encouraged to engage government, corporation, partnership, in teaching, lecturing, and writing that instrumentality, or individual unless is not prohibited by law. Executive authorized by the Department;
Order 11222, 5 CFR Part 735, or the (iv) Employment by, or service ren- regulations in this part and Adminisdered under contract with, any of the trative Order 201-4, "Writing for Outpersons listed in $ 0.735-11(a);
side Publication,” subject to the fol(V) Receipt by an employee, other lowing conditions: than a special Government employee, (1) An employee shall not, either for of any salary or anything of monetary or without compensation, engage in value from a private source as compen teaching, lecturing, or writing, includsation for his services to the Govern ing teaching, lecturing, or writing for ment. (18 U.S.C. 209).
the purpose of the special preparation (b) Improper benefit from official ac of a person or class of persons for an tivity. (1) No employee of the Depart- examination of the Civil Service Comment shall receive compensation (e.g., mission or the Board of Examiners for an honorarium) or anything of mone- the Foreign Service, that depends on tary value, other than that to which information obtained as a result of his he is duly entitled from the Govern Government employment, except ment, for the performance of any ac- when that information has been made tivity during his service as such em available to the general public or will ployee of the Department and within be made available on request, or when the scope of his official responsibil- the Assistant Secretary for Adminisities.
tration or his designee gives written (2) As used in this paragraph, authorization for the use of nonpublic “within the scope of his official re- information on the basis that the use sponsibilities” means in the course of is in the public interest. or in connection with his official re- (2) No employee shall receive comsponsibilities. (See 29 Comp. Gen. 163; pensation or anything of monetary 30 id. 246; 32 id. 454; 35 id. 354; B- value for any consultation, lecture, dis131371, July 17, 1957.)
cussion, writing, or appearance, the (3) An activity shall ordinarily be subject matter of which is devoted considered to be in the course of or in substantially to the responsibilities, programs, or operations of the Depart (c) This section does not preclude an ment of Commerce, or which draws employee from having a financial insubstantially on official data or ideas terest or engaging in financial transacwhich have not become part of the tions to the same extent as a private body of public information. As used in citizen not employed by the Governthis paragraph, “the body of public in- ment so long as it is not prohibited by formation" shall mean information law, Executive order, Civil Service regwhich has been disseminated widely ulations (5 CFR Part 735), or regulaamong segments of the public which tions in this part. may be affected by or interested in the (d) The financial (or economic) ininformation concerned, or which is terests described below are too remote known by such segments of the public or too inconsequential to affect the into be freely available on request to a tegrity of an employee's services in Government agency.
any matter involving them, and are (d) [Reserved)
thereby exempted from the prohibi(e) Application of the limitations. tions of 18 U.S.C. 208(a), and do not This section does not preclude an em exclude such employee's participation ployee from:
in the transaction of any official busi(1) [Reserved)
ness involving such financial or eco(2) Participation in the activities of nomic interests: National or State political parties not
Deposits in a bank, savings and loan assoproscribed by law.
ciation, building association, credit union or (3) Participation in the affairs of, or similar financial institution; policies held acceptance of an award for a meritori with an insurance company; constructive inous public contribution or achieve
terests in companies and other entities ment given by a charitable, religious,
owned or held by a mutual fund or other diprofessional, social, fraternal, nonprof
versified investment company in which the it educational and recreational, public
employee has an interest. service, or civic organization.
These exempted financial (or econom
ic) interests need not be reported by (32 FR 15222, Nov. 2, 1967, as amended at 33 FR 9765, July 6, 1968)
employees in their statements of em
ployment and financial interests re80.735–13 Financial interests.
ferred to in s 0.735-21. (a) An employee shall not: (1) Have (18 U.S.C. 208(b); 5 CFR 735.404a) a direct or indirect financial interest (32 FR 15222, Nov. 2, 1967, as amended at 41 that conflicts substantially, or appears FR 34939, Aug. 18, 1976; 47 FR 3350, Jan. to conflict substantially, with his Gov
25, 1982) ernment duties and responsibilities; or
80.735-14 Use of Government time or (2) Engage in, directly or indirectly, a financial transaction as a result of,
property. or primarily relying on, information (a) An employee shall not directly or obtained through his Government em indirectly use, or allow the use of, ployment.
Government time or property of any (b) No employee shall participate in
kind, including property leased to the any manner, on behalf of the United Government, for other than officially States, in the negotiation of contracts. approved activities. the making of loans, and grants, the
(b) Each employee shall protect and granting of subsidies, the fixing of conserve Government property, inrates, or the issuance of valuable per cluding equipment, supplies, and other mits or certificates, or in any investic property entrusted or issued to him. gation or prosecution, or in the transaction of any other official business,
8 0.735-15 Misuse of employment or inforwhich affects chiefly a person with
mation. whom he has any economic interest or (a) Use of Government employment. any pending negotiations concerning a An employee shall not use his Governprospective economic interest, except ment employment for a purpose that with express prior authorization as is, or gives the appearance of being, provided for in Subpart G of this part. motivated by the desire for private
gain for himself or another person, (b) In the event of dispute between particularly one with whom he has an employee and an alleged creditor, family, business, or financial ties.
this section does not require the De(b) Use of inside information. For partment to determine the validity or the purpose of furthering a private in amount of the disputed debt. terest, an employee shall not, except as provided in $ 0.735-12(c), directly or
8 0.735-17 Gambling, betting, and lotterindirectly use, or allow the use of, in ies. formation which has been or has the An employee shall not participate appearance of having been obtained while on Government-owned or leased through or in connection with his property or while on duty for the GoyGovernment employment and which ernment, in any gambling activity inhas not been made available to the cluding the operation of a gambling general public.
device, in conducting a lottery or pool, (c) Coercion. An employee shall not in a game for money or property or in use his Government employment to selling or purchasing a numbers slip or coerce, or give the appearance of co ticket. However, this section does not ercing, a person to provide financial preclude activities (a) necessitated by benefit to himself or another person, an employee's law enforcement duties, particularly one with whom he has or (b) under section 3 of Executive family, business, or financial ties.
Order 10927 (relating to solicitations (d) Disclosure of restricted informa conducted by organizations composed tion. No employee shall divulge re of civilian employees or members of stricted commercial or economic infor- the armed forces among their own mation, or restricted information con- members for organizational support or cerning the personnel or operations of for benefit or welfare funds for their any Government agency, or release own members) and similar agency-apany such information in advance of proved activities. the time prescribed for its authorized release.
8 0.735-18 General conduct prejudicial to (e) Discrimination. No employee, the Government. acting in his official capacity, shall, di (a) General policy. Officers and emrectly or indirectly, authorize, permit, ployees of the Federal Government or participate in any act or course of are servants of the people. Because of
duct which, on the ground of race, this, their conduct must, in many incolor, creed, national origin, or sex, ex stances, be subject to more restrictions cludes from participation, denies any and to higher standards than may be benefit to, or otherwise subjects to dis the case in certain private employcrimination any person under any pro- ments. They are expected to conduct gram or activity administered or con themselves in a manner which will reducted by the Department or one of flect favorably upon their employer. its units, or such employee. (See De Although the Government is not parpartment Order 195.)
ticularly interested in the private lives
of its employees, it does expect them 8 0.735-16 Indebtedness.
to be honest, reliable, trustworthy, (a) An employee shall pay each just and of good character and reputatio financial obligation in a proper and They are expected to be loyal to the timely manner, especially one imposed Government, and to the department by law such as Federal, State, or local or agency in which they are employed. taxes. For purposes of this section, “a (b) Specific policy. An employee just financial obligation" means one shall not engage in criminal, infamous, acknowledged by the employee or re dishonest, immoral, or notoriously disduced to judgment by a court, and "in graceful conduct, or other conduct a proper and timely manner" means in prejudicial to the Government. a manner which, in the view of the De (c) Regulations applicable to public partment, does not, under the circum buildings and grounds. Each employee stances, reflect adversely on the Gov. is responsible for knowing and complyernment as his employer.
ing with regulations of the General
Services Administration and of the Department of Commerce applicable to public buildings and grounds.
8 0.735-19 Reporting undue influence to
superiors. Each employee shall report to his superior any instance in which another person inside or outside the Federal Government uses or attempts to use undue influence to induce, by reason of his official Government position, former Government employment, family relationship, political position, or otherwise, the employee to do or omit to do any official act in derogation of his official duty.
80.735-21 Form and content of state
ments. (a) Statements of employment and financial interests shall be submitted as far as practicable on one of the following forms, as appropriate:
(1) Form CD-220, “Confidential Statement of Employment and Financial Interests (For Use by Government Employees Other Than Special Government Employees)”; or
(2) Form CD-219, “Confidential Statement of Employment and Financial Interests (For Use by Special Government Employees).”
(b) Each of the foregoing forms shall contain, as a minimum, the information required by the formats prescribed by the Civil Service Commission in the Federal Personnel Manual. Questions on a statement of employment and financial interests that go beyond, or are in greater detail than, those included on the Commission's formats may be included on a statement only with the approval of the Assistant Secretary for Administration and the Commission.
(d) The employee will not be required to reveal precise amounts of financial interest when such information is not necessary for a proper determination as to whether there is any apparent conflict of interest.
Subpart E-Statements of Employment and Financial Interests
8 0.735–20 General provisions.
(a) In order to carry out the purpose of this part, certain employees of the Department, specified in or pursuant to this part, will be required to submit statements of outside employment and financial interests for review designed to disclose conflicts of interest, apparent conflicts of interest on the part of employees, and other matters within the purview of this part.
(b) When a conflict or apparent conflict of interest on the part of an employee or other question of compliance with the provisions of this part arises and is not resolved at a lower level within the Department, e.g., by appropriate remedial action, the information concerning the matter shall be reported to the Secretary through the counselor for the Department designated in $ 0.735-38.
(c) In the event of a conflict or apparent conflict of interest on the part of an employee or other question of compliance with the provisions of this part, the employee concerned shall be provided an opportunity to explain the matter. After consideration of the conflict or apparent conflict of interest or other question of compliance, and the employee's explanation thereof, appropriate action shall be taken.
$0.735-22 Employees required to submit
statements. Except as provided in $ 0.735-23, a statement of employment and financial interests shall be submitted by the following employees other than special Government employees:
(a) Employees paid at a level of the Executive Schedule in Subchapter II of Chapter 53 of Title 5, United States Code.
(b) Employees classified at GS-13 or above under section 5332 of Title 5, United States Code, or at a comparable pay level under another authority, who are in positions the basic duties and responsibilities of which are determined by the head of the operating unit concerned to require the incumbent to make a Government decision or to take a Government action in regard to: