Subpart C-Statutory Limitations Upon 0.735-9 Employee responsibilities. Subpart D-Regulatory Limitations Upon 0.735-10 Administrative extension of statutory limitations. 0.735-10a Proscribed actions. 0.735-11 Gifts, entertainment, and favors. 0.735-12 Outside employment or other activity. 0.735-13 Financial interests. 0.735-14 Use of Government time or property. 0.735-15 Misuse of employment or information. 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 superiors. Subpart E-Statements of Employment and Financial Interests 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 employees. 0.735-28 Information not required. 0.735-29 Confidentiality of employees' statements. 0.735-50 Judicial review. APPENDIX A-STATUTES GOVERNING CONDUCT OF FEDERAL EMPLOYEES APPENDIX B-POSITION CATEGORIES, GRADE AUTHORITY: E.O. 11222 of May 8, 1965, 30 FR 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104, unless otherwise noted. SOURCE: 32 FR 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 prescribe 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. § 0.735-4 Definitions. For purposes of this part, except as otherwise indicated in this part: (a) "Employee" (1) Shall include: (i) Every officer and employee of the Department of Commerce (regardless of location), including commissioned officers of the Environmental Science Services Administration; and (ii) 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 paragraph (a)(1) of this section; (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 (iii) 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 full-time or intermittent basis. (c) "Personnel officer" 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 activities 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 em § 0.735-10a Proscribed actions. An employee shall avoid any action, whether or not specifically prohibited by this subpart, which might result in, or create the appearance of: (a) Using public office for private gain; (b) Giving preferential treatment to any person; (c) Impeding Government efficiency or economy; (d) Losing complete independence or impartiality; (e) Making a government decision outside official channels; or (f) Affecting adversely the confidence of the public in the integrity of the Government. relations with the Department of Commerce; (2) Conducts operations or activities that are regulated by the Department of Commerce; or (3) Has interests that may be substantially affected by the performance or nonperformance of the employee's official duty or by actions of the Department. (b) Exceptions. The following exceptions are authorized to the limitation in paragraph (a) of this section: (1) Acceptance of a gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or other thing of monetary value incident to obvious family or personal relationships (such as those between the employee and the parents, children, or spouse of the employee) when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors. (2) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where an employee may properly be in attendance. For the purpose of this section, "nominal value" means that the value of the food or refreshments shall not be unreasonably high under the circumstances. (3) Acceptance of loans from banks or other financial institutions on customary terms and on security not inconsistent with paragraph (a) of this section, to finance proper and usual activities of employees, such as home mortgage loans. (4) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value. (5) Acceptance of a gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or other thing of monetary value when such acceptance is determined by the head of the operating unit concerned to be necessary and appropriate in view of the work of the Department and the duties and responsibilities of the employee. A copy of each such determination shall be sent to the counselor of the Department. (6) Special Government employees are covered by this section only while employed by the Department or in connection with such employment. (c) [Reserved] (d) Gifts to superiors. An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement. An employee who violates these requirements shall be removed from the service. (e) Gifts from a foreign government. An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless acceptance is (1) authorized by Congress as provided by the Constitution and in Pub. L. 89-673, 80 Stat. 952, and (2) authorized by the Department of Commerce as provided in Administrative Order 202-739. (f) Reimbursement for travel expenses and subsistence. Neither this section nor § 0.735-12 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence 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 does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B128527 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, (2) with the policies or interests of the Department, or (3) with the maintenance of the highest standards of ethical and moral conduct. Incompatible activities include but are not limited to: (i) 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; (ii) Outside employment which tends to impair the employee's mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner; (iii) Employment with any foreign government, corporation, partnership, instrumentality, or individual unless authorized by the Department; (iv) Employment by, or service rendered under contract with, any of the persons listed in § 0.735-11(a); (v) 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; B131371, 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 2039. (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, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Civil Service Commission or the Board of Examiners for the Foreign Service, that depends 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, |