(b) Employees are required under §5.3 of Civil Service Rule V (5 CFR 5.3) to give the Civil Service Commission and its authorized representatives all information and testimony in regard to matters arising under laws, rules, and regulations administered by the Commission.

(c) Employees are obligated to give information to authorized representatives of the Department when called upon if the inquiry relates to official matters and the information is obtained in the course of employment or as a result of relationships incident to such employment. This shall include the furnishing of a signed statement. Failure to respond to requests for information or to appear as a witness in an official proceeding may result in disciplinary penalty. (Nothing herein shall be deemed to infringe upon an employee's right to invoke the protection of the Fifth Amendment to the Constitution with respect to self-incrimination.)

(d) Agency officials have the authority to transfer and reassign employees within their respective jurisdictions whenever necessary to meet operational needs. Employees have an obligation to the Department to accept transfers and changes in assignment. Failure to accept a transfer or reassignment may result in the separation of the employee.

(e) Employees shall not purchase products or receive services directly or indirectly from persons, firms, or establishments for which such employees conduct inspection, grading, or similar regulatory activities without express approval. Each Agency shall establish the approval level and shall advise each employee. Agencies shall utilize the following criteria in granting such approvals:

(1) Proximity of the employee to other retail outlets;

(2) The number of retail outlets in the commuting area;

(3) Whether the outlet is a sole source;

(4) Whether the firm is selling the item or service at the prevailing price to the general public as well as the employee; and

(5) Whether the outlet is open to the general public.

$0.735-24 Miscellaneous statutory provisions.

(a) Each employee has a positive duty to acquaint himself or herself with each statute that relates to his or her ethical and other conduct as an employee of his or her Agency, of the Department, and of the Government. The attention of each employee is directed to the following statutory provisions:

(1) House Concurrent Resolution 175, 85th Congress, second session, 72 Stat. B12, the "Code of Ethics for Government Service;"

(2) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts-of-interest;

(3) The prohibition against wrongful disclosure of individually identifiable informations or wrongful maintenance of a system of records (5 U.S.C. 552a(i));

(4) The prohibition against a public official appointing or promoting a relative, or advocating such an appointment or promotion (5 U.S.C. 3110);

(5) The prohibitions against disloyalty and striking (Executive Order 10450, as amended, 5 U.S.C. 7311, 18 U.S.C. 1918);

(6) The prohibition against the employment of a person convicted of a felony for participating in or promoting a riot or civil disorder (5 U.S.C. 7313);

(7) The prohibitions against proscribed political activities (5 U.S.C. 7324, and 18 U.S.C. 602, 603, 607, and 608); (8) The provisions relating to the receipt and disposition of foreign gifts and decorations ( 5 U.S.C. 7342);

(9) The prohibition against gifts to superiors by employees (5 U.S.C. 7351); (10) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352);

(11) The prohibition against a person licensed or authorized to perform any official function under the U.S. Grain Standards Act, or employed by the Department to carry out the provisions of the Grain Standards Act being financially or otherwise interested in an entity owning or operating a grain elevator or warehouse or engaging in the merchandising of grain, or be employed by or accept gratuities from any such entity (7 U.S.C. 87(a));

(12) The prohibition against the unauthorized release of information, in

the Packers and Stockyards Act (7 U.S.C. 222);

(13) The prohibition against the release of information in an employee's possession concerning cotton standards, estimates, tests, and analyses unless authorized by the Secretary (7 U.S.C. 472);

(14) The prohibitions against the release of information acquired from parties to any marketing agreement, and handlers subject to marketing agreement orders, except as authorized by the Secretary for the purposes of suit or administrative hearings (7 U.S.C. 608d(2));

(15) The prohibition against persons administering activities concerned with cotton option contracts and commodity benefits as provided by the Agricultural Adjustment Act, speculating in agricultural commodities or products to which such contracts or benefits apply, or in contracts relating thereto, or in the stock or memberships interest of any association or corporation handling such commodities or products (7 U.S.C. 610(g));

(16) Limitations on the use or availability of information furnished in connection with marketing agreements and orders (7 U.S.C. 610(i));

(17) The availability of information furnished in connection with marketing agreements and orders, and applicable to marketing agreements for anti-hog-cholera serum and hog-cholera virus is restricted (7 U.S.C. 855);

(18) Information furnished in connection with collection of peanut statistics shall be used only for statistical purposes for which supplied. No publication shall be made where the data furnished by any establishment can be identified (7 U.S.C. 955);

(19) Information furnished in connection with the establishment and adjustment of farm marketing quotas shall be disclosed only as authorized by the Secretary for the purpose of suit or administrative 1373(c));

hearing (7 U.S.C.

(20) The prohibition against an officer or employee being the beneficiary of or receiving any fee, commission or gift for or in connection with any transaction or business under the Consolidated Farm and Rural Development Act, other than such salary, fee or

compensation as he or she may receive as an officer or employee. In addition, members of an FmHA County Committee are prohibited from making any certification with respect to a loan to purchase any land in which they or any person related to them have any financial interest (7 U.S.C. 1986);

(21) The prohibition against unauthorized release of information relating to the production and marketing of cotton (7 U.S.C. 2105(c));

(22) The prohibition against unauthorized release of information relating to plant variety protection (7 U.S.C. 2426);

(23) The prohibition against unauthorized release of information relating to the production and marketing of eggs (7 U.S.C. 2706(c));

(24) The prohibition against the unauthorized prediction as to cotton prices in a Governmental publication (12 U.S.C. 1141j(d));

(25) The prohibition against the making of false statements in connection with activities of the Commodity Credit Corporation or embezzlement or conversion of anything of value belonging or pledged to the Corporation, or conspiring to commit such acts (15 U.S.C. 714m);

(26) The prohibition against the acceptance of any fee, gift, or other consideration for compromise, adjustment, or cancellation of farm indebtedness (18 U.S.C. 217);

(27) The prohibition against an employee acting as an agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219);

(28) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285);

(29) The prohibition against an employee contracting with a Member of Congress (18 U.S.C. 432);

(30) The prohibition against paying a larger sum than appropriated for erection, repair, or furnishing of any public building or improvement thereof (18 U.S.C. 435);

(31) The prohibition against contracting for convict labor (18 U.S.C. 436);

(32) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508);

(33) The prohibition against acceptance of excessive honorariums (18 U.S.C. 616 repealed, now 2 U.S.C. 441i);

(34) The prohibition against embezzlement of Government money or property (18 U.S.C. 641);

(35) The prohibition against failing to account for public money (18 U.S.C. 643);

(36) The prohibition against misuse of public funds by custodian (18 U.S.C. 648);

(37) The prohibition against custodian failing to deposit money in his or her possession (18 U.S.C. 649);

(38) The prohibition against disbursing officers falsely certifying full payment (18 U.S.C. 651);

(39) The prohibition against disbursing officers paying less than lawful amount (18 U.S.C. 652);

(40) The prohibition against disbursing officers misusing public funds (18 U.S.C. 653);

(41) The prohibition against embezzlement of the money or property of another person in the possession of an employee by reason of his or her employment (18 U.S.C. 654);

(42) The prohibition against the embezzlement of money or property of the Federal Crop Insurance Corporation and the Farmers Home Administration, and of pledged or entrusted property (18 U.S.C. 657);

(43) The prohibition against the conversion of property mortgaged or pledged to the Farmers Home Administration and the Federal Crop Insurance Corporation, with intent to defraud (18 U.S.C. 658);

(44) The prohibitions against the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783);

(45) The prohibition against extortion by Government employees (18 U.S.C. 872);

(46) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001);

(47) The prohibition against the making of false entries, or participation in any benefit through any transaction in connection with Departmental activities concerned with agricultural loans (18 U.S.C. 1006);

(48) The prohibition against the making of false statements or reports, or wilfully overvaluing land, property or

security to influence action in connection with agricultural loans (18 U.S.C. 1014);

(49) The prohibition against depredation of Government property (18 U.S.C. 1361);

(50) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719);

(51) The prohibition against the wilful disclosure of official information which might influence or affect the market value of crops prior to authorized publication. An employee acquiring by reason of his or her employment, information as to the market value of agricultural crops, which information is required to be withheld, is prohibited from speculating in such product (18 U.S.C. 1902);

(52) The prohibition against the disclosure of confidential information (18 U.S.C. 1905);

(53) The prohibition against speculation in agricultural commodities to which the Federal Crop Insurance Act applies or to contracts relating thereto, or stock or membership interests of corporations or associations handling such commodities by any person administering such law (18 U.S.C. 1903);

(54) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913);

(55) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917);

(56) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071);

(57) The prohibition against the compilation of issuance of false crop reports (18 U.S.C. 2072);

(58) The prohibition against employee making false or fictitious entry or record in a matter related to his or her duties (18 U.S.C. 2073);

(59) The prohibition against any person using to his or her own advantage or improperly revealing information concerning trade secrets acquired under the Poultry Products Inspection Act (21 U.S.C. 458);

(60) The prohibition against the acceptance by an employee of money or other things of value given with intent to influence a decision in connection with the performance of duties under

the Federal Meat Inspection Act, or when received from a person or firm engaged in commerce given for any purpose whatever (21 U.S.C. 622);

(61) The tax imposed on certain employees (e.g., Presidential appointees, employees excepted under Schedule C, employees in GS-16 or above or a comparable pay level) who knowingly engage in self-dealing with a private foundation (26 U.S.C. 4941, 4946). "Selfdealing" is defined in the statute to include certain transactions involving an employee's receipt of pay, a loan, or reimbursement for travel or other expenses from, or his or her sale to or purchase of property from, a private foundation;

(62) The prohibition against any employee subject to the Surface Mining Control and Reclamation Act from owning any direct or indirect financial, real property, employment and/or creditor interests in an underground or surface coal-mining operation (30 U.S.C. 1201);

(63) The prohibition against false claims (31 U.S.C. 231);

(64) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a);

(65) The prohibition against expenditure or obligation in excess of amount apportioned or appropriation available (31 U.S.C. 665); and

(66) The prohibition against acceptance of voluntary services (31 U.S.C. 665).

(67) The prohibition against failure to file or the filing of a false financial disclosure report (section 204(a), Pub. L. 95-521; 5 U.S.C. App.);

(68) The prohibitions against prohibited personnel practices (5 U.S.C. 2302);

(69) The prohibition against the use of information obtained in the course of employment to speculate or to aid another in speculating on any commodity exchange (50 U.S.C. App. 2160 (f)).

(b) This section does not purport to enumerate or paraphrase all statutory restrictions imposed on employees. The omission of a restriction in no way relieves an employee of the legal effect of such restriction.

[43 FR 43431, Sept. 26, 1978, as amended at 46 FR 22354, Apr. 17, 1981]

Subpart C-Statements of Employment and Financial Interests

$0.735-31 Employees required to submit statements under the Executive order.

Except as provided in §0.735-32, the following employees shall submit a statement of employment and financial interests on USDA Form AD-392 in accordance with this part:

(a) Employees classified at GS-13 through 15 under 5 U.S.C. 5332, or at a comparable pay level under other authority who are in positions the basic duties and responsibilities of which require the incumbent to exercise judgment in making a Government decision or in taking Government action on contracting or procurement, administering or monitoring grants or subsidies, regulating or auditing private or other non-Federal enterprise, or other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise;

(b) Employees classified at GS-13 through 15 under 5 U.S.C. 5332, or a comparable pay level under other authority, who are in positions which the Agency has determined have duties and responsibilities which require that the incumbents report their employment and financial interests in order to avoid involvement in a possible conflict-of-interest situation and carry out the purpose of law, Executive Order, part 735 of the Office of Personnel Management's regulations, this part, and applicable Agency regulations;

(c) Employees classified below GS-13 under 5 U.S.C. 5332, or at a comparable pay level under other authority, where the Agency has determined that they are in positions which otherwise meet the criteria in paragraphs (a) and (b) of this section, and that statements from them are essential to protect the integrity of the Government and avoid employee involvement in a possible conflict-of-interest situation, provided such determination has been approved in writing by the Office of Personnel Management; and

(d) All employees regardless of grade, pay level or type of appointment who perform any function or duty under the Surface Mining Control and Reclamation Act of 1977 (Pub. L. 95-87) unless

he or she files a financial disclosure report under the provisions of the Ethics in Government Act of 1978 (see §0.73532(a)).

(e) An employee who refuses to file a statement for reasons other than that the duties and responsibilities of the position do not come within the criteria for reporting as set forth in this part, or who refuses to file after a final determination that the duties and responsibilities of the position do come within the criteria, will be subject to appropriate disciplinary action.

[47 FR 12608, Mar. 24, 1982]

$0.735-32 Exceptions.

(a) Employees covered under §0.735-44 are not required to file employment and financial interest statements under §0.735–31.

(b) Employees in positions that meet the criteria in §0.735–31(a) may be excluded from the reporting requirement when the Department Counselor determines that:

(1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflict-of-interest situation is remote, or

(2) The duties of a position are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review over the incumbent or the inconsequential effect on the integrity of the Government.

(c) Exceptions will be considered by the Department Counselor at the request of the Agency Head.

(d) An employee shall be afforded the opportunity for a review, through the Departmental grievance procedure as described in chapter 771 of the Department Personnel Manual, of the designation of his or her position as one requiring the submission of a statement of employment and financial interests.

[47 FR 12608, Mar. 24, 1982]

80.735-33 Identification of employees required to submit statements. Agency Heads are responsible for identifying those employees who are required to file statements of outside employment and financial interests

under §0.735-31. For control and reporting purposes, those employees required to submit statements shall be specifically identified in the personnel records system.

$0.735-34 Time and place for submission of employees' statements.

(a) When a decision is reached to make an appointment to a position requiring submission of a statement of employment and financial interests, the prospective employee should be informed.

(b) Employees covered under §0.735–31 will submit statements to the Agency Head or to an employee designated by him or her.

(c) Agencies are responsible for assuring that persons subject to the reporting requirements are notified of those requirements and are provided the necessary forms and instructions. [47 FR 12608, Mar. 24, 1982]

§0.735–35 Supplementary statements.

Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in an annual supplementary statement as of March 31 and submitted no later than April 30 of each year. If no changes or additions occur, a report so stating is required. Notwithstanding the filing of the annual statement required by this section, each employee shall at all times avoid acquiring a financial interest or taking an action that could result in violation of the conflicts-of-interests provisions of section 208 of title 18, United States Code, or §0.735–14.

$0.735-36 Types of interests to be reported.

The employment and financial interests statements shall include the following:

(a) A list of the names of all corporations, companies, firms, or other business enterprises, partnerships, nonprofit organizations and educational or other institutions with which the employee is connected as an employee, officer, owner, director, trustee, member, partner, advisor, or consultant, or in which he or she has any continuing financial interest through a pension or retirement plan, shared income or oth