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Subtitle A-Office of the Secretary
Part 0 1 2
3 4 5 6 7 8
Employee responsibilities and conduct.
merce_effectuation of Title VI of the Civil Rights Act of 1964.
PART 0-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. 0.735-4 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 De Regulatory Limitations Upon
Employee Conduct 0.735–10 Administrative extension of statu
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
periors. Subpart - 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. 0.735–23 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.
Sec. 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 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.
AUTHORITY: The provisions of this part 0 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 31 F.R. 6174, Apr. 21, 1966, unless otherwise noted.
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:
(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 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
(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 ployed 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 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.
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
(e) "Head of an operating unit," for the purposes of this part, includes the
Assistant Secretary for Administration | with respect to the performance of func
tions 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 unusualy 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. $ 0.735–11 Gifts, entertainment, and
favors. (a) General limitations. Except as provided in paragraph (b) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, payment of expenses, fee, compensation, or any other thing of monetary value, for himself or another person, from a person who:
(1) Has, or is seeking to obtain, contractual or other business or financial 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. Subject to paragraph (c) of this section, 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) Special limitation. Notwithstanding paragraph (b) of this section, each employee shall avoid any action, whether or not it is specifically prohibited by this order, which might result in, or create the appearance of:
(1) Using public office for private gain (either for himself or for other persons);
(2) Giving preferential treatment to any organization or person;
(3) Impeding Government efficiency or economy;
(4) Losing complete independence or impartiality;
(5) Making a Government decision outside official channels; or
(6) Affecting adversely the confidence of the public in the integrity of the Government or in the integrity of an employee of the Department.
(d) Gifts to superiors. An employee may not:
(1) Solicit a contribution from another employee for a gift to an official superior;
(2) Make a donation as a gift to an official superior; or
(3) Accept a gift from an employee receiving less pay than himself (5 U.S.C. 113). An employee who violates these requirements shall be removed from the service.
(e) Gifts from a foreign government. An employee may not accept a gift, present, decoration, or other thing from a foreign government unless acceptance is authorized by Congress as provided by the Constitution and 5 U.S.C. 114-115a. $ 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 (i) 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 Goyernment 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 rendered under contract with, any of the persons listed in $ 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 responsibilties" 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 operations of the Department of Commerce, or which draws substantially on official data or ideas which have not become part of the body of public information. As used in this subparagraph, “the body of public information" shall mean information which has been disseminated widely among segments of the public which may be affected by or interested in the information concerned, which is