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Subtitle A-Office of the Secretary
3 4 5 7 8
Employee responsibilities and conduct.
effectuation of Title VI of the Civil Rights Act of 1964. Procedures for the development of voluntary product standards. Prohibition of transportation by vessel of commodities and products from
and to Southern Rhodesia.
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. 0.735-4 Definitions.
Subpart C-Statutory Limitations Upon
tory limitations. 0.735–10a Proscribed actions. 0.735–11 Gifts, entertainment, and favors. 0.735–12 Outside employment or other ac
tivity. 0.735-13 Financial interests. 0.735–14 Use of Government time or prop
erty. 0.735–15 Misuse of employment or informa
Subpart B-General Policy 0.736-5 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
Sec. 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
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 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 GmAdministration 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 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 32 F.R. 15222, Nov. 2, 1967, unless otherwise noted.
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. $ 0.735–4 Definitions.
For purposes of this part, except as otherwise indicated in this part:
(1) 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:
(1) 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
Subpart A-General Provisions $ 0.735-1 Purpose.
The purpose of this part is to set forth Department of Commerce policy and
(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 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.
(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 ofice is a public trust. No public officer can lawfully engage in business activities which are incompatible with the duties of his ofice. He cannot, in his private or oficial 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 ethi
cal 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 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. $ 0.735–11 Gifts, entertainment, and
favors. (a) General limitations. Except as provided in paragraphs (b) and (f) 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 oficial 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.
(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 Public Law any salary or anything of monetary 89-673, 80 Stat. 952, and (2) authorized value from a private source as compenby the Department of Commerce as pro sation for his services to the Government. vided in Administrative Order 202–739. (18 U.S.C. 209)
(f) Reimbursement for travel er (b) Improper benefit from official penses and subsistence. Neither this sec activity. (1) No employee of the Departtion nor $ 0.735–12 precludes an employee ment shall receive compensation (e.g., from receipt of bona fide reimbursement, an honorarium) or anything of monetary unless prohibited by law, for expenses of value, other than that to which he is travel and such other necessary sub duly entitled from the Government, for sistence as is compatible with this part the performance of any activity during for which no Government payment or his service as such employee of the Dereimbursement is made. However, this partment and within the scope of his paragraph does not allow an employee official responsibilities. to be reimbursed, or payment to be made (2) As used in this paragraph, "within on his behalf, for excessive personal the scope of his official responsibilities” living expenses, gifts, entertainment, or means in the course of or in connection other personal benefits, nor does it allow with his official responsibilities. (See 29 an employee to be reimbursed by a person Comp. Gen. 163; 30 id. 246; 32 id. 454; for travel on official business under 35 id. 354; B-131371, July 17, 1957.) agency orders when reimbursement is (3) An activity shall ordinarily be proscribed by Decision B-128527 of the considered to be in the course of or in Comptroller General dated March 7, connection with an employee's official 1967. (Requirements applicable to De responsibilities if it is performed as a partment of Commerce employees are set result of an invitation or request which forth in Department of Commerce Ad is addressed to the Department or a comministrative Order 203-9.)
ponent thereof, or which is addressed to
an employee at his office at the Depart$ 0.735–12 Outside employment or
ment, or which there is reason to believe other activity.
is extended partly because of the official (a) Incompatible outside employment position of the employee concerned. or other outside activity. An employee (When in doubt, it may be asked whether shall not engage in outside employment it is likely that the invitation would have or other outside activity not compatible been received if the recipient were not (1) with the full and proper discharge of associated with the Department.) the duties and responsibilities of his Whether an employee is on leave while Government employment, (ii) with the performing an activity shall be conpolicies or interests of the Department, sidered irrelevant in determining or (iii) with the maintenance of the whether an activity is performed in the highest standards of ethical and moral course of or in connection with the emconduct. Incompatible activities include ployee's official responsibilities. but are not limited to:
(4) Acceptance of a gift or bequest (1) Acceptance of a fee, compensation, on behalf of the Department shall be gift, payment of expense, or any other made in accordance with Department thing of monetary value in circum Order 3 and Administrative Order 203-9. stances in which acceptance may result (c) Teaching, lecturing, and writing. in, or create the appearance of, a conflict Employees are encouraged to engage in of interest;
teaching, lecturing, and writing that is (2) Outside employment which tends not prohibited by law, Executive Order to impair the employee's mental or 11222, 5 CFR Part 735, or the regulations physical capacity to perform his Gov in this part and Administrative Order ernment duties and responsibilities in 201-4, "Writing for Outside Publication," an acceptable manner;
subject to the following conditions: (3) Employment with any foreign (1) An employee shall not, either for government, corporation, partnership, or without compensation, engage in instrumentality, or individual unless au teaching, lecturing, or writing, including thorized by the Department;
teaching, lecturing, or writing for the (4) Employment by, or service ren purpose of the special preparation of a dered under contract with, any of the person or class of persons for an exampersons listed in g 0.735–11(a);
ination of the Civil Service Commission (5) Receipt by an employee, other or the Board of Examiners for the than a special Government employee, of Foreign Service, that depends on infor