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(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 Goyernment. (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; 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 rea son to believe is extended partly because of the official position of the em ployee concerned. (When in doubt, it may be asked whether it is likely that the invitation would have been re

ceived 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, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Office of Personnel Management 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, 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 paragraph, “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, or which is known by such segments of the public

to be freely available on request to a too inconsequential to affect the integGovernment agency.

rity of an employee's services in any (d) (Reserved)

matter involving them, and are there(e) Application of the limitations. This by exempted from the prohibitions of section does not preclude an employee 18 U.S.C. 208(a), and do not exclude from:

such employee's participation in the (1) [Reserved]

transaction of any official business in(2) Participation in the activities of volving such financial or economic inNational or State political parties not terests: proscribed by law.

(3) Participation in the affairs of, or Deposits in a bank, savings and loan assoacceptance of an award for a meri

ciation, building association, credit union or torious public contribution or achieve

similar financial institution; policies held

with an insurance company; constructive inment given by a charitable, religious,

terests in companies and other entities professional, social, fraternal, non

owned or held by a mutual fund or other diprofit educational and recreational,

versified investment company in which the public service, or civic organization. employee has an interest. [32 FR 15222, Nov. 2, 1967, as amended at 33

These exempted financial (or ecoFR 9765, July 6, 1968; 55 FR 53489, Dec. 31, 1990]

nomic) interests need not be reported

by employees in their statements of 80.735–13 Financial interests.

employment and financial interests re(a) An employee shall not: (1) Have a

ferred to in $0.735-21. direct or indirect financial interest (18 U.S.C. 208(b); 5 CFR 735.404a) that conflicts substantially, or appears

(32 FR 15222, Nov. 2, 1967, as amended at 41 to conflict substantially, with his Gov

FR 34939, Aug. 18, 1976; 47 FR 3350, Jan. 25, ernment duties and responsibilities; or

1982] (2) Engage in, directly or indirectly, a financial transaction as a result of, 80.735–14 Use of Government time or or primarily relying on, information

property. obtained through his Government em

(a) An employee shall not directly or ployment.

indirectly use, or allow the use of, Gov(b) No employee shall participate in any manner, on behalf of the United

ernment time or property of any kind, States, in the negotiation of contracts,

including property leased to the Govthe making of loans, and grants, the

ernment, for other than officially ap

proved activities. granting of subsidies, the fixing of rates, or the issuance of valuable per

(b) Each employee shall protect and mits or certificates, or in any inves

conserve Government property, includtigation or prosecution. or in the ing equipment, supplies, and other transaction of any other official busi

property entrusted or issued to him. ness, which affects chiefly a person

80.735–15 Misuse of employment or inwith whom he has any economic inter

formation. est or any pending negotiations concerning a prospective economic inter (a) Use of Government employment. An est, except with express prior author employee shall not use his Government ization as provided for in subpart G of employment for a purpose that is, or this part.

gives the appearance of being, moti(c) This section does not preclude an vated by the desire for private gain for employee from having a financial in himself or another person, particularly terest or engaging in financial trans- one with whom he has family, business, actions to the same extent as a private or financial ties. citizen not employed by the Govern (b) Use of inside information. For the ment so long as it is not prohibited by purpose of furthering a private interlaw, Executive order, Civil Service reg- est, an employee shall not, except as ulations (5 CFR Part 735), or regula- provided in $0.735–12(c), directly or intions in this part.

directly use, or allow the use of, infor(d) The financial (or economic) inter- mation which has been or has the apests described below are too remote or pearance of having been obtained

through or in connection with his Gov- cluding the operation of a gambling deernment employment and which has vice, in conducting a lottery or pool, in not been made available to the general a game for money or property or in public.

selling or purchasing a numbers slip or (c) Coercion. An employee shall not ticket. However, this section does not use his Government employment to co- preclude activities erce, or give the appearance of coerc (a) Necessitated by an employee's law ing, a person to provide financial ben- enforcement duties, or efit to himself or another person, par (b) Under Section 3 of Executive ticularly one with whom he has family, Order 10927 (relating to solicitations business, or financial ties.

conducted by organizations composed (d) Disclosure of restricted information. of civilian employees or members of No employee shall divulge restricted the armed forces among their own commercial or economic information, members for organizational support or or restricted information concerning for benefit or welfare funds for their the personnel or operations of any Gov- own members) and similar agency-apernment agency, or release any such proved activities. information in advance of the time prescribed for its authorized release.

80.735–18 General conduct prejudicial (e) Discrimination. No employee, act

to the Government. ing in his official capacity, shall, di (a) General policy. Officers and emrectly or indirectly, authorize, permit, ployees of the Federal Government are or participate in any act or course of servants of the people. Because of this, conduct which, on the ground of race, their conduct must, in many instances, color, creed, national origin, or sex, ex be subject to more restrictions and to cludes from participation, denies any higher standards than may be the case benefit to, or otherwise subjects to dis- in certain private employments. They crimination any person under any pro- are expected to conduct themselves in gram or activity administered or con- a manner which will reflect favorably ducted by the Department or one of its upon their employer. Although the units, or such employee. (See Depart Government is not particularly interment Order 195.)

ested in the private lives of its employ

ees, it does expect them to be honest, $0.735–16 Indebtedness.

reliable, trustworthy, and of good char(a) An employee shall pay each just acter and reputation. They are exfinancial obligation in a proper and pected to be loyal to the Government, timely manner, especially one imposed and to the department or agency in by law such as Federal, State, or local which they are employed. taxes. For purposes of this section, "a (b) Specific policy. An employee shall just financial obligation” means one not engage in criminal, infamous, disacknowledged by the employee or re- honest, 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 cir- buildings and grounds. Each employee is cumstances, reflect adversely on the responsible for knowing and complying Government as his employer.

with regulations of the General Serv(b) In the event of dispute between an ices Administration and of the Departemployee and an alleged creditor, this ment of Commerce applicable to public section does not require the Depart- buildings and grounds. ment to determine the validity or amount of the disputed debt.

80.735–19 Reporting undue influence

to superiors. 80.735–17 Gambling, betting, and lot. Each employee shall report to his suteries.

perior any instance in which another An employee shall not participate person inside or outside the Federal while on Government-owned or leased Government uses or attempts to use property or while on duty for the Gov- undue influence to induce, by reason of ernment, in any gambling activity in his official Government position, former Government employment, fam- (b) Each of the foregoing forms shall ily relationship, political position, or contain, as a minimum, the informaotherwise, the employee to do or omit tion required by the formats prescribed to do any official act in derogation of by the Office of Personnel Management his official duty.

in the Federal Personnel Manual. Ques

tions on a statement of employment Subpart E-Statements of Employ and financial interests that go beyond, ment and Financial Interests

or are in greater detail than, those in

cluded on the Office's formats may be 80.735–20 General provisions.

included on a statement only with the

approval of the Assistant Secretary for (a) In order to carry out the purpose

Administration and the Office. of this part, certain employees of the

(c) (Reserved) Department, specified in or pursuant to

(d) The employee will not be required this part, will be required to submit

to reveal precise amounts of financial statements of outside employment and

interest when such information is not financial interests for review designed

necessary for a proper determination to disclose conflicts of interest, appar

as to whether there is any apparent ent conflicts of interest on the part of

conflict of interest. employees, and other matters within the purview of this part.

(32 FR 15222, Nov. 2, 1967, as amended at 55 (b) When a conflict or apparent con

FR 53489, Dec. 31, 1990) flict of interest on the part of an employee or other question of compliance

80.735–22 Employees required to subwith the provisions of this part arises

mit statements. and is not resolved at a lower level Except as provided in 80.735-23, a within the Department, e.g., by appro statement of employment and financial priate remedial action, the information interests shall be submitted by the folconcerning the matter shall be re lowing employees other than special ported to the Secretary through the Government employees: counselor for the Department des (a) Employees paid at a level of the ignated in 80.735-38.

Executive Schedule in Subchapter II of (c) In the event of a conflict or appar

Chapter 53 of Title 5, United States ent conflict of interest on the part of

Code. an employee or other question of com- (b) Employees classified at GS-13 or pliance with the provisions of this part, above under section 5332 of Title 5, the employee concerned shall be pro United States Code, or at a comparable vided an opportunity to explain the pay level under another authority, who matter. After consideration of the con- are in positions the basic duties and reflict or apparent conflict of interest or sponsibilities of which are determined other question of compliance, and the by the head of the operating unit conemployee's explanation thereof, appro cerned to require the incumbent to priate action shall be taken.

make a Government decision or to take

a Government action in regard to: 80.735–21 Form and content of state (1) Contracting or procurement; ments.

(2) Administering or monitoring (a) Statements of employment and fi- grants or subsidies; nancial interests shall be submitted as (3) Regulating or auditing private or far as practicable on one of the fol- other non-Federal enterprise; or lowing forms, as appropriate:

(4) Other activities where the deci(1) Form CD-220. “Confidential State sion or action has an economic impact ment of Employment and Financial In on the interests of any non-Federal enterests (For Use by Government Em terprise. ployees Other Than Special Govern Each employee who occupies a position ment Employees)"'; or

in one of the above-listed categories (2) Form CD-219, “Confidential State and who is not excluded from the rement of Employment and Financial In porting requirement shall be notified terests (For Use by Special Govern that he is subject to the reporting rement Employees).”


80.735–22a Employee's complaint on

filing requirement. An employee shall have an opportunity for review through the Department of Commerce grievance procedure, as provided by Administrative Order 202–770, of a complaint by him that his position has been improperly included under the regulations of the Department as one requiring the submission of a statement of employment and financial interests.

(c) The following 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, not otherwise subject to paragraph (b) of this section:

(1) Employees in grade GS-16 or above, or in comparable or higher positions.

(2) Employees in Schedule C positions.

(3) Employees in hearing examiner or hearing officer positions.

(4) Persons employed as experts, consultants, or advisers.

(5) Employees in positions or categories of positions, regardless of their official title, identified in Appendix B of this part.

(d) Employees classified below GS-13 under section 5332 of Title 5, United States Code, or at a comparable pay level under another authority, who are in positions or categories of positions, regardless of their official title, identified in Appendix C to this part.

(e) Appendices B and C. (1) Appendix B to this part shall be maintained and changes made therein in accordance with the criteria in 5 CFR 735.403(c) and in accordance with the procedure in this paragraph. Appendix C to this part shall be maintained and changes made therein in accordance with the criteria in 5 CFR 735.403(d) and in accordance with the procedure in this paragraph.

(2) Heads of operating units and heads of offices in the Office of the Secretary shall, in conformity with the above-cited criteria, recommend changes in Appendix B and Appendix C to the Assistant Secretary for Administration for approval. Changes in Appendix C shall be submitted, with specific justification, to the Office of Personnel Management for further prior approval.

(3) Incumbents of positions added to Appendix B or to Appendix C shall become subject to the reporting requirements of this part upon receipt of notification that their position is subject to such requirements. Appendix B and Appendix C shall be republished annually to reflect changes in the lists. [32 FR 15222, Nov. 2, 1967, as amended at 55 FR 53489, Dec. 31, 1990]

80.735-23 Employees not required to

submit statements. (a) Employees in positions that meet the criteria in paragraph (b), (c), or (d) of $0.735-22 may be excluded from the reporting requirement when the head of the operating unit concerned determines that:

(1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflicts-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.

(b) A statement of employment and financial interests is not required by this part from the Secretary of Commerce, from the head of an independent agency for which the Department of Commerce performs administrative services, or from a full-time member of a committee, board, or commission appointed by the President. These employees are subject to separate reporting requirements under section 101 of Executive Order 11222.

80.735–24 Time and place for submis

sion of original statements. (a) An employee required to submit a statement of employment and financial interests under this part shall submit that statement not later than:

(1) Ninety days after the effective date of this part if the employee is employed by the Department on or before the effective date of this part; or

(2) Thirty days after the employee's entrance on duty date, but in no case

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