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other person to submit information in his behalf.
earlier than 90 days after the effective date of this part.
(b) Statements shall be submitted to a personnel officer specified by the head of the operating unit or to such other person as the head of the operating unit, with the approval of the Secretary, may specify. Secretarial officers and heads of operating units shall submit their statements to the Secretary or to such person as the Secretary may designate. 80.735–25 Supplementary statements.
Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year, except when the Office of Personnel Management authorizes a different date on a showing by the Department of necessity therefor. (The Commission has authorized filing of the supplementary statement for 1967 as of September 30, 1967.) If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of Title 18, United States Code, or subpart D of this part. (32 FR 15222, Nov. 2, 1967, as amended at 55 FR 53489, Dec. 31, 1990)
80.735–28 Information not required.
This part does not require an employee to submit on a statement of employment and financial interests supplementary statement any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed “business enterprises” and are required to be included in an employee's statement of employment and financial interests.
80.735–26 Interests of employees' rel
atives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, “member of an employee's immediate household" means those blood relations who are members of the employee's household.
80.735–29 Confidentiality of employ
ees' statements. (a) No employee may have access to a statement of employment and financial interests, or a supplementary statement, unless his official duties make access necessary. Each employee who has access to such a statement is responsible for maintaining it in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to an employee of the Department of Commerce or the Office of Personnel Management to carry out the purpose of this part or to other persons as the Office of Personnel Management or the Assistant Secretary for Administration may determine for good cause shown. (The foregoing limitations do not apply to release of information by an employee with respect to a statement he has submitted under this section.)
(b) The employees designated in paragraph (b) of $0.735–24 to receive statements are authorized to review and retain the statements and are responsible for maintaining the statements in confidence, as provided in this section. (32 FR 15222, Nov. 2, 1967, as amended at 55 FR 53489, Dec. 31, 1990)
Regulations 80.735-32 Departmental.
The Assistant Secretary for Administration may prescribe supplementary instructions consistent with this part.
80.735–30 Relation of this part to
other requirements. (a) The requirement that employees submit statements of employment and financial interests and supplementary statements under this part is in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation.
(b) The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation, including this part.
80.735-31 Special Government employ
(a) Special Government employees shall be required to report:
(1) All other employment; and
(2) Financial interests specified on Form CD-219.
(b) A waiver may be granted to the requirements of this section in the case of a special Government employee who is not a consultant or expert (as defined in Chapter 304 of the Federal Personnel Manual) when a determination is made that the duties of the position held by that special Government employee are of such a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. Any such waiver shall be approved by the head of the operating unit concerned or his designee. A copy of the waiver shall be filed with the deputy counselor for the organization unit concerned.
(c) The original statement of employment and financial interests required to be submitted by a special Government employee shall be submitted not later than his entry on duty. Each special employee shall keep his statement current throughout his employment with the Department by the submission of supplementary statements.
80.735-33 Operating units.
Each operating unit is hereby authorized and directed to prescribe, after approval by the Assistant Secretary for Administration, such additional regulations not inconsistent with this part as may be necessary to effectuate the general purpose of this part in the light of its individual operating requirements, including but not limited to pertinent statutory provisions, such as:
(a) 35 U.S.C. 4, 122 (Patent Office);
(b) 46 U.S.C. 1111(b) (Maritime Administration);
(c) Certain provisions of the Defense Production Act of 1950, e.g., 50 U.S.C. App. 2160(b)(2) (avoidance of conflicts of interest), 50 U.S.C. App. 2160(b)(6) (financial statements), and 50 U.S.C. App. 2160(f) (prohibition of use of confidential information for purposes of speculation) (Business and Defense Services Administration and any other primary operating unit affected); and
(d) Certain provisions of Pub. L. 89136, the Public Works and Economic Development Act of 1965, e.g., section 711 (restriction on employing certain EDA employees by applicants for financial assistance), and section 710(b) (embezzlement), false book entries, sharing in loans, etc., and giving out unauthorized information for speculation).
80.735-34 Effective date of supple
mentary regulations. Supplementary regulations prescribed pursuant to $0.735–33, shall become effective upon approval by the issuing officer unless a different date is required by law or a later date is specified therein.
Subpart G-Administration lations thereto) to the attention of
each employee annually, and at such 80.735-35 Responsibilities of employ- other times as circumstances may war
rant as may be determined by the AsIt is the responsibility of each em- sistant Secretary for Administration; ployee:
(d) Have available for review by em(a) To assure, at the outset of his em- ployees, as appropriate, copies of laws, ployment, that each of his interests Executive orders, this part, suppleand activities is consistent with the re- mentary regulations, and pertinent Ofquirements established by or pursuant fice of Personnel Management regulato this part;
tions and instructions relating to eth(b) To submit a statement of employ- ical and other conduct of Government ment and financial interests at such employees; times and in such form as may be spec- (e) Advise each employee who is a ified in or pursuant to this part;
special Government employee of his (c) To certify, upon entering on duty status for purposes of 18 U.S.C. 203 and in the Department, that he has read 205; this part and applicable regulations (1) Require each employee specified supplementary thereto;
in $0.735–22 to submit a statement of (d) To obtain prior written authoriza- employment and financial interests, as tion of any interest or activity about provided by or pursuant to this part; the propriety of which any doubt exists (8) Develop an appropriate form, with in the employee's mind, as provided in the approval of the counselor of the De80.735–39;
partment, on which the employee may (e) To confine each of his interests certify that he has read this part and and activities at all times within the applicable regulations supplementary requirements established by or pursu- thereto, in accordance with $0.735– ant to this part, including any author- 35(c), and on which he may, if he so deizations granted pursuant to this part; sires, indicate that he has a private acand
tivity or interest about which he re(f) To obtain a further written au- quests advice and guidance as provided thorization whenever circumstances by $0.735–38. change, or the nature or extent of the (h) Require each employee upon eninterest or activity changes, in such a tering on duty and at such other times manner as to involve the possibility of as may be specified, to execute the cera violation or appearance of a violation tification required by $0.735–35(c); of a limitation or requirement pre- (i) Report to the program Secretarial scribed in or pursuant to this part. Officer concerned and to the Assistant
Secretary for Administration promptly 80.735-36 Responsibilities of operating any instance in which an employee, units.
after notice, fails to submit the certifiThe head of each operating unit, or cation required under $0.735–35(c) or a his designee, shall:
statement of employment or financial (a) Furnish or make available to each interests required under this part withemployee a copy of this part (or a com- in 14 calendar days following the preprehensive summary thereof) within 90 scribed time limit for doing so; and days after approval of this part by the (j) Take action to impress upon each Office of Personnel Management, and, employee required to submit a stateupon their issuance, a copy of any reg- ment of employment and financial inulations supplementary thereto (or a terests, upon his supervisor, and upon comprehensive summary thereof); employees with whom the employee
(b) Furnish or make available to each works, their responsibility as follows: new employee at the time of his en- (1) The employee's supervisor is retrance on duty a copy of this part as it sponsible (i) for excluding from the may be amended and any supple- range of duties of the employee any mentary regulations (or a comprehen- contracts or other transactions besive summary thereof);
tween the Government and his outside (c) Bring this part (or as it may be employer, clients, or entities in which amended and any supplementary regu- he has an interest within the purview
of this part, and (ii) for overseeing the employee's activities in order to insure that the public interest is protected from improper conduct on his part and that he will not, through ignorance or inadvertence, embarrass the Government or himself.
(2) The employee's supervisor and employees with whom he works are responsible for avoiding the use of the employee's services in any situation in which a violation of law, regulation, or ethical standards is likely to occur or to appear to occur.
(3) The supervisor of an employee is responsible for initiating prompt and proper disciplinary or remedial action when a violation, intentional or innocent, is detected.
(4) Employees shall avoid divulging to a special Government employee privileged Government information which is not necessary to the performance of his governmental responsibility or information which directly involves the financial interests of his non-Government employer.
(5) An employee shall make every effort in his private work to avoid any personal contact with respect to negotiations with the Department for contracts, grants, or loans, if the subject matter is related to the subject matter of his Government employment. When this is not possible, he may participate if not otherwise prohibited by law (e.g., 18 U.S.C. 203 and 205) in the negotiations for his private employer only with the prior approval of the head of the operating unit concerned. (32 FR 15222, Nov. 2, 1967, as amended at 55 FR 53489, Dec. 31, 1990)
organization unit concerned. The deputy counselor may, in his discretion, utilize the advice and services of others (including departmental facilities) to obtain further information needed to resolve the questions.
(c) The designated officer shall maintain the statements of employment and financial interests in a file apart from the official personnel files and shall take every measure practicable to insure their confidentiality. Statements of employment and financial interests shall be preserved for 5 years following the separation of an employee from the Department or following termination of any other relationship under which the individual rendered service to the Department, except as may be otherwise authorized by the Assistant Secretary for Administration or as required by law. $0.735-38 Availability for counseling.
(a) The General Counsel of the Department shall:
(1) Serve as the counselor for the Department of Commerce with respect to matters covered by the basic provisions cited in $0.735–2(a) and otherwise by or pursuant to this part;
(2) Serve as the Department of Commerce designee to the Office of Personnel Management on matters covered by this part; and
(3) Coordinate the counseling seryices provided under this part and assure that counseling and interpretations on questions of conflicts of interest and other matters covered by this part are available to deputy counselors designated under paragraph (b) of this section.
(b) The counselor shall designate employees who shall serve as deputy counselors for employees of the Department of Commerce with respect to matters covered by or pursuant to this part and shall give authoritative advice and guidance to each employee who seeks advice and guidance on questions of conflict of interests and other matters covered by or pursuant to this part.
(c) Each operating unit shall notify its employees of the availability of counseling services and of how and where these services are available. This notification shall be given within 90 days after approval of this part by the
The review of statements of employment and financial interests shall include the following basic measures, among others:
(a) Statements shall be submitted to the designated officer, who will review each employee's statement of employment and financial interests to ascertain whether they are consistent with the requirements established by or pursuant to this part. (See $0.735-24(b).)
(b) Where the statement raises any question of compliance with the requirements of this part, it shall be submitted to a deputy counselor for the
Office of Personnel Management and periodically thereafter. In the case of a new employee appointed after the foregoing notification, notification shall be made at the time of his entrance on duty.
(d) In each operating unit a deputy counselor shall advise and counsel each employee concerning any adjustments necessary in his financial interests or activities, or in any contemplated interests or activities, in order to meet the requirements established by or pursuant to this part. (32 FR 15222, Nov. 2, 1967, as amended at 55 FR 53489, Dec. 31, 1990)
80.786 40 Disciplinary and other re
medial action. (a) Violation of a requirement established in or pursuant to this part shall be cause for appropriate disciplinary action, which may be in addition to any penalty prescribed by law.
(b) When, after consideration of the explanation of the employee provided by $0.735–20(c), the reviewing officer, in cooperation with the responsible supervisory official, decides that remedial action is required, he will take or cause to be taken immediate action to end the conflict or appearance of conflict of interest. Remedial action may include, but is not limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee of his conflicting interest;
(3) Disciplinary action (including removal from the service); or
(4) Disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with applicable laws, Executive orders, and regulations.
(c) No disciplinary or remedial action may be taken under this section against an employee of another Federal department or agency on detail to the Department of Commerce other than through and with the concurrence of the detailed employee's employing agency.
All requests for authorizations required under this part shall be addressed to the head of the operating unit concerned. In the Office of the Secretary such requests shall be addressed to the Secretary or such person as he may designate. When granted, authorizations will be in writing, and a copy of each authorization will be filed in the employees' official personnel file.
(a) In case of doubt, or upon the request of the employee concerned, cases or questions will be forwarded to the counselor or a deputy counselor. (See 80.735–38.)
(b) Where an activity requested to be authorized can be conducted as official business, it shall not be authorized as a private activity, but shall be conducted as official business.
(c) Where authorizations involve speaking, writing, or teaching, use of the official title of the employee for identification purposes may be authorized, provided the employee makes it clear that his statements and actions are not of an official nature.
(d) If an authorization has been granted for a specific activity or interest, and the activity or interest is subsequently deemed to constitute a violation of the limitations or requirements prescribed in or pursuant to this part, the employee concerned shall be notified in writing of the cancellation of the authorization and shall modify or stop the activity or interest involved, as requested.
80.735-41 Inquiries and exceptions.
(a) Inquiries relating to legal aspects of the limitations set forth in or cited in or pursuant to this part should be submitted to the appropriate deputy counselor. Inquiries relating to other aspects of this part or regulations supplementary thereto should be referred to the appropriate personnel office.
(b) Within the limits of administrative discretion permitted to the Department, exceptions to the requirements of this part may be granted from time to time in unusual cases by the head of the operating unit, whenever the facts indicate that such an exception would promote the efficiency of the service. Each request for such an exception should be submitted in writing to the head of the operating unit concerned, and shall contain a full statement of the justification for the