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Part 13




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171 173 180


Intergovernmental review of Department of Com-
merce programs and activities .......

Uniform administrative requirements for grants

and agreements with institutions of higher edu-
cation, hospitals, other non-profit, and commer-

cial organizations
Legal proceedings
Procedures for a voluntary consumer product in-

formation labeling program
Licensing of Government-owned inventions in the

custody of the Department of Commerce
Attorney's fees and other expenses ....
Referral of debts to the IRS for tax refund offset
Nondiscrimination on the basis of age in programs

or activities receiving Federal financial assist

Administrative offset
Salary offset ..........
Use of penalty mail in the location and recovery of

missing children ....
Uniform administrative requirements for grants

and cooperative agreements to State and local

Governmentwide debarment and suspension (non-

procurement) and governmentwide requirements

for drug-free workplace (grants)
Protection of human subjects
New restrictions on lobbying

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181 187 196



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Subpart D-Regulatory Limitations Upon

Employee Conduct

0.735-10 Administrative extension of statu

tory limitations. 0.735-10a Proscribed actions. 0.735–11 Gifts, entertainment, and favors. 0.735–12 Outside employment or other activ

ity. 0.735–13 Financial interests. 0.735–14 Use of Government time or prop

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 supe


0.73542 Scope. 0.735-43 Report of violations and investiga

tion. 0.735 44 Initiation of proceedings. 0.735 45 Notice. 0.735 46 Hearing. 0.7354 Decision abs a hearing. 0.73548 Administrative appeal. 0.735 49 Sanctions. 0.735-50 Judicial review. APPENDIX A TO PART STATUTES GOVERNING





BY INCUMBENTS AUTHORITY: E.O. 11222 of May 8, 1965, 30 FR 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104, unless otherwise noted.

SOURCE: 32 FR 15222, Nov. 2, 1967, unless otherwise noted.

Subpart E-Statements of Employment and

Financial Interests


Subpart A-General Provisions

0.735–20 General provisions. 0.735-21 Form and content of statements. 0.735–22 Employees required submit

statements. 0.735–22a Employee's complaint on filing re

quirement. 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 employ

ees. 0.735-28 Information not required. 0.735–29 Confidentiality of employees' state


80.735-1 Purpose.

The purpose of this part is to set forth Department of Commerce policy and procedure relating to employee responsibilities and conduct. 80.735–2 Relation to basic provisions.

(a) This part implements the following:

(1) The provisions of law cited in this (b) Special Government employee shall part;

mean an employee as defined in para(2) Executive Order 11222 of May 8, graph (a) of this section who is re1965 (3 CFR, 1965 Supp. p. 130);

tained, designated, appointed, or em(3) Part 735 of the Civil Service regu- ployed to perform with or without lations (5 CFR 735.101-735.412, inclu- compensation, for not to exceed 130 sive).

days during any period of 365 consecu(b) This part prescribe additional

tive days, temporary duties on either a standards of ethical and other conduct

full-time or intermittent basis. and reporting requirements deemed ap

(c) Personnel officer means a perpropriate in the light of the particular sonnel official to whom the power of functions and activities of this Depart- appointment is redelegated under Adment.

ministrative Order 202–250.

(d) Operating unit means, for purposes 80.735-3 Applicability.

of this part, primary and constituent

operating units designated as such in This part applies to all persons included within the term "employee" as

the Department Order Series of the De

partment of Commerce and, in addidefined in 80.735–4, except as otherwise

tion, the Office of the Secretary. provided in this part.

(e) Head of an operating unit, for the 80.7354 Definitions.

purposes of this part, includes the As

sistant Secretary for Administration For purposes of this part, except as with respect to the performance of otherwise indicated in this part:

functions under this part for the Office (a) Employee. (1) Shall include: (i) of the Secretary. Every officer and employee of the Department of Commerce (regardless of Subpart B-General Policy location), including commissioned officers of the Environmental Science 80.7355 General principles. Services Administration; and

Apart from statute, there are certain (ii) Every other person who is re

principles of fair dealing which have tained, designated, appointed, or em- the force of law and which are applicaployed by a Federal officer or

ble to all officers of the Government. A ployee, who is engaged in the perform- public office is a public trust. No public ance of a function of the Department officer can lawfully engage in business under authority of law or an Executive

activities which are incompatible with act, and who is subject to the super- the duties of his office. He cannot, in vision of a Federal officer or employee his private or official character, enter while engaged in the performance of into engagements in which he has, or the duties of his position not only as to

can have, a conflicting personal interwhat he does but also as to how he per- est. He cannot allow his public duties forms his duties, regardless of whether

to be neglected by reason of attention the relationship to the Department is to his private affairs. Such conflicts of created by assignment, detail, con- interest are not tolerated in the case of tract, agreement or otherwise.

any private fiduciary, and they are (2) Shall not include: (i) Members of doubly proscribed for a public trustee. the Executive Reserve except when (40 Ops. Atty. Gen. 187, 190.) they are serving as employees of the Department under the circumstances 80.735-6 Standards required in the described in paragraph (a)(1) of this

Federal service. section;

5 CFR 735.101 states: "The mainte(ii) Members of crews of vessels nance of unusually high standards of owned or chartered to the Government honesty, integrity, impartiality, and and operated by or for the Maritime conduct by Government employees and Administration under a General Agen- special Government employees is escy Agreement; or

sential to assure the proper perform(iii) Any other person who is deter- ance of the Government business and mined legally not to be an officer or the maintenance of confidence by citiemployee of the United States.

zens in their Government."


Subpart D-Regulatory Limitations

Upon Employee Conduct

80.735-7 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.

80.735–10 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.

80.735-8 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.

80.735–10a 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.

Subpart C-Statutory Limitations

Upon Employee Conduct

80.735-9 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.

80.735–11 Gifts, entertainment, and fa

vors. (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 official 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 tomary 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) [Reserved]

(d) Gifts to superiors. An employee shall not solicit a contribution from another employee for a gift to an offi

cial 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 Pub. L. 89-673, 80 Stat. 952, and (2) authorized by the Department of Commerce as provided in Administrative Order 202–739.

(f) Reimbursement for travel expenses and subsistence. Neither this section nor $0.735–12 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967. (Requirements applicable to Department of Commerce employees are set forth in Department of Commerce Administrative Order 203-9.)


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