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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 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 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 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 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 regulati in this part and Admin trative 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 Government agency.
(e) Application of the limitations. This section does not preclude an employee from:
(2) Participation in the activities of National or State political parties not proscribed by law.
(3) Participation in the affairs of, or acceptance of an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service, or civic organization. (32 FR 15222, Nov. 2, 1967, as amended at 33 FR 9765, July 6, 1968; 55 FR 53489, Dec. 31, 1990)
too inconsequential to affect the integrity of an employee's services in any matter involving them, and are thereby exempted from the prohibitions of 18 U.S.C. 208(a), and do not exclude such employee's participation in the transaction of any official business involving such financial or economic interests:
Deposits in a bank, savings and loan association, building association, credit union or similar financial institution; policies held with an insurance company; constructive interests in companies and other entities owned or held by a mutual fund or other diversified investment company in which the employee has an interest.
These exempted financial (or economic) interests need not be reported by employees in their statements of employment and financial interests referred to in 80.735–21. (18 U.S.C. 208(b); 5 CFR 735.404a) [32 FR 15222, Nov. 2, 1967, as amended at 41 FR 34939, Aug. 18, 1976; 47 FR 3350, Jan. 25, 1982]
80.735–13 Financial interests.
(a) An employee shall not: (1) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities; or
(2) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government employment.
(b) No employee shall participate in any manner, on behalf of the United States, in the negotiation of contracts, the making of loans, and grants, the granting of subsidies, the fixing of rates, or the issuance of valuable permits or certificates, or in any investigation or prosecution, or in the transaction of any other official business, which affects chiefly a person with whom he has any economic interest or any pending negotiations concerning a prospective economic interest, except with express prior authorization as provided for in subpart G of this part.
(c) This section does not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the Government so long as it is not prohibited by law, Executive order, Civil Service regulations (5 CFR Part 735), or regulations in this part.
(d) The financial (or economic) interests described below are too remote or
80.735–14 Use of Government time or
property. (a) An employee shall not directly or indirectly use, or allow the use of, Government time or property of any kind, including property leased to the Government, for other than officially approved activities.
(b) Each employee shall protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.
$0.735–15 Misuse of employment or in
formation. (a) Use of Government employment. An employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.
(b) Use of inside information. For the purpose of furthering a private interest, an employee shall not, except as provided in $0.735–12(c), directly or indirectly use, or allow the use of, information which has been or has the appearance of having been obtained through or in connection with his Government employment and which has not been made available to the general public.
(c) Coercion. An employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.
(d) Disclosure of restricted information. No employee shall divulge restricted commercial or economic information, or restricted information concerning the personnel or operations of any Government agency, or release any such information in advance of the time prescribed for its authorized release.
(e) Discrimination. No employee, acting in his official capacity, shall, directly or indirectly, authorize, permit, or participate in any act or course of conduct which, on the ground of race, color, creed, national origin, or sex, excludes from participation, denies any benefit to, or otherwise subjects to discrimination any person under any program or activity administered or conducted by the Department or one of its units, or such employee. (See Department Order 195.)
cluding the operation of a gambling device, in conducting a lottery or pool, in a game for money or property or in selling or purchasing a numbers slip or ticket. However, this section does not preclude activities
(a) Necessitated by an employee's law enforcement duties, or
(b) Under Section 3 of Executive Order 10927 (relating to solicitations conducted by organizations composed of civilian employees or members of the armed forces among their own members for organizational support or for benefit or welfare funds for their own members) and similar agency-approved activities. $0.735–18 General conduct prejudicial
to the Government. (a) General policy. Officers and employees of the Federal Government are servants of the people. Because of this, their conduct must, in many instances, be subject to more restrictions and to higher standards than may be the case in certain private employments. They are expected to conduct themselves in a manner which will reflect favorably upon their employer. Although the Government is not particularly interested in the private lives of its employees, it does expect them to be honest, reliable, trustworthy, and of good character and reputation. They are expected to be loyal to the Government, and to the department or agency in which they are employed.
(b) Specific policy. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, other conduct prejudicial to the Government.
(c) Regulations applicable to public buildings and grounds. Each employee is responsible for knowing and complying with regulations of the General Services Administration and of the Department of Commerce applicable to public buildings and grounds.
(a) An employee shall pay each just financial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. For purposes of this section, “a just financial obligation” means one acknowledged by the employee or reduced to judgment by a court, and "in a proper and timely manner” means in a manner which, in the view of the Department, does not, under the circumstances, reflect adversely on the Government as his employer.
(b) In the event of dispute between an employee and an alleged creditor, this section does not require the Department to determine the validity or amount of the disputed debt.
80.735–17 Gambling, betting, and lot
teries. An employee shall not participate while on Government-owned or leased property or while on duty for the Government, in any gambling activity in
$0.735–19 Reporting undue influence
to superiors. Each employee shall report to his superior any instance in which another person inside or outside the Federal Government uses or attempts to use undue influence to induce, by reason of 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 to disclose conflicts of interest, appar
necessary for a proper determination
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 sub
mit statements. with the provisions of this part arises 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 th ugh 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 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).”
$ 0.735–22a 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 com nt 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 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 401 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