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Subtitle A-Office of the Secretary
11 20 25
Ethics and conduct of Department of Labor employces.
in whole or in part by loans or grants from the United States.
financed and assisted construction (also labor standards provisions ap-
in Federal Service Contracts.
and Executive Order 10582.
Labor-effectuation of Title VI of the Civil Rights Act of 1964.
40 41 50 51 60 70 71 90 91
PART OVETHICS AND CONDUCT OF
DEPARTMENT OF LABOR EMPLOY-
Subpart B-Conduct 0.735-4 General. 0.735–5 Nondiscrimination. 0.735-6 Indebtedness. 0.735-7 Gambling, betting, and lotteries. 0.735-8 Misuse of official information. 0.735-9 Misuse of Federal property. 0.735-10 Partisan political activities. Subpart C-Outside Interests, Employment,
Business and Professional Activities 0.735-11 General 0.735-12 Conflict-of-interest laws. 0.735-13 Clearance.
Subpart D-Gifts, Fees, Entertainment, and Favors 0.735-14 Acceptance of gratuities generally. 0.735-15 Payments, expenses, reimburse
ments, entertainments, etc.,
from non-Government sources. 0.735-16 Contributions and gifts to superi
ors. 0.735–17 Permissible gifts. Subpart E-Statements of Employment and
Financial Interests 0.735–18 Regular employees required to sub
mit statements. 0.735–19 Supplementary statements, regu
lar employees. 0.735–20 Special Government employees re
quired to submit statements. 0.735-21 Review procedures. 0.735-22 Statements of top staff and certain
other employees. 0.735-23 Confidentiality. 0.735-24 Review of files. 0.735-25 Interests of employees' relatives. 0.735-26 Information not known by em
ployees. 0.735-27 Information not required. 0.735-28 Effect of employees' statements on
other requirements. Appendix A
AUTHORITY: The provisions of this Part 0 issued under E.O. 11222; 3 CFR, 1964-1965 Comp., p. 306; 5 CFR 735.104; 18 U.S.C. secs. 201 through 209.
SOURCE: The provisions of this Part O appear at 33 F.R. 10432, July 20, 1968, unless otherwise noted.
Subpart A-General $ 0.735-1 Purpose and scope.
(a) This part is designed to implement provisions of Executive Order 11222 of
May 8, 1965, “Prescribing Standards of Ethical Conduct for Government Officers and Employees," and 5 CFR 735.101 et seq. It prescribes standards of conduct for employees of the Department of Labor relating to conflicts of interest arising out of outside employment, private business and professional activities, and financial interests. It sets forth requirements for the disclosure of such interests by Department employees. In addition, it states basic principles regarding employees' conduct on the job and the ethics of their relationship to the Department as their employer. The head of an administration, bureau, or cffice may with the approval of the Solicitor, adopt additional standards and procedures, not inconsistent with this part. Any such additional standards and procedures shall be furnished in writing to the employees affected. This part applies to all regular and special Government employees except to the extent otherwise indicated herein. For the purpose of this part:
(1) "Regular employee" means an officer or employee of the Department of Labor, but does not include a special Government employee.
(2) "Special Government employee" means an officer or employee of the Department of Labor 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 either on a full-time or intermittent basis.
(3) "Employee" means a regular and a special Government employee.
(4) The terms “bureau” and “office", except where otherwise indicated, mean a bureau or office which is not a part of a larger administrative subdivision within the Department of Labor.
(b) This part, among other things, reflects prohibitions and requirements imposed by the criminal and civil laws of the United States. However, the paraphrased restatements of criminal and civil statutes in no way constitute an interpretation or construction thereof that is binding upon the Federal Government. Moreover, this part does not purport to paraphrase or enumerate all restrictions or requirements imposed by statutes, Executive orders, regulations or otherwise upon Federal employees. The omission of a reference to any such re
striction or requirement in no way alters the legal effect of that restriction or requirement. $ 0.735–2 Counseling service.
(a) The Solicitor has been designated counselor to the Department in matters within the scope of the regulations in this part. Deputy counselors designated by the Solicitor will be available to consult with employees on questions relating to ethics, conduct, and conflict of interest. Employees are expected to familiarize themselves with the regulations in this part, the laws and regulations on which they are based, and the supplementary instructions issued by the administrations, bureaus, and offices in which they work. Attention of all employees is hereby directed to the statutes set forth in 5 CFR 735.210 (see Appendix A to this part). Attention of employees of the Office of Labor-Management and WelfarePension Reports is hereby directed to section 15(b) of the Welfare and Pension Plans Disclosure Act, which prohibits any Department employee from administering or enforcing the Act with respect to any employee organization in which he is a member or employer organization in which he has an interest. Employees who need clarification of the standards of conduct, and related laws, rules, and regulations should consult a deputy counselor.
(b) Each head of an administration, bureau, or office is responsible for application of the standards of conduct to employees under his jurisdiction. He is responsible for assuring that his employees are furnished copies of the regulations in this part not later than 90 days after their approval by the Civil Service Commission. Each new employee shall be furnished such a copy no later than the time of his entrance on duty. The heads of administrations, bureaus, and offices shall assure that employees are advised of the times and places where counseling services are available and the names of the deputy counselors. They shall assure that the regulations in this part are brought to the attention of each employee at least annually and at such other times as circumstances warrant. The heads of administrative subdivisions within the Office of the Secretary which are not a part of larger administrative subdivisions within such Ofice are responsible for application of the standards of conduct to employees
under their jurisdiction and for carrying out the other functions set forth in this section. 8 0.735–3 General.
(a) Failure of an employee to comply with any of the standards of conduct set forth in this part shall be a basis for such disciplinary or other remedial action as may be appropriate to the particular case. Such 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; or
(4) Disqualification for a particular assignment.
(b) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, regulations, and applicable agreements between the Department of Labor and employee organizations.
(c) The head of an administration may delegate authority under the regulations in this part. Delegations shall be at the highest practicable level. Delegations of final authority shall be in writing, in accordance with $ 0.735–1(a), and any such delegations to employing bureaus or ofices within such administrations shall be made to no individual lower than the head or acting head of such bureau or office.
Subpart B-Conduct $ 0.735–4. General.
(a) The effectiveness of the Department of Labor in serving the public interest depends upon the extent to which the Department and its employees hold the public confidence. Employees are therefore required not only to observe the requirements of Federal laws, policies, orders, and regulations governing official conduct, they must also avoid any apparent conflict with these requirements. Each employee shall avoid situations in which his private interests confict or raise a reasonable question of conflict with his public duties and responsibility. An employee shall avoid any action, whether or not specifically prohibited, which might result in or create the appearance of using public office for private gain, giving preferential treatment to any person, impeding Government efficiency or economy, losing complete independence or impartiality, making a Government decision outside of oficial channels, or affecting adversely the confidence of the public in the integrity of the Government.
(b) Employees must conduct themselves in such manner that the work of the Department is effectively accomplished. They must observe the requirements of courtesy, consideration and promptness in dealing with or serving the public and the clientele of the Department. Although it is the policy of the Department of Labor not to restrict or interfere with the private lives of its employees, each employee is expected to conduct himself at all times so that his actions will not bring discredit on the Department or the Federal service. Employees shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct prejudicial to the Government. $ 0.735–5 Nondiscrimination.
No employee in this Department while in the performance of his duty may discriminate against any other employee or applicant for employment because of race, color, religion, national origin, sex, or age. $ 0.735–6 Indebtedness.
The Department of Labor considers the indebtedness of its employees to be essentially a matter of their own concern. The Department of Labor will not be placed in the position of acting as a collection agency or of determining the validity or amount of contested debts. Nevertheless, failure on the part of an employee without good reason and in a proper and timely manner to honor his just financial obligations; that is, debts acknowledged by him to be valid or reduced to judgment by a court or to make or to adhere to satisfactory arrangements for the settlement thereof may be the cause for disciplinary action. In this connection each employee has a special obligation to meet his responsibilities for payment of Federal, State, and local taxes. For the purpose of this section, "in a proper and timely manner" means in a manner which the Department determines does not, under the circumstances, reflect adversely on the Government as his employer. $ 0.735–7 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, including 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 and similar agency-approved activities. $ 0.735–8 Misuse of official informa
tion. Employees may not, except with specific permission or as provided in g 0.735– 11 in regard to teaching, lecturing, or writing, directly or indirectly use or allow the use of official information for private purposes or to further a private interest when such information is not available to the general public; nor may employees disclose oficial information in violation of any applicable law, Executive order, or regulation. $ 0.735–9 Misuse of Federal property.
An employee shall not directly or indirectly use or allow the use of Government property, including property to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve such property and shall obey all rules and regulations applicable to its use. $ 0.735–10 Partisan political activities.
Employees are expected to observe the prohibitions on political activities set forth in subchapter III of chapter 73 of title 5, United States Code; 18 U.S.C. 602, 603, 607, and 608; and Civil Service Rule IV, Title 5 Code of Federal Regulations section 4.1. Explanations of the restrictions are set forth in the Employee Handbook, U.S. Civil Service Commission Pamphlet No. 20, and in the Federal Personnel Manual. Subpart C-Outside Interests, Em
ployment, Business and Profes
sional Activities $ 0.735-11 General.
(a) In the absence of restrictions made necessary by a Department employee's public responsibilities, he is entitled to the same rights and privileges as all other citizens. There is therefore no general
prohibition against Department em- or indirectly, in a financial transaction ployees holding jobs, financial interests, as a result of, or relying primarily on, or engaging in outside business or pro- information obtained through his Goyfessional activities. Indeed, such outside ernment employment. activities as teaching, lecturing, and (c) No employee may use or appear writing are generally to be encouraged to use his Government employment to since they frequently serve to enhance coerce any person, enterprise, company, an employee's value to the Government association, partnership, society, or other as well as to increase the spread of knowl- organization or instrumentality to proedge in our society. The employing ad- vide financial benefit to himself or anministration, bureau, or office, may, how
other person. ever, impose reasonable restrictions upon
$ 0.735–12 Conflict-of-interest laws. such activities where appropriate and in accordance with $ 0.735–1. In addition,
Sections 201 through 209 of title 18, an employee may not, whether for or United States Code, prohibit and provide without compensation, engage in teach
criminal penalties for certain acts by ing, lecturing, or writing, including Government employees involving conteaching, lecturing, or writing for the
flict-of-interest situations, including purpose of the special preparation of a limited exceptions for special Governperson or class of persons for an exam
ment employees. These provisions inination of the Civil Service Commis- clude the following prohibitions: sion or Board of Examiners for the For- (a) Section 203, in general, prohibits eign Service, that is dependent on infor
a Federal employee from soliciting, remation obtained as a result of his Gov
ceiving, or agreeing to receive compenernment employment, except when that
sation for services rendered on behalf information has been made available of another before a Government departto the general public or will be made
ment or agency in relation to any paravailable on request or when the head
ticular matter in which the United States of his employing administration, bureau,
is a party or has a direct and substantial or office gives written authorization for
interest. the use of nonpublic information on the
(b) Section 205, in general, prohibits basis that its use is in the public inter
a Federal employee from acting as agent est. In addition, an employee who is a or attorney for prosecuting any claim Presidential appointee covered by sec
against the United States or acting as tion 401 of Executive Order 11222 of
agent or attorney for anyone before any May 8, 1965, shall not receive compensa
Federal courts or agencies in connection tion or anything of monetary value for
with any particular matters in which the any consultation, lecture, discussion,
United States is a party or has a direct writing, or appearance, the subject mat
and substantial interest. It also prohibits ter of which is devoted substantially to
him from receiving any gratuity, or any the responsibilities, programs, or opera
share of or interest in any claim against tions of his agency, or which draws sub
the United States in consideration of stantially on official data or ideas which
assistance in the prosecution of such have not become a part of the body of
claim. public information.
(c) Section 208, in general, prohibits (b) No employee of the Department of a Government employee in his official Labor may accept any outside employ- capacity from participating personally ment, engage in any outside business, and substantially through decision, approfessional, or other activity, or have proval, disapproval, recommendation, financial interests if such employment, the rendering of advice, or otherwise in activity, or interests would be or appear any particular matter in which, to his to be in substantial conflict with the in
knowledge, he, his spouse, minor child, terests of the Department or the Govern
partner, organization in which he is servment, would interfere with the perform
ing as officer, director, trustee, partner, or ance of official duties, would prevent a
employee or any person or organization regular employee from rendering fulltime service to the Department or require
with whom he is negotiating or has any so much time that his efficiency is im
arrangement concerning prospective empaired, or if such employment, activity,
ployment has a financial interest. In acor interests would bring discredit on the cordance with the provisions of section Department or the Government. In addi- 208(b) (2), the financial interests detion, no employee may engage, directly scribed below are hereby exempted from