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writing to his superior in such detail as social, fraternal, nonprofit educational that official shall require.
and recreational, public service, or civic zilin (2) Employment by State, local, or organization. other governmental body. (d) No full-time employee or part
$ 0.735-205 Financial interests. time employee with a regularly scheduled (a) An employee shall not: tour of duty shall maintain a publicly (1) Have a direct or indirect financial listed place of business without the prior interest that conflicts substantially, or approval of the appropriate deputy coun- appears to conflict substantially, with his vil in selor.
Government duties and responsibilities. (e) Employees are encouraged to en- (2) Engage in, directly or indirectly, thi gage in teaching, lecturing, and writing a financial transaction as a result of, that is not prohibited by law, Executive or primarily relying on, information order, Civil Service Commission regula- obtained through his Government emtions, or this part. However, an em- ployment. ployee shall not, either for or without (3) Acquire securities issued by the compensation, engage in teaching, lec- Federal National Mortgage Association. turing, or writing, including teaching, (4) Acquire ownership of stock or lecturing, or writing for the purpose of
other interest in rental project the special preparation of a person or financed with an FHA insured mortgage class of persons for an examination of as long as the insurance is in force. the Civil Service Commission or Board of (5) Acquire ownership of FHA debenExaminers for the Foreign Service, that tures or certificates of claim. is dependent on information obtained (6) Acquire interest in a cooperaas a result of his Government employ- tive or condominium housing project ment, except when that information has financed under the National Housing Act been made available to the general pub- if the interest is not for obtaining a home lic or will be made available on request, for himself or his family. or when the Secretary or his designee (7) Be an officer or director of any gives written authorization for the use organization which is an FHA approved of nonpublic information on the basis mortgagee or lending institution or which that the use is in the public interest. services mortgages or other securities for
(1) Each employee including the Sec- the Department. An employee may hold retary, and including each full-time stock or shares in such organizations member of a committee, board, or com- provided his official duties are such that mission appointed by the President, shall the holding will not create or tend to not receive compensation or anything of create a conflict of interest. The prohimonetary value for any consultation, lec- bitions of this paragraph do not apply ture, discussion, writing, or appearance, to Federal Credit Unions that have been the subject matter of which is devoted approved as Title I lending institutions. substantially to the responsibilities, pro- (8) Participate directly or indirectly grams, or operations of the Department, in any real estate activities for speculaor which draws substantially on official
tive purposes as distinguished from bona data or ideas which have not become fide investment purposes on a moderate part of the body of public information scale. There is a presumption of specupursuant to the regulations in this part. lation when the use of borrowed funds
(2) An employee may use his name is involved on a continuing basis or in and title in connection with articles for large sums or the income characteristic publication which bear upon his work of an investment is disproportionate or in the Department only if he obtains the
absent, approval of the appropriate deputy (b) (1) No employee, including a specounselor.
cial Government employee, may partic(f) This section does not preclude an ipate as such in any matter in which to employee from:
his knowledge he, his spouse, minor child, stisne (1) Participation in the activities of organization in which he is serving as National or State political parties not an officer, director, trustee, partner, or proscribed by law.
employee, or a partner has a financial (2) Participation in the affairs of or interest. He must also not participate in acceptance of an award for a meritorious any matter in which to his knowledge a public contribution or achievement given person, business, or nonprofit organizaby a charitable, religious, professional, tion with whom he is seeking, or has an
cational arrangement for, employment has a or de financial interest (18 U.S.C. 208(a)).
(2) Subparagraph (1) of this paragraph does not apply:
(i) If the officer or employee first ad
vises the Department counselor in writnan ing of the nature and circumstances of allythe matter, makes full disclosure of the Fito financial interest, and receives in adbilik vance a written determination by such direct official or his designee that such interest Euli i is not so substantial as to be deemed mnatii likely to affect the integrity of the seryate ices which the Government may expect
from such officer or employee; or ay tu (ii) If the financial interest is within Eatic one of the following categories which are ek hereby exempted from the requirements projev of section 208(a) of title 18, United Figar States Code as being too remote or too erce inconsequential to affect the integrity of Eben a Government officer's or employee's
services; DETI (a) Any holding in a widely held mu
tual fund, or regulated investment comEl pany, which does not specialize in any bow particular industry.
(b) Ownership of shares of stock and of corporate bonds or other corporate securities, if the current aggregate value of the stocks and other securities so owned in any single corporation is less than $7,500 and is less than 1 percent of the outstanding stock of the organization concerned, and if the employee, his spouse, or minor children are not active in the management of the organization and have no other connection with or
Executive Order 11222, Civil Service
For the purpose of furthering a private interest, an employee shall not, except as provided in $ 0.735–204(e), directly or indirectly use, or allow the use of, official information obtained through or in connection with his Government employment which has not been made available to the general public. $ 0.735-208 Indebtedness.
An employee shall pay each just financial obligation in a proper and timely manner, especially one imposed by law, such as Federal, State, and local taxes. For the purpose 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 the Department determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of a 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. $ 0.735–209 Gambling, betting, and lot
teries. An employee shall not participate, while on Government owned or leased property or while on duty for the Department, 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 number slip or ticket. However, this section does not preclude activities:
(a) Necessitated by an employee's law enforcement duties;
ei interest in it.
(c) Continued participation in a bona fide pension, retirement, group life, health, or accident insurance plan or other employee welfare or benefit plan that is maintained by a business or nonprofit organization by which the employee was formerly employed, to the
extent that the employee's rights in the E plan are vested and require no additional
services by him or further payments to the plan by the organization with respect to the services of the employee. To
the extent that such plans are profit
sharing or stock bonus plans, this exemption shall not apply.
(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
50 long as it is not prohibited by law,
(b) Under section 3 of Executive Order 10927, namely, solicitations conducted by organizations composed of employees among their own members for organizational support or for benefit or welfare funds for their members, or similar Department-approved activities. $ 0.735–210 General conduct; and con
duct prejudicial to the Government. (a) Each employee shall conduct himself in a manner that facilitates the effective accomplishment of the work of the Department, observing at all times the requirements of courtesy, consideration, and promptness in dealing with the public and with persons or organizations having business with the Department;
(b) An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government. $ 0.735–211 Intermediaries and prod.
uct recommendations. No employee shall recommend or suggest the use of any particular or identified nongovernmental intermediary to deal with the Department nor shall he recommend any device or product tested by or for, or used by, the Department, except as required by his official duties. $ 0.735–212 Membership in organiza
tions. (a) An employee may not, in his official capacity as an officer or employee of the Department, serve as a member of a non-Federal or private organization except where express statutory authority exists, or statutory language necessarily implies such authority, or where the Secretary has determined in writing that such service would be beneficial to the Department and consistent with such officer's or employee's service as a Department employee. However, an employee may serve in an individual capacity as a member of a non-Federal or private organization, provided that:
(1) His membership does not violate the restrictions noted in § 0.735–204; and
(2) His official title or organization connection is not shown on any listing or presented in any activity of the organization in such a manner as to imply that he is acting in his official capacity.
(b) An employee may be designated in writing to serve as a liaison representative of the Department to a non
Federal or private organization when the Secretary, the Under Secretary, an Assistant Secretary, the General Counsel, or a Regional Administrator, as appropriate, has determined that such service would be beneficial to the Department and provided that:
(1) The activity relates to the work of the Department.
(2) The employee does not participate by vote in the policy determinations of the organization.
(3) The Department is in no way bound by any vote or action taken by the organization. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969) $ 0.735-213 Prohibited activities by for
mer employees. A former officer or employee or former Special Government employee of the executive branch of the U.S. Government, of any independent agency of the United States or of the District of Columbia shall not:
(a) At any time after his Government employment has ended, knowingly act as an agent or attorney for anyone other than the United States in connection with any matter involving a specific party or parties in which the United States is a party or has a direct or substantial interest and in which he participated personally and substantially as an officer or employee for the Government through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise while so employed. (18 U.S.C. 207(a).)
(b) Within 1 year after his Government employment has ended, appear personally before any court or department or agency of the Government as agent, or attorney for, anyone other than the United States in connection with any matter involving a specific party or parties in which the United States is a party or directly or substantially interested, and which was under his official responsibility as an officer or employee of the Government at any time within a period of one year prior to the termination of such responsibility (18 U.S.C. 202(b) and 207(b)). $ 0.735-214 Miscellaneous statutory pro
visions. Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee
of the Department and of the Govern. (p) The prohibitions against political ment. The attention of each employee is activities in subchapter III of chapter 73 directed to the following statutory pro- of title 5, United States Code, and 18 visions:
U.S.C. 602, 603, 607, and 608. (a) House Concurrent Resolution 175, (q) The prohibition against an em85th Congress, second session, 72 Stat. ployee acting as the agent of a foreign B12, the “Code of Ethics for Govern- principal registered under the Foreign ment Service”.
Agents Registration Act (18 U.S.C. 219). (b) Chapter 11 of Title 18, United
Subpart C-Conduct and ResponsiStates Code, relating to bribery, graft, and conflicts of interest, as appropriate
bilities of Special Government to the employees concerned.
Employees (c) The prohibition against lobbying
§ 0.735–301 Use of Government with appropriated funds (18 U.S.C.
ployment. (d) The prohibitions against disloyalty
A special Government employee shall and striking (5 U.S.C. 7311, 18 U.S.C.
not use his Government employment for 1918).
a purpose that is, or gives the appearance
of being, motivated by the desire for pri(e) The prohibition against the em
va gain for himself or another person, loyment of a member of a Communist organization (50 U.S.C. 784).
particularly one with whom he has fam(f) The prohibitions against (1) the
ily, business, or financial ties. disclosure of classified information (18 $ 0.735–302 Use of inside information, U.S.C. 798, 50 U.S.C. 783); and (2) the
(a) A special Government employee disclosure of confidential information
shall not use inside information obtained (18 U.S.C. 1905).
as a result of his Government employ(g) The provision relating to the
ment for private gain for himself or anhabitual use of intoxicants to excess (5
other person either by direct action on U.S.C. 7352).
his part or by counsel, recommendation, (h) The prohibition against the mis
or suggestion to another person, particuuse of a Government vehicle (31 U.S.C.
larly one with whom he has family, busi638a(c)).
ness, or financial ties. For the purpose of (i) The prohibition against the mis
this section, "inside information” means use of the franking privilege (18 U.S.C.
information obtained under Government
authority which has not become part of (j) The prohibition against the use of
the body of public information. deceit in an examination or personnel
(b) Special Government employees action in connection with Government
may teach, lecture, or write in a manner employment (18 U.S.C. 1917).
consistent with the provisions of $ 0.735(k) The prohibition against fraud or
204(e). false statements in a Government matter (18 U.S.C. 1001).
$ 0.735–303 Coercion. (1) The prohibition against mutilating A special Government employee shall or destroying a public record (18 U.S.C. not use his Government employment to 2071).
coerce, or give the appearance of coerc(m) The prohibition against counter
ing, a person to provide financial benefit feiting and forging transportation re- to himself or another person, particularly quests (18 U.S.C. 508).
one with whom he has family, business, (n) The prohibitions against (1) em
or financial ties. bezzlement of Government money or property (18 U.S.C. 641); (2) failing to
8 0.735–304 Gifts, entertainment, and
favors. account for public money (18 U.S.C. 643); and (3) embezzlement of the money or
(a) Except as provided in paragraph property of another person in the pos- (b) of this section, a special Government session of an employee by reason of his employee, while so employed or in conemployment (18 U.S.C. 654).
nection with his employment, shall not (0) The prohibition against unau- receive or solicit from a person having thorized use of documents relating to business with the Department anything claims from or by the Government (18 of monetary value as a gift, gratuity,
loan, entertainment, or favor for himself,
or another person, particularly one with whom he has family, business, or financial ties.
(b) The exceptions of $ 0.735–203(b), which are applicable to employees, are also applicable to special Government employees. $ 0.735–305 Applicability of other pro
visions. (a) Each special Government employee is subject to the provisions of $$ 0.735-201, 0.735-205(b), 0.735-206 through 0.735-210, 0.735-212, 0.735–213, 0.735-214, and 0.735–411.
(b) Each special Government employee shall acquaint himself with each statute listed in $ 0.735–214. A special Government employee engaged on an irregular or occasional basis is bound by the political activity restrictions of the former Hatch Act cited in $ 0.735-214(p) only while in an active duty status and for the entire 24 hours of any day during which he is actually employed. 133 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969) Subpart D-Statements of Employ
ment and Financial Interests $ 0.735–401 Employees required to sub
mit statements. Except as provided in $ 0.735–403, the following categories of employees shall submit statements of employment and financial interest:
(a) Employees paid at a level of the Executive schedule in subchapter II of chapter 53 of title 5, United States Code.
(b) Employees classified at GS-13 or above who are in positions identified in the appendix to this part as positions the incumbents of which are responsible for making a Government decision or taking a Government action in regard to:
(1) Contracting or procurement;
(2) Administering or monitoring grants or subsidies;
(3) Regulating or auditing private or other non-Federal enterprise; or
(4) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise.
(c) Employees classified at GS-13 or above who are in positions which the Department has determined have duties and responsibilities which require the
incumbent to report employment and financial interests in order to avoid involvement in a possible conflicts-of-interest situation and carry out the purpose of law, Executive order, and this part. The positions are identified in the appendix to this part.
(d) Employees classified below GS-13 who are in positions which otherwise meet the criteria in paragraph (b) or (c) of this section. These positions have been approved by the Civil Service Commission as exceptions that are essential to protect the integrity of the Government and avoid employee involvement in a possible conflict-of-interest situation. Tne positions are identified in the appendix to this part by footnote 1. $ 0.735–402 Employee's complaint on
filing requirement. Employees have the opportunity for review through the Department's grievance procedures of a complaint by an employee that his position has been improperly included under these regulations as one requiring the submission of a statement of employment and financial interests. $ 0.735-403 Employees not required to
submit statements. (a) Employees in positions that meet the criteria in $ 0.735–401(b) may be excluded from the reporting requirement when the Department Counselor determines that:
(1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflict-of-interest situation is remote;
(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 subpart from the Secretary or 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 the Executive order. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969)