Subpart B-Ethical and Other Conduct Standards and Responsibilities of Employees

§300.735-11 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with TVA;

(2) Conducts operations or activities that are regulated by TVA; or

(3) Has interests that may be substantially affected by the performance or nonperformance of his official duty.

(b) An employee may:

(1) Accept a gift or favor or other thing of monetary value when the circumstances make it clear that it is an obvious family or personal relationship (such as that between the parents, children, or spouse of the employee and the employee) which motivates the gift and its acceptance rather than the business of the persons concerned;

(2) Accept 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;

(3) Accept loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans; and

(4) Accept unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(c) An employee shall not solicit contributions from another employee for a gift to an employee in a superior official position. An employee in a superior official position shall not accept a gift presented as a contribution from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior official position (5 U.S.C. 113).

(d) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 114-115a.

(a) An employee shall not engage in outside employment or other outside activity not compatible with the full and proper discharge of the duties and responsibilities of his TVA employment. Incompatible activities include but are not limited to:

(1) 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, conflicts of interest.

(2) Outside employment which tends to impair the employee's mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner.

(3) Outside employment which would conflict with or reduce the employee's effectiveness in his TVA job or adversely affect TVA's relations with the public.

(b) An employee may not accept outside consulting work without prior TVA approval. Employees who perform consulting work for others do so in accord with concepts and policies followed by TVA as an agency in the particular subject-matter field. For purposes of this section, consulting work is that which involves primarily the provision. of expert judgment and advice to others, as contrasted with direct work perform

ance.

(c) An employee may not receive any salary, or any contribution to or supplementation of salary, as compensation for his service as an employee from any source other than the Government of the United States, except as may be contributed out of the treasury of any State, county, or municipality (18 U.S.C. 209). The above provision does not prevent an employee from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profitsharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer.

(d) Employees may engage in teaching, lecturing, and writing that is not prohibited by law, the Executive order, or the regulations in this part. However, an employee shall not, either for or without compensation, engage in teaching, lecturing, or writing that is dependent 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 General Manager, after obtaining prior concurrence of the Board, gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(e) With the approval of the General Manager or of offices, divisions, or officials he designates, and subject to the regulations in this part, an employee may accept or hold a State or local office as follows:

(1) A full-time employee may hold such office on other than a full-time basis;

(2) An employee employed on other than a full-time basis may hold such office, whether full time or otherwise; and

(3) An who employee has been granted leave without pay for this purpose and is on such leave may hold such office on a full-time basis.

An employee on terminal leave from TVA is not prohibited by this paragraph from holding a State or local office; conversely, a TVA employee is entitled to receive payment for terminal leave from a State or local office. Nothing contained in this paragraph shall be construed as permitting an employee to engage in partisan political activity prohibited by section 9 of the Hatch Political Activities Act.

(f) This section does not preclude an employee from:

(1) Receipt of bona fide reimbursement, unless prohibited by law, for actual expenses for travel and such other necessary subsistence as is compatible with the regulations in this part for which no Government payment or reimbursement is made. However, an employee may not be reimbursed, and payment may not be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal bene

§ 300.735-13

Financial interests.

(a) An employee shall not:

(1) Have a direct or indirect financial appears to conflict substantially, with his interest that conflicts substantially, or TVA 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 TVA employment.

(b) 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 TVA so long as it is not prohibited by law, the Executive order, or the regulations in this part.

§ 300.735-14 Use of Government prop

erty.

An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him. § 300.735-15 Misuse of information.

For the purpose of furthering a private interest, an employee shall not, except as provided in § 300.735-12(d), directly or indirectly use, or allow the use of, official information obtained through or in connection with his TVA employment which has not been available to the general public.

§ 300.735-16

Indebtedness.

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 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 TVA determines does not, under the circumstances, reflect adversely on TVA as his employer. In the event of a dispute between an employee and an alleged creditor, this section does not require TVA to determine the validity or amount of the disputed debt.

[32 F.R. 12177, Aug. 24, 1967]

$300.735-17 Gambling, betting, and lotteries.

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 TVA-approved activities.

§ 300.735-18 General conduct prejudicial to the Government.

An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government. § 300.735-19 Miscellaneous statutory provisions.

Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee of TVA and of the Government. These statutes are as follows:

(a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service."

(b) Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

(c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

(d) The prohibitions against disloyalty and striking (5 U.S.C. 118p, 118r).

(e) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

(g) The prohibition against the misuse of a Government vehicle (5 U.S.C. 78c).

(h) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(i) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(j) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(k) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(1) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(m) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(n) The prohibition against proscribed political activities-The Hatch Act (5 U.S.C. 118i), and 18 U.S.C. 602, 603, 607, and 608.

§ 300.735-20 General standard.

An employee shall avoid any action, whether or not specifically prohibited by sections 300.735-11 through 300.735-19, 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 TVA efficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a TVA decision outside official channels; or

(f) Affecting adversely the confidence of the public in the integrity of TVA. Subpart C-Ethical and Other Conduct Standards and Responsibilities of Special Government Employees

§ 300.735-32 Use of inside information.

(a) A special Government employee shall not use inside information obtained as a result of his TVA employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.

(b) A special Government employee may teach, lecture, or write in a manner not inconsistent with the standards established for employees in § 300.73512(d).

A special Government employee shall not use his TVA 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.

§ 300.735-34 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) of this section, a special Government employee who can influence TVA's decisions in acquiring or disposing of services, equipment, materials, or real estate, or in planning or carrying out program activities may not, while employed by TVA or in connection with his employment with TVA, receive or solicit, anything of value as a gift, gratuity, special discount, favor, entertainment, loan, or any other thing of monetary value, for himself or another person, from a person who might benefit from such decisions.

(b) A special Government employee may accept things of value described in § 300.735-11(b) under the same circumstances and to the same extent as they may be accepted by employees.

§ 300.735-35 Miscellaneous statutory provisions.

Each special Government employee shall acquaint himself with each statute listed in § 300.735-19 that relates to his ethical and other conduct as a special Government employee of TVA and of the Government.

Each special Government employee shall adhere to the standards of conduct made applicable to employees by §§ 300.735-13 through 300.735-18. Subpart D-Statements of Employ

ment and Financial Interests

§ 300.735-41 Employees required to submit statements.

The following employees must submit statements of employment and financial interests on a TVA form entitled, "Confidential Statement of Employment and Financial Interests (For Use by Employees)."

(a) All employees at TVA grade 11 and above.

(b) Employees at TVA grade 8 and above, unless otherwise indicated, whose basic duties and responsibilities require the exercise of judgment in making or recommending a TVA decision or in taking or recommending a TVA action in regard to:

(1) Contracting or procurement (other than contracting for the services of employees or special Government employees), including the determination of specifications to be included in procurement contracts; the evaluation of bids; the appraisal or selection of prospective bidders or of contractors; the negotiation or approval of contracts; the administration of contract provisions, including the supervision of activities performed by contractors and the inspection of materials for acceptability;

(2) Administering or monitoring grants or subsidies, including grants to educational institutions and other nonFederal enterprises;

(3) Audit of financial transactions; (4) Regulating or auditing private or other non-Federal enterprise;

(5) Use and disposal of excess or surplus property;

(6) Establishment and enforcement of safety standards and procedures systems; and

(7) Any other matter having an appreciable economic impact on the interests of a non-Federal enterprise.

Employees in the above categories may be excluded from the reporting requirement when the General Manager or an official designated by him determines that their duties are at such a level of responsibility that the submission of a statement is not necessary because of

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 at the end of the quarter in which the changes occur. Quarters end March 31, June 30, September 30, and December 31, except as the U.S. Civil Service Commission may authorize different dates. If there are no changes or additions in a quarter, a negative report is not required. However, for the purpose of annual review, a supplementary statement, negative or otherwise, is required as of June 30 each year.

and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf.

§ 300.735-46 Information prohibited.

The regulations in this part do not require an employee to submit on a statement of employment and financial interests or 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.

§ 300.735-47 Confidentiality of employees' statements.

Officials to whom statements and supplementary statements of employment and financial interests are submitted will hold them in confidence. Information from a statement will not be disclosed, except as the U.S. Civil Service Commission or the General Manager may determine for good cause shown.

§ 300.735-48 Effect of employees' statements on other requirements.

The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. 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. § 300.735-49 TVA regulations for special Government employees.

(a) Except as provided in paragraph (b) of this section, each special Government employee is required to submit a statement of employment and financial interests on a TVA form entitled, "Confidential Statement of Employment and