Imágenes de páginas

Part 402



Deception as to nonprismatic and partially prismatic instruments being

prismatic binoculars.
Deceptive use of “leakproof," "guaranteed leakproof," etc., as descriptive

of dry cell batteries.
Deceptive advertising and labeling as to size of tablecloths and related prod-

Misbranding and deception as to leather content of waist belts.
Deceptive advertising and labeling of previously used lubricating bil.
Unfair or deceptive advertising and labeling of cigarettes in relation to the

health hazards of smoking.
Deceptive advertising as to sizes of viewable pictures shown by television

receiving sets.

405 406 408




0.735–35 Supplementary statements.
0.735–36 Interests of employees' relatives.
0.735–37 Information not known by em-

0.735–38 Information prohibited.
0.735–39 Confidentiality of employees' state-

0.735–40 Effect of employees' statements on

other requirements.
0.735-41 Specific provisions for special Gov.

ernment employees.
0.735–42 Reviewing statements.

Subpart A-General Provisions Sec. 0.735-1 Purpose. 0.735–2 Authority. 0.735-3 Presidential policy. 0.735-4 Definitions. 0.735-5 Interpretation and advisory service. 0.735-6 Reporting conflicts of interest. 0.735–7 Disciplinary and other remedial

action. 0.735–8 Publication of regulations. Subpart B-Ethical and Other Conduct and

Responsibilities of Employees 0.735–11 Gifts, entertainment, and favors. 0.735-12 Outside employment. 0.735-13 Financial interests. 0.735–14 Use of Government property. 0.735-15 Misuse of information. 0.735–16 Indebtedness. 0.735–17 Gambling, betting, and lotteries. 0.735–18 General conduct prejudicial to

the Government. 0.735–19 Miscellaneous statutory provisions. Subpart C-Ethical and Other Conduct and Re

sponsibilities of Special Government Employees 0.735–21 Application of Subpart B of this

part to special Government em

ployees. 0.735-22 Use of Government employment. 0.735-23 Use of inside information. 0.735-24 Coercion. 0.735–25 Gifts, entertainment, and favors. 0.735–26 Miscellaneous statutory provisions. Subpart D-Statements of Employment and

Financial Interests 0.735-31 Form and content of statements. 0.735–32 Employees required


submit statements. 0.735–33 Presidential appointees. 0.735–34 Time and place for submission of


[merged small][ocr errors][merged small]

$ 0.735-2 Authority.

This part is based on Public Law 87–849, effective January 21, 1963; Executive Order 11222 of May 8, 1965; and Part 735 of Civil Service Regulations (5 CFR Part 735). This part does not purport to refer to or enumerate every restriction or requirement imposed by statute, regulation, or other authority. The omission of a reference thereto in no way alters the legal effect of such restriction or requirement. This part is not intended to limit whatever statutory authority or responsibility the chairman may have with respect to employee conduct and discipline. $ 0.735–3 Presidential policy.

The President's policy, in section 101 of Executive Order No. 11222, is that “Where government is based on the consent of the governed, every citizen is entitled to have confidence in the integrity of his government. Each individual officer, employee, or adviser of government must help to earn and must honor that trust by his own integrity and conduct in all official actions.” When signing the order, the President spoke even more specifically of what he conceives to be the duty that this policy imposes on employees of the executive branch: "Government personnel bear a special responsibility to be fair and impartial in their dealings with those who have business with the government. We cannot tolerate conflicts of interest or favoritism-and it is our intention to see that this does not take place in the Federal Government." This policy is based on a recognition that the maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees, and special Gov. ernment employees, through informed judgment is essential to assure the proper performance of the Government's business and the maintenance of confidence and respect of the citizens in their Government. 80.735–4. Definitions.

In this part:

(a) “Commission" means the Federal Trade Commission.

(b) “Employee" means an officer or employee of the Commission, and, insofar as statutory and Executive order provisions are concerned, a Commissioner, but does not include a special Government employee.

(c) "Executive order" means Executive Order 11222.

(d) “Person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution.

(e) "Special Government employee" means a “special Government employee" as defined in section 202 of title 18 of the United States Code, who is employed in the Federal Trade Commission. In general, this refers to employees appointed to perform temporary duties on either a full-time or intermittent basis for not to exceed 130 days during any period of 365 consecutive days. $ 0.735–5 Interpretation and advisory

service. The Executive Director shall serve as counselor for the Commission on matters covered by the regulations in this part. Deputy counselors shall be the Director, Office of Administration and the Attorney in Charge of each Field Office. The counselor and deputy counselors shall be responsible for giving authoritative advice and guidance to each employee and special Government employee who seeks such advice or guidance on questions of conflicts of interest or other matters pertaining to the regulations in this part. $ 0.735–6 Reporting conflicts of inter


When a statement of employment and financial interests submitted under Subpart D of this part or information from other sources indicates a conflict between the interests of an employee, other than a Commissioner, or special Government employee and the performance of his services for the Government and when the conflict or appearance of conflict is not resolved at a lower level in the Commission, the information concerning the conflict or appearance of conflict shall be reported to the Chairman through the Executive Director. The individual concerned shall be provided an opportunity to explain the conflict or appearance of conflict. $ 0.735–7 Disciplinary and other reme

dial action. (a) A violation of the regulations in this part by an employee, other than a Commissioner, or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.


(b) When, after consideration of the explanation as provided by $ 0.735-6, the Chairman decides that remedial action is required, he will initiate immediate action to end the conflicts or appearance of conflicts of interest. Remedial action may include, but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Government employee of his conflicting interest;

(3) Disciplinary action; or

(4) Disqualification for a particular assignment.

(c) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations. $ 0.735–8 Publication of regulations.

Each employee and special Government employee shall be furnished a copy of the regulations in this part within 90 days after their approval by the Civil Service Commission. Each new employee and special Government employee shall be furnished a copy at the time of his entrance on duty. At least once each year, an appropriate notice shall be issued by the Executive Director to bring

provisions of the regulations in this part to the attention of each employee and special Government employee. Subpart B-Ethical and Other Con

duct and Responsibilities of Em

ployees $ 0.735-11 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 the Commission.

(2) Conducts operations or activities that are regulated by or are otherwise subject to the jurisdiction of the Commission.

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

(b) As exceptions to paragraph (a) of this section, an employee shall be permitted to:

(1) Accept gifts, gratuities, favors, entertainment, loans, or other things of monetary value from members of his

immediately family (i.e., parents, children, or spouse) when the circumstances make it clear that it is the family relationship rather than the business of the persons concerned which is the motivating factor;

(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 the 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 an employee, 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 avoid any action, whether or not specifically prohibited by this part, which might result in, or create the appearance of:

(1) Using public office for private gain;

(2) Giving preferential treatment to any person;

(3) Impeding Government efficiency or economy;

(4) Losing complete independence or impartiality;

(5) Making a Government decision outside official channels; or

(6) Affecting adversely the confidence of the public in the integrity of the Government.

(d) 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).

(e) 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. 114-115(a). $ 0.735–12 Outside employment.

(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 Government 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 his mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner; or

(3) Outside em.ployment or other outside activity which may tend to bring discredit upon the Government or the Commission.

(b) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209).

(c) Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, the Executive order, or 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 Chairman gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. In addition, an officer or employee who is a Presidential appointee covered by section 401(a) of the Executive order shall not 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 Commission, or which draws substantially on official data or ideas which have not become part of the body of public information.

(d) An employee shall not engage in outside employment under a State or local government, except in accordance with Part 734 of Civil Service regulations (5 CFR Part 734),

(e) 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 this chapter for which no Government payment or reimbursement is made.

imbursed, and payment may not be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits.

(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.

(f) Before engaging in outside employment, an employee, other than a Commissioner, must obtain the written permission of the executive Director. Request for approval shall be sent through normal supervisory channels and shall include the following information:

(1) Name of the person, group, or organization for whom the work is to be performed.

(2) Nature of the services to be rendered.

(3) Proposed hours of work (if regularly scheduled) or approximate dates of employment. (4) Employee's certification

as to whether the outside employment (including teaching, writing, or lecturing) will depend in any way on information obtained as a result of the employee's official Government position. $ 0.735–13 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;


(2) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government 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 the Government so long as it is not prohibited by law, the Executive order, or the regulations in this part. $ 0.735-14 Use of Government prop

erty. An employee shall not directly or indirectly use, or allow the use of, Gov

vever, an employee may not be re


[ocr errors][merged small][ocr errors][ocr errors][ocr errors]

ernment property of any kind, including notoriously disgraceful conduct, or other property leased to the Government, for conduct prejudicial to the Government. other than officially approved activities.

$ 0.735–19 Miscellaneous statutory proAn employee has a positive duty to

visions. protect and conserve Government property, including equipment, supplies, and

Each employee shall acquaint himself other property entrusted or issued to

with each statute that relates to his him.

ethical and other con ct as an em

ployee of the Commission and of the $ 0.735–15 Misuse of information.

Government. The attention of emFor the purpose of furthering a private ployees is directed to the following statuinterest, an employee shall not, except tory provisions: as provided in $ 0.735–12(c), directly or

(a) House Concurrent Resolution 175, indirectly use, or allow the use of, offi- 85th Congress, 2d Session, 72 Stat. B12, cial information obtained through or in the “Code of Ethics for Government connection with his Government em- Service". ployment which has not been made (b) Chapter 11 of Title 18, United available to the general public.

States Code, relating to bribery, graft,

and conflicts of interest. $ 0.735–16 Indebtedness.

(c) The prohibition against lobbying An employee shall pay each just finan- with appropriated funds (18 U.S.C. cial obligation in a proper and timely 1913). manner, especially one imposed by law (d) The prohibitions against dissuch as Federal, State, or local taxes. loyalty and striking (5 U.S.C. 118p, For the purpose of this section, a 118r). "just financial obligation" means one (e) The prohibition against the emacknowledged by the employee or re- ployment of a member of a Communist duced to judgment by a court, and "in organization (50 U.S.C. 784). a proper and timely manner" means in (f) The prohibitions against (1) the a manner which does not, under the disclosure of classified information (18 circumstances, reflect adversely on the U.S.C. 798, 50 U.S.C. 783); and (2) the Government as his employer. In the disclosure of confidential information event of dispute between an employee (18 U.S.C. 1905). and an alleged creditor, this section does (g) The provision relating to the not require the Commission to determine habitual use of intoxicants to excess (5 the validity or amount of the disputed U.S.C. 640). debt.

(h) The prohibition against the mis

use of a Government vehicle (5 U.S.C. $ 0.735–17 Gambling, betting, and lotteries,

(i) The prohibition against the misAn employee shall not participate, use of the franking privilege (18 U.S.C. while on Government-owned or leased 1719). property or while on duty for the Gov- (j) The prohibition against the use of ernment, in any gambling activity in- deceit in an examination or personnel cluding the operation of a gambling de- action in connection with Government vice, in conducting a lottery or pool, in employment (5 U.S.C. 637). a game for money or property, or in sell- (k) The prohibition against fraud or ing or purchasing a numbers slip or false statements in a Government matter ticket. However, this section does not (18 U.S.C. 1001). preclude activities:

(1) The prohibition against mutilat(a) Necessitated by an employee's ing or destroying a public record (18 law enforcement duties; or

U.S.C. 2071). (b) Under Section 3 of Executive (m) The prohibition against counterOrder 10927, pertaining to fund-raising feiting and forging transportation reactivities conducted by employee orga- quests (18 U.S.C. 508). nizations.

(n) The prohibitions against (1) em

bezzlement of Government money or $ 0.735–18 General conduct prejudicial

property (18 U.S.C. 641); (2) failing to to the Government.

account for public money (18 U.S.C. An employee shall not engage in crim- 643); and (3) embezzlement of the inal, infamous, dishonest, immoral, or money or property of another person in


[ocr errors]
« AnteriorContinuar »