§ 0.735-48 Giving testimony.

When directed to do so by competent Treasury authority, employees must testify or respond to questions (under oath when required) concerning matters of official interest. See further 31 CFR 1.10.

§ 0.735-49 Personal communications.

Employees may not conduct personal business while on official duty. Personal use of telephones is restricted to essential need. Employees who receive personal mail at their office will advise addressors to stop sending such mail to the Treasury Department address.

§ 0.735-50 Use of Federal property.

Employees may not directly or indirectly use or allow the use of Federal property of any kind for other than officially approved activities. They also have a positive responsibility to protect and conserve all Federal property including equipment and supplies, which is entrusted or issued to them.

8 0.735-50a Conduct in and on Treasury buildings and grounds.

Employees must adhere to the regulations governing conduct in and on the Treasury Building, and Treasury Annex Building, and grounds (Part 407 of this title); the Bureau of Engraving and Printing Building, and Bureau of Engraving and Printing Annex Building, and grounds (Part 605 of this title); and the Bureau of the Mint buildings and grounds located in Denver, Fort Knox, New York, Philadelphia, San Francisco, and West Point (Part 91 of this title); and Treasury occupied General Services Administration buildings and grounds (41 CFR Subpart 101-19.3).

8 0.735-51 Influencing legislation or petitioning Congress.

1913); or to the rights of employees to petition Members of Congress either individually or collectively or to furnish information to any committee or member of either House of Congress (5 U.S.C. 7102).

§ 0.735-52 Soliciting, selling, and canvassing.

Except when authorized by the head of the bureau, office or division concerned, and except as provided by § 0.735-32, employees are prohibited from soliciting, from making collections, from canvassing for the sale of any article or from distributing literature or advertising matter in any space occupied by Treasury.

§ 0.735-53 Civil Service examination proc

esses.

Appointment and future advancement in the Federal career service are based on the important principle of individual merit and qualifications. The selection and merit competitive processes are protected by the Civil Service statutory provisions, 5 U.S.C. Chapter 33 and the Civil Service regulations. Employees shall not participate, either directly or indirectly, in any of the following actions: (a) Intentionally make a false statement or practice any deception or fraud in examination or appointment, (b) induce persons to withdraw from competition for competitive service positions, (c) engage in any improper activity with respect to the taking of Civil Service examinations and examination ratings, and (d) obstruct the right of any person to take examinations according to the Civil Service rules and regulations.

§ 0.735-54 Falsification of official records. Employees shall avoid making false, misleading or ambiguous statements, deliberately or willfully, whether verbal or written, in connection with any matter of official interest. Some of these matters of official interest are: Transactions with the public, other Federal agencies or fellow employees; application forms and other forms which serve as a basis for appointment, reassignment, promotion or other personnel actions; vouchers; leave records; work reports of any

nature or accounts of any kind; affidavits; entry or record of any matter relating to or connected with the employee's duties; and report of any moneys or securities received, held or paid to, for or on behalf of the United States (18 U.S.C. 1001).

§ 0.735-55 Miscellaneous statutory provisions.

Bureau heads should advise employees of any laws which relate specifically to employees in their bureaus. The attention of every employee is directed to the statutes relating to conduct listed below:

(a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service" (5 U.S.C. 7301 note).

(b) The prohibition placed on Treasury Department employees against carrying on any trade in any public funds or debts or obtaining any personal gain from transacting the Department's business (31 U.S.C. 1018).

(c) Chapter 11 of Title 18, U.S.C. relating to bribery, graft, and conflicts of interest as appropriate to the employees concerned.

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

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

(f) 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).

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

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

(i) 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).

(j) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).

(k) The prohibition against Federal employment of any person convicted of a felony in furtherance of, or while participating in, a riot or civil disorder (5 U.S.C. 7313).

(1) The tax imposed on certain employees (e.g., Presidential appointees, employees excepted under Schedule C, employees whose compensation is equal to or greater than that for GS16, or executive assistants or secretaries to any of the foregoing) who knowingly engage in self-dealing with a private foundation (26 U.S.C. 4941, 4946). "Self-dealing" is defined in the statute to include certain transactions involving an employee's receipt of compensation or other benefits such as a loan, or reimbursement for travel or other expenses from, or his sale to or purchase of property from, a private foundation.

(m) The prohibition against a public official appointing or promoting a relative, or advocating such an appointment or promotion (5 U.S.C. 3110).

§ 0.735-56 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.

STATEMENT OF EMPLOYMENT AND FINANCIAL INTERESTS

§ 0.735-70 Employees required to submit statements.

Except as provided in § 0.735-71 statements of employment and financial interests will be filed by the following employees:

(a) Those paid at a level of the Executive Schedule in Subchapter II of Chapter 53 of Title 5, United States Code.

(b) Those classified at GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, who are in positions, specifically identified in Appendix A to this part, the incumbents of which are re

sponsible 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) Those classified at GS-13 or above under 5 U.S.C. 5332, or at a comparable pay level under another authority, who are in positions, specifically identified in Appendix A to this part, which the Secretary of the Treasury 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, 5 CFR Part 735, and this part.

(d) Those classified below GS-13 under 5 U.S.C. 5332, or at a comparable pay level under other authority, who are in positions which otherwise meet the criteria in paragraphs (b) and (c) of this section, but only when the inclusion of the positions in Appendix A to this part has been specifically justified by the Secretary of the Treasury in writing to the Civil Service Commission as an exception that is essential to protect the integrity of the Government and avoid employee involvement in a possible conflicts-ofinterest situation.

(e) Alterations to, deletions from, and other amendments of the list of positions in Appendix A to this part may be made under the criteria in paragraphs (b) through (d) of this section and are effective upon approval by the Secretary of the Treasury and actual notification to the incumbents. Amendments to the list in Appendix A of this part shall be submitted annually for publication in the FEDERAL REG

Chapter 771-4 and the grievance procedures of the bureau or office in which the particular employee is employed, an opportunity for review of a complaint that his position has been improperly included in Appendix A of this part as one requiring the submission of a statement of employment and financial interests.

§ 0.735-71 Exceptions.

(a) Employees in positions that meet the criteria in paragraph (b) of § 0.735-70 may be excluded from the reporting requirement when the Secretary of the Treasury 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 when the employee is required to report to the Chairman of the Civil Service Commission under section 401 of Executive Order 11222.

§ 0.735-73 Form and content of statements.

The statements of employment and financial interests required under this subpart for use by employees and special Government employees shall contain, as a minimum, the information required by the formats prescribed by the Civil Service Commission in the Federal Personnel Manual. Such statements shall not include questions that go beyond, or are in greater detail than, those included in the Commission's formats without the approval of the Commission.

§ 0.735-74 Time and place for submission of employees' statements.

Each employee required to submit a statement of employment and financial interests shall submit that state

ment to the office or official designated by the bureau head not later than: (a) Ninety days after the effective date of the regulations in this part (April 16, 1966) if employed on or before that effective date; or

(b) Thirty days after his entrance on duty but not earlier than 90 days after the effective date of the regulations in this part if appointed after that effective date (April 16, 1966).

§ 0.735-75 Supplementary statements.

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 as of June 30 each year, except when the Civil Service Commission authorizes a different date. If no changes or additions occur, a negative report is required, and the notation "no change" should be made on the form. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of 18 U.S.C. 208, or Subpart B of 5 CFR Part 735 or this part.

§ 0.735-76 Interests of employees' relatives.

For purposes of completing the statements of employment and financial interests, the interest of a spouse, minor child, or other member of the employee's immediate household is to be considered an interest of the employee. In other words, those blood relations who are residents of the employee's household are to be treated for purposes of completing the financial statement as though they were the employee and therefore, the report of financial statements should reflect their employment and financial interests in the same manner that the employment and financial interests of the employee are shown.

§ 0.735-77 Information not known by employees.

If any information required to be included in a statement of employment and financial interests or a supplementary statement including holdings

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 purposes of the regulations in this part, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed and "business enterprises" are required to be included in an employee's statement of employment and financial interests.

8 0.735-79 Review of statements.

are

Presidential appointees who heads of bureaus and those in the Office of the Secretary will file their statements with the General Counsel for his review. The General Counsel's statement will be filed with the Secretary. Heads of bureaus and their principal assistants or deputies who are not Presidential appointees will file their statements with the official in the Office of the Secretary to whom they report under Treasury Order 190, as revised. In a similar manner, financial statements of all Presidential appointees below the level of bureau head will be forwarded through the bureau head to the official in the Office of the Secretary to whom the bureau head reports. Each bureau will make provisions for a review of the statements submitted by other employees. This review may be made either by the bureau head or his designee. The system of review shall be designed to disclose conflicts of interest or apparent conflicts of interest on the part of employees. If information from the statements submitted or from

other sources indicates a conflict of interest or an apparent conflict of interest, the employee concerned shall be given an opportunity to explain the conflict or apparent conflict. If the conflict or apparent conflict is not resolved at bureau or lower organizational level, the matter will be referred to the General Counsel who may refer it to the Advisory Committee on Ethical Standards. He shall report all cases formally referred to him to the Secretary.

§ 0.735-80 Confidentiality of employees' statements.

Statements of employment and financial interests, and supplementary statements shall be held in confidence. To insure nis confidentiality, bureaus and offices shall designate which employees are authorized to review and retain the statements. Employees so designated are responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to carry out the purpose of this part. Information from a statement may not be disclosed except as the Civil Service Commission or the Secretary of the Treasury may determine for good cause shown.

§ 0.735-81 Effect of employees' statements on other requirements.

The statements of employment and financial interests and supplementary statements required of employees under the regulations in this part 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 the matter in which his or the other person's participation is prohibited by law, order, or regulation.

RESPONSIBILITIES

§ 0.735-90 Assignment of responsibilities. The assignment of responsibilities to carry out the provisions of this part is described below in §§ 0.735-91-0.73597.

§ 0.735-91 Department.

responsibilities

The Department's are to (a) issue policy and basic standards of conduct applicable to all Treasury employees, (b) periodically review the basic standards issued and to review initially and periodically those additional standards issued by the bureaus, (c) set requirements to insure that supervisors and employees are aware of the standards of conduct, of their responsibilities in maintaining and adhering to those standards and of the fact that disciplinary action will be taken in cases of failure to maintain or adhere to them, and (d) establish procedures for furnishing advice to management and to employees on the application of standards of conduct. These procedures involve the establishment of an Advisory Committee on Ethical Standards and the referral to the Advisory Committee of problems relating to bureau heads and offiIcials who report directly to the Secretary. Problems relating to all other employees on which advice or guidance is necessary or desirable may also be referred to the Committee through personnel or legal channels.

$ 0.735-92 The Department's Counselor.

The General Counsel has been designated by the Secretary as the Counselor for the Department on matters covered by the regulations in this part. He is responsible for coordination of the counseling service within the Department and for interpretations on questions of conflicts of interest and other matters under this part. He shall report matters formally referred to him to the Secretary.

$ 0.735-93 Deputy Counselors.

The Chief Counsel or legal advisor for each bureau is the Deputy Counselor for that bureau. As such, his responsibility is to give authoritative advice and guidance on conflicts of interest and other matters covered by this part.

§ 0.735-94 Role of personnel officers.

Personnel officers at all organizational levels are responsible for providing general guidance and assistance to supervisors and employees in imple