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Excerpt from Title 29, Code of Federal Regulations, pertaining to the Equal Employment Opportunity Commission)

Part 1600 1601 1602 1604 1605 1606 1607 1610

Employee responsibilities and conduct.
Procedural regulations.
Records and reports.
Guidelines on discrimination because of sex.
Guidelines on discrimination because of religion.
Guidelines on discrimination because of national origin.
Guidelines on employee selection procedures.
Availability of records.


1600.735-404 Supplementary statements.

1600.735-405 Interests of employees' relaSubpart A-General

tives. Sec.

1600.735-406 Information not known by 1600.735–101 Purpose and policy.

employees. 1600.735–102 Definitions.

1600.735-407 Information not required. 1600.785–103 Interpretations and counsel

1600.735-408 Confidentiality of employees' ing.

statements. 1600.735–104 Disciplinary and other reme

1600.735 409 Effect of employees' statedial action.

ments OD other require1600.735–105 Appeal.

ments. Subpart B-Limitations on Conduct and

AUTHORITY: The provision of this part

1600 issued under E.O. 11222, 30 F.R. 8469, Responsibilities of Employees.

3 CFR 1965 Supp.; 6 CFR 735.101 et seq. 1600.735–201 Proscribed actions. 1600.735-202 Guts, entertainment, and SOURCE: The provisions of this Part 1600 favors.

appear at 33 F.R. 4329, Mar. 8, 1968, unless 1600.735–203 Outside employment and other

otherwise noted. activity.

Subpart A-General 1600.735–204 Financial interests. 1600.735-205 Other standards of conduct.

& 1600.735–101 Purpose and policy. Subpart C—Conduct and Responsibilities of

(a) Purpose. The purpose of this part Special Government Employees

is to implement Executive Order 11222, 1600.735–301 Limitations.

May 8, 1965 (30 FR 6469) and Part 735

of the Civil Service Commission RegulaSubpart D-Statement of Employment and

tions adopted pursuant thereto (5 CFR Financial Interests

Part 735) by defining standards of 1600.785-401 Employees required to submit

conduct and related procedures for statements.

employees and special Government em1600.735-402 Time and place for submission of employee statement.

ployees of the EEOC. 1600.735–403 Review of statement of em

(b) Policy. The maintenance of high ployment and inancial in. standards of ethical conduct by Governterests.

ment employees and special Government 725

employees is essential to assure the $ 1600.735–105 Appeal. proper performance of the Government's

Any employee or group of employees business and the maintenance of confi.

who disagree with the provisions of this dence and respect of the citizens in their

part have the right to request a review Government. No public oficer can law

of their complaint through Commission fully engage in business activities which

Order 571, August 7, 1972. are incompatible with the duties of his ofice.

Subpart B-Limitations on Conduct 8 1600.735–102 Definitions.

and Responsibilities of Employees (a) "Agency" means the Equal Em- § 1600.735-201 Proscribed actions. ployment Opportunity Commission.

An employee shall avoid any action, (b) “Employee" means an officer or

whether or not specifically prohibited by employee of the Equal Employment Op

this part which might result in, or create portunity Commission, but does not in

the appearance of: clude & special Government employee.

(a) Using public ofice for private (c) "Executive order" means Execu

gain; tive Order 11222 of May 8, 1965.

(b) Giving preferential treatment to (d) “Person" means an individual,

any person; corporation, company association, firm,

(c) Impeding Government eficiency partnership, society. Joint stock com

or economy; pany, or any other organization or

(d) Losing complete independence or institution.

impartiality: (e) "Special Government employee"

(e) Making & Government decision means a temporary employee, with or outside oficial channels; or without compensation, appointed to per- (f) Affecting adversely the confidence form for not to exceed 130 days during

of the public in the integrity of the any period of 365 consecutive days duties

Government. on either & full-time or intermittent basis. Such employees are generally con

8 1600.735–202 Gifts, entertainment, sultants or experts.

and favors. $ 1600.735–103 Interpretations and

(8) General limitations. Employees counseling.

shall not solicit or accept, directly or in

directly, any gift, gratuity, favor, enterThe General Counsel shall provide any

tainment, loan, or any other thing of needed counsel and assistance to all

monetary value, from a person who: EEOC employees concerning the policy (1) Has, or is seeking to obtain, conand procedures contained in this part. tractual or other business or financial Field Office Directors shall serve as dep- relations with this agency: uty counselors in their jurisdictions, re

(2) Conducts operations or activities ferring any controversial problems of in- that are regulated by this agency; terpretation to the General Counsel.

(3) Has interests that may be sub§ 1600.735–104 Disciplinary and other

stantially affected by the performance remedial action.

or nonperformance of his official duty.

(b) Exceptions. Section 1600.735–202 An employee or special Government (a) does not preclude: employee of the agency who violates any (1) Acceptance of a gift, gratuity, of the regulations in this part may be favor, entertainment, loan, payment of disciplined. The disciplinary action may expenses, fee, compensation, or other be in addition to any penalty prescribed things of monetary value incident to by law for the violation. In addition to obvious family or personal relationships or in lieu of disciplinary action, remedial (such as those between the employee and action to end conflicts or appearance of the parents, children, or spouse of the conflicts of interest may include but is employee) when the circumstances make not limited to:

It clear that it is the family relationship (a) Changes in assigned duties;

rather than the business of the persons (b) Divestment by the employee or concerned which are the motivating special Government employee of his con- factors; dicting interest; or

(2) Acceptance of food and refresh(c) Disqualification for a particular ments of nominal value on ufrequent ocassignment.

casions in the ordinary course of a lunch726

eon or dinner meeting or other meeting create the appearance of, conflicts of or on an inspection tour where an em- interest; or ployee may properly be in attendance; (2) Outside employment which tends

(3) Acceptance of loans from banks or to impair the mental or physical capacity other financial institutions on customary to perform his Government duties and terms to finance proper and usual activ- responsibilities in . n acceptable manner. ities of employees such as home mortgage (3) Receipt by an employee of any loans;

salary or anything of monetary value (4) Acceptance of unsolicited adver- from a private source as compensation tising or promotional material, such as for his services to the Government (18 pens, pencils, note pads, calendars, and U.S.C. 209). other items of nominal intrinsic value, (b) Employees are encouraged to enand

gage in teaching, lecturing and writing (5) Receipt of bona fide reimburse- that is not prohibited by law, the Execument, unless prohibited by law, for ex- tive order, this part, or the agency regpenses for travel and such other neces- ulations. However, an employee shall sary subsistence as is compatible with not, either for or without compensation, this part for which no Government pay- engage in teaching, lecturing, or writing, ment or reimbursement is made. How- including teaching, lecturing, or writing ever, an employee may not be reimbursed, for the purpose of the special preparaand payment may not be made on his tion of a person or class of persons for behalf, for excessive personal living ex- an examination of the Commission or penses, gifts, entertainment, or other Board of Examiners for the Foreign personal benefits, or for travel on official Service, that depends on information obbusiness proscribed by Decision B-128527 tained as a result of his Government of the Comptroller General dated March employment, except when that informa7, 1967.

tion has been made available to the gen(c) Gifts to superiors. An employee eral public or will be made available on shall not solicit contributions from an- request, or when the agency head gives other employee for a gift to an employee written authorization for use of nonin a superior oficial position. An em- public information on the basis that the ployee in a superior official position shall use is in the public interest. In addition, not accept a gift presented as a contribu- an employee who is a Presidential aption from employees receiving less salary pointee covered by section 401(a) of the than himself. An employee shall not order shall not receive compensation or make a donation as a gift to an employee anything of monetary value for any conin a superior official position (5 U.S.C. sultation, lecture, discussion, writing, or 7351). However, this does not prohibit a appearance the subject matter of which voluntary gift of nominal value or dona- is devoted substantially to the responsition in a nominal amount made on a spe- bilities, programs, or operations of his cial occasion; i.e., marriage, illness, or agency, or which draws substantially on retirement.

oficial data or ideas which have not (d) Gifts from foreign governments. become part of the body of public An employee shall not accept a gift, pres- information. ent, decoration, or other thing from a (c) [Reserved) foreign government unless authorized by

(d) Exceptions. Section 1600.735-203 Congress as provided by the Constitution

does not preclude: and in Public Law 89-673, 5 U.S.C. 7342.

(1) Participation in the activities of 1600.735–203 Outside employment national or state political parties not and other activity.

proscribed by law. (a) General limitations. An employee

(2) Participation in the affairs of, or shall not engage in outside employment

acceptance of an award for, a meritorious or other activity not compatible with the

public contribution or achievement given full and proper discharge of the duties

by a charitable, religious, professional, and responsibilities of his Government

social, fraternal, nonprofit educational employment. Incompatible activities in.

and recreational, public service, or civil clude but are not limited to:

organization. (1) Acceptance of a fee, compensation,

(3) Outside employment permitted ungift, payment of expense, or any other

der this part, including payments or thing of monetary value in circumstances reimbursements under $ 1600.735-202 in which acceptance may result in, or (b) (5).


(e) Procedure. An employee who engages in outside employment shall obtain his supervisor's approval in advance and shall inform the Personnel Division by memorandum. (33 F.R. 4329, Mar. 8, 1968, as amended at 33 F.R. 9610, July 2, 1968) $ 1600.735–204. Financial interests.

An Employee shall not:

(a) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities; or

(b) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government employment. This 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 probibited by law, the Executive order, or these regulations. & 1600.735–205 Other standards of

conduct. (a) Use of Government property. 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.

(b) Misuse of information. For the purpose of furthering a private interest, an employee shall not, except as provided in $ 1600.735-203(b), 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.

(c) 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. 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 agency determines does not, under the circumstances, reflect adversely on the

Government as his employer. In the event of dispute between an employee and an alleged creditor, the agency is not required to determine the validity or amount of his disputed debt.

(d) 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.

(e) 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.

(f) Miscellaneous statutory provisions. Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee of the Government. Attention is specifically directed to the following statutory provisions:

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

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

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

(4) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

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

(6) 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).

(7) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(8) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a (c)).

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

(10) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).


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

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

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

(14) 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).

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

(16) The prohibitions against political activities in subchapter III of chapter 73 of Title 5, United States Code, and 18 U.S.C. 602, 603, 607, and 608.

(17) The prohibition against an employee acting as an agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). Subpart C—Conduct and Responsi

bilities of Special Government

Employees & 1600.735–301 Limitations.

Special Government employees shall be subject to the same standards of conduct proscribed in Subpart B above for other employees, except $ 1600.735–203 (a) (3), plus the following:

(a) Use of Government employment. A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

(b) Use of inside information. A special Government employee shall not use inside information obtained as a result of his Government 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. Such employees may teach, lecture, or write in a manner not inconsistent with $ 1600.735-203(b) above.

(c) Coercion. A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or to another person, particularly one with whom he has family, business, or financial ties.

(d) Gifts, entertainment, and favors. A special Government employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with his agency anything of 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.

(e) Miscellaneous statutory provisions. Special Government employees are responsible for a knowledge of statutory obligations as outlined in $ 1600.735– 205(f). Subpart D—Statement of Employ

ment and Financial Interests $ 1600.735-401 Employees required to

submit statements. (a) The following categories of employees are determined by the EEOC, subject to the right of appeal under $ 1600.735–105, to be within the scope of 5 CFR 735–403, 735-404 and therefore they shall submit Statements of Employment and Financial Interests:

(1) Employees paid at a level of the

ecutive Schedule in Subchapter II of Chapter 53 of Title 5 United States Code, except the members of the Commission who report under section 401 of Executive Order 11222.

(2) Employees in Grade GS-16 or above of the General Schedule in 5 U.S.C. 5332.

(3) Employees in the Office of Liaison engaged in grant or reimbursement activities classified at GS-13 or above of the General Schedule.

(4) Employees in the Office of Administration engaged in contracting or procurement activities who are classided at


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