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The Commission's regulations are designed to allow maximum flexibility for each agency to prescribe regulations that will meet its particular needs so long as they are consistent with the intent of the Executive order to achieve Government-wide uniformity with respect to the minimum standards set forth in the Commission's regulations. Realistic and effective communication to employees and to the public doing business with the Government of the ethical standards under which Government business shall be conducted is called for. Also, the individual privileges of employees of the Government have been specifically recognized by the regulations in such sensitive areas as teaching, lecturing, and engaging in financial transactions in which no conflicts of interest issue exists. The regulations contain the following particularly significant provisions which should be noted.

(1) After Commission approval of agency regulations, the regulations must be submitted to the Federal Register for publication.

(2) Each agency shall designate a top ranking employee who has appropriate experience, preferably legal, to be the counselor for the agency and to be the agency's designee to the Commission on matters covered by these regulations.

(3) The agency's regulations (or a comprehensive summary) must be given to each employee.

(4) The establishment of an interpretation and advisory service in each agency so that counselors are available to any employee who requests guidance is required.

(5) Statements of employment and financial interest are required from employees in specified positions and from other employees whom agencies may designate.

Under Executive Order 11222, the issuance of these regulations revokes the President's Memorandum of May 2, 1963, Preventing Conflicts of Interest on the Part of Special Government Employees. However, the Commission is administratively adopting as Federal Personnel Manual instructions those portions of the memorandum which set forth rules for obtaining and utilizing the services of a consultant, adviser, or other temporary or intermittent employee. Those rules are in the section entitled. Conflict of Interest Statutes, in the revoked memorandum. Therefore, agencies should continue to observe these rules until such time as the Commission publishes a revised FPM Chapter 735 incorporating them.

These regulations are effective October 1, 1965.

By direction of the Commission:

NICHOLAS J. OGANOVIC,

Executive Director.

Inquiries: Office of the General Counsel, code 183, extension 7321.
CSC Code: 735 Employee Responsibilities and Conduct.
Distribution: FPM.

[Attachment to FPM Let. 735-2]

PART 735-EMPLOYEE RESPONSIBILITIES AND CONDUCT

SUBPART A-GENERAL PROVISIONS

Sec.

735.101 Purpose.

735.102 Definitions.

735.103 Applicability to members of the uniformed services.

735.104 Issuance, approval, and publication of agency regulations.

735.105 Interpretation and advisory service.

735.106 Reviewing statements and reporting conflicts of interest.

735.107 Disciplinary and other remedial action.

SUBPART B-AGENCY REGULATIONS GOVERNING ETHICAL AND OTHER CONDUCT AND RESPONSIBILITIES OF EMPLOYEES

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SUBPART C-AGENCY REGULATIONS GOVERNING ETHICAL AND OTHER CONDUCT AND RESPONSIBILITIES OF SPECIAL GOVERNMENT EMPLOYEES

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SUBPART D-AGENCY REGULATIONS GOVERNING STATEMENTS OF EMPLOYMENT AND

FINANCIAL INTERESTS

735.401 Form and content of statements.

735.402

735.403 735.404

735.405

735.406

735.407

735.408

735.409

735.410

Specific provisions of agency regulations for employees.
Employees required to submit statements.

Employees not required to submit statements.

Time and place for submission of employees' statements.
Supplementary statements.

Interests of employees' relatives.

Information not known by employees.

Information prohibited.

Confidentiality of employees' statements.

735.411 Effect of employees' statements on other requirements.

735.412 Specific provisions of agency regulations for special Government employees. AUTHORITY: Secs. 735.101 to 735.412 issued under secs. 602, 701, 702, E.O. 11222, 30 F.R. 6469, 3 CFR, 1965 Supp.

SUBPART A-GENERAL PROVISIONS

Sec. 735.101 Purpose.

The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interest on the part of Government employees and special Government employees through informed judgment is indispensable to the maintenance of these standards. To accord with these concepts, this Part sets forth the Commission's regulations under which each agency head shall issue regulations covering the agency's employees and special Government employees, prescribing standards of conduct and responsibilities, and governing statements reporting employment and financial interests.

Sec. 735.102 Definitions. In this Part:

(a) Agency means an executive department or independent establishment or agency in the executive branch, including a Government-owned or controlled corporation.

(b) Employee means an officer or employee of an agency, but does not include a special Government employee or a member of the uniformed services.

(e) Executive order means Executive Order 11222 of May 8, 1965.

(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 executive branch, but does not include a member of the uniformed services. (f) Uniformed services has the meaning given that term by section 101(3) of title 37 of the United States Code.

Sec. 735.103 Applicability to members of the uniformed services.

This Part, except this section, is not applicable to members of the uniformed services. Each agency having jurisdiction over members of the uniformed services shall issue regulations covering those members and regulating their ethical and other conduct and the reporting of employment and financial interests in a manner consistent with the Executive order and this Part.

Sec. 735.104 Issuance, approval, and publication of agency regulations.

(a) Except as provided in paragraph (f) of this section, each agency head shall prepare, and submit to the Commission for approval, regulations in accordance with this Part that:

(1) Implement the requirements of law, the Executive order, and this Part; and

(2) Prescribe additional standards of ethical and other conduct and reporting requirements that are appropriate to the particular functions and

activities of the agency and are not inconsistent with law, the Executive order, and this Part.

(b) After Commission approval each agency head shall:

(1) Submit the agency's regulations to the Federal Register for publication;

(2) Furnish each employee and special Government employee a copy of the appropriate agency regulations (or a comprehensive summary thereof) within 90 days after approval;

(3) Furnish each new employee and special Government employee a copy of the appropriate agency regulations ( or a comprehensive summary thereof) at the time of his entrance on duty;

(4) Bring the appropriate agency regulations to the attention of each employee and special Government employee annually, and at such other times as circumstances warrant;

(5) Assure the availability of counseling to each employee and special Government employee as provided in section 735.105; and

(6) Have available for review by employees and special Government employees, as appropriate, copies of laws, the Executive order, agency regulations, and pertinent Commission regulations and instructions relating to ethical and other conduct.

(c) Agency regulations issued under this Part are effective only after approval by the Commission and publication in the Federal Register,

(d) Requests for approval of agency regulations to be issued under this Part shall be directed to the United States Civil Service Commission, Office of the General Counsel, Washington, D.C. 20415.

(e) This section applies to any amendment of agency regulations issued underthis Part.

(f) An agency head who does not consider it feasible to prepare agency regulations under this Part because of the small number of his employees, or for another reason acceptable to the Commission, may adopt the regulations in this Part for application, as appropriate, to the employees and special Government employees of his agency if:

(1) He obtains the approval of the Commission for that adoption; and (2) After obtaining that approval, he submits a notice to the Federal Register announcing the applicability of this part to his employees. Sec. 735.105 Interpretation and advisory service.

(a) Each agency head shall designate a top-ranking employee of his agency who has appropriate experience, preferably legal, and in whom he has complete personal confidence, to be the counselor for the agency and to serve as the agency's designee to the Commission on matters covered by this Part. The counselor shall be made responsible for coordination of the agency's counseling services provided under paragraph (b) of this section and for assuring that counseling and interpretations on questions of conflicts of interest and other matters. covered by this Part are available to deputy counselors designated under paragraph (b) of this section.

(b) Each agency head shall designate deputy counselors for the agency's employees and special Government employees. Deputy counselors designated under this section shall be qualified and in a position to give authoritative advice and guidance to each employee and special Government employee who seeks advice and guidance on questions of conflicts of interest and on other matters covered by this Part.

(c) Each agency shall notify its employees and special Government employees. of the availability of counseling services and of how and where these services are available. This notification shall be made within 90 days after approval of the agency regulations to be issued under this Part, and periodically thereafter. In the case of a new employee or special Government employee appointed after this notification, notification shall be made at the time of his entrance on duty. Sec. 735.106 Reviewing statements and reporting conflicts of interest. (a) Agency regulations issued under this Part shall establish a system for the review of statements of employment and financial interests submitted under Subpart D. The system of review shall be designed to disclose conflicts of interest or apparent conflicts of interest on the part of employees and special Government employees.

(b) The system of review established under paragraph (a) of this section shall provide that, when a statement submitted under Subpart D or information from

other sources indicates a conflict between the interests of an employee 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 agency, the information concerning the conflict or appearance of conflict shall be reported to the agency head through the counselor for the agency.

(c) The employee or special Government employee concerned shall be provided an opportunity to explain the conflict or appearance of conflict.

Sec. 735.107 Disciplinary and other remedial action.

(a) Agency regulations issued under this Part shall provide that a violation of these regulations by an employee 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 of the employee or special Government employee provided by section 735.106, the agency head decides that remedial action is required, he shall take 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.

Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.

SUBPART B-AGENCY REGULATIONS GOVERNING ETHICAL AND OTHER CONDUCT AND RESPONSIBILITIES OF EMPLOYEES

Sec. 735.201 Specific provisions of agency regulations.

Agency regulations issued under this Subpart, as a minimum, shall contain provisions covering the standards of and governing the ethical and other conduct of its employees set forth in sections 735.202 through 735.210. Sec. 735.202 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 his agency;

(2) Conducts operations or activities that are regulated by his agency; or (3) Has interests that may be substatially affected by the performance or nonperformance of his official duty.

(b) Agency regulations implementing paragraph (a) of this section may provide for such exceptions as may be necessary and appropriate in view of the nature of the agency's work and the duties and responsibilities of the employees. Appropriate exceptions which may be made by an agency include, but are not limited to, those that:

(1) Govern obvious family or personal relationships (such as those be tween the parents, children, or spouse of the employee and the employee) when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motating factors: (2) Permit acceptance of 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) Permit acceptance of 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) Permit acceptance of 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 Subpart, 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. 114-115a.

Sec. 735.203 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; or

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

(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, this Part, or the agency regulations. 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 agency head gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. In addition, an employee who is a Presidential appointee covered by section 401(a) of the 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 his agency, 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 this chapter. (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 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 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.

(4) Outside employment permitted under the regulations of his agency issued under this Part.

Sec. 735.204 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; or

(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

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