General provisions.

Gifts, entertainment, and favors. Outside employment or occupation.

Other outside activities.

100.735-15 Special additional requirements for Presidential appointees. Financial and other interests. Use of Government property. Misuse of information. Indebtedness.

100.735-16

100.735-17

100.735-18

100.735-19

Subpart D-Conduct and Responsibilities of Special Government Employees

General provisions.

Sec.

100.735-41

100.735-42

Use of employment.

100.735-43

100.735-44

Use of inside information. Coercion.

100.735-45 Gifts, entertainment, and favors. 100.735-46 Statement of employment and financial interests.

100.735-47 Miscellaneous statutory provisions.

AUTHORITY: The provisions of this Part 100 issued under E.O. 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 100 appear at 32 F.R. 13560, Sept. 27, 1967, unless otherwise noted.

Subpart A-General Provisions

In order to assure the proper performance of the Government's business and the maintenance of public confidence, all employees shall maintain high standards of honesty, integrity, impartiality, and conduct. The avoidance of misconduct and conflicts of interests, apparent or real, on the part of all employees through informed judgment is indispensable to the maintenance of the standards in this part. Since service is the keystone of the Agency's operations, each person who deals with the Agency is entitled to courtesy and consideration. Not only must his case be treated with fairnessthere must not be even the appearance of unfairness.

(a) The Board. The Board is responsible for the implementation of the regulations in this part with respect to employees under its jurisdiction.

(b) The General Counsel. The General Counsel is responsible for the implementation of the regulations in this part with respect to employees under his jurisdiction.

(c) Agency Counselor. The Director, Division of Administration, is hereby designated as the Agency Counselor for the purpose of (1) acting as liaison with the Civil Service Commission with respect to matters of employee responsibility and conduct, (2) coordinating the Agency's interpretation and advisory service under § 100.735-3, (3) advising, upon request, Agency officials responsible for reviewing the "Statements of Employment and Financial Interests" provided for in Subpart C of this part, (4) directing employees to review the regulations in this part annually, and (5) implementing and applying the regulations in this part. The Assistant Director, Division of Administration, and Director of Personnel are hereby designated as Assistant Agency Counselors.

(d) Agency Employee Suitability Committee. (1) The Agency Employee Suitability Committee shall continue to serve as a point of initial consideration concerning any matters of employee suitability that arise under Agency and/ or other governmental regulations. In this position the Committee, as required, advises a Board Meniber, the Board, or the General Counsel concerning the appropriateness of action under such regulations. In addition the Committee is responsible for recommending to the Board and General Counsel, as necessary, guidelines to assure consistent and uniform application of the regulations in this part throughout the Agency.

(2) The Agency Employee Suitability Committee shall be composed of one member and alternate designated by the Board; one member and alternate designated by the General Counsel; and the Director, Division of Administration (who shall serve as Chairman) and as his alternate, the Assistant Director, Division of Administration.

(e) Employees. All new employees shall become familiar with the provisions of the regulations in this part during the period of orientation with the Agency. All employees are expected periodically to review the provisions included in this

part and any subsequent regulations which may be issued.

§ 100.735-3 Advisory and interpretation service.

(a) The incumbents of the following named positions are Deputy Agency Counselors and shall make themselves thoroughly familiar with applicable laws, Executive orders, and regulations in this part:

(1) Regional Directors and respective Assistant General Counsels;

(2) All Washington Office, Branch, and Division Chiefs; and

(3) All persons officially acting in one of the above positions.

(b) Upon request of employees under their supervision, the above incumbents shall be available for necessary consultation and advice. In the consideration of any question or problem arising under the regulations in this part, the above officials or employees with questions or problems may avail themselves of the services of the Agency Counselor.

§ 100.735-4 Disciplinary

remedial action.

and other

(a) Violations of the regulations in this part by an employes may be cause for appropriate disciplinary or other action which may be in addition to any penalty prescribed by law.

(b) In any instance where a statement submitted under § 100.735-16 or Subpart C of this part or information from any other source indicates a conflict of interest, apparent or real, the employee shall be provided opportunity to explain.

(1) After consideration of the employee's explanation, the appropriate official (see designated officials under § 100.7353(a) (1), (2), (3)) may recommend, in writing to the Chairman of the Board, the General Counsel, or a Board Member, as appropriate, that the interest is not so substantial as to be likely to affect the integrity of the employee's services to the Government and he must so notify the employee in advance of handing the assignment.

(2) If, however, the designated official deems the interest to be so substantial as to be a conflict or an apparent conflict with the employee's assignment, that official must act immediately to end the real or apparent conflict or to prevent a possible conflict by (i) disqualification for a particular assignment or (ii) arrangement by mutual agreement that the employee will divest himself of the in

terest before proceeding with the assignment. Any such action must also be reported with recommendations to the Chairman of the Board, the General Counsel, or Board a Member, as appropriate.

(3) If the designated official determines that further remedial action is necessary, he may recommend to the Chairman of the Board, the General Counsel, or a Board Member, as appropriate, that any of the following actions be taken-(i) Changes in assigned duties, (ii) arrangements for divestment by the employee of his interest, or (iii) disciplinary action.

(c) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations (see NLRB Administrative Policies and Procedures Manual, Employee Appeals from Adverse Actions, Items 2430-2448 and employee's rights thereunder).

§ 100.735-5 Definitions.

In the regulations in this part:

(a) "Employee" means any officer or employee of the Agency but does not include a special Government employee.

(b) "Special Government employee" means an officer or employee of the Agency who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed one hundred and thirty (130) days during any period of three hundred and sixty-five (365) consecutive days, temporary duties either on a full-time or intermittent basis.

(c) "Person" means an individual, a labor organization, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution. Subpart B-Conduct and Responsibilities of Employees

§ 100.735-11 General provisions.

All employees shall avoid any action whether or not specifically prohibited by this part 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 Government efficiency or economy;

(d) Losing complete independence or impartiality;

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

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

§ 100.735-12 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) of this section (see also § 100.735-14 when travel or subsistence may be involved), 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) Is a party to or has an interest in any case, proceeding, or other matter before the Agency;

(2) Conducts operations or activities or is associated with any operation or activity that falls within the jurisdiction of the National Labor Relations Act, as amended;

(3) Has interests that may be substantially affected by the performance or nonperformance of the employee's duty; or

(4) Has, or is seeking to obtain, contractual or other business or financial relations with the Agency.

(b) Appropriate exceptions to the prohibitions in paragraph (a) of this section are as follows:

(1) Those gifts, gratuities, favors, etc., that are governed by obvious family relationships (such as those between parents, children, or spouse of the employee and the employee) or personal relationships when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors.

(2) Acceptance of food and refreshments of nominal value on infrequent occasions where, in the course of performing official functions, case handling matters continue through luncheon or dinner, or on other occasions when an employee is properly in attendance.

(3) Arrangement for loans from banks or other financial institutions granted on customary terms.

(4) 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 not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving

(a) General provisions. Employees shall not engage in outside employment or other outside activity incompatible with the full and proper discharge of the duties and responsibilities of their Government employment. Incompatible employment includes, but is not limited to:

(1) The private practice of law either individually or with another person; however, as an exception, permission of the Board or General Counsel may be requested to engage in such occasional and private legal activities as those involving family or civic matters;

(2) Acceptance of a fee (including forwarding or referral fees), 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, a conflict of interest;

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

or

(4) Outside employment which tends to limit an employee's availability for any required assignments including, but not limited to, travel, after-hours investigations, interviews, and elections.

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

(c) Teaching, writing, and lecturing. (1) Teaching, writing, and lecturing by employees are outside activities which may be permitted so long as all requirements pertaining to conflicts of interest and outside employment (see especially paragraphs (a) (3) and (4) of this section) are observed. 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 Board or General Counsel gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(2) No employee of the Agency shall instruct, either directly or indirectly, or be concerned in any manner with the instruction of any person or classes of persons with a view to their special preparation for an examination. of the Civil Service Commission or the Boards of Examiners for the Foreign Services. Any request for exceptions shall be directed to the Agency Counselor.

(d) Employment under State or local government. An employee shall not engage in outside employment under a State or local government, except in those situations allowed by law, Executive order or Civil Service Commission regulation (5 CFR Part 734), and with the consent of the Board or General Counsel.

(e) Requests for authorization and reports of outside employment-(1) Legal practice. Requests directed to the Board or General Counsel, as appropriate, for exception to the prohibition in paragraph (a)(1) of this section, shall at a minimum, include:

(i) Nature of legal activity,

(ii) Relationship of proposed client(s) to employee, if any,

(iii) Expected duration of activity, and (iv) Compensation involved.

(2) Other employment. Before any employee accepts outside employment, he shall obtain permission of his Regional Director, Branch Chief, or the equivalent. Permission shall be granted in accordance with the regulations in this part. Each Regional Director, Branch Chief, or the equivalent shall maintain a record on an individual basis of each request received for outside employment authorization and the official action taken. At least annually, as of June 30, the Division Chief shall require a report from each subordinate authorizing official showing as a minimum: (1) By named employee, the request and official action taken, and (ii) a list by employee of the outstanding authorizations for outside employment.

§ 100.735-14 Other outside activities.

The prohibition of § 100.735-13 shall not preclude an employee from: