ny, association, partnership, society, or other organization or instrumentality to provide financial benefit to himself or another person. § 0.735-12 Conflict-of-interest laws. Sections 201 through 209 of title 18 U.S.C., prohibit and provide criminal penalties for certain acts by Government employees involving conflict-ofinterest situations, including limited exceptions for special Government employees. These provisions include the following prohibitions: (a) Section 203, in general, prohibits a Federal employee from soliciting, receiving, or agreeing to receive compensation for services rendered on behalf of another before a Government department or agency in relation to any particular matter in which the United States is a party or has a direct and substantial interest. (b) Section 205, in general, prohibits a Federal employee from acting as agent or attorney for prosecuting any claim against the United States or acting as agent or attorney for anyone before any Federal courts or agencies in connection with any particular matters in which the United States is a party or has a direct and substantial interest. It also prohibits him from receiving any gratuity, or any share of or interest in any claim against the United States in consideration of assistance in the prosecution of such claim. (c) Section 208, in general, prohibits a Government employee in his official capacity from participating personally and substantially through decision, approval, disapproval, recommendation, the rendering of advice, or otherwise in any particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner, or employee or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment has a financial interest. In accordance with the provisions of section 208(b)(2), the financial interests described below are hereby exempted from the prohibition of 18 U.S.C. 208 as being too remote or too inconsequential to affect the integrity of an employee's services in a matter: the policy holdings in an insurance company and the stock or bond holdings, in a mutual fund, investment company, or bank which owns an interest in an entity involved in the matter: Provided, That in the case of a mutual fund, investment company, or bank the fair value of such stock or bond holding does not exceed 1 percent of the value of the reported assets of the mutual fund, investment company, or bank. In addi tion, the prohibitions of section 208(a) shall not apply if the employee obtains advance clearance in accordance with the requirements of sections 208. (d) Section 209, in general, prohibits regular Government employees from receiving salary or supplementation of salary as compensation for their Government service from any source other than the United States. The statutory provisions described in this section are intended to call each employee's attention to problem areas and are not intended as a comprehensive description or interpretation of statutory prohibitions or the exceptions thereto. Employees who need guidance concerning the scope and application of the conflict-of-interest laws and their exceptions should consult a deputy counsel (a) Any employee who is engaged or is planning to engage in outside employment, business, professional, or other such activities has a positive ob ligation to inform himself fully concerning the requirements of this subpart and any laws, orders, regulations, or standards applicable to such activities. An employee shall request clearance from the head of his administration, bureau, or office as to whether such planned or current activities are prohibited: (1) When such activities raise a substantial question of conflict with this subpart or any applicable laws, orders, regulations, or standards; (2) When applicable laws, orders, regulations, or standards require clearance of such activities; or (3) When the employee is specifical ly so required by the individual responsible for clearance in order to 1 b i avoid possible conflict with applicable laws, orders, regulations, or standards. The clearance request shall be in writing and shall include, at a minimum, the identity of the employee, a statement of the nature of the employment or activity, and the amount of time to be devoted to the employment or activity. The head of the employing administration, bureau, or office may require the employee to furnish such other information as may be appropriate in considering the clearance request. He may grant clearance only when he believes such activities would be consistent with applicable laws, orders, regulations, and standards. He shall consult fully with the Solicitor where appropriate. If clearance is not granted, the employee shall not commence or continue the outside employment or activity. (b) The Secretary or his designee will handle requests for clearance by the heads of administrations, bureaus, offices, Presidential appointees, members of boards or commissions appointed by the Secretary, employees in the immediate Office of the Secretary. Clearance matters involving other employees in the Office of the Secretary will be handled by the head of the employing subdivision within such office which is not a part of a larger subdivision. (c) The requirements set forth in this subpart are separate from and in addition to any provision under subpart E of this part requiring an employee to submit a statement of employment and financial interests or any other requirements of that subpart. Subpart D-Gifts, Fees, Entertainment, and Favors § 0.735-14 Acceptance of gratuities generally. No employee shall solicit, accept, or agree to accept any direct or indirect favor, gift, loan, free service, gratuity, entertainment, or other item of economic value if the donor has or is seeking to obtain contractual or other business or financial relations with the Department, has interests that may be substantially affected by the perform ance or nonperformance of official duties, is attempting to reward or influence the employee's official actions, or if acceptance of such item could affect the employee's impartiality, or give that appearance. 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. 7342. No regular Government employee may receive any salary or supplementation of salary from a private source as compensation for services to the Government. § 0.735-15 Payments, expenses, reimbursements, entertainment, etc., from nongovernment sources. (a) In general, Decision B-128527 of the Comptroller General dated March 7, 1967, restricts receipt of reimbursement for travel, subsistence, or other expenses from private sources by an employee on official business under agency orders. This decision or other regulations in this part do not restrict acceptance of contributions, awards, travel, subsistence, and other expenses from nonprofit organizations authorized by 5 U.S.C. 4111 and regulations issued thereunder; Provided, That an employee may not, without the written permission of the head of his employing administration, bureau, or office, or other person responsible for clearance of outside activities under § 0.735-13 (except as allowed by § 0.735-17(a)(6)), accept from nongovernmental sources any payments, expenses, reimbursements, entertainment, or other item of economic value incident to training, attendance at meetings of any kind, or other activities, if such training, meetings, or activities are attended or performed wholly or partially within periods when he is on duty or at such times as the Department pays any expenses incident thereto in whole or in part. Such authorization may not be granted where prohibited by law or Decision B-128527 of the Comptroller General and may only be granted if acceptance of the contribution, award, or payment: (1) Would not reflect unfavorably on the ability of the employee to carry out his official duties in a fair and objective manner; (2) Would not compromise the honesty and integrity of the Government programs or of Government employees and their official actions or decisions; (3) Would be compatible with the Code of Ethics for Government Service expressed in House Concurrent Resolution 175, 85th Congress, second session; (4) Would otherwise be proper and ethical for the employee concerned under the circumstances in his particular case; and (5) If the contribution, award, or payment is not a reward for services to the organization prior to the training or meeting. Authorization shall be limited to receipt of bona fide reimbursement for actual expenses of travel and other necessary subsistence 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. 8 0.735-16 Contributions and gifts to superiors. No employee may 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. This section does not prohibit voluntary gifts of nominal value or donations in a nominal amount made on a special occasion such as marriage, illness, etc. $ 0.735-17 Permissible gifts. (a) The prohibitions in this subpart do not preclude: (1) Acceptance of unsolicited advertising or promotional material of nominal intrinsic value; (2) Acceptance of an award for meritorious public contribution given by a charitable, religious, professional, social, fraternal, nonprofit educational, recreational, public service, or civic organization; (3) Acceptance of gifts resulting from obvious family or personal relationships when the circumstances make clear that it is those relationships rather than the business of the persons concerned which are the motivating factor; (4) Acceptance of loans from banks, or other financial institutions on customary terms to finance proper and usual activities; (5) Acceptance of scholarships, fellowships, and similar forms of assistance which are incident to education or training pursued by an employee on his own time and his own initiative; (6) Acceptance, without permission, of food, entertainment, and refreshments of nominal value on infrequent occasions in the ordinary course of & meeting, inspection tour, or training situation in which the employee is properly in attendance. (b) Notwithstanding any reference to generally permissible gifts in this subpart, employees are expected to avoid any conflict or apparent conflict between their private interests and those of the Department and to observe the other standards of conduct set forth in subpart B of this part. Subpart E-Statements of Employment and Financial Interests § 0.735-18 Regular employees required to submit statements. The following regular employees are required to submit to the head of the employing administration, bureau, or office statements of employment and financial interests on forms approved by the Solicitor and furnished to the employees. Such forms must be com pleted in accordance with instructions applicable thereto. Forms shall be submitted not later than 90 days after the effective date of the regulations in this part, if employed on or before that effective date or 30 days after his entrance on duty, but not earlier than 90 days after the effective date if ap pointed after the effective date. (a) Employees paid at a level of the Executive Schedule in subchapter II of chapter 53 of title 5 U.S.C.; except the Secretary of Labor who is subject to separate reporting requirements under section 401 of Executive Order 11222; (b) The Deputy Under Secretary, Deputy Assistant Secretaries, Deputy Solicitor, and all Assistants and all grades GS-13 and above executive or special assistants to the Secretary, Under Secretary, Assistant Secretaries, or the Solicitor; (c) The heads of all administrations, bureaus, and offices, as defined in § 0.735-1. The heads of all bureaus and offices within an administration which are not a part of a larger administrative subdivision within such administration; (d) The heads of all subdivisions within the Office of the Secretary which are not a part of a larger administrative subdivision within Office; that (e) Employees in hearing examiner positions as defined by § 930.202(c) of the Civil Service Commission regulations (5 CFR 930.202(c)); (f) Employees, grade GS-13 and above occupying the following positions: OFFICE OF THE SECRETARY Immediate Office of the Secretary Office of the Assistant Secretary for Office of Financial Management and Administration: Director. Chief, Division of Audit. Auditors. Office of Administrative Services: Director. Procurement Officer. Office of Employee Utilization and Develop ment: Director. Executive Development Officer. Employee Development Officer. Office of Program and Budget Review: Director. Assistant Director for Budget Review. Assistant Director for Program Review. Office of Federal Contract Compliance: Director. Assistant Director for Compliance Operations. Assistant Director for Program Policy. Assistant Administrator for Compliance and Enforcement. Assistant Administrator for Research and Legislative Analysis. Assistant Administrator for Planning and Management. Assistant to the Administrator. Chief, Division of Regulations and Exemptions. Chief, Division of Wage Determinations. Deputy Regional Directors. Assistant Regional Directors. Assistants to the Regional Directors. Directors of District Offices. Field Office Supervisors. Director of the Puerto Rico Area Office. Assistant Director of the Puerto Rico Area LABOR MANAGEMENT SERVICES Deputy Administrator. Director, Office of Labor-Management Relations Services. Director, Office of Policy Development. Labor-Management Director, Office of Administration and Management. Director, Office of Veterans Reemployment Rights. Office of Labor-Management and WelfarePension Reports Professionals, Office of the Director. Professionals, Division of Compliance Operations. Division of Reports and Analysis: Regional Manpower Administrators. Manpower Administrator's Regional Representatives. Executive Secretary, President's Committee on Manpower. Associate Manpower Administrator. Deputy Associate Manpower Administrator. Chief, Division of Program Evaluation. Division of Program Experimentation: Professionals. Division of Program Demonstration: Chief. Professionals. Office of Manpower Research: Special Assistant to the Director. Division of Manpower Research Contracts: Chief. All Professionals, grades GS-14 and above. Division of Manpower Research Grants: Professionals, grades GS-14 and above. Office of Financial and Management Assistant Manpower Administrator for Administration. Deputy Assistant Manpower Administrator for Administration. Division of Contracting Services: |