45 C.F.R. Subpart B—Ethical and Other Conduct and Responsibilities of Employees
Title 45 - Public Welfare
An employee shall avoid any action, whether or not specifically prohibited by this subpart, 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 Commission efficiency or economy; (d) Making a Commission decision outside official channels; (e) Losing complete independence or impartiality; or (f) Affecting adversely the confidence of the public in the integrity of the Commission. (a) Except as provided in paragraphs (b) and (e) 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 the Commission; (2) Conducts operations or activities that are regulated by the Commission; or (3) Has interests that may be substantially affected by the performance or nonperformance of the employee's official duty. (b) Exceptions from the prohibitions contained in paragraph (a) of this section are as follows: (1) Gifts, entertainment, and favors that derive from family or personal relationships (such as those between 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 that are the motivating factors; (2) 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) 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) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value. (c) Employees 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 less pay than themselves. This paragraph, however, does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement. (d) 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 5 U.S.C. 7342. (e) Neither this section nor §706.11 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part, for which no Government payment or reimbursement is made. This paragraph, however, does not allow employees to be reimbursed, or payment to be made on their behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits. (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 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 conflict(s) of interest; or (2) Outside employment that tends to impair mental or physical capacity to perform Governmental 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 service to the Government as prohibited by 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, or Commission regulations. An employee shall not, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Office of Personnel Management or Board of Examiners for the Foreign Service, which depends on information obtained as a result of 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 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 the Commission or which draws substantially on official data or ideas that have not become part of the body of public information. (d) This section does not preclude an employee from: (1) Participation in the activities of national or State political parties not proscribed by law; (2) 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; or (3) Outside employment permitted under the regulations in this part. (a) Employees shall not: (1) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with their 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 their 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 not employed by the Government, so long as it is not prohibited by law, the Executive order, or Commission regulations. Employees 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. Employees have a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued them. For the purpose of furthering a private interest, employees shall not directly or indirectly use, or allow the use of, official information obtained through or in connection with their Government employment that has not been made available to the general public. 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. For the purpose of this section, 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 that the agency determines does not, under the circumstances, reflect adversely on the Government as the employer. In the event of dispute between an employee and an alleged creditor, this section does not require the Commission to determine the validity or amount of the disputed debt. Employees 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. Employees shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct or other conduct prejudicial to the Government. Employees shall acquaint themselves with each statute that relates to their ethical and other conduct as an employee of the Commission and of the Government. The attention of Commission employees is directed to the following statutory provisions: (a) House Document 103, 86th Congress, 1st Session, the “Code of Ethics for Government Service'; (b) The provisions relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned (18 U.S.C. 201–225); (c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913); (d) The prohibitions against disloyalty and striking (5 U.S.C. 73811; 18 U.S.C. 1918); (e) The prohibitions against the disclosure of classified information (18 U.S.C. 798; 50 U.S.C. 1905); (f) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352); (g) The prohibition against the misuse of a Government vehicle (31 U.S.C. 1349(b)); (h) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719); (i) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917); (j) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001); (k) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071); (l) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508); (m) 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 the employee by reason of his or her employment (18 U.S.C. 654); (n) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285); (o) The prohibitions against political activities (5 U.S.C. 7323 and 18 U.S.C. 602, 603, and 607); and (p) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agent Registration Act (18 U.S.C. 219).
Title 45: Public Welfare
PART 706—EMPLOYEE RESPONSIBILITIES AND CONDUCT
Subpart B—Ethical and Other Conduct and Responsibilities of Employees
§ 706.9 Proscribed actions.
§ 706.10 Gifts, entertainment, and favors.
§ 706.11 Proscribed outside employment and other activities.
§ 706.12 Financial interests.
§ 706.13 Use of Government property.
§ 706.14 Misuse of information.
§ 706.15 Indebtedness.
§ 706.16 Gambling, betting, and lotteries.
§ 706.17 General conduct prejudicial to the Government.
§ 706.18 Miscellaneous statutory provisions.
