45 C.F.R. PART 706—EMPLOYEE RESPONSIBILITIES AND CONDUCT
Title 45 - Public Welfare
Authority: Part III of 5 U.S.C.
Source: 44 FR 75152, Dec. 19, 1979, unless otherwise noted.
Source: 67 FR 70482, Nov. 22, 2002, unless otherwise noted.
The U.S. Commission on Civil Rights (hereinafter referred to as the Commission) through the regulations in this part, implements, with appropriate modifications, relevant sections of Part III of Title 5 of the United States Code. 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's 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 covering the agency's employees and special Government employees, prescribing standards of conduct and responsibilities and governing statements reporting employment and financial interests. In this part: Commission means the United States Commission on Civil Rights, an Executive agency as defined by 5 U.S.C. 105. Employee means an officer or employee of the Commission including a special Government employee, as defined in 18 U.S.C. 202. Executive order means Executive Order 11222 of May 8, 1965, (3 CFR, 1964–1965 Comp., p. 306), prescribing standards of ethical conduct for Government officers and employees. 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. (a) Within 90 days after August 30, 2002, the Commission shall furnish each employee with a copy of the regulations in this part. (b) The Commission shall furnish all new employees with a copy of the regulations at the time of their entrance on duty. (c) The Commission shall bring the regulations to the attention of each employee annually and at such other times as circumstances warrant. (d) The Commission shall have available for review by employees copies of relevant laws, the Executive order, and pertinent Commission instructions relating to ethical and other standards of conduct. The General Counsel of the Commission shall serve as the agency's ethical conduct counselor and is the designated agency official for the purposes of the Ethics in Government Act. The General Counsel shall respond to requests by employees and special Government employees for advice and guidance respecting questions of ethical conduct, conflicts of interest, reporting of financial interests and other matters of law covered by the regulations in this part. An employee of the Commission who violates any of the regulations in this part may be disciplined. The disciplinary action may be in addition to any penalty prescribed by law for the violation. In addition to or in lieu of disciplinary action, remedial action to end conflicts or appearance of conflicts of interests may include but is not limited to: (a) Changes in assigned duties; (b) Divestment by an employee of any conflicting interest; or (c) Disqualification for a particular assignment. Employees of the Commission may engage in outside employment or other outside activity not incompatible with the full and proper discharge of the duties and responsibilities of their Government employment. Employees who wish to engage in outside employment shall first obtain the approval, in writing, of their supervisor. All employees of the Commission are subject to the prohibition on disclosure of evidence taken in executive session contained in §702.6 of this chapter. 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). Pursuant to the Ethics in Government Act of 1978 (Public Law 95–521, as amended by Public Law 101–194, 101–280, 102–90, 102–378, and 104–65, referred to hereinafter in this subpart as “the Act”), the following officers and employees of the Commission are required to file annual reports of financial and property interests and outside employment if they have served 61 days or more in their positions during the preceding calendar year: (a) Officers or employees, including a special Government employee as defined in 18 U.S.C. 202, who occupies a position classified above GS–15 of the General Schedule or, in the case of positions not under the General Schedule, for which the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS–15 of the General Schedule; (b) Employees in the excepted service in positions that are of a confidential or policy-making character, unless their positions have been excluded by the Director of the Office of Government Ethics; and (c) Each designated agency ethics official. (a) Annual reports are to be filed no later than May 15 of each calendar year, except that persons assuming a position for which reports are required who have not immediately prior to this assumption occupied a covered position in another agency, must file a report within 30 days after assuming the position at the Commission. In the event an individual terminates employment with the Commission and does not accept another position for which reporting is required, the report must be filed no later than the 30th day after termination, covering: (1) The preceding calendar year if the annual May 15 report has not been filed; and (2) The portion of the present calendar year up to the date of termination. (b) Reports shall be filed with the designated ethics officer (General Counsel) of the Commission. The reports of the designated ethics officer and nominees to and holders of positions that require confirmation by the Senate shall be transmitted by the General Counsel to the Office of Government Ethics of the Office of Personnel Management. (a) Under section 101 of the Act, a report is required of any person in the executive branch in a position excepted from the competitive service by reason of being of a confidential or policymaker character. The exclusion of any position will be effective as of the time the Commission files with the Office of Government Ethics a list and description of each position for which exclusion is sought, and the identity of its current occupant. Such a list must be filed with the Office of Government Ethics on or before the date on which such reports are due under the Act. (b) In the event that the Office of Government Ethics finds that one or more positions have been improperly excluded, it will so advise the Commission and set a date for the filing of the report. Information required to be reported by the Act shall be set forth in the manner specified in, and in accordance with the instructions contained in, Standard Forms issued by the Office of Personnel Management, to be used as follows: (a) Standard Form 278—for use by an officer or employee filing: (1) An annual report pursuant to section 101 of the Act, or (2) A departure report upon termination of employment, pursuant to section 101 of the Act; (b) Standard Form 278A—for use by: (1) An individual assuming a position for which reporting is required pursuant to section 201(a) of the Act; or (2) An individual whose nomination has been transmitted by the President to the Senate, pursuant to section 201(b) of the Act. (a) Financial reports are reviewed by the Commission's designated Ethics official or the Director of the Office of Government Ethics, as appropriate. Reports are to be reviewed within 60 days after the date of their filing or transmittal to the Office of Government Ethics. (b) After reviewing a report, the reviewing official is required to: (1) State upon the report that the reporting individual is in compliance with applicable laws and regulations and to sign the report; (2) Notify the reporting individual that additional information is required to be submitted and the time by which it must be submitted; or (3) Notify the reporting individual that the report indicates noncompliance and afford the individual a reasonable opportunity for a written or oral response after which the reviewing official reaches an opinion whether the individual is in compliance. (c) If the reviewing official determines that the reporting individual is not in compliance with applicable laws and regulations, the reviewing official will notify the individual of that opinion and after an opportunity for personal consultation notify the individual of the steps that should be taken to assure compliance and the date by which such steps should be taken. (d) The use of any steps to bring the individual in compliance are to be in accordance with regulations issued by the Director of the Office of Government Ethics. (e) To assist employees in avoiding situations in which they would not be in compliance with applicable laws and regulations, the designated Commission ethics official is to maintain a list of those circumstances or situations that have resulted or may result in noncompliance and the lists are to be periodically published and furnished to individuals required to file reports under this Act. (a) Pursuant to section 105(b) of the Act, each report will be made available for public inspection within 15 days after the report is received by the agency, whether or not the review of the report prescribed by section 106 of the Act has been completed. (b) Pursuant to section 105(b) of the Act, the following rules are applicable to public access to financial reports: (1) A financial disclosure report may not be made available to any person nor may a copy thereof be provided to any person except upon written application by such person stating: (i) That person's name, occupation, and address; (ii) The name and address of any other person or organization on whose behalf the inspection or copy is requested; and (iii) That such person is aware that it is unlawful to obtain or use a report: (A) For any unlawful purpose; (B) For any commercial purpose, other than by news and communications media for dissemination to the general public; (C) For determining or establishing the credit rating of any individual; or (D) For use, directly or indirectly, in the solicitation of money for any political, charitable, or other purpose. Any application for a report shall be available to the public during the period in which the requested report is available to the public. (2) [Reserved] (c) Requests for copies of financial disclosure reports of officers appointed by the President by and with the advice and consent of the Senate, as well as nominees to such offices and designated Commission ethics officials, may be directed to the Director of the Office of Government Ethics. (d) To gain access to or to obtain a copy of a report filed with the Commission, an individual should appear in person at the office of the General Counsel of the Commission, 624 9th Street, NW., Washington, DC 20425, during the hours 8:30 a.m. to 4:30 p.m. and complete an application form. Requests by mail should contain the information described in paragraph (b) of this section, together with the signature of the requester. Requests that do not contain the required information will be returned. Notice of the statutory prohibitions on use will be attached to copies of reports provided in response to a request otherwise properly filled out.
Title 45: Public Welfare
PART 706—EMPLOYEE RESPONSIBILITIES AND CONDUCT
Section Contents
§ 706.1 Implementation of regulations.
§ 706.2 Purpose.
§ 706.3 Definitions.
§ 706.4 Distribution.
§ 706.5 Counseling.
§ 706.6 Disciplinary and other remedial action.
§ 706.7 Outside employment and other activity.
§ 706.8 Prohibition against disclosure of evidence.
§ 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.
§ 706.19 Statements of financial and property interests and outside employment.
§ 706.20 Time and place for filing of reports.
§ 706.21 Exclusion of certain positions from reporting requirements.
§ 706.22 Information required to be reported—reporting forms.
§ 706.23 Review of reports.
§ 706.24 Public access to financial disclosure reports.
Subpart A—General Provisions
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§ 706.1 Implementation of regulations.
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§ 706.2 Purpose.
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§ 706.3 Definitions.
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§ 706.4 Distribution.
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§ 706.5 Counseling.
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§ 706.6 Disciplinary and other remedial action.
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§ 706.7 Outside employment and other activity.
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§ 706.8 Prohibition against disclosure of evidence.
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Subpart B—Ethical and Other Conduct and Responsibilities of Employees
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§ 706.9 Proscribed actions.
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§ 706.10 Gifts, entertainment, and favors.
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§ 706.11 Proscribed outside employment and other activities.
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§ 706.12 Financial interests.
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§ 706.13 Use of Government property.
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§ 706.14 Misuse of information.
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§ 706.15 Indebtedness.
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§ 706.16 Gambling, betting, and lotteries.
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§ 706.17 General conduct prejudicial to the Government.
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§ 706.18 Miscellaneous statutory provisions.
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Subpart C—Financial Reporting Requirements
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§ 706.19 Statements of financial and property interests and outside employment.
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§ 706.20 Time and place for filing of reports.
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§ 706.21 Exclusion of certain positions from reporting requirements.
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§ 706.22 Information required to be reported—reporting forms.
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§ 706.23 Review of reports.
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§ 706.24 Public access to financial disclosure reports.
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