[REPUBLIC ACT NO. 3019] ANTI-GRAFT AND CORRUPT PRACTICES ACT Be it enacted by the Senate and House of Representatives of the Philippines in Congress assembled: Section 1. Statement of policy. — It is the policy of the Philippine Government, in line with the principle that a public office is a public trust, to repress certain acts of public officers and private persons alike which constitute graft or corrupt practices or which may lead thereto. Section 2. Definition of terms. — As used in this Act, the term — (a) Government includes the national government, the local governments, the government-owned and government-controlled corporations, and all other instrumentalities or agencies of the Republic of the Philippines and their branches. (b) Public officer includes elective and appointive officials and employees, permanent or temporary, whether in the classified or unclassified or exempt service receiving compensation, even nominal, from the government as defined in the preceding subparagraph. (c) Receiving any gift includes the act of accepting directly or indirectly a gift from a person other than a member of the public officers immediate family, in behalf of himself or of any member of his family or relative within the fourth civil degree, either by consanguinity or affinity, even on the occasion of a family celebration or national festivity like Christmas, if the value of the gift is under the circumstances manifestly excessive. (d) Person includes natural and juridical persons unless the context indicates otherwise. Section 3. Corrupt practices of public officers. — In addition to acts or omissions of public officers already penalized by existing law, the following shall constitute corrupt practices of any public officer and are hereby declared to be unlawful: (a) Persuading, inducing or influencing another public officer to perform an act constituting a violation of rules and regulations duly promulgated by competent authority or an offense in connection with the official duties of the latter, or allowing himself to be persuaded, induced, or influenced to commit such violation or offense. (b) Directly or indirectly requesting or receiving any gift, present, share, percentage, or benefit, for himself or for any other person, in connection with any contract or transaction between the Government and any other party, wherein the public officer in his official capacity has to intervene under the law. (c) Directly or indirectly requesting or receiving any gift, present or other pecuniary or material benefit, for himself or for another, from any person for whom the public officer, in any manner or capacity, has secured or obtained, or will secure or obtain, any Government permit or license, in consideration for the help given or to be given, without prejudice to Section thirteen of this Act. (d) Accepting or having any member of his family accept employment in a private enterprise which has pending official business with him during the pendency thereof or within one year after its termination. (e) Causing any undue injury to any party, including the Government, or giving any private party any unwarranted benefits, advantage or preference in the discharge of his official administrative or judicial functions through manifest partiality, evident bad faith or gross inexcusable negligence. This provision shall apply to officers and employees of offices or government corporations charged with the grant of licenses or permits or other concessions. 14 (f) Neglecting or refusing, after due demand or request, without sufficient justification, to act within a reasonable time on any matter pending before him for the purpose of obtaining, directly or indirectly, from any person interested in the matter some pecuniary or material benefit or advantage, or for the purpose of favoring his own interest or giving undue advantage in favor of or discriminating against any other interested party. (g) Entering, on behalf of the Government, into any contract or transaction manifestly and grossly disadvantageous to the same, whether or not the public officer profited or will profit thereby. (h) Directly or indirectly having financial or pecuniary interest in any business, contract or transaction in connection with which he intervenes or takes part in his official capacity, or in which he is prohibited by the Constitution or by any law from having any interest. (i) Directly or indirectly becoming interested, for personal gain, or having a material interest in any transaction or act requiring the approval of a board, panel or group of which he is a member, and which exercises discretion in such approval, even if he votes against the same or does not participate in the action of the board, committee, panel or group. Interest for personal gain shall be presumed against those public officers responsible for the approval of manifestly unlawful, inequitable, or irregular transaction or acts by the board, panel or group to which they belong. (j) Knowingly approving or granting any license, permit, privilege or benefit in favor of any person not qualified for or not legally entitled to such license, permit, privilege or advantage, or of a mere representative or dummy of one who is not so qualified or entitled. (k) Divulging valuable information of a confidential character, acquired by his office or by him on account of his official position to unauthorized persons, or releasing such information in advance of its authorized release date. The person giving the gift, present, share, percentage or benefit referred to in subparagraphs (b) and (c); or offering or giving to the public officer the employment mentioned in subparagraph (d); or urging the divulging or untimely release of the confidential information referred to in subparagraph (k) of this section shall, together with the offending public officer, be punished under Section nine of this Act and shall be permanently or temporarily disqualified in the discretion of the Court, from transacting business in any form with the Government. Section 4. Prohibition on private individuals. — (a) It shall be unlawful for any person having family or close personal relation with any public official to capitalize or exploit or take advantage of such family or close personal relation by directly or indirectly requesting or receiving any present, gift or material or pecuniary advantage from any other person having some business, transaction, application, request or contract with the government, in which such public official has to intervene. Family relation shall include the spouse or relatives by consanguinity or affinity in the third civil degree. The word close personal relation shall include close personal friendship, social and fraternal connections, and professional employment all giving rise to intimacy which assures free access to such public officer. (b) It shall be unlawful for any person knowingly to induce or cause any public official to commit any of the offenses defined in Section 3 hereof. Section 5. Prohibition on certain relatives. — It shall be unlawful for the spouse or for any relative, by consanguinity or affinity, within the third civil degree, of the President of the Philippines, the Vice-President of the Philippines, the President of the Senate, or the Speaker of the House of Representatives, to intervene, directly or indirectly, in any business, transaction, contract or application with the Government: Provided, That this section shall not apply to any person who, prior to the assumption of 15 office of any of the above officials to whom he is related, has been already dealing with the Government along the same line of business, nor to any transaction, contract or application already existing or pending at the time of such assumption of public office, nor to any application filed by him the approval of which is not discretionary on the part of the official or officials concerned but depends upon compliance with requisites provided by law, or rules or regulations issued pursuant to law, nor to any act lawfully performed in an official capacity or in the exercise of a profession. Section 6. Prohibition on Members of Congress. — It shall be unlawful hereafter for any Member of the Congress during the term for which he has been elected, to acquire or receive any personal pecuniary interest in any specific business enterprise which will be directly and particularly favored or benefited by any law or resolution authored by him previously approved or adopted by the Congress during the same term. The provision of this section shall apply to any other public officer who recommended the initiation in Congress of the enactment or adoption of any law or resolution, and acquires or receives any such interest during his incumbency. It shall likewise be unlawful for such member of Congress or other public officer, who, having such interest prior to the approval of such law or resolution authored or recommended by him, continues for thirty days after such approval to retain such interest. Section 7. Statement of assets and liabilities. — Every public officer, within thirty days after assuming office, thereafter, on or before the fifteenth day of April following the close of every calendar year, as well as upon the expiration of his term of office, or upon his resignation or separation from office, shall prepare and file with the office of the corresponding Department Head, or in the case of a Head of department or Chief of an independent office, with the Office of the President, a true, detailed sworn statement of assets and liabilities, including a statement of the amounts and sources of his income, the amounts of his personal and family expenses and the amount of income taxes paid for the next preceding calendar year: Provided, That public officers assuming office less than two months before the end of the calendar year, may file their first statement on or before the fifteenth day of April following the close of the said calendar year. (As amended by RA3047, PD 677, January 24, 1978). Section 8. Prima facie evidence of and dismissal due to unexplained wealth. — If in accordance with the provisions of Republic Act Numbered One thousand three hundred seventy-nine, a public official has been found to have acquired during his incumbency, whether in his name or in the name of other persons, an amount of property and/or money manifestly out of proportion to his salary and to his other lawful income, that fact shall be a ground for dismissal or removal. Properties in the name of the spouse and dependents of such public official may be taken into consideration, when their acquisition through legitimate means cannot be satisfactorily shown. Bank deposits in the name of or manifestly excessive expenditures incurred by the public official, his spouse or any of their dependents including but not limited to activities in any club or association or any ostentatious display of wealth including frequent travel abroad of a non-official character by any public official when such activities entail expenses evidently out of proportion to legitimate income, shall likewise be taken into consideration in the enforcement of this section, notwithstanding any provision of law to the contrary. The circumstances hereinabove mentioned shall constitute valid ground for the administrative suspension of the public official concerned for an indefinite period until the investigation wealth is completed. (As amended by BP Blg., 195, March 16, 1982) 16 Section 9. Penalties for violations. — (a) Any public officer or private person committing any of the unlawful acts or omissions enumerated in Sections 3, 4, 5 and 6 of this Act shall be punished with imprisonment for not less than six years and one month nor more than fifteen years, perpetual disqualification from public office, and confiscation or forfeiture in favor of the Government of any prohibited interest and unexplained wealth manifestly out of proportion to his salary and other lawful income. Any complaining party at whose complaint the criminal prosecution was initiated shall, in case of conviction of the accused, be entitled to recover in the criminal action with priority over the forfeiture in favor of the Government, the amount of money or the thing he may have given to the accused, or the fair value of such thing. (b) Any public officer violating any of the provisions of Section 7 of this Act shall be punished by a fine of not less than one thousand pesos nor more than five thousand pesos, or by imprisonment not exceeding one year and six months, or by both such fine and imprisonment, at the discretion of the Court. The violation of said section proven in a proper administrative proceeding shall be sufficient cause for removal or dismissal of a public officer, even if no criminal prosecution is instituted against him. (Amended by BP Blg. 195, March 16, 1982). Section 10. Competent court. — Until otherwise provided by law, all prosecutions under this Act shall be within the original jurisdiction of the Sandiganbayan. (As amended by BP Blg. 195, March 16, 1982) Section 11. Prescription of offenses. — All offenses punishable under this Act shall prescribe in fifteen years. Section 12. Termination of office. — No public officer shall be allowed to resign or retire pending an investigation, criminal or administrative, or pending a prosecution against him, for any offense under this Act or under the provisions of the Revised Penal Code on bribery. Section 13. Suspension and loss of benefits. — Any incumbent public officer against whom any criminal prosecution under a valid information under this Act or under Title Seven Book II of the Revised Penal Code or for any offense involving fraud upon government or public funds or property whether as a simple or as complex offense and in whatever stage of execution and mode of participation, is pending in court shall be suspended from office. Should he be convinced by final judgement, he shall lose all retirement or gratuity benefits under any law, but if he is acquitted, he shall be entitled to reinstatement and to the salaries and benefits which he failed to receive during suspension, unless in the meantime administrative proceedings have been filed against him. In the event that such convicted officer, who may have been separated from the service has already received such benefits he shall be liable to restitute the same to the government. (As amended by BP Blg. 195, March 16, 1982). Section 14. Exception. — Unsolicited gifts or presents of small or insignificant value offered or given as a mere ordinary token of gratitude or friendship according to local customs or usage, shall be excepted from the provisions of this Act. Nothing in this Act shall be interpreted to prejudice or prohibit the practice of any profession, lawful trade or occupation by any private person or by any public officer who under the law may legitimately practice his profession, trade or occupation, during his incumbency, except where the practice of such profession, trade or occupation involves conspiracy with any other person or public official to commit any of the violations penalized in this Act. Section 15. Separability clause. — If any provision of this Act or the application of such provision to any person or circumstances is declared invalid, the remainder of the Act or the application of such provision to other persons or circumstances shall not be affected by such declaration. Section 16. Effectivity. — This Act shall take effect on its approval, but for the purpose of determining unexplained wealth, all property acquired by a public officer since he assumed office shall be taken into consideration. Approved, August 17, 1960. Tuesday January 28, 2014 Home > General Information > RA 6713 Republic Act No. 6713 AN ACT ESTABLISHING A CODE OF CONDUCT AND ETHICAL STANDARDS FOR PUBLIC OFFICIALS AND EMPLOYEES, TO UPHOLD THE TIME-HONORED PRINCIPLE OF PUBLIC OFFICE BEING A PUBLIC TRUST, GRANTING INCENTIVES AND REWARDS FOR EXEMPLARY SERVICE, ENUMERATING PROHIBITED ACTS AND TRANSACTIONS AND PROVIDING PENALTIES FOR VIOLATIONS THEREOF AND FOR OTHER PURPOSES Section 1. Title. - This Act shall be known as the Code of Conduct and Ethical Standards for Public Officials and Employees. Section 2. Declaration of Policies. - It is the policy of the State to promote a high standard of ethics in public service. Public officials and employees shall at all times be accountable to the people and shall discharge their duties with utmost responsibility, integrity, competence, and loyalty, act with patriotism and justice, lead modest lives, and uphold public interest over personal interest. Section 3. Definition of Terms. - As used in this Act, the term: (a) Government includes the National Government, the local governments, and all other instrumentalities, agencies or branches of the Republic of the Philippines including government-owned or controlled corporations, and their subsidiaries. (b) Public Officials includes elective and appointive officials and employees, permanent or temporary, whether in the career or non-career service, including military and police personnel, whether or not they receive compensation, regardless of amount. (c) Gift refers to a thing or a right to dispose of gratuitously, or any act or liberality, in favor of another who accepts it, and shall include a simulated sale or an ostensibly onerous disposition thereof. It shall not include an unsolicited gift of nominal or insignificant value not given in anticipation of, or in exchange for, a favor from a public official or employee. (d) Receiving any gift includes the act of accepting directly or indirectly, a gift from a person other than a member of his family or relative as defined in this Act, even on the occasion of a family celebration or national festivity like Christmas, if the value of the gift is neither nominal nor insignificant, or the gift is given in anticipation of, or in exchange for, a favor. (e) Loan covers both simple loan and commodatum as well as guarantees, financing arrangements or accommodations intended to ensure its approval. (f) Substantial stockholder means any person who owns, directly or indirectly, shares of stock sufficient to elect a director of a corporation. This term shall also apply to the parties to a voting trust. (g) Family of public officials or employees means their spouses and unmarried children under eighteen (18) years of age. (h) Person includes natural and juridical persons unless the context indicates otherwise. (i) Conflict of interest arises when a public official or employee is a member of a board, an officer, or a substantial stockholder of a private corporation or owner or has a substantial interest in a business, and the interest of such corporation or business, or his rights or duties therein, may be opposed to or affected by the faithful performance of official duty. (j) Divestment is the transfer of title or disposal of interest in property by voluntarily, completely and actually depriving or dispossessing oneself of his right or title to it in favor of a person or persons other than his spouse and relatives as defined in this Act. (k) Relatives refers to any and all persons related to a public official or employee within the fourth civil degree of consanguinity or affinity, including bilas, inso and balae. Section 4. Norms of Conduct of Public Officials and Employees. - (A) Every public official and employee shall observe the following as standards of personal conduct in the discharge and execution of official duties: (a) Commitment to public interest. - Public officials and employees shall always uphold the public interest over and above personal interest. All government resources and powers of their respective offices must be employed and used efficiently, effectively, honestly and economically, particularly to avoid wastage in public funds and revenues. (b) Professionalism. - Public officials and employees shall perform and discharge their duties with the highest degree of excellence, professionalism, intelligence and skill. They shall enter public service with utmost devotion and dedication to duty. They shall endeavor to discourage wrong perceptions of their roles as dispensers or peddlers of undue patronage. (c) Justness and sincerity. - Public officials and employees shall remain true to the people at all times. They must act with justness and sincerity and shall not discriminate against anyone, especially the poor and the underprivileged. They shall at all times respect the rights of others, and shall refrain from doing acts contrary to law, good morals, good customs, public policy, public order, public safety and public interest. They shall not dispense or extend undue favors on account of their office to their relatives whether by consanguinity or affinity except with respect to appointments of such relatives to positions considered strictly confidential or as members of their personal staff whose terms are coterminous with theirs. (d) Political neutrality. - Public officials and employees shall provide service to everyone without unfair discrimination and regardless of party affiliation or preference. (e) Responsiveness to the public. - Public officials and employees shall extend prompt, courteous, and adequate service to the public. Unless otherwise provided by law or when required by the public interest, public officials and employees shall provide information of their policies and procedures in clear and understandable language, ensure openness of information, public consultations and hearings whenever appropriate, encourage suggestions, simplify and systematize policy, rules and procedures, avoid red tape and develop an understanding and appreciation of the socio-economic conditions prevailing in the country, especially in the depressed rural and urban areas. (f) Nationalism and patriotism. - Public officials and employees shall at all times be loyal to the Republic and to the Filipino people, promote the use of locally produced goods, resources and technology and encourage appreciation and pride of country and people. They shall endeavor to maintain and defend Philippine sovereignty against foreign intrusion. (g) Commitment to democracy. - Public officials and employees shall commit themselves to the democratic way of life and values, maintain the principle of public accountability, and manifest by deeds the supremacy of civilian authority over the military. They shall at all times uphold the Constitution and put loyalty to country above loyalty to persons or party. (h) Simple living. - Public officials and employees and their families shall lead modest lives appropriate to their positions and income. They shall not indulge in extravagant or ostentatious display of wealth in any form. (B) The Civil Service Commission shall adopt positive measures to promote (1) observance of these standards including the dissemination of information programs and workshops authorizing merit increases beyond regular progression steps, to a limited number of employees recognized by their office colleagues to be outstanding in their observance of ethical standards; and (2) continuing research and experimentation on measures which provide positive motivation to public officials and employees in raising the general level of observance of these standards. Section 5. Duties of Public Officials and Employees. - In the performance of their duties, all public officials and employees are under obligation to: (a) Act promptly on letters and requests. - All public officials and employees shall, within fifteen (15) working days from receipt thereof, respond to letters, telegrams or other means of communications sent by the public. The reply must contain the action taken on the request. (b) Submit annual performance reports. - All heads or other responsible officers of offices and agencies of the government and of government-owned or controlled corporations shall, within forty-five (45) working days from the end of the year, render a performance report of the agency or office or corporation concerned. Such report shall be open and available to the public within regular office hours. (c) Process documents and papers expeditiously. - All official papers and documents must be processed and completed within a reasonable time from the preparation thereof and must contain, as far as practicable, not more than three (3) signatories therein. In the absence of duly authorized signatories, the official next-in-rank or officer in charge shall sign for and in their behalf. (d) Act immediately on the publics personal transactions. - All public officials and employees must attend to anyone who wants to avail himself of the services of their offices and must, at all times, act promptly and expeditiously. (e) Make documents accessible to the public. - All public documents must be made accessible to, and readily available for inspection by, the public within reasonable working hours. Section 6. System of Incentives and Rewards. - A system of annual incentives and rewards is hereby established in order to motivate and inspire public servants to uphold the highest standards of ethics. For this purpose, a Committee on Awards to Outstanding Public Officials and Employees is hereby created composed of the following: the Ombudsman and Chairman of the Civil Service Commission as Co-Chairmen, and the Chairman of the Commission on Audit, and two government employees to be appointed by the President, as members. It shall be the task of this Committee to conduct a periodic, continuing review of the performance of public officials and employees, in all the branches and agencies of Government and establish a system of annual incentives and rewards to the end that due recognition is given to public officials and employees of outstanding merit on the basis of the standards set forth in this Act. The conferment of awards shall take into account, among other things, the following: the years of service and the quality and consistency of performance, the obscurity of the position, the level of salary, the unique and exemplary quality of a certain achievement, and the risks or temptations inherent in the work. Incentives and rewards to government officials and employees of the year to be announced in public ceremonies honoring them may take the form of bonuses, citations, directorships in government-owned or controlled corporations, local and foreign scholarship grants, paid vacations and the like. They shall likewise be automatically promoted to the next higher position with the commensurate salary suitable to their qualifications. In case there is no next higher position or it is not vacant, said position shall be included in the budget of the office in the next General Appropriations Act. The Committee on Awards shall adopt its own rules to govern the conduct of its activities. Section 7. Prohibited Acts and Transactions. - In addition to acts and omissions of public officials and employees now prescribed in the Constitution and existing laws, the following shall constitute prohibited acts and transactions of any public official and employee and are hereby declared to be unlawful: (a) Financial and material interest. - Public officials and employees shall not, directly or indirectly, have any financial or material interest in any transaction requiring the approval of their office. (b) Outside employment and other activities related thereto. - Public officials and employees during their incumbency shall not: (1) Own, control, manage or accept employment as officer, employee, consultant, counsel, broker, agent, trustee or nominee in any private enterprise regulated, supervised or licensed by their office unless expressly allowed by law; (2) Engage in the private practice of their profession unless authorized by the Constitution or law, provided, that such practice will not conflict or tend to conflict with their official functions; or (3) Recommend any person to any position in a private enterprise which has a regular or pending official transaction with their office. These prohibitions shall continue to apply for a period of one (1) year after resignation, retirement, or separation from public office, except in the case of subparagraph (b) (2) above, but the professional concerned cannot practice his profession in connection with any matter before the office he used to be with, in which case the one-year prohibition shall likewise apply. (c) Disclosure and/or misuse of confidential information. - Public officials and employees shall not use or divulge, confidential or classified information officially known to them by reason of their office and not made available to the public, either: (1) To further their private interests, or give undue advantage to anyone; or (2) To prejudice the public interest. (d) Solicitation or acceptance of gifts. - Public officials and employees shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan or anything of monetary value from any person in the course of their official duties or in connection with any operation being regulated by, or any transaction which may be affected by the functions of their office. As to gifts or grants from foreign governments, the Congress consents to: (i) The acceptance and retention by a public official or employee of a gift of nominal value tendered and received as a souvenir or mark of courtesy; (ii) The acceptance by a public official or employee of a gift in the nature of a scholarship or fellowship grant or medical treatment; or (iii) The acceptance by a public official or employee of travel grants or expenses for travel taking place entirely outside the Philippine (such as allowances, transportation, food, and lodging) of more than nominal value if such acceptance is appropriate or consistent with the interests of the Philippines, and permitted by the head of office, branch or agency to which he belongs. The Ombudsman shall prescribe such regulations as may be necessary to carry out the purpose of this subsection, including pertinent reporting and disclosure requirements. Nothing in this Act shall be construed to restrict or prohibit any educational, scientific or cultural exchange programs subject to national security requirements. Section 8. Statements and Disclosure. - Public officials and employees have an obligation to accomplish and submit declarations under oath of, and the public has the right to know, their assets, liabilities, net worth and financial and business interests including those of their spouses and of unmarried children under eighteen (18) years of age living in their households. (A) Statements of Assets and Liabilities and Financial Disclosure. - All public officials and employees, except those who serve in an honorary capacity, laborers and casual or temporary workers, shall file under oath their Statement of Assets, Liabilities and Net Worth and a Disclosure of Business Interests and Financial Connections and those of their spouses and unmarried children under eighteen (18) years of age living in their households. The two documents shall contain information on the following: (a) real property, its improvements, acquisition costs, assessed value and current fair market value; (b) personal property and acquisition cost; (c) all other assets such as investments, cash on hand or in banks, stocks, bonds, and the like; (d) liabilities, and; (e) all business interests and financial connections. The documents must be filed: (a) within thirty (30) days after assumption of office; (b) on or before April 30, of every year thereafter; and (c) within thirty (30) days after separation from the service. All public officials and employees required under this section to file the aforestated documents shall also execute, within thirty (30) days from the date of their assumption of office, the necessary authority in favor of the Ombudsman to obtain from all appropriate government agencies, including the Bureau of Internal Revenue, such documents as may show their assets, liabilities, net worth, and also their business interests and financial connections in previous years, including, if possible, the year when they first assumed any office in the Government. Husband and wife who are both public officials or employees may file the required statements jointly or separately. The Statements of Assets, Liabilities and Net Worth and the Disclosure of Business Interests and Financial Connections shall be filed by: (1) Constitutional and national elective officials, with the national office of the Ombudsman; (2) Senators and Congressmen, with the Secretaries of the Senate and the House of Representatives, respectively; Justices, with the Clerk of Court of the Supreme Court; Judges, with the Court Administrator; and all national executive officials with the Office of the President. (3) Regional and local officials and employees, with the Deputy Ombudsman in their respective regions; (4) Officers of the armed forces from the rank of colonel or naval captain, with the Office of the President, and those below said ranks, with the Deputy Ombudsman in their respective regions; and (5) All other public officials and employees, defined in Republic Act No. 3019, as amended, with the Civil Service Commission. (B) Identification and disclosure of relatives. - It shall be the duty of every public official or employee to identify and disclose, to the best of his knowledge and information, his relatives in the Government in the form, manner and frequency prescribed by the Civil Service Commission. (C) Accessibility of documents. - (1) Any and all statements filed under this Act, shall be made available for inspection at reasonable hours. (2) Such statements shall be made available for copying or reproduction after ten (10) working days from the time they are filed as required by law. (3) Any person requesting a copy of a statement shall be required to pay a reasonable fee to cover the cost of reproduction and mailing of such statement, as well as the cost of certification. (4) Any statement filed under this Act shall be available to the public for a period of ten (10) years after receipt of the statement. After such period, the statement may be destroyed unless needed in an ongoing investigation. (D) Prohibited acts. - It shall be unlawful for any person to obtain or use any statement filed under this Act for: (a) any purpose contrary to morals or public policy; or (b) any commercial purpose other than by news and communications media for dissemination to the general public. Section 9. Divestment. - A public official or employee shall avoid conflicts of interest at all times. When a conflict of interest arises, he shall resign from his position in any private business enterprise within thirty (30) days from his assumption of office and/or divest himself of his shareholdings or interest within sixty (60) days from such assumption. The same rule shall apply where the public official or employee is a partner in a partnership. The requirement of divestment shall not apply to those who serve the Government in an honorary capacity nor to laborers and casual or temporary workers. Section 10. Review and Compliance Procedure. - (a) The designated Committees of both Houses of the Congress shall establish procedures for the review of statements to determine whether said statements which have been submitted on time, are complete, and are in proper form. In the event a determination is made that a statement is not so filed, the appropriate Committee shall so inform the reporting individual and direct him to take the necessary corrective action. (b) In order to carry out their responsibilities under this Act, the designated Committees of both Houses of Congress shall have the power within their respective jurisdictions, to render any opinion interpreting this Act, in writing, to persons covered by this Act, subject in each instance to the approval by affirmative vote of the majority of the particular House concerned. The individual to whom an opinion is rendered, and any other individual involved in a similar factual situation, and who, after issuance of the opinion acts in good faith in accordance with it shall not be subject to any sanction provided in this Act. (c) The heads of other offices shall perform the duties stated in subsections (a) and (b) hereof insofar as their respective offices are concerned, subject to the approval of the Secretary of Justice, in the case of the Executive Department and the Chief Justice of the Supreme Court, in the case of the Judicial Department. Section 11. Penalties. - (a) Any public official or employee, regardless of whether or not he holds office or employment in a casual, temporary, holdover, permanent or regular capacity, committing any violation of this Act shall be punished with a fine not exceeding the equivalent of six (6) months salary or suspension not exceeding one (1) year, or removal depending on the gravity of the offense after due notice and hearing by the appropriate body or agency. If the violation is punishable by a heavier penalty under another law, he shall be prosecuted under the latter statute. Violations of Sections 7, 8 or 9 of this Act shall be punishable with imprisonment not exceeding five (5) years, or a fine not exceeding five thousand pesos (P5,000), or both, and, in the discretion of the court of competent jurisdiction, disqualification to hold public office. (b) Any violation hereof proven in a proper administrative proceeding shall be sufficient cause for removal or dismissal of a public official or employee, even if no criminal prosecution is instituted against him. (c) Private individuals who participate in conspiracy as co-principals, accomplices or accessories, with public officials or employees, in violation of this Act, shall be subject to the same penal liabilities as the public officials or employees and shall be tried jointly with them. (d) The official or employee concerned may bring an action against any person who obtains or uses a report for any purpose prohibited by Section 8 (D) of this Act. The Court in which such action is brought may assess against such person a penalty in any amount not to exceed twenty-five thousand pesos (P25,000). If another sanction hereunder or under any other law is heavier, the latter shall apply. Section 12. Promulgation of Rules and Regulations, Administration and Enforcement of this Act. - The Civil Service Commission shall have the primary responsibility for the administration and enforcement of this Act. It shall transmit all cases for prosecution arising from violations of this Act to the proper authorities for appropriate action: Provided, however, That it may institute such administrative actions and disciplinary measures as may be warranted in accordance with law. Nothing in this provision shall be construed as a deprivation of the right of each House of Congress to discipline its Members for disorderly behavior. The Civil Service Commission is hereby authorized to promulgate rules and regulations necessary to carry out the provisions of this Act, including guidelines for individuals who render free voluntary service to the Government. The Ombudsman shall likewise take steps to protect citizens who denounce acts or omissions of public officials and employees which are in violation of this Act. Section 13. Provisions for More Stringent Standards. - Nothing in this Act shall be construed to derogate from any law, or any regulation prescribed by any body or agency, which provides for more stringent standards for its official and employees. Section 14. Appropriations. - The sum necessary for the effective implementation of this Act shall be taken from the appropriations of the Civil Service Commission. Thereafter, such sum as may be needed for its continued implementation shall be included in the annual General Appropriations Act. Section 15. Separability Clause. - If any provision of this Act or the application of such provision to any person or circumstance is declared invalid, the remainder of the Act or the application of such provision to other persons or circumstances shall not be affected by such declaration. Section 16. Repealing Clause. - All laws, decrees and orders or parts thereof inconsistent herewith, are deemed repealed or modified accordingly, unless the same provide for a heavier penalty. Section 17. Effectivity. - This Act shall take effect after thirty (30) days following the completion of its publication in the Official Gazette or in two (2) national newspapers of general circulation. Approved, February 20, 1989. * Rules Implementing the Code of Conduct and Ethical Standards for Public Officials and Employees When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 1 Frequently Asked Questions (FAQs) Regarding Radium-226 Overview The questions and responses which follow have been developed by the staff of the U.S. Nuclear Regulatory Commission (NRC) to increase the knowledge and awareness by members of the public who may possess certain sources of radium-226 or may be considering such possession in the future. The FAQs are based primarily on recent additions to NRC regulations. Because Agreement States, in many cases, have a long regulatory history with radium-226 using regulations which may differ somewhat in content from those of the NRC, and changes to the Agreement State regulations may be needed as a matter of compatibility, no attempt has been made herein to cite these differences. Occasional reference is made herein to Agreement State programs for convenience only, i.e., it is not meant to represent a complete discussion of such programs. For information specific to your situation, please contact the appropriate NRC region For convenience and ease of use, the FAQs have been divided into the following six categories: A. Background and History B. Source Manufacturing C. Overview of Licensing Requirements D. Radium Disposal E. Regulation of Timepieces F. Regulation of Gauges, Dials and Other Items Containing Radium A. Background and History A.1 What is radium-226 (Ra-226)? Ra-226 is a radioactive substance found in nature. Pierre and Marie Curie discovered radium in 1898 while conducting research with uranium ore. Ra-226 is produced by the radioactive decay of uranium-238. Radioactive decay occurs because certain atoms are unstable and need to release energy in an attempt to become stable. When Ra-226 decays, it releases energy in the form of particles and rays. This energy, called “radiation,” cannot be detected by our senses. Special instrumentation is needed to perform this detection task. The intensity of radiation from radioactive materials decreases over time. The time required for the intensity to decrease by one-half is referred to as the “half-life”◘. [as noted in the footer, the reader is prompted by a symbol (◘) for a reference to the definition of certain technical terms] The half-life of Ra-226 is 1600 years. A.2 How is Ra-226 commonly used? Ra-226 has been used in numerous applications following its discovery over 100 years ago. At the beginning of the 20 th Century, radium was a popular additive in consumer products such as toothpaste, hair creams, and even food items due to its supposed beneficial health properties. Such products soon fell out of vogue, and were prohibited by authorities in many countries because of the potential health effects. Ra-226 was used until the late 1960s/early 1970s in self-luminous paints for watches, aircraft switches, clocks, and instrument dials. Because of its gamma emission properties, Ra- 226 was also used in various industrial applications such as radiation monitoring instrument calibration facilities, industrial radiography cameras, oil well logging instrumentation, and many others. ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 2 Ra-226 was used in numerous medical applications during the 20 th Century as well. It was used in sealed and unsealed sources for cancer therapy applications. Ra-226 was fashioned into various sizes and types of sealed sources, many of which were called “needles” because of their shape. Radium needles and other forms were implanted into cancerous tumors to arrest the cancerous growth. In unsealed form, Ra-226 has been used as a source of radon-222 for inhalation therapy. Most uses of Ra-226 have been replaced by other radioactive materials or radiationgenerating devices which are more efficient or effective. A.3 I’ve heard about discrete sources of radium. What does this mean? The NRC definition of “discrete” source is “a radionuclide that has been processed so that its concentration within a material has been purposely increased for use for commercial, medical, or research activities.” Until the Energy Policy Act of 2005 (EPAct), “discrete” source had never been defined in the NRC’s regulations. However, the language of the EPAct required that the NRC work with appropriate Federal agencies to establish a definition for discrete sources and the means by which to regulate them. As a result of an interagency meeting and in response to public comment on the proposed rule language, “discrete” source was defined, as noted above. A.4 Why is the NRC now regulating Ra-226? The Energy Policy Act amended the Atomic Energy Act (the principal source of NRC’s regulatory authority) to add discrete sources of Ra-226 to the existing definition of “byproduct material,” thereby giving NRC the authority to regulate such sources. A.5 Why is it important to regulate Ra-226? To promote consistency in the manner in which certain radioactive materials were regulated by its Member States (including the U.S.), the International Atomic Energy Agency (IAEA) initiated the development of a document which would serve as the international framework for the safe and secure management and control of sources. This effort was begun in 1998. Following the 9/11/2001 terrorist events, the security aspect of the source management and control effort was increased. As a result of this effort, the “Code of Conduct for the Safety and Security of Radioactive Sources,” was published in final form by the IAEA in January 2004. The United States has provided a commitment to implement the provisions of the Code of Conduct via letter from the Department of State to the IAEA. The IAEA Code of Conduct contains a list of 16 radionuclides which are considered to be dangerous when present above certain quantity thresholds and which could be used for malevolent purposes. This list includes Ra-226 (the 15 other radionuclides on the list were already regulated by the NRC). For these reasons, Ra-226 should be regulated consistently throughout the United States. Although many States in the U.S. had previously regulated Ra-226, the NRC lacked comprehensive authority to regulate radium and provide leadership in this area until the EPAct was signed into law in August of 2005. ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 3 A.6 I’ve heard that there are security concerns about radium sources; how is the international community responding to these concerns? As discussed in Question A.5, the IAEA Code of Conduct contains a list of 16 radionuclides which are considered to be dangerous when present above certain quantity thresholds and which could be used for malevolent purposes. Malevolent uses considered by the IAEA include incorporation of sources in a Radiological Dispersal Device (RDD, or “dirty bomb”) or in a Radiological Exposure Device (RED). In an RDD, radioactive material is spread over a land area or within a building by an explosive device in an attempt to expose individuals to harmful levels of radiation. In the case of an RED, an unshielded source is placed in a public area and unsuspecting individuals are exposed to its intense radiation. Dangerous sources require special management and security measures and controls to ensure that they are not used for such malevolent purposes. The IAEA’s Member States are implementing such measures and controls pursuant to the Code of Conduct. In the U.S., Ra-226 sources having a radioactivity content equal to or exceeding 37,000 megabecquerels (equivalent to 1.0 Curie◘) are subject to these special IAEA Code of Conduct measures/controls which, in addition to the new licensing requirements, are applicable to all radium sources. Based on these concerns, the NRC, in consultation with other Federal agencies, the Organization of Agreement States (OAS) and Conference of Radiation Control Program Directors (CRCPD), and other stakeholders, developed a regulatory framework for discrete sources of Ra-226. B. Source Manufacturing B.1 I’ve heard that Ra-226 was discovered over 100 years ago and that in the early part of the 20 th Century, it was used in a number of consumer products. What types of products were produced and are they currently available? As noted in the response to FAQ A.2, radium was initially thought to be an elixir, and was added to a number of consumer products and even certain foods. Although these practices waned, there were other non-food products introduced such as radium emanator jars, revigators (radium clay urns), radium water jars, radon generators, radium salt baths and healing pads. These products are no longer manufactured; however, some of them remain of interest as collectors’ items or for other purposes. Not all of the items advertised at the time as containing radium actually contained processed radium; rather, refined uranium or unprocessed uranium ore (from which radium originates) was incorporated in them, thereby resulting in a very small quantity of radium actually present. Those items which contain processed radium are now subject to the general license requirements of the NRC’s regulations or comparable Agreement State regulations. B.2 Are Ra-226 sources currently being manufactured, or is the concern regarding their safe and secure management based on those manufactured several decades in the past? Ra-226 has generally been replaced by other radioactive materials. Although a limited number of sealed source and device authorizations are still active, we have no ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 4 information that suggests these authorizations are being used to manufacture Ra-226 sources. Thus, the focus of the regulatory management effort is on sources that were manufactured in the past and the degree to which they are being safely and securely managed at this time. C. Overview of Licensing Requirements C.1 I possess several sealed sources of Ra-226. Now that this material is becoming more consistently regulated, what are my responsibilities for these sources? The actions you need to take depend on the particular sources you possess. Ra-226 sources and the materials or devices containing them are either generally licensed or specifically licensed unless an exemption has been provided by the NRC or an Agreement State. If you need more information to determine the licensing status of your sources or determine if they may be exempt from regulation, please contact your regulatory agency. More information about license types is found in FAQ C.2-C.4. C.2 What is a general license? A general license is an authorization from an Agreement State or the NRC to possess limited quantities of radioactive material under certain conditions. An application does not need to be filed with the regulatory agency, nor is a document issued for a general license. General licensing is described in the NRC’s regulations at 10 CFR 30.31(b) and the comparable Agreement State regulations. Certain products containing radium subject to general licensing are identified in 10 CFR 31.12 and include antiquities (items originally intended for public use such as radium emanator jars, radium salt baths, and revigators (radium clay urns) which were originally made available in the late 19 th and early 20 th centuries), certain luminous products (timepieces and dials/gauges), and small sources used for instrument calibration, static elimination, and as lightning arrestors. C.3 What is a specific license? When an individual proposes to possess more radioactive material than is allowed by a general license (e.g., more than 100 of certain luminous items) or proposes to undertake activities beyond the scope of a general license, a specific license is required. Specific licenses require an application to be filed with either an Agreement State or an NRC Regional Office (depending on where the individual will be licensed to possess the material), and after review, a license may be issued. The license holder is subject to an inspection process, and, as noted in the response to FAQ C.9, fees may also be assessed. Requirements for the content of an application to the NRC for a specific license are found in 10 CFR 30.32. C.4 Are certain Ra-226 sources exempt from licensing? Yes. There are currently two categories of sources exempt from licensing under NRC regulations. The first of these, contained in 10 CFR 30.15(a)(1)(viii), relates to intact timepieces containing a quantity up to 0.037 megabecquerel◘ (1 μCi◘) of Ra-226 per timepiece which were manufactured prior to November 30, 2007. Such timepieces are ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 5 exempt from regulatory requirements, i.e., no license (either general or specific) is required to possess them. The second category, contained in 10 CFR 30.20, relates to radium-containing smoke alarms and includes gas and aerosol detectors manufactured or distributed before November 30, 2007 in accordance with a specific license issued by a State under comparable provisions to 10 CFR 32.26 authorizing distribution to persons exempt from regulatory requirements. The NRC has no plans at this time to add an exempt concentration or exempt quantity of radium-226 to its regulations. C.5 How is the military affected by the new requirements of the EPAct? In the Statement of Considerations for the rulemaking “Requirements for Expanded Definition of Byproduct Material” (the NARM rule, Federal Register citation 72 FR 55864), the Commission determined that certain discrete sources of radium-226 under control of the military do not constitute ‘‘commercial use’’ under the EPAct, and are, therefore, outside the Commission’s jurisdiction. This determination recognizes a difference between military operational and commercial uses of these sources and devices. The term ‘‘military operational use’’ includes what is traditionally understood as the military’s primary mission for national defense, including warfare, combat, and battlefield missions, and training for battlefield missions. Radium used, or available for use, for these purposes would not be subject to the requirements of the EPAct or the NARM rule. If the material is intended for use in military operations, it is not subject to the requirements of the NARM rule, notwithstanding the fact that it was originally produced by a commercial supplier. In addition, ‘‘military operational’’ material includes material still under the control of the military; i.e., in storage, or material that may be subject to decontamination and disposal. Other military possession and use of Ra-226, including medical or research activities conducted by the Department of Defense, or use in a manner similar to a commercial activity; e.g., military museums, are subject to NRC’s regulatory authority. C.6 I had previously used radium needles in my medical practice for cancer therapy, but switched to other radiation sources many years ago. The needles have been in storage since that time. Do these sources now require licensing? Based on the general description of the sources you possess, they may need to be specifically licensed by your regulatory agency that may elect to perform an inspection of the sources and the facility where the material had been stored. If you have no desire to apply for a license to keep the sources, the regulatory authority can provide information and support relative to the disposition of these sources (for further information, see FAQs D.1 and D.4). C.7 I own an instrument calibrator which contains a 10 mCi Ra-226 source. I have possessed this equipment for a very long time, and, as far as I know, it has never been licensed (the State where I reside does not have a regulatory program for radium). To the best of my knowledge, the manufacturer of the calibrator is no longer in business and the equipment is not listed in the Sealed Source and Device Registry maintained by the NRC. What do I need to do in order to have this calibrator licensed? ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 6 You will need to obtain a license for possession of a device containing a sealed source. 10 CFR 30.32(g) specifies the information that you need to provide in order to obtain such a license for possession of a device containing a sealed source. Paragraph 30.32(g)(3) addresses situations such as yours. Under 10 CFR 30.32(g)(3), sources or devices containing naturally occurring or accelerator-produced radioactive material manufactured prior to November 30, 2007 that are not registered with the Commission under 10 CFR 32.210 or with an Agreement State, and for which the applicant is unable to provide all categories of information specified in 10 CFR 32.210(c), the applicant must provide all available information identified in 10 CFR 32.210(c) concerning the source, and, if applicable, the device. Also, the applicant must supply sufficient additional information to demonstrate that there is reasonable assurance that the radiation safety properties of the source or device are adequate to protect health and minimize danger to life and property. Such information must include a description of the source or device, a description of radiation safety features, the intended use and associated operating experience, and the results of a recent leak test. Submission of the above information regarding your calibration device to either the NRC or Agreement State (as appropriate) should enable this issue to be resolved. Note that Section 32.210 contains the regulatory requirements for registering sources and devices with the NRC. C.8 I possess a small Ra-226 calibration source (3 µCi) which I use to make sure my radiation detection instruments are operating properly. Do I need to apply to the NRC for a license to continue possessing this calibration source? Calibration sources of the type you possess are subject to the general licensing provisions of 10 CFR 31.8. This regulation authorizes the possession, at any one time and one location, of calibration and reference sources containing Ra-226 in quantities up to 5 µCi. There are certain other requirements in this section of the regulations with which you should become familiar if you wish to continue possessing the source. If you posses calibration and reference sources containing Ra-226 in quantities that are greater than 5 µCi, then the source(s) must be specifically licensed. Specific licenses are discussed in question C.8. C.9 What actions should I take if the NRC contacts me requesting information about the antique radium products that I possess? The specific actions to be taken will, of course, depend on the nature of the request from the NRC. In general, such requests will concern the radium-containing materials or items that you possess and the nature of the activities associated with them. In accordance with the NRC regulations, you will be given 30 calendar days to respond (or other time specified in the request). If you cannot respond within the specified time, you may request an extension in writing. The extension should contain a justification for the additional time, so that the NRC can determine whether to grant the extension. ________________________________________________________________ When noted with a symbol (◘), see definitions/discussion in nrc.gov/reading-rm/basicref/glossary.html of certain technical terms used herein. 7 C.10 Is there a fee associated with an NRC license for possessing radium sources? A fee may be needed for possession depending upon the type of license that is required. There are no fees for possession under the general license in 10 CFR 31.12. However, if you possess Ra-226 sources or devices that require a specific license, you would be subject to licensing fees. Therefore, if you possess Ra-226 sources or materials/objects containing radium which exceed the criteria contained in the general licensing requirements in the NRC regulations, you would be subject to fee requirements. For example, if you possess more than 100 luminous radium products at a given location (see 10 CFR 31.12(a)(4)), you would be subject to specific licensing requirements and a fee for possession and use would need to be paid to the NRC. You should also be aware that if you possess a gauge containing radium pursuant to 10 CFR 31.5 and the device is required to be registered with the NRC’s General License Tracking System, a fe
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