Page images



Part 601 602 603

Conduct of employees.
Availability of records.
Statement of organization.


EMPLOYEES Sec. 601.735-1 Definitions.

Sec. 601.735–73 Contents of statements. 601.735–74 Confidentiality of statements. 601.735–75 Review of statements and report

of conflicts of interest. 601.735–76 Action by the Director.

AUTHORITY: The provisions of this part 601 issued under E.O. 11222; 3 CFR, 19641965 Comp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 601 appear at 31 F.R. 4391, Mar. 15, 1966, unless otherwise noted.


Subpart A-Standards of Conduct 601.735–10 General. 601.735–11 Ethical and regulatory stand

ards of conduct of employees. 601.735–12 Statutes, rules, and regulations

governing conduct of em

ployees. 601.735-13 Outside employment and other

activities. 601.735–14 Gifts, entertainment, and favors. 601.735-15 Financial interests. 601.735–16 Private compensation for serv

ices to the Government. 601.735–17 Use of Government property. 601.735–18 Gambling, betting, and lotteries. 601.735-19 General conduct prejudicial to

the Government. Subpart BActivities Relating to Unofficial or

Outside Organizations 601.735–21 Participation in activities of em

ployee organizations. 601.735–22 Participating in activities of

private organizations. 601.735–23 Organizations concerned with

foreign policy. 601.735–24 Membership in subversive orga

Subpart C-Teaching, Speaking, Writing for

Publication, and Related Activities 601.735–31 Coaching for examinations. 601.735–32 Protecting classified informa

tion. 601.735–33 Acceptance of invitations to

speak or to accept teaching

engagements. 601.735–34 Additional clearance measures. 601.735–35 Writing for publication. Subpart D-Counseling or Acting as Agent or

Attorney 601.735-41 Counseling foreign governments. 601.735–42 Involvement in proceedings af

fecting the United States.

Subpart - Indebtedness 601.735–51 Policy. 601.735-52 Action by Personnel Officer. 601.735-53 Action by Executive Director.

Subpart F- Political Activity 601.735-61 Elections. 601.735-62 Activities punishable under the

criminal code.
Subpart G—Statements of Employment and

Financial Interests 601.735–71 Employees required to submit

statements. 601.735–72 Submission of statements and

supplementary statements.

§ 601.735-1 Definitions.

As used in this part:

(a) “ACDA” and “Agency” mean the U.S. Arms Control and Disarmament Agency.

(b) "Employee" includes anyone serving in the Agency as:

(1) A person appointed by the President and confirmed by the Senate to a position in the Agency.

(2) A person appointed by the Director or by his designee to a position in the Agency.

(3) A special Government employee.

(c) “Regular officer employee" means an employee as defined in paragraph (b) (1) and (2) of this section.

(d) “Special Government employee" means a “special Government employee" as defined in section 202 of Title 18 of the United States Code who is employed by the Agency,

Subpart A-Standards of Conduct $ 601.735-10 General.

(a) All employees of the Arms Control and Disarmament Agency are required to conduct themselves in such a manner as to create and maintain respect for ACDA and the U.S. Government, to avoid situations which require or appear to require a balancing of private interests or obligations against official duties, to be mindful of the high standards of integrity expected of them in all their activities, both personal and official, and to conform with the standards of conduct and with the applicable statutes, rules, and regulations governing their activities. Particularly, an employee shall avoid any action, whether or not specifically prohibited, which

1 Under the Arms Control and Disarmament Act, such an employee may not serve the Agency for more than one hundred days in any fiscal year.

might result in, or create the appear- numbered sections, applicable particuance of:

larly to ACDA employees, based on (1) Using public office for private statutes specified in each section. gain;

(c) Miscellaneous statutory provi(2) Giving preferential treatment to sions. In addition to the statutory proany organization or person;

visions referred to in paragraphs (a) (3) Impeding Government efficiency and (b) of this section, ACDA employees or economy;

must observe the following: (4) Losing complete independence or (1) House Concurrent Resolution 175, impartiality of action;

85th Congress, 2d Session, 72 Stat. B12, (5) Making a Government decision the “Code of Ethics for Government outside official channels;

Service". (6) Affecting adversely the confidence (2) Chapter 11 of Title 18, United of the public in the integrity of the States Code, relating to bribery, graft, Government;

and conflicts of interest, as appropriate (7) Using his Government employ- to the employees concerned. ment to coerce, or give the appearance (3) The prohibition against lobbying of coercing, a person to provide finan- with appropriated funds (18 U.S.C. cial benefit to himself or another person, 1913). particularly one with whom he has fam

(4) The prohibitions against disloyalty ily, business, or financial ties.

and striking (5 U.S.C. 7311, 18 U.S.C. (b) An officer or employee of another 1918). Federal agency, a Foreign Service officer (5) The prohibition against the emor employee, and a member of the uni- ployment of a member of a Communist formed services as defined in 37 U.S.C. organization (50 U.S.C. 784). 101(3) who is assigned or loaned to the (6) The prohibitions against (i) the ACDA shall adhere to the standards of disclosure of classified information (18 conduct applicable to employees as set U.S.C. 798, 50 U.S.C. 783); (ii) the disforth in this part.

closure of confidential information (18 $ 601.735–11 Ethical and regulatory

U.S.C. 1905); and (iii) the disclosure of standards of conduct of employees.

privileged information to be withheld

under the exemptions of the Public InThe Code of Ethics for Government

formation Section of the AdministraService set forth by the Legislative

tive Procedures Act (5 U.S.C. 552). Branch in House Concurrent Resolution

(7) The provision relating to the 175, passed in 1958; Standards of Ethical

habitual use of intoxicants to excess (5 Conduct for Government Officers and

U.S.C. 7352). Employees set forth by the President in

(8) The prohibitions against the misExecutive Order 11222, dated May 8,

use of a Government vehicle (31 U.S.C. 1965, and in the regulations issued by the

638a(c)). Civil Service Commission pursuant to that Executive order (5 CFR Part 735);

(9) The prohibition against the misstatutes, rules, and regulations govern

use of the franking privilege (18 U.S.C. ing conduct of employees; and regulations set forth in the ACDA Manual shall

(10) The prohibition against the use

of deceit in an examination or persongovern ACDA employees in their service to the Government.

nel action in connection with Govern

ment employment (18 U.S.C. 1917).. 8 601.735–12 Statutes, rules, and regu- (11) The prohibition against fraud or

lations governing conduct of em- false statement in a Government matter ployees.

(18 U.S.C. 1001). (a) Conflict of interest statutes. The (12) The prohibition against mutilatprovisions of 18 U.S.C. 203, 205, 207, 208, ing or destroying a public record (18 and 209 prohibiting conflicts of interest U.S.C. 2071). between an employee's Government du- (13) The prohibition against counterties and his outside activities are sum- feiting and forging transportation remarized in specific sections of this part quests (18 U.S.C. 508). 601.

(14) The prohibitions against (i) em(b) Other statutory provisions quoted

bezzlement of Government money or or summarized. This Part 601 contains property (18 U.S.C. 641); (ii) failing to


[ocr errors]

account for public money (18 U.S.C. $ 601.735–13 Outside employment and 643); and (iii) embezzlement of the other activities? money or property of another person in

(a) An employee may not engage in the possession of an employee by reason

any outside employment or other outside of his employment (18 U.S.C. 654).

activities that might involve a conflict, (15) The prohibition against unau

or an apparent conflict, of interest bethorized use of documents relating to

tween his official Government duties and claims from or by the Government (18

responsibilities and his own private inU.S.C. 285).

terests or those of persons with whom he (16) The prohibitions against politi- has family, business, or financial ties cal activities in subchapter III of chap- (see also $ $ 601.735-16 and 601.735-22). ter 73 of title 5, United States Code, and (b) No ACDA employee, except one 18 U.S.C. 602, 603, 607, and 608.

serving as a special Government em(17) The prohibition against an em- ployee, may engage in outside employployee acting as the agent of a foreign ment under a State or local government principal registered under the Foreign without advance approval by the ExecuAgents Registration Act (18 U.S.C. 219). tive Director.

(d) Sources of information and ad- (c) It is further required that: vice. General information on statutes, (1) The employee's performance in rules and regulations governing the con

his ACDA position not be adversely afduct of employees may be obtained from

fected by the outside work. the Office of the Executive Director.

(2) The employee's outside work not Specific information may be obtained

reflect discredit on the Government or from the United States Code, from the

on ACDA. Federal Personnel Manual, and from the

(3) The employee shall not accept a ACDA Manual, all of which are available

fee, compensation, gift, payment of exin the Office of the Executive Director and in the Office of the General Coun

pense, or any other thing or monetary sel. Clarification of standards of con

value in circumstances in which accept

ance may result in, or create the appearduct and related laws, rules, and regulations and advice on their applicability

ance of, conflicts of interest. to individual situations may be obtained

$ 601.735–14 Gifts, entertainment, and from the counselor or deputy counselor

favors. for the Agency, in the Office of the Gen- (a) (1) An employee shall not receive eral Counsel.

or solicit, directly or indirectly, for him(e) Responsibility of employees. It is

self or persons with whom he has family, the responsibility of each employee (1) business, or financial ties, anything of to familiarize himself with the full text economic value as a gift, gratuity, loan, of applicable statutes, rules, and regula- entertainment, or favor, which might tions before engaging in outside em- reasonably be interpreted by others as ployment, financial activity which affecting his independence or impartimight involve a conflict of interest, or ality, from any person, corporation, or other activity which might involve a group, if the employee has reason to violation of standards of ethical con- believe that the entity: duct or of statutory or regulatory re- (1) Has or is seeking to obtain constrictions, and (2) to secure the advice or tractual or other business or financial reapproval of his supervisor and any other lationships with the employee's agency; designated Agency official before he en- (ii) Conducts operations or activities gages in the contemplated activity. which are regulated by the employee's (f) Penalties for violation. Violations

agency; or subject employees to remedial or disci- (iii) Has interests which may be subplinary action by ACDA in addition to stantially affected by the employee's perthe penalty prescribed by the particular

formance or nonperformance of his offistatute, rule, or regulation that has been cial duty. violated. (31 F.R. 4391, Mar. 15, 1966, as amended at 32 F.R. 12944, Sept. 12, 1967]

132 F.R. 12944, Sept. 12, 1967.


(2) Exceptions: The following excep- $ 601.735-15 Financial interests. tions for all employees of ACDA are per

(a) (1) Neither a regular nor a spemitted:

cial Government employee may partici(i) Acceptance of things of economic

pate in his governmental capacity in any value arising from obvious family or

matter in which he, his spouse, minor personal relationships (such as those be

child, associate or organization with tween the parents, children, or spouse of

whom he has a business relationship, or the employee and the employee) when

person or organization with whom he is the circumstances make it clear that it

negotiating for employment has a finanis those relationships rather than the

cial interest (18 U.S.C. 208). Such an business of the persons concerned which

employee shall not (i) have a direct or are the motivating factors;

indirect financial interest that conflicts (i) Acceptance of food and refresh

substantially, or appears to conflict subments of nominal value on infrequent oc

stantially, with his Government duties casions in the ordinary course of a

and responsibilities; or (ii) engage in, luncheon or dinner meeting or other

directly or indirectly, a financial transmeeting or on an inspection tour where

action as a result of, or primarily relying employee may properly be in

on, information obtained through his attendance;

Government employment. (iii) Acceptance of loans from banks or other financial institutions on custom- (2) Exceptions: Section 208 of 18 ary terms to finance proper and usual U.S.C. permits the following exception activities of employees, such as home for a regular as well as a special Governmortgage loans; and

ment employee: He may be granted ex(iv) Acceptance of unsolicited adver- emption from this restriction provided: tising or promotional material, such as (i) He first advises the head of this Bupens, pencils, note pads, calendars, and reau or Office of the nature and circumother items of nominal intrinsic value. stances of the particular matter and

(b) An employee shall not solicit a makes full disclosure of the financial incontribution from another employee for

terest and he receives in advance a writa gift to an official superior, make a do- ten determination by the Bureau or nation as a gift to an official superior, or Office head that the outside financial inaccept a gift from an employee receiv- terest is deemed not substantial enough ing less pay than himself (5 U.S.C. 7351). to have an effect on the integrity of his However, this paragraph does not pro- services, or (ii) the financial interest has hibit a voluntary gift of nominal value been exempted by general rule or reguor donation in a nominal amount made lation published in the FEDERAL REGISTER on a special occasion such as marriage, as being too remote or too inconsequenillness, or retirement.

tial to affect the integrity of Govern(c) An employee shall not accept a ment officers' or employees' services. gift, present, decoration, or any other (b) Neither a regular nor a special thing from a foreign government unless Government employee may, directly or authorized by Congress as provided by indirectly make use of, or permit those the Constitution and in 5 U.S.C. 7342. with whom he has family, business, or

(d) Neither this section nor 8 601.735– financial ties to make use of, official 13 precludes an employee from receipt of information obtained through or in conbona fide reimbursement, unless pro

nection with his Government employhibited by law, for expenses of travel and ment and not made available to the such other necessary subsistence as is general public, for the purpose of furcompatible with this part for which no thering a private interest, including Government payment or reimbursement speculation in commodities, land, and is made. However, this paragraph does securities. not allow an employee to be reimbursed, (c) This paragraph does not preclude or payment to be made on his behalf, for teaching, speaking, or writing by emexcessive personal living expenses, gifts, ployees duly authorized under this part. entertainment, or other personal bene- Further, this paragraph does not prefits, nor does it allow an employee to be clude an employee from having a finanreimbursed by a person for travel on offi- cial interest or engaging in financial cial business under agency orders.

transactions to the same extent as a pri(31 F.R. 4391, Mar. 15, 1966, as amended at vate citizen not employed by the Gov32 F.R. 12944, Sept. 12, 1967]

ernment so long as it is not prohibited

« PreviousContinue »