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and conflicts of interest, as appropriate (d) Sources of information and adto the employees concerned.

vice. General information on statutes, (3) The prohibition against lobbying rules and regulations governing the conwith appropriated funds (18 U.S.C. duct of employees may be obtained from 1913).

the Office of the Executive Director. (4) The prohibitions against disloyalty Specific information may be obtained and striking (5 U.S.C. 7311, 18 U.S.C. from the United States Code, from the 1918).

Federal Personnel Manual, and from the (5) The prohibition against the em- ACDA Manual, all of which are available ployment of a member of a Communist in the Office of the Executive Director organization (50 U.S.C. 784).

and in the Office of the General Coun(6) The prohibitions against (i) the sel. Clarification of standards of condisclosure of classified information (18 duct and related laws, rules, and reguU.S.C. 798, 50 U.S.C. 783); (ii) the dis- lations and advice on their applicability closure of confidential information (18 to individual situations may be obtained U.S.C. 1905); and (iii) the disclosure of from the counselor or deputy counselor privileged information to be withheld for the Agency, in the Office of the Genunder the exemptions of the Public In- eral Counsel. formation Section of the Administra- (e) Responsibility of employees. It is tive Procedures Act (5 U.S.C. 552). the responsibility of each employee (1)

(7) The provision relating to the to familiarize himself with the full text habitual use of intoxicants to excess (5 of applicable statutes, rules, and regulaU.S.C. 7352).

tions before engaging in outside employ(8) The prohibitions against the mis- ment, financial activity which might use of a Government vehicle (31 U.S.C. involve a conflict of interest, or other 638a(c)).

activity which might involve a viola(9). The prohibition against the mis- tion of standards of ethical conduct or use of the franking privilege (18 U.S.C. of statutory or regulatory restrictions, 1719).

and (2) to secure the advice or approval (10) The prohibition against the use of his supervisor and any other desigof deceit in an examination or person- nated Agency official before he engages nel action in connection with Govern- in the contemplated activity. ment employment (18 U.S.C. 1917).

(f) Penalties for violation. Violations (11) The prohibition against fraud or subject employees to remedial or discifalse statement in a Government matter plinary action by ACDA in addition to (18 U.S.C. 1001).

the penalty prescribed by the particular (12) The prohibition against mutilat- statute, rule, or regulation that has been ing or destroying a public record (18 violated. U.S.C. 2071).

[31 F.R. 4391, Mar. 15, 1966, as amended at (13) The prohibition against counter- 32 F.R. 12944, Sept. 12, 1967] feiting and forging transportation re

8 601.735–13 Outside employment and quests (18 U.S.C. 508).

other activities." (14) The prohibitions against (i) embezzlement of Government money or

(a) An employee may not engage in property (18 U.S.C. 641); (ii) failing to any outside employment or other outside account for public money (18 U.S.C. activities that might involve a conflict, 643); and (iii) embezzlement of the or an apparent conflict, of interest bemoney or property of another person in tween his official Government duties and the possession of an employee by reason

responsibilities and his own private inof his employment (18 U.S.C. 654).

terests or those of persons with whom he (15) The prohibition against unau

has family, business, or financial ties thorized use of documents relating to

(see also $$ 601.735–16 and 601.735-22). claims from or by the Government (18 U.S.C. 285).

(b) It is further required that: (16) The prohibitions against politi

(1) The employee's performance in his cal activities in subchapter III of chap- ACDA position not be adversely affected ter 73 of title 5, United States Code, and by the outside work. 18 U.S.C. 602, 603, 607, and 608.

(2) The employee's outside work not (17) The prohibition against an em- reflect discredit on the Government or on ployee acting as the agent of a foreign ACDA. principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). 132 F.R. 12944, Sept. 12, 1967.

(3) The employee shall not accept a fee, compensation, gift, payment of expense, or any other thing or monetary value in circumstances in which acceptance may result in, or create the appearance of, conflicts of interest. (E.O. 11408, 33 F.R. 6459; 3 CFR, 1968 Comp.) (31 F.R. 4391, Mar. 15, 1966, as amended at 33 F.R. 9167, June 21, 1968] 8 601.735-14 Gifts, entertainment, and

favors. (a) (1) An employee shall not receive or solicit, directly or indirectly, for himself or persons with whom he has family, business, or financial ties, anything of economic value as a gift, gratuity, loan, entertainment, or favor, which might reasonably be interpreted by others as affecting his independence or impartiality, from any person, corporation, or group, if the employee has reason to believe that the entity:

(i) Has or is seeking to obtain contractual or other business or financial relationships with the employee's agency;

(ii) Conducts operations or activities which are regulated by the employee's agency; or

(iii) Has interests which may be substantially affected by the employee's performance or nonperformance of his official duty.

(2) Exceptions: The following exceptions for all employees of ACDA are permitted:

(i) Acceptance of things of economic value arising from obvious family or personal relationships (such as those between the 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 which are the motivating factors:

(ii) 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

employee may properly be attendance;

(iii) 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

(iv) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(b) An employee 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 himself (5 U.S.C. 7351). However, this paragraph 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.

(c) An employee shall not accept a gift, present, decoration, or any other thing from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 7342.

(d) Neither this section nor $ 601.735– 13 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. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders. (31 F.R. 4391, Mar. 15, 1966, as amended at 32 F.R. 12944, Sept. 12, 1967) § 601.735–15 Financial interests.

(a) (1) Neither a regular nor a special Government employee may participate in his governmental capacity in any matter in which he, his spouse, minor child, associate or organization with whom he has a business relationship, or person or organization with whom he is negotiating for employment has a financial interest (18 U.S.C. 208). Such an employee shall not (i) have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities; or (ii) engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government employment.



(2) Exceptions: Section 208 of 18 U.S.C. permits the following exception for a regular as well as a special Government employee: He may be granted exemption from this restriction provided: (i) He first advises the head of this Bureau or Office of the nature and circumstances of the particular matter and makes full disclosure of the financial interest and he receives in advance a written determination by the Bureau or Office head that the outside financial interest is deemed not substantial enough to have an effect on the integrity of his services, or (ii) the financial interest has been exempted by general rule or regulation published in the FEDERAL REGISTER as being too remote or to inconsequential to affect the integrity of Government officers' or employees' services.

(b) Pursuant to the provisions of section 208(b) (2) of title 18, United States Code, the following financial interests of the Agency's employees are hereby exempted from the requirements of paragraph (a) (1) of this section and of 18 U.S.C. sec. 208(a) as being too remote or too inconsequential to affect the integrity of the services of the Agency's employees:

(1) Investments in State and local goyernment bonds; and stocks, bonds, or policies in a mutual fund, investment company, bank, or insurance company, provided that in the case of a mutual fund, investment company, or bank, the fair value of such stock or bond holding does not exceed 1 percent of the value of the reported assets of the mutual fund, investment company, or bank. In the case of a mutual fund or investment company, this exemption applies only where the assets of the fund or company are diversified; it does not apply where the fund or company specializes in a particular industry or commodity.

(2) Interest in an investment club or other group organized for the purpose of investing in equity or debt securities, provided, that the fair value of the interest involved does not exceed $5,000, and that the interest does not exceed onefourth of the total assets of the investment club or group.

(3) (i) Financial interests in an enterprise in the form of shares in the ownership thereof, including preferred and common stocks whether voting or non

voting, and warrants to purchase such shares;

(ii) Financial interests in an enterprise in the form of bonds, notes, or other evidences of indebtedness; Provided, That, in the case of subdivisions (i) and (ii) of this subparagraph: (a) The total market value of the financial interests described in said subdivisions with respect to any individual enterprise does not exceed $5,000; and (b) the holdings in any class of shares, or bonds, or other evidence of indebtedness, of the enterprise do not exceed 1 percent of the dollar value of the outstanding shares, or bonds or other evidences of indebtedness in said class.

(4) For purposes of this paragraph, computations of dollar-value of financial interests in enterprises shall be based on:

(i) Market value in the case o.. stocks listed on national exchanges; or

(ii) Over-the-counter market quotations as reported by the National Daily Quotation Service in the case of unlisted stocks; or

(iii) Net book value (assets less liabilities) in the case of stocks not covered by the preceding two categories.

(iv) Face value shall be used for valuation purposes in the case of debt securities.

(c) Neither a regular nor a special Government employee may, directly or indirectly make use of, or permit those with whom he has family, business, or financial ties to make use of, official information obtained through or in connection with his Government employment and not made available to the general public, for the purpose of furthering a private interest, including speculation in commodities, land, and securities.

(d) This paragraph does not preclude teaching, speaking, or writing by employees duly authorized under this part. Further, this paragraph 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, this section, or the agency regulations. (Sec. 41, 76 Stat. 1119, sec. 503, 75 Stat. 631; 18 U.S.C. 208, 22 U.S.C. 2581) (31 F.R. 4391, Mar. 15, 1966, as amended at 35 F.R. 4621, Mar. 17, 1970] $ 601.735–16 Private compensation for

services to the Government. A regular officer or employee of the Government, as contrasted with a special Government employee, may not receive any salary, or supplementation of his Government salary from a private source as compensation for his services to the Government (18 U.S.C. 209). This section does not apply to special Government employees nor does it prevent a regular officer or employee from (a) continuing his participation in a bona fide pension plan or other employee welfare or benefit plan maintained by a former employer, or (b) receiving payments or accepting contributions, awards, or other expenses under the terms of the Government Employees Training Act. $ 601.735–17 Use of Government prop

erty. An employee 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. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him. $ 601.735–18 Gambling, betting, and

lotteries. An employee 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. $ 601.735–19 General conduct prejudi.

cial to the Government. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

Subpart B-Activities Relating to Un

official or Outside Organizations $ 601.735–21 Participation in activities

of employee organizations. In compliance with the provisions of Executive Order 10988, dated January 17, 1962, employees of the Arms Control and Disarmament Agency shall have, and shall be protected in the exercise of, the right, freely and without fear of penalty or reprisal, to form, join, and assist any employee organization or to refrain from any such activity.

(a) Definition of term "employee organization”. The term “employee organization” means any lawful association, labor organization, federation, council, or brotherhood having as a primary purpose the improvement of working conditions among Federal employees, or any craft, trade or industrial union whose membership includes both Federal employees, and employees of private organizations. The term "employee organization” shall not include any organization (1) which asserts the right to strike against the Government of the United States or any agency thereof, or to assist or participate in any such strike, or which imposes a duty or obligation to conduct, assist or participate in any such strike, or (2) which advocates the overthrow of the constitutional form of Government in the United States, or (3) which discriminates with regard to the terms or conditions of membership because of race, color, creed, or national origin.

(b) Responsibility of the Executive Director. The Executive Director of the Agency shall be responsible for consulting with representatives of any employee organization or organizations: (1) TO determine policies and procedures with respect to recognition of employee organizations; (2) to establish procedures for determining appropriate employee units; (3) to formulate policies and practices regarding consultation with representatives of employee organizations, other organizations and individual employees; and (4) to set policies with respect to the use of Agency facilities by employee organizations.

$ 601.735-22 Participating in activities

of private organizations. (a) In participating in the programs and activities of any private organization, employees shall make clear that such participation constitutes neither official ACDA connection with such organization nor official sponsorship or sanction of the viewpoints they may express as individuals.

(b) In such participation, employees may not accept a fee, compensation, gift, payment of expense, or any other thing of monetary value (see also § 601.735–14) in circumstances in which acceptance may result in, or create the appearance of, conflicts of interest or otherwise reflect discredit upon the Government.

(c) A regular officer or employee may not permit the use of his name in the advertising matter of any organization commercializing the result of research work conducted by the Agency, or through contract with the Agency, nor may he accept office in such organization. $ 601.735-23 Organizations concerned

with foreign policy. With respect to private organizations which are concerned with foreign policy or international relations, either in general or in some specific economic, political or cultural field, the following rules shall apply:

(a) Regular officers and employees. (1) Unless specially permitted to do so, no regular officer or employee shall serve as an adviser, officer, director, teacher, sponsor, committee chairman, or in any official capacity, or permit his name to be used on a letterhead, regardless of whether his title or his connection with ACDA is mentioned. This is not intended to restrict ordinary membership in any organization.

(2) Special permission to assume or to continue a connection prohibited by the above paragraph may be granted in cases where the interests of the Government and ACDA would not be adversely affected. To request such permission, or to determine whether the provisions of this section are applicable to a particular case, the employee shall address to the Executive Director a memorandum setting forth the pertinent facts. He will consult other interested Bureaus and

Offices and grant or refuse the requested permission.

(b) Special Government employees. A special Government employee is restricted only in that he may not use his ACDA designation as consultant or adviser except in connection with his work for ACDA. $ 601.735–24 Membership in subversive

organizations. The provisions of 5 U.S.C. 7311 are quoted for the information of all employees:

An individual may not accept or hold a position in the Government of the United States or the government of the District of Columbia if he

(1) Advocates the overthrow of our constitutional form of government;

(2) Is a member of an organization that he knows advocates the overthrow of our constitutional form of government;

(3) Participates in a strike, or asserts the right to strike, against the Government of the United States or the government of the District of Columbia; or

(4) Is a member of an organization of employees of the Government of the United States or of individuals employed by the government of the District of Columbia that he knows asserts the right to strike against the Government of the United States or the government of the District of Columbia. [32 F.R. 12944, Sept. 12, 1967] Subpart C—Teaching, Speaking, Writ

ing for Publication, and Related

Activities § 601.735–31 General policy.

Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, the Executive order, this part, or the agency regulations. However, 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 Commission or Board of Examiners for the Foreign Service, that depends on information obtained as a result of his 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 informa

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