Page images

$ 45.735-23

Title 28-Judicial Administration

tion of the conflict-of-interest provisions set forth in this part.

(e) If any Information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf.

(1) Paragraph (a) of this section does not require an employee to submit any Information relating to his connection with, or interest in, & professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises” and are required to be included in an employee's statement of employment and inancial interests.

(g) The Department shall hold each statement of employment and financial interests in confidence, and each statement shall be maintained in confidential Ales in the immediate ofice of the divislon head. Each division head shall designate which employees are authorized to review and retain the statements and shall limit such designation to those employees who are his immediate assistants. Employees so designated are responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to carry out the purpose of this part. The Department may not disclose information from a statement except as the Civil Service Commission or the Deputy Attorney General may determine for good cause. Upon termination of the employment in the Department of any person subject to this section, statements which he has submitted in accordance with paragraph (a) of this section shall be disposed of in accordance with established Department procedures applicable to confidential records. In the event an employee subject to this seution is transferred within the Department, statements which he has filed pursuant to paragraph (8) of this section shall be transferred to the head of the division to which the employee is reassigned.

(h) The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order or regulation. The submission of & statement by an employee does not permit him or any other person to participato in a matter in which his or the other person's participation is prohibited by law, order, or regulation.

(1) Any employee who believes that his position has been improperly determined to be subject to the reporting requirements of $ 45.735-22 may obtain review of such determination through the grievance procedure set forth in 28 CFR Part 46. (28 U.S.C. 509, 610) [Order No. 850–65, 80 F.R. 17202, Dec. 31, 1965, as amended by Order No. 383-87, 32 F.R. 13217. Sept. 19, 1967; Order No. 412-69, 34 FR 5726, Mar. 27, 1969; Order No. 667–74, 39 FR 16444, May 9, 1974; Order No. 572-74, 39 FR 26023, July 18, 1974; Order No. 576–74, 39 FR 31527, Aug. 29, 1974) & 45.735-23 Reporting of outside in.

terests by special Government

employees. (a) A special Government employee shall submit to the head of his division & statement of employment and financial interests which reports (1) all other employment, and (2) those financial interests which the head of his division determines are relevant in the light of the duties he is to perform.

(b) A statement required under this section shall be submitted at the time of employment and shall be kept current throughout the period of employment by the filing of supplementary statements in accordance with the requirements of $ 45.735-22(d). Statements shall be on forms made available through division administrative officers.

(c) This section shall not be construed as requiring the submission of information referred to in $ 45.735-22(1).

(d) Paragraphs (g) and (h) of 8 45. 735-22 shall be applicable with respect to statements required by this section. (Order No. 950–65, 80 F.R. 17202, Dec. 31, 1965, as amended by Order No. 383-87, 39 FR 13218, Sept. 19, 1967) § 45.735–24 Reviewing statements of

financial interests. (a) The head of each division shall review financial statements required of $ 45.735-26

Chapter 1-Department of Justice

any of his subordinates by $$ 45.735-22. and 45.735-23 to determine whether there exists & conflict, or possibility of conflict, between the interests of a subordinate and the performance of his service for the Government. If the head of the division determines that such & conflict or possibility of conflict exists, he shall consult with the subordinate. I ho concludes that remedial action should be taken, he shall refer the statement to the Deputy Attorney General, through the Departinent Counselor, with his recommendation for such action. The Deputy Attorney General, after such investigation as he deems necessary, shall direct appropriate remedial action if he deems it necessary.

(b) Remedial action may include, but Is not limited to:

(1) Changes in assigned duties.

(2) Divestment by the employee of his conflicting interest.

(3) Disqualification for a particular action.

(4) Exemption pursuant to $ 45.735-5.

(5) Disciplinary action. 8 45.735–25 Supplemental regulations.

The heads of divisions may issue supplemental and implementing regulations not inconsistent with this part. & 45.735–26 Publication and interpreta.

tion. (a) The Assistant Attorney General for Administration shall provide that the provisions of this part and all revisions thereof shall be brought to the attention of and made available to:

(1) Each employee at the time of issuance and at least annually thereafter; and

(2) Each new employee at the time of employment.

(b) The Assistant Attorney General In charge of the Office of Legal Counsel, designated as Department Counselor in accordance with $ 735.105 of Title 5 of the Code of Federal Regulations, and, subject to his supervision, such deputy counselors as may be designated to assist him in accordance with the aforesaid regulation, shall provide legal advice, guidance and assistance with respect to the interpretation of this part and in matters relating to ethical conduct, particularly matters subject to the provisions of the conflict of interest laws and Executive Order No. 11222 of May 8, 1965.

Appendix (E. Con Res. No. 176, 86th Cong.) CODE OF ETHICS POR GOVERNMENT SERVICE

Resolved by the House of Representatives (the Senate concurring). That it is the senso of the Congress that the following Code of Ethics should be adhered to by all Government employees, including officeholders:

CODE OF ETHICS FOR GOVERNMENT SERVICE Any person in Government service should:

1. Put loyalty to the highest moral princi. ples and to country above loyalty to persons, party, or Government department.

2. Uphold the Constitution, laws, and legal regulations of the United States and of all governments therein and never be a party to their evasion,

3. Give a full day's labor for a full day's pay; giving to the performance of his duties his earnest etfort and best thought.

4. Seek to find and employ inore efficient and economical ways of getting tasks accomplished.

5. Never discriminate unfairly by the dispensing of special lavors or privileges to anyone, whether for remuneration or not; and never accept, for himself or his family, lavors or benefits under circumstances which might bo construed by reasonable persons as influencing tho performance of his governmental duties.

6. Make no private promises of any kind binding upon the duties of office, since A Government employee has no privato word which can be binding on public duty.

7. Engage in no business with the Govern. ment, either directly or indirectly, which 18 inconsistent with the conscientious performance of his governmental duties.

8. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit.

9. Expose corruption whenever discovered.

10. Uphold these principles, ever conscious that public office 18 a public trust.

Passed July 11, 1958.








Regulations concerning the conduct and activities of employees are published in the Code of Federal Regulations (CFR), Title 28, Section 45.735. Their source is found generally in Departmental Order 350-65 dated 12-28-65 which provides that employees shall:

Conduct themselves in a manner that creates and maintains respect for the Department of Justice and the U. S. Government. In all their activities, personal and official, they should always be mindful of the high standards of

behavior expected of them. (2) Not give or in any way appear to give favored treatment or advantage to

any member of the public, including former employees, who appear before the

Department on their own behalf or on behalf of a nongovernmental person. (3) · Avoid any action which might result in, or create the appearance of -

(a) Using public office for private gain
(b) Giving preferential treatment to any person
(c) Impeding Government efficiency or economy
(d) Losing complete independence or impartiality
(e) Making a Government decision outside official channels; or
(f) Affecting adversely the confidence of the public in the integrity of

the Government

Departmental Order 350-65 further provides that an employee shall not have a direct or indirect financial interest that conflicts, or appears to conflict, with his Government duties and responsibilities. Such a conflict exists whenever the performance of the duties of an employee has or appears to have a direct and predictable effect upon a financial interest of such employee or of his spouse, minor child, partner, person, or organization with which he is associated or is negotiating for future employment. A conflict of interest is deemed to exist even though there is no reason to suppose that the employee will in fact resolve the conflict to his un personal advantage rather than to that of the Government. The order also provides that no Department of Justice employee shall participate personally and substantially as a Government employee, through decision, approval, disapproval, iecormendation, the rendering of advice, investigation or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner, or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest, unless authorized to do so by the Deputy Attorney General. This prohibition includes such financial interests as ownership of securities of corporations or other entities which may become involved in Bureau investigation. The prohibited actions include supervisory decisions and reconmendations, as well as investigative activities. Any employee receiving an assignment involving any matters in which he has a direct or indirect financial interest as defined in the departmental order shall immediately advise his superior and shall be relieved of such assignment. Should there be a strong reason for requesting the Department's approval for the employee to participate in the assignment, the matter should be submitted to the Bureau for consideration regarding presentation to the Departinent. In any event the employee should not participate in such assignment until the Depariment's authorization has been received. The departmental order specifically exempts from the above prohibition the stock, bond, or policy holdings of an employee in a mutual fund, investnent company, bank, or insurance coripany which owns an interest in an entity involved in the matter provided the fair value of the employee's holding does not exceed one percent of the value of the reported assets of the mutual fund, investment company, or bank. In furtherance of the above, the Bureau expects its employees to so comport themselves that their activities both on and off duty will not discredit either themselves or the Bureau. Copies of Departmental Order 350-65 are furnished to employees during their indoctrination on entering the Bureau's service.







Failure by an employee to follow these regulations will result in appropriate disciplinary action including possible dismissal.



There are actions the commission or omission of which, considered in light
of the Bureau's work and its responsibilities to the American people, is
pre judicial to good order and discipline. These are other actions which, either
by commission or omission, are contrary to law.

Personal Misconduct
Employees should never cause themselves to be mentally or physically unfit
for duty. They are not permitted to consume alcoholic beverages during
working hours, including that time allotted (or meal periods or any period
of leave taken is the employee intends to return to work before the
termination of working hours. They must not, at any time, engage in
criminal, dishonest, immoral us disgracesui conduct or other conduct

pre judicial to the Government. 2. Misuse of Government Property

All Government property, automobiles, supplies, equipment, telephones,
and facilities are to be used solely for official purposes and are not
be converted to an employee's personal use. In this regard, however, the
use of equipment such as cameras for training and practice during nunwork
hours shall be considered "official purposes." Any loss, misplacerent,
theft or destruction of Government property issued to an employee must be
reported to his superior immediately.


In connection with the use of Bureau vehicles, transportation and related services for other than Bureau employees are to be restricted to individuals and their families, or aides accompanying them, who are traveling to attend Bureau sponsored or related functions or have other direct business to transact with Bureau officials and officials of the Department of Justice traveling on official business. In no instance should such services be rendered to individuals traveling on personal business or on business not related to that of the FBI.

Special Agents attending school under the Government Employees' Training Act as an official assignment may avail themselves or stenographic and typing facilities in connection with their studies and preparation of assignments provided the request for such assistance is specifically approved in advance by the SAC or the ASAC. This authorization does not extend to employees aitending school at their own expense or under Law Enforcement Assistance Administration grants.

Employees are expected to take proper care of any Bureau property issued
to them or used by them. No Bureau property, other than that normally
associated with maintenance or use of the vehicle, may be left unattended
in a personally owned or Bureau automobile under any circumstances even
though the outside doors of the car are locked. Personally owned weapons
authorized to be carried on official business are to be treated in same
manner as Burcau property.
Employees are responsible for complete security of credentials, identi-
fication cards and badges at all times. These items must be kept under
the employee's control, should be immediately available, are to be dis-
played for official purposes only and are not to be pliotographed. The
Bureau's name or the initials "FBI" shall not be indiscriminately or
improperly used by any employee in either oral or written form. Bureau
officials and Special Agents are permitted to use business cards for
official business as needed. The cards should contain the following:
name, official title, Federal Bureau of Investigation, office address and
telephone number. ASACS, SACs, Inspectors, Assistant Directors, Assistants
to the Director, the Associate Director and the Director may have the FBI
Seal inscribed in the upper left corner. Expenses incurred for printing
the cards must be borne by the employees who elect to use them. )

[ocr errors]






Employees are not to make copies for themselves of any reports or
correspondence they prepare in the course of their official duties except
copics of expense vouchers, Form CA-1 (Employee's notice of in jury or
occupational disease), nor should they make or maintain possession of
copies of official Bureau documents if they have no justifiable need
to know the information contained in them. On separation from the Bureau,
every employee must return any official documents made or received while
in the Bureau's service except for items such as those enumerated above
and originals of letters of appointment, commendation, censure or

(See also Bureau rule on disclosure of information set out
in Section 1, B, 2, below and regulations set out in Part II, Section 4M,
(48,) of this manual on disclosures of classified information).
Illegal Activities
illegal activities on the part of any employee, in addition to being
unlawful, reflect on the integrity of the FBI and betray the trust and
confidence placed in it by the American people. Furthermore, unlawful
activities can disqualify him for employment by the Government of the
United States. It is, therefore, expected that employees will obey not only
the letter of the law but the spirit of the law as well whether they be
engaged in transactions of a personal or official nature. With respect to
investigative activities, this admonition particularly applies to entrap-
ment or the use of any other improper, illegal, or unethical tactics in the
procurement of evidence. In this regard, it should be especially noted that,
in securing information concerning mail matter, the Bureau will not
tolerate a violation of law (Title 18, USC, sf 1702, 1703, 1708, and 1709).
Furthermore, employees must not tamper with, interfere with, or open mail
in violation of law nor aid, abet or condone the opening of inail illegally
by any employee of the U. S. Postal Service.

[ocr errors]

As members of a Federal investigative agency, FBI employees inust at all.
times zealously guard and defend the rights and liberties guaranteed to
all individuals by the Constitution. Therefore, FBI employees must not
engage in any investigative activity which could abridge in any way the
rights guaranteed to a citizen of the United States by the Constitution
and under no circumstances shall employees of the FBI engage in any con-
duct which may result in defaming the character, reputation, integrity,
or dignity of any citizen or organization of citizens of the United States.
Employees must not install secret telephone systems or microphones without
Bureau authority.
No brutality, physical violence, duress or intimidation of individuals by
our employees will be countenanced nor will force be used greater than
that necessary to effect arrest or for self-defense.
All of the foregoing prohibitions, including those pertaining to illegal
surreptitious entries, are applicable to all phases of the FBI's work,
criminal, civil, domestic security, and foreign counterintelligence.

[ocr errors][ocr errors][merged small]
« PreviousContinue »