PROPOSED(Sanitized), ETHICAL CONDUCT AND RESPONSIBILITIES OF EMPLOYEES, DRAFT A (JOB #9570)

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP84-00933R000100010034-5
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 19
• Document Creation Date: December 15, 2016
• Document Release Date: November 20, 2003
• Sequence Number: 34
• Publication Date: June 16, 1981
• Content Type: MF

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N
STAT
STAT
MEMORANDUM FOR: D/OUP
DD/ODP
EXO/CDP
DD/P/ODP
DD/As/OPP
C/SE'S/GDP
16 June 1981
Policy and Plans Group, Management Staff
SUBJECT Proposed Ethical Conduct and
T Proposed 0 z A
Responsibilities of Employees, I)PdAFT
(Job %9570)
1. Attached for your review and comment is the Proposed
TAT This proposed regulation is to describe Agency policy
on ethical conduct, to establish procedures for financial
j
disclosure and avoidance of real or apparent conflicts of
interest, and to provide procedures for the administrative
enforcement of postemployment restrictions.
2. Any comments should be returned to the undersigned by
23 June.
Attachment: a/s
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11 June 1981
M JORANDUM FOR: Deputy Director for National Foreign Assessment
Deputy Director for Science and Technology
Deputy Director for Operations
Comptroller
General Counsel
Legislative Counsel
Inspector General
STAT
STAT
STAT
FROM:
Chief, Regulations Control Division
SUBJECT: Proposed
of Employees,
Ethical Conduct and Responsibilities
DRAFT A (Job #9570)
FOR YOUR CONCURRENCE OR COMMENTS:
1. This proposed regulation was initiated by the Office of Personnel.
The regulation is added to describe Agency policy on ethical conduct, to
establish procedures for financial disclosure and avoidance of real or
apparent conflicts of interest, and to provide procedures for the admin-
istrative enforcement of postemployment restrictions.
2. Please forward your concurrence and/or comments to the Regulations
Control Division by 2 July 1981. Concurrence sheets are attached for your
convenience. Any questions may be directed to
Attachments:
"'Sheet
A. Concurrence
B. Proposed
cc: AO/DCI
SSA/DDA
DIS
OP
OEEO
OIS/RMD
OC
ODP
OF
OL
OMS
OS
OTE
IHSA
0
AIJNIINISTRATIVE INTERNAL USE ONLY
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HQ.
REMOVE
INSERT
REG.
PAGE
DATE
EEG.
PAGE
DATE
EXPLANATION
NOS.
NOS.
NOS.
NOS.
is added to the
regulations to describe
policy on ethical
conduct, to establish
procedures for financial
disclosure and avoidance
of real or apparent
conflicts of interest,
and to provide
procedures for the
administrative enforce-
ment of postemployment
restrictions.
DISTRIBUTION: AB
ADMINISTRATIVE - INTERNAL USE ONLY
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0
5. ETHICAL CONDUCT AND RESPONSIBILITIES-OF
0
SYNOPSIS. This regulation states general Agency
policy on ethical conduct, establishes procedures for financial
disclosure and avoidance of real or apparent conflicts of
interests, and provides procedures for the administrative
enforcement of postlemployment restrictions. 0
a. AUTHORITY. This regulation is promulgated in
implementation of the Code of Ethics for Government Service,
House Concurrent Resolution No. 175, 11 July 1958, 5.U.S.C.
/1/
7301 note; Title II and IV of the Ethics in Government Act of
1978, as amended, 5 U.S.C. Appendix I; Title V of the Ethics in
Government Act of 1978, as amended, 18 U.S.C. 207; Executive
Order 11222 of 8 May 1965, as amended, 18 U.S.C. 201 note; and
5 CFR Parts 734, 735, and 737.
b. POLICY. It is the policy of the Agency to promote
and maintain the hig'lhest standards of honesty, integrity,
impartiality, and ethical conduct to a.c.c-urethe proper
/ensure/
performance of Agency business and to inspire the confidence
of the public in the Agency and its personnel. Accordinglyithe
i
Agency requires certain employees to disclose personal financial
..x:ltcc:e t and a description of other employment relationships
in order to avoid potential conflicts of interest) and the
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STAT
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appearance of such conflicts which may arise as they carry out
the duties of their positions. places certain STAT
/The Agency also/
restrictions on the postlemployment conduct of certain officials.
c. GENERAL. An employee shall avoid any action,
whether or not specifically proscribed by this regulation, which
might result in% or create the appearance of:
(1) Using public office for private gains
(2) Giving
preferential treatment to axly -personi
/-/
(3) Impeding Government efficiency or economy
/./
(4) Losing independence or impartiality in making
work-related judgments'
/./
(5) Making a Government decision outside official
channels' -60-tft
/?/
(6) Affecting adversely the confidence of the public
in the integrity of the Government.
0
d. GIFTS, ENTERTAINMENT, AND FAVORS. An employee
shall not solicit or accept' directly or indirectly' any gift-,
gratuity, favor, entertainment, loan, or any other thing of
monetary value from a person who has or is seeking to obtain
contractual or other business or financial relations with the
Agency or who has interests that may be substantially affected
by the performance or nonperformance of the employee's official
duty or who appears to be offering the gift with the hope or
expectation of obtaining advantage or preferment in dealing
with the U.S. Government for any purpose.
0
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STAT
STAT
n..
a r
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e. OUTSIDE EMPLOYMENT AND OTHER ACTIVITY. An
employee shall not engage in any outside employment, including
teaching, lecturing, or writing, which might result in a
conflict! or an apparent conflict between the private
interests of the employee and b-a-a official Government duties
/his or her/
STAT and responsibilities.
STAT
I
f. MISUSE OF GOVERNMENT PROPERTY. An employee shall
not OUKootl7 Q W ' Ad;z9"t' -- or allow the use, of: Government
/use directly or indirectly/
property of any kind, including property leased to the
Government, for other than officially approved activities. II
g. MISUSE OF INFORMATION. An employee shall not
/ use directly or indirectly,/
for the purpose of furthering a private interest, _-___-_,
or allow the use off official information
obtained through or in connection with Government employment
which has not been made available to the general public.
0
h. FINANCIAL INTERESTS. An employee, spouse, or
dependent child shall not have a direct or indirect financial
interest that conflicts substantially or appears to conflict
substantially with the employee's Government duties and
responsibilities and the employee shall not engage directly
or indirectly in a financial transaction as a result ofj or
primarily relying onl information obtained through Government
employment. 0
STAT
STAT
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DRAP T A
i. DESIGNATED AGENCY ETHICS OFFICIAL. The Deputy
General Counsel is the Designated Agency Ethics Official and
is responsible for implementing this regulation, enforcing the
restrictions herein oo~t~in and administering the financial
/contained herein,/
disclosure provisions.
J-
0
(1.) The Financial Disclosure Review Panel is
established to assist the Designated Agency Ethics Official in
the performance of responsibilities in matters relating to
conflicts of interest and financial disclosure. The lanel
/p/
consistlof a chairman and two representatives of each of the
/s / /person/
Career Services. The lanel *i..1-ir assisted in its work by two
/p/ /is/
advislrs from the Office of the Inspector General and one
/e/
advisor from the Office of General Counsel.
/e/
(2) The hanel?r'.'..~.;. responsible for conducting a
/p/ /is/
review of financial statements and reports submitted to
determine whether such statements or reports reveal possible"
violations of applicable -- - of interest laws or regulations,
. 0", /conflicts/
reporting its findings to the Designated Agency Ethics official,
and recommending appropriate action to correct any conflict of
interest or ethical problems revealed by such review.
k. STATEMENTS OF EMPLOYMENT AND FINANCIAL INTERESTS.
The following employees are required to submit to the Financial
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Disclosure Review Panel a enmpleted Form 2630, Employee
Confidential Statement of Employment and Financial Interests,
accompanied by a full description of the employee's principal
Governmental duties:
(1) Employees paid at a level of GS-13 through 15
who are in positions that require the incumbent to exercise
judgment in making a Government decision.or in taking
Government action on contracting or procurement, administering
or monitoring grants or subsidies, regulating or auditing
private or non-Federal enterprises, or other activities when
the decision or action has an economic impact on the interests
of any non-Federal enterprise.
(2) Other employees classified at GS-13 through 15
levels who are in positions that require incumbents to report
their employment and financial interests in order to avoid
involvement in a possible conflicts of interest situation.
(3) Employees classified below GS-13 who are in
positions that me~:et the criteria in paragraphs (1) and (2)
above whose filing is essential to protect the integrity of
the Government and avoid employee involvement in a possible
conflicts of interest situation.
1. Not used.
M. EXECUTIVE FINANCIAL DISCLOSURE REPORTS
(1) The following employees are required to
submitithe Financial Disclosure Review Panel a completed
/ to /
Standard Form 278, Executive Personnel Financial Disclosure
Report:.
APO.owa.o.a~~~u~r~YECu+ai;JIALII~L~9roo3.,
 ~~ NI hl r~^ ~'+ ~ ~"
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initial statements within 30 diy., of entrance-on-duty and
supplemental statements annually by 15 September. Ct tc mon-tr
(2) Employees required to submit Executive Personnel
Financial Disclosure Reports shall submit initial reports
within 30 days of entrance-on-duty, supplemental reports
annually after 1 April of each year but not later than 15 May,
and a final report within 30 days after term?i.nation..of
employment.
(3) Reports are submitted to the Financial Disclosure
Review Panel in specially provided envelopes marked 1To Be
Opened By Addressee Only, and are handled in a manner.consistent
with security and the privacy of each reporting individual.
Individuals under covericlassify both the envelope and its
/ shall /
contents Confidential.
(4) The Designated Agency Ethics official shall submit
a disclosure report to the Director of the Office of Governmept
Ethics after t :~ '-i areview . by the DCI.
(5) The D'd?ignated Agency Ethics Official shall submit
the disclosure reports of the DCI and the DDCI to the Director of
the Office of Government Ethics after review' .
(6) The date a;t-y financial lisclosure Deport or
/f/ /d/ /r/
supplemental ieport is received - be noted on the report
/r/ /will/
by the Financial Disclosure Review Panel.
0
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DRAT A
A. REVIEW OF STATEMENTS
/o/
(1) Each Employee Confidential Statement of Employment
and Financial Interests submitted s-i it be reviewed within a
/will/
reasonable period of time in conju4tion with the relevant job
/nc/
description and other appropriate information as warranted by
the Financial Disclosure Review Panel which eirerl~l , after
/shall comment/
consultation with the employee where warranted, oommewet-in
writing on the statement as to whether the employee's duties
involve organizations, persons, or real property with which the
employee has or appears to have financial or employment interests.
(2) Where the determination is that ajconflict of
/ real or apparent /
interest a or arr rc -, exists, the lanel shall initiate
/p/
informal discussions with the employee concerned in order to
provide the employee with a full opportunity to explain the
conflict or appearance of conflict and arrive at an agreement.
whereby the conflict of interest may be removed or avoided.
Such an agreement may include, but is not limited to: (1)
/a/
changes in assigned duties (ari) divestiture of the financial
.. /, / /b/
or employment interest creating the conflict or apparent
conflict or (4.+.i,.) disqualification for a particular assignment.
/,/ /c/
(3) Where an acceptable agreement cannot be reached ,
the )anel shall present findings and recommendations to the
/p/
Designated Agency Ethics Official who shall decide which remedy
is most appropriate to remove or correct the conflict or
apparent conflict. Remedial action may involve disciplinary
/ measures including separation for, cause./
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 (1) Each Executive Financial Disclosure Report
submitted to the Financial Disclosure Review Panel -L i-in be
/will/
reviewed within s4xtq days after the date of receipt by the
/60/
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(4) Written summari.r of all agreements and decision;
arrived at s- '-1 be made and kept by the ,Tanel.
/will/ /p/
1. REVIEW OF REPORTS
/p/
lanel.
/p/
(2) Where the lanel determines on the. basis of
/p/
information in the leport that the employee submitting the
/r/
keport is in compliance with all applicable laws and regulations,
the lanel shall enter `o"""" the
/p/ /on the report form its finding 11
signature of the chairre& , and the date. Where the Panel
/person/ /p/
determines that additional information is required, it shall
notify the reporting employee, indicating a date by which the
information must be submitted.
(3) Where the lanel determines on the basis of
/p/
information in the Leport and additional information submitted
/r/
that the reporting employee is in compliance with all applicable
laws and regulations, the 4anel shall enter fits findings,e-n---thy
/p/ / on the report form /
wapo the signature of the the date and shall
/chairperson, and/
forward written notification of such action to the employee,
including the addition of any comment written or attached to the
).eport.
/r/
(4) Where the lanel determines on the basis of
/p/
information in the report and any additional information1 if
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'required/ that the reporting eml,loyee is not in compliance with
all applicable laws and regulations, the ilanel shall notify the
/p/
reporting employee, afford the employee a reasonable opportunity
for an oral or written response, and determine on the basis of
the response whether or not the employee is in compliance.
(5) Where the lanel determines on the basis of the
/p/
response that the reporting employee is in compliance with all
applicable laws and regulations, the 3anel s'hall.en.terlits
/p/ / on the re ort form /
findings -on 4he , the signature of the chair
/person, and the/
date,,..iwc7 forward written notification of such action to the
/ and shall/
employee.
(6) Where the !anel determines on the basis of the
/p/
response that the reporting employee is not in compliance with
all applicable laws and regulations, the i'anel shall notify the
/p/
reporting employee afford the employee an opportunity for
/I/
personal consultation if'practicablel determine what remedial
/I/
action should be taken to bring the employee into compliance.
/I/
and notify the employee in writing of the remedial action
required, indicating''"a date by which such action should be taken.
Except in unusual situations which must be fully documented to
the satisfaction of the fanel, remedial action must be completed
/p/
within 90 days from the date the employee was notified that such
action would.be required.
(7) Remedial steps may include, as appropriate:
(!) divestiture of the conflicting interestsi?
/a/ /D/
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(+-r) 1estitutiont
/b/ /R/ /./
(a-r) establishment of a qualified blind or
/c/ /E/
diversified trust
(4v) 4equest for an exenmptionj
/d/ ,/R/ /./
(,) =eo-ua$47-- -r
/e/ /Refusal.
(v.) loluntary request by the employee for transfer,
/f/ /V/
reassignment, limitation of duties, or resignation.
(8) Where a reporting employee complies,.with a written
request for remedial action, the lanel shall indicate that such
/p/
action has been taken in the comment section of the Deport,
/r/
affix the wh&ir-ma- signature, and date the report. The Ianel
/chairperson's/ /p/
shall send written notification of the signing and of the addition
of the comment to the form to the reporting employee.
(9) Where a reporting employee does not comply with
a written request for remedial action, the ;anei shall notify
/p/
the office of Government Ethics and refer the matter for
appropriate action to the D_rceL-&-r
Appropriate action includes but is not limited toj changes in
assigned duties or U'isciplinary action in accordance with
JI. POSTIEMPLOYMENT RESTRICTIONS
/q/
( 1 ) 444 - m p J @_.g^ k ,, , /f ter Agency employment
A
has ended,Iknowingly represent anyone other than the United
/ an employee shall not/
States, as agent or attorney, formally or informally, by oral
or written communication, in connection with a matter in which
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the Agency is a party or has an interest and in which the
employee participated personally and substantially for the
(2) For two years after Agency employment has
ended, an employee shall not knowingly represent anyone
other than the United States, as agent or attorney, formally
or informally, by oral or written communication, in
connection with a matter in which the Agency is a party or
has an interest and which was within the scope of the employee's
official responsibility during the last year of the employee's
Agency service.
(3) For two years after Agency employment has
ended, an employee in a Senior Intelligence Service position
or a position designated as a senior employee position by the
Director of the Office of Government Ethics in consultation
with the D' shall not knowingly
represent or aid, counsel, advise, or assist in representing
anyone other than-the United States, formally or informally
by personal presence, in connection with a matter in which
the Agency is a party or has an interest and in which the
employee participated personally and substantially for the
Agency.
(4) For one year after Agency employment has ended,
an employee in a Senior Intelligence Service position or a
position designated as a senior employee position by the
Director of the Office of Government Ethics in consultation
with the D-ar " ~t-C ntr&1 I-y_71_~~_ v~ shall not
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min}- far ..nn 3rnnr of}nr Agnn'yl nmp1r r1 7 knowingly
represent anyone other than the United States, as agent or
attorney, formally or informally, by oral or written communication,
to the Agency or any of its officers or employees, in connection
with a matter which is pending before the Agency or in which
the Agency has a direct and substantial interest.
(5.) The prohibition of subs" (4) shall not apply
/paragraph/
to appearances, communications, or representations by a former
employee who is an elected official of a State or local
government or whose principal occupation is with aap agency
or instrumentality of a State or local government, (4i4)/) an
/b/
accredited, degree-granting institution of higher education, or
(iif) a hospital or medical research organization and the
/c/
appearance, communication, or representation is on behalf of
such government, institution, hospital, or organization.
(6) The prohibitions of a
/paragraphs (1) through (4)/
shall not apply to the making of communications solely
for the purpose of furnishing scientific or technological
information under procedures acceptable to the Agency.
(7) Nothing in, this regulation shall prevent a former
employee from giving testimony under oath or from making
statements required to be made under penalty of perjury. II STAT
ADMINISTRATIVE ENFORCEMENT PROCEEDINGS
/r/
(1) DISCIPLINARY HEARING
(a) 'Whenever the Designated Agency Ethics Official
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? determines, after appropriate investigation and review, that
there is sufficient cause to believe that a former employee has
violated 4 U.S.C. 2071the Designated Agency Ethics. Official
shall that information, along with any
/forward expeditiously/
comments- and Agency regulations, to the Directory and to
/ of the Office of Government Ethics/
the Criminal Division, Department of Justice. Thereafter, the
Designated Agency Ethics Official shall coordinate any further
investigation or administrative action with the pep.artment of
Justice to avoid prejudicing criminal proceedings, unless the
Department of Justice communicates to the Agency that it does
not intend to initiate criminal prosecution.
(b) The Designated Agency Ethics Official may initiate
an administrative disciplinary proceeding by providing the
former employee with adequate notice of the proceeding and
affording the former employee an opportunity for a hearing.
The notice must include a statement of allegations (and the basis
thereo.f) sufficiently detailed to enable the former employee., to
prepare an adequate defense. It include notification
?. /also must/
of a right to a hearing and an explanation of the method by
which a hearing may be requested.
(2) PRESIDING OFFICIAL
(a) The presiding official at proceedings initiated
hereunder shall be the Designated Agency Ethics Official or
designeethereinafter referred to as ?ExaminerThe Examiner
/, / /11/ /11?/
must be an attorney-at-law and an employee of the Agency.
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(b) An Examiner shall be impartial. No individual who
has participated in any manner in the decision to initiate the
proceedings may serve as an Examiner in those proceedings.
(3) TIME, DATE, AND PLACE. The hearing 94r* be
/will/
conducted at a reasonable time, date, and place. In setting a
hearing date, the Examiner shall give due regard to the former
employee's need for adequate time to prepare a defense properly
and an expeditious resolution of allegations that may be damaging
to his or her reputation.
(4) HEARING RIGHTS. The hearing rights of an employee are:
(1) To represent oneself or to be represented by
/a/
counsel)
/?/
To introduce and examine witnesses and to submit
/b/
physical evidence.
(i-a) To confront and cross-examine adverse witnesses%.
/c/
(
i-rj To present oral argument,--aw r
/d/ I
(+r) To receive a transcript or recording of the
proceedings on request.
(5) HEARING DECISION. The Examiner shall make a
determination exclusively on matters of record in the proceeding
and shall set forth in the decision all findings of fact and
conclusions of law relevant to the matters at issue.
(6) APPEALS
(a) Within *ii" calendar days of an initial decision,
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either party may appeal the deci.si.on.to the DCI who shall base
the decision on the appeal solely on the record of the proceeding
or those portions thereof cited by the partiesito 1-imit -the
/ in order /
issues.
- (b) Where the DCI modifies or reverses the initial
decision, the DCI shall specify such findings of fact and
conclusions of law as are different from those of the hearing
Examiner.
(7) ADMINISTRATIVE SANCTIONS. The DCI may take
appropriate actionlin the case of any individual who is found in
/ after a final administrative decision /
violation of these regulations
.des&" or-who fails to request a hearing after receiving
adequate notice -by pw-ohi ~ the individual from making,?on
/. The DCI may prohibit/
behalf of any party other than the United States, any formal or
informal appearance before& or oral or written communication
with the intent to influence the Agency on any matter of
business for a period not to exceed five years. 4 ? DCI may..
/Also, the/
impose any other appropriate less severe penalty that is
consonant with these proceedings.
(8) JUDICIAL REVIEW. Any person found to have
participated in a violation of these regulations may seek
judicial review of the administrative determination. II
STAT
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