(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 or 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 appearance of:

(1) Using public office for private gain;

(2) Giving preferential treatment to any organization or person;

(3) Impeding Government efficiency or economy;

(4) Losing complete independence or impartiality of action;

(5) Making a Government decision outside official channels;

(6) Affecting adversely the confidence of the public in the integrity of the Government;

(7) Using his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.

(b) An officer or employee of another Federal agency, a Foreign Service officer or employee, and a member of the uniformed services as defined in 37 U.S.C. 101 (3) who is assigned or loaned to the ACDA shall adhere to the standards of conduct applicable to employees as set forth in this part.

§ 601.735-11 Ethical and regulatory standards of conduct of employees.

The Code of Ethics for Government Service set forth by the Legislative Branch in House Concurrent Resolution 175, passed in 1958; Standards of Ethical Conduct for Government Officers and Employees set forth by the President in Executive Order 11222, dated May 8, 1965, and in the regulations issued by the Civil Service Commission pursuant to that Executive order (5 CFR Part 735); statutes, rules, and regulations governing conduct of employees; and regulations set forth in the ACDA Manual shall govern ACDA employees in their service to the Government.

§ 601.735-12 Statutes, rules, and regulations governing conduct of employees.

(a) Conflict of interest statutes. The provisions of 18 U.S.C. 203, 205, 207, 208, and 209 prohibiting conflicts of interest between an employee's Government duties and his outside activities are summarized in specific sections of this Part 601.

(b) Other statutory provisions quoted or summarized. This Part 601 contains

numbered sections, applicable particularly to ACDA employees, based on statutes specified in each section.

(c) Miscellaneous statutory provisions. In addition to the statutory provisions referred to in paragraphs (a) and (b) of this section, ACDA employees must observe the following:

(1) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the "Code of Ethics for Government Service".

(2) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

(3) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

(4) The prohibitions against disloyalty and striking (5 U.S.C. 118p, 118r).

(5) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(6) The prohibitions against (i) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (ii) the disclosure of confidential information (18 U.S.C. 1905).

(7) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 640).

(8) The prohibition against the misuse of a Government vehicle (5 U.S.C. 78c). (9) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(10) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (5 U.S.C. 637).

(11) The prohibition against fraud or false statement in a Government matter (18 U.S.C. 1001).

(12) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(13) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(14) The prohibitions against (i) embezzlement of Government money or property (18 U.S.C. 641); (ii) failing to account for public money (18 U.S.C. 643); and (iii) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(15) The prohibition against unauthorized use of documents relating to

claims from or by the Government (18 U.S.C. 285).

(d) Sources of information and advice. General information on statutes, rules and regulations governing the conduct of employees may be obtained from the Office of the Executive Director. Specific information may be obtained from the United States Code, from the Federal Personnel Manual, and from the ACDA Manual, all of which are available in the Office of the Executive Director and in the Office of the General Counsel. Clarification of standards of conduct and related laws, rules, and regulations and advice on their applicability to individual situations may be obtained from the counselor or deputy counselor for the Agency, in the Office of the General Counsel.

(e) Responsibility of employees. It is the responsibility of each employee (1) to familiarize himself with the full text of applicable statutes, rules, and regulations before engaging in outside employment, financial activity which might involve a conflict of interest, or other activity which might involve a violation of standards of ethical conduct or of statutory or regulatory restrictions, and (2) to secure the advice or approval of his supervisor and any other designated Agency official before he engages in the contemplated activity.

(f) Penalties for violation. Violations subject employees to remedial or disciplinary action by ACDA in addition to the penalty prescribed by the particular statute, rule, or regulation that has been violated.

(a) An employee may not engage in any outside employment or other outside activities that might involve a conflict, or an apparent conflict, of interest between his official Government duties and responsibilities and his own private interests or those of persons with whom he has family, business, or financial ties (see also §§ 601.735-16 and 601.735-22).

(b) No ACDA employee, except one serving as a special Government employee, may engage in outside employment under a State or local government without advance approval by the Executive Director.

(c) It is further required that:

(1) The employee's performance in his ACDA position not be adversely affected by the outside work.

(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 an employee may properly be in 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 contributions from another employee for a gift to an employee in a superior official position. An employee in a superior official position shall not accept a gift presented as a contribution from employees receiving less salary than himself. An employee shall not make a donation as a gift to an employee in a superior official position (5 U.S.C. 113).

(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. 114115a.

§ 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 too inconsequential to affect the integrity of Government officers' or employees' services.

(b) 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.

(c) 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.

§ 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.

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 prejudicial 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 Unofficial 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