Appendix A to Part 0 - Statutes Governing Conduct of Federal Employees
15:1.1.1.1.1.7.1.10.1 : Appendix A
Appendix A to Part 0 - Statutes Governing Conduct of Federal
Employees
There are numerous statutes pertaining to the ethical and other
conduct of Federal employees, far too many to attempt to list them
all. Consequently, only the more important ones of general
applicability are referred to in this appendix.
a. bribery and graft
.01 Title 18, U.S.C., section 201, prohibits anyone from bribing
or attempting to bribe a public official by corruptly giving,
offering, or promising him or any person selected by him, anything
of value with intent (a) to influence any official act by him, (b)
to influence him to commit or allow any fraud on the United States,
or (c) to induce him to do or omit to do any act in violation of
his lawful duty. As used in section 201, “Public officials” is
broadly defined to include officers, employees, and other persons
carrying on activities for or on behalf of the Government.
.02 Section 201 also prohibits a public official's solicitation
or acceptance of, or agreement to take, a bribe. In addition, it
forbids offers or payments to, and solicitations or receipt by, a
public official of anything of value “for or because of” any
official act performed or to be performed by him.
.03 Section 201 further prohibits the offering to or the
acceptance by a witness of anything of value involving intent to
influence his testimony at a trial, Congressional hearing, or
agency proceeding. A similar provision applies to witnesses “for or
because of” testimony given or to be given. The provisions
summarized in this section do not preclude lawful witness fees,
travel and subsistence expenses, or reasonable compensation for
expert testimony.
b. compensation to officers and employees in matters affecting the
government
.01 Title 18, U.S.C., section 203, prohibits an officer or
employee from receiving compensation for services rendered for
others before a Federal department or agency in matters in which
the Government is a party or is interested.
.02 Section 203 applies to a special Government employee as
follows:
a. If the special Government employee has served in the
Department of Commerce more than 60 days during the preceding
period of 365 days, section 203 applies to him only in relation to
a particular matter involving a specific party or parties (1) in
which he has at any time participated personally and substantially
in his governmental capacity, or (2) which is pending in the
Department of Commerce; or
b. If the special Government employee has served in the
Department no more than 60 days during the preceding period of 365
days, section 203 applies to him only in relation to a particular
matter involving a specific party or parties in which he has at any
time participated personally and substantially in his governmental
capacity.
.03 Section 203 does not apply to a retired officer of the
uniformed services while not on active duty and not otherwise an
officer or employee of the United States.
c. activities of officers and employees in claims against and other
matters affecting the government
.01 Title 18, U.S.C., section 205, prohibits an officer or
employee, otherwise than in the performance of his official duties,
from:
a. Acting as agent or attorney for prosecuting any claim against
the United States, or receiving any gratuity, or any share of or
interest in any such claim in consideration of assistance in the
prosecution of such claims; or
b. Acting as agent or attorney for anyone before any Government
agency, court, or officer in connection with any matter in which
the United States is a party or has a direct and substantial
interest.
.02 Section 205 applies to a special Government employee as
follows:
a. If the special Government employee has served in the
Department more than 60 days during the preceding period of 365
days, section 205 applies to him only in relation to a particular
matter involving a specific party or parties (1) in which he has at
any time participated personally and substantially in his
governmental capacity, or (2) which is pending in the Department of
Commerce; or
b. If the special Government employee has served in the
Department no more than 60 days during the preceding period of 365
days, section 205 applies to him only in relation to a particular
matter involving a specific party or parties in which he has at any
time participated personally and substantially in his governmental
capacity.
.03 Section 205 does not preclude:
a. An employee, if not inconsistent with faithful performance of
his duties, from acting without compensation as agent or attorney
for any person who is the subject of disciplinary, loyalty, or
other personnel administration proceedings, in connection with
those proceedings; or
b. An employee from giving testimony under oath or from making
statements required to be made under penalty for perjury or
contempt.
.04 Sections 203 and 205 do not preclude:
a. An employee from acting as agent or attorney for his parents,
spouse, child, or any person for whom, or for any estate for which,
he is serving as guardian, executor, administrator, trustee, or
other personal fiduciary, except in those matters in which he has
participated personally and substantially as a Government employee
or which are the subject of his official responsibility, provided
the head of the operating unit concerned approves; or
b. A special Government employee from acting as agent or
attorney for another person in the performance of work under a
grant by, or a contract with, or for the benefit of, the United
States, provided the head of the operating unit concerned, with the
approval of the appropriate program Secretarial Officer, shall
certify in writing that the national interest so requires, and such
certification shall be published in the Federal Register.
.05 Section 205 does not apply to a retired officer of the
uniformed services while not on active duty and not otherwise an
officer or employee of the United States.
d. disqualification of former officers and employees in matters
connected with former duties or official responsibilities;
disqualification of partners
.01 Title 18 U.S.C., section 207:
a. Provides that a former Government officer or employee,
including a former special Government employee, shall be
permanently barred from acting as agent or attorney for anyone
other than the United States in any matter in which the United
States is a party or is interested and in which he participated
personally and substantially in a governmental capacity;
b. Bars a former Government officer or employee, including a
special Government employee, of an agency, for a period of 1 year
after his employment with it has ceased, from appearing personally
as agent or attorney for another person before any court or agency
in connection with a matter in which the Government has an interest
and which was under his official responsibility at the employing
agency (e.g., Department of Commerce) at any time within 1 year
prior to the end of such responsibility; and
c. Prohibits a partner of a person employed by the Government,
including a special Government employee, from acting as agent or
attorney for anyone other than the United States in matters in
which the employee participates or has participated personally and
substantially for the Government or which are the subject of his
official responsibility.
.02 Subparagraphs .01a. and .01b. of this section do not prevent
a former officer or employee or special Government employee who has
outstanding scientific or technical qualifications from acting as
attorney or agent or appearing personally before the Department of
Commerce in connection with a particular matter in a scientific or
technological field if the Assistant Secretary of Commerce for
Science and Technology shall make a certification in writing,
published in the Federal Register, that the national interest would
be served by such action or appearance by the former officer or
employee.
e. acts affecting a personal financial interest
.01 Title 18, U.S.C., section 208 prohibits an officer or
employee, including a special Government employee, from
participating personally and substantially in a governmental
capacity in any matter 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.
.02 Section 208 does not apply:
a. If the officer or employee first advises the head of the
operating unit concerned of the nature and circumstances of the
matter involved, makes full disclosure of the financial interest,
and receives in advance a written determination made by such
official, with the approval of the appropriate program Secretarial
Officer, that the interest is not so substantial as to be deemed
likely to affect the integrity of the services which the Government
may expect from the officer or employee; or
b. If, by general rule or regulation published in the Federal
Register, the financial interest has been exempted from the
requirements of section 208 as being too remote or too
inconsequential to affect the integrity of Government officers' or
employees' services.
f. salary of government officials and employees
.01 Title 18, U.S.C., section 209, prohibits:
a. An officer or employee from receiving any salary, or any
contribution to or supplementation of salary, as compensation for
his services as an officer or employee of the United States from
any source other than the Government of the United States, except
as may be contributed out of the treasury of a State, county, or
municipality; and
b. Any person or organization from paying, contributing to, or
supplementing the salary of an officer or employee under
circumstances which would make its receipt a violation of
subparagraph .01a. of this section.
.02 Section 209:
a. Does not prevent a Government employee from continuing to
participate in a bona fide pension or other welfare plan maintained
by a former employer;
b. Exempts special Government employees and employees serving
the Government without compensation, and grants a corresponding
exemption to any outside person paying compensation to such
individuals; and
c. Does not prohibit the payment or acceptance of sums under the
terms of the Government Employees Training Act.
g. code of ethics for government service
“Code of Ethics for Government Service,” House Concurrent
Resolution 175, 85th Congress, 2d Session, 72 Stat. B12 of July 11,
1958, which reads as follows:
“Any Person in Government Service Should:
“Put loyalty to the highest moral principles and to country
above loyalty to persons, party, or Government department.
“UPHOLD the Constitution, laws, and legal regulations of the
United States and all governments therein and never be a party to
their evasion.
“GIVE a full day's labor for a full day's pay; giving to the
performance of his duties his earnest effort and best thought.
“SEEK to find and employ more efficient and economical ways of
getting tasks accomplished.
“NEVER discriminate unfairly by the dispensing of special favors
or privileges to anyone, whether for remuneration or not; and never
accept for himself or his family, favors or benefits under
circumstances which might be construed by reasonable persons as
influencing the performance of his governmental duties.
“MAKE no private promises of any kind binding upon the duties of
office, since a Government employee has no private word which can
be binding on public duty.
“ENGAGE in no business with the Government, either directly or
indirectly, which is inconsistent with the conscientious
performance of his governmental duties.
“NEVER use any information coming to him confidentially in the
performance of governmental duties as a means for making private
profit.
“EXPOSE corruption wherever discovered.
“UPHOLD these principles, ever conscious that public office is a
public trust.”
h. prohibitions
.01 The prohibition against lobbying with appropriated funds (18
U.S.C. 1913) reads as follows:
“No part of the money appropriated by any enactment of Congress
shall, in the absence of express authorization by Congress, be used
directly or indirectly to pay for any personal service,
advertisement, telegram, telephone, letter, printed or written
matter, or other device, intended or designed to influence in any
manner a Member of Congress, to favor or oppose, by vote or
otherwise, any legislation or appropriation by Congress, whether
before or after the introduction of any bill or resolution
proposing such legislation or appropriation, but this shall not
prevent officers or employees of the United States or of its
departments or agencies from communicating to Members of Congress
on the request of any Member or to Congress, through the proper
official channels, requests for legislation or appropriations which
they deem necessary for the efficient conduct of the public
business.
“Whoever, being an officer or employee of the United States or
of any department or agency thereof, violates or attempts to
violate this section, shall be fined not more than $500 or
imprisoned not more than 1 year, or both; and after notice and
hearing by the superior officer vested with the power of removing
him, shall be removed from office or employment.”
.02 The prohibitions against disloyalty and striking (5 U.S.C.
7311, 18 U.S.C. 1918). An individual may not accept or hold a
position in the Government of the United States if he:
a. Advocates the overthrow of our constitutional form of
government;
b. Is a member of an organization that he knows advocates the
overthrow of our constitutional form of government;
c. 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
d. 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.
.03 The prohibition against employment of a member of a
Communist organization (50 U.S.C. 784).
.04 The prohibitions against (a) the disclosure of classified
information (18 U.S.C. 798, 50 U.S.C. 788); and (b) the disclosure
of confidential information (18 U.S.C. 1905). Each employee who has
access to classified information, e.g., confidential, secret, or
top secret, or to a restricted area is responsible for knowing and
for complying strictly with the security regulations of the
Department of Commerce. (See Administrative Order 207-2.)
.05 The prohibition against employment in the competitive civil
service of any person who habitually uses intoxicating beverages to
excess (5 U.S.C. 7352).
.06 The prohibition against the misuse of a Government vehicle
(31 U.S.C. 638a(c)). No employee may willfully use or authorize the
use of a Government-owned or Government-leased passenger motor
vehicle or aircraft for other than official purposes.
.07 The prohibition against the use of the franking privilege to
avoid payment of postage on private mail (18 U.S.C. 1719).
.08 The prohibition against the use of deceit in an examination
or personnel action in connection with Government employment (18
U.S.C. 1917).
.09 The prohibition against fraud or false statements in a
Government matter (18 U.S.C. 1001). An employee in connection with
an official matter shall not knowingly and willfully conceal or
cover up a material fact or falsify official papers or
documents.
.10 The prohibition against mutilating or destroying a public
record (18 U.S.C. 2071). No employee may conceal, remove, mutilate,
or destroy Government documents or records except for the
disposition of records in accordance with law or regulation.
.11 The prohibition against counterfeiting and forging
transportation requests (18 U.S.C. 508). Falsely making, altering
or forging, in whole or in part, any form of transportation request
is prohibited.
.12 The prohibitions against:
a. Embezzlement of Government money or property (18 U.S.C. 641).
No employee may convert any Government money or Government property
to his own use or the use of another person.
b. Failure to account for public money (18 U.S.C. 643). Any
employee, who, having received public money which he is not
authorized to retain, fails to render his accounts for same as
provided by law, is guilty of embezzlement.
c. Embezzlement of the money or property of another person in
the possession of the employee by reason of his employment (18
U.S.C. 654). An employee is prohibited from embezzling or
wrongfully converting for his own use the money or property of
another which comes under his control as the result of his
employment.
.13 The prohibition against unauthorized removal or use of
documents relating to claims from or by the Government (18 U.S.C.
285). No employee, without authority, may remove from the place
where it was kept by authority of the United States any document,
record, file, or paper intended to be used to procure the payment
of money from or by the United States or the allowance or payment
of any claim against the United States, regardless of whether the
document or paper has already been used or the claim has already
been allowed or paid; and no employee may use or attempt to use any
such document, record, file, or paper to procure the payment of any
money from or by the United States or the allowance or payment of
any claim against the United States.
.14 The prohibition against proscribed political activities,
including the following, among others:
a. Using official authority or influence for the purpose of
interfering with or influencing the result of an election, except
as authorized by law (5 U.S.C. 7324);
b. Taking an active part in political management or in political
campaigns, except as authorized by law (5 U.S.C. 7324);
c. Offering or promising to pay anything of value in
consideration of the use of, or promise to use, any influence to
procure any appointive office or place under the United States for
any person (18 U.S.C. 210);
d. Soliciting or receiving, either as a political contribution
or for personal emolument, anything of value in consideration of a
promise of support or use of influence in obtaining for any person
any appointive office or place under the United States (18 U.S.C.
211);
e. Using official authority to interfere with a Federal election
(18 U.S.C. 595);
f. Promising any employment compensation, or other benefit made
possible by Act of Congress in consideration of political activity
or support (18 U.S.C. 600);
g. Action by a Federal officer or employee to solicit or
receive, or to be in any manner concerned with soliciting or
receiving, any contribution for any political purpose whatever from
any other Federal officer or employee or from any person receiving
compensation for services from money derived from the Treasury of
the United States (18 U.S.C. 602);
h. Soliciting or receiving (by any person) anything of value for
any political purpose whatever on any Government premises (18
U.S.C. 603);
i. Soliciting or receiving contributions for political purposes
from anyone on Federal relief or work relief (18 U.S.C. 604);
j. Payment of a contribution for political purposes by any
Federal officer or employee to another Federal officer or employee
(18 U.S.C. 607); and
k. Payment of a political contribution in excess of statutory
limitations and purchase of goods, commodities, advertising, or
articles the proceeds of which inure to the benefit of certain
political candidates or organizations (18 U.S.C. 608).
.15 The prohibition against an employee acting as the agent of a
foreign principal registered under the Foreign Agents Registration
Act (18 U.S.C. 219).