MAOP Part 1 Section 1. Activities and Standards of Conduct

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MAOP PART I SECTION 1. ACTIVITIES.AND STANDARDS' OF, CONDUCT
(SEE MIOG, PART I, 281-16.4 (3).) ALL INTO' - TION CaNTAIYEL
FLEPEIN IS UNCLASSIFIED
SENSITIVE DATE 12-C9-2009 BY C5179 DI_
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1 -1 INTRODUCTION (See MAOP, Part 1, 1-16.1.)
Regulations concerning the conduct and activities of
employees are published in the Code of Federal Regulations (CFR),
Title 28, Part 45.735"and Part 45, Appendix; and Title 5, Parts 2634,•
2635, and 2636, Their source is found generally in Departmental Order,
350-65 dated 12/28/65, as amended by Departmental Order 960-81 dated
10/26/81, 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. (See MAOP, Part I, 13-1(4).)
(1) Departmental Order 350-65, as amended by Departmental
Order 960-81 dated 10/26/81, further provideS that no Department of
Justice employee shall participate personally and substantially as a
government employee, through decision, approval, disapproval,
recommendation, 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/her
knowledge, he/she, his/her'spouse, minor child, partner, organization
in which he/she i6 serving- as officer, director, trustee; partner; Or .
employee, or any person or organization with whom he/she 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 recommendations, as well as •
investigative activities. Any employee receiving an assignment
involving any matters in which employee has a direct or indirect
financial interest as defined in the departmental order shall
immediately advise his/her 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 FBIHQ for consideration
regarding presentation to the Department. In any event the employee
should notparticipate in such assignmentuntil the Department's
authorization has been received. The departthental order specifically
exempts from the above prohibition the stock, bond, or policy holdings •
of an employee in a mutual fund, investment company, bank, or
insurance company which owns an interest in an entity involved in the
matter provided that fair value of.the employee's holding does not
exceed 1 percent of the value of the reported assets of the mutual
fund, investment .company, or bank.
(2) The Order also provides that employee may not, except
in the discharge of his/her official duties, represent anyone else
before a.court or government agency in a matter in which the United,
States is a party or has an interest. This prohibition applies both
to paid and unpaid .representation of another. An employee may not
participate-in his/her governmental capacity in any matter in which
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he/she, his/her spouse, minor child, outside business associate or
person with whom he/she is negotiating for employment has a financial
interest. Employees may not receive any salary, or supplementation of
his/her government salary, from a private source as compensation for
his/her services to the government. (See MAOP; Part I. 20-6.1 (2) and
L31 and 20-6.3.2 (2).)
(3) FBI employees whose official responsibilities include
research,. recommendations, or decisions regarding Bureau insurance
programs may not serve concurrently as an officer or member of the
Board of Directors of any insurance group or association.
(4) Personal and Business Relationships: Unless prior
authorization has been .granted, an employee is prohibited from
participating in a matter involving specific parties which he/she
knows is likely to affect the financial interests of a member of the
employee's.household, or in which the employee knows a person with
whom he/she has a covered relationship is or represents a party, if
he/she determines that a reasonable person with knowledge of the facts
would question the employee's impartiality in the matter. ,
Definitions of terms:
An employee has a COVERED RELATIONSHIP with: .
- a person, other than a prospective employer described in
Title 5, CFR, 2635.603(c), with whom the employee has or seeks a
business, contractual or other financial relationship, other than a
routine consumer transaction;
•
person who is a member of the employee's household, or ' .
who is a relative with whom the employee has a close personal
relationship;
- a person for whom'the employee's spouse, parentor
dependent child is, to the employee'S knowledge, serving or seeking to
serve as an officer, director, trustee, general partner,. agent,
attorney, consultant, contractor or employee;
- any person for whom the employee has,, within the last .•
year, served as an officer, director, trustee, general partner, agent,
attorney, consultant, contract& or employee; or,
- an organization, in which the,employee Ts an active
participant.
•
(5) Extraordinary payments from former employers: Unless
a prior waiver has been received under Title 5,'CFR, 2635.503(c), an
employee shall be disqualified for two years from participating in any
particular matter in which a former employer is a party or represents
a party, if the employee received an extraordinary payment from that
person prior to entering government service. The two-year period of
disqualification begins to run on the date that the extraordinary
payment is received.
Definitions of terms:
EXTRAORDINARY PAYMENT means any item, including cash or an investment
interest, with a value in excess of $10,000, which is paid:
.- on the basis of a determination made after it became
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(
known to the former employer that the individual was being considered
for or had accepted a government position; and,
- other than pursuant to the former employer's established
compensation, partnership, or benefits program. A compensation,
partnership, or benefits program will be deemed an established program
if it is contained in bylaws, a contract or other written form, or if
there is 'a history of similar payments made to others not entering
into federal service.
FORMER EMPLOYER includes any person which the employee served
as an officer, director, trustee, general partner, agent, attorney,
consultant, contractor or employee. •
(6) ETHICS ADVICE AND TRAINING
(a) The FBI's Deputy Designated Agency Ethics
Official is the Chief, Legal Advice and Training Section, Office of •
the General Counsel (OGC). This person, on the FBI's behalf, is
responsible for coordinating and managing the FBI's ethics program.
The FBI's ethics official has authority to delegate certain
responsibilities, including that of providing ethics counseling, to
one or more deputy ethics officials: Employees of the Administrative
Law Unit,(ALU), OGC, and the Chief Division CoUnsel (CDC) have been
delegated the authority to provide ethics counseling and advice. •
(b) Initial Ethics. Orientations. All newly hired
employees are required by regulation to receive .an initial ethiCs
orientation within 90 days of entering on duty. An initial ethics
orientation consists of the following: 1) providing each employee
with'a copy of Part I of Executive Order (E0112674, entitled - •
"Principles of Ethical Conduct for Government Officers and Employees,"
as amended, and Part 2635 of 5 CFR, and/or a summary thereof, together
with any agency supplemental regulations; 2) informing the employee of
individuals available to answer questions regarding the employee's •
ethical responsibilities; and 3) providing the employee with one hour
of official duty time to review the aboVe materials. Newly hired
Special Agents and support employees at FBIHQ will receive an initial
ethics orientation during training or orientation courses conducted by
the Training or Personnel Divisions. SACs are responsible for •
ensuring that support employees hired.within their field offices
receive an initial ethics orientation.
As the FBI's ethics program is subject to audit by the Office of
Government Ethics and the Department of Justice, the Training and
Personnel Divisions and each field office shall, prior to January -15
of each year, verify and report annually to the ALU, OGC, that all
newly hired employees have been given an initial ethic's orientation
within 90 days of entering on duty.
(c) Annual Ethics Training. Certain employees are
required by regulation to receive one hour of ethics training
annually. These employees include: 1) the Director;2)-or.
individual required to file a Public Financial Disclosure Report
(SF-278) (i.e., all Senior Executive Service employees); and 3) any
individual required to file a Confidential Financial Disclosure Report
I ROGE-450)lor, in the alternative, a "Conflict of Interest
Certification." Annual ethics training must include at a minimum, a
review of the following: 1) the employee's responsibilities under
Part I of EO 12674, as amended; 2) Part 2635 of 5 CFR, together with
any agency supplemental regulations; and 3) a•review of the employee's
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responsibilities under the conflict of interest statutes found at
Title 18, USC, Sections 202-209. Annual ethics training and reporting
requirements will be coordinated by the ALU, OGC, and assisted by the
Chief Division Counsels.
(d) Employees who have questions about the
application of the Office of Government Ethics (OGE) standards of
conduct or any supplemental agency regulations to particular
situations should seek advice from an agency ethics official.
Disciplinary action for violating the OGE standards of conduct or any .
supplemental agency regulations will not be taken against an employee
who has engaged in conduct in good faith reliance upon the advice of
an agency ethics official, provided that the employee, in seeking such
advice, has made full disclosure of all relevant circumstances. Where
the employee's conduct violates a criminal statute, reliance on the
advice, of an agency ethics official cannot ensure that the employee.
will not be prosecuted under that statute. However, good faith
reliance on the advice of an agency ethics official is a factor that
may be taken into account by the Department of Justice in the
selection of cases for prosecution. Disclosures made by an employee
to an agency ethics official are NOT protected by an attorney-client
privilege. An agency ethics official is required by'Title 28, USC,
Section 535 to report any information he/she receives relating to a
violation of the criminal.code, Title 18 of the United States Code.
' (e) Employees on detail to other agencies should -
refer to MAOP, Part I, Section 1-28.
(7) OUTSIDE EARNED INCOME LIMITATIONS APPLICABLE TO
CERTAIN_PRESIDENTIAL APPOINTEES AND OTHER NONCAREER EMPLOYEES.
A Presidential appointee,to a full-time noncareer
position shall not receive any outside earned income for outside
• employment, or for any other outside activity, performed during that
Presidential appointment. This limitation does no•apply to any .
outside earned income received for outside employment, orfor any
other outside activity, carried out in satisfaction .of.the employee's
obligation under a contract entered into prior to April 12, 1989.
(8) 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. Failure
by an employee to follow these guidelines may result in appropriate
disciplinary action including possible dismissal. The rules and
regulations regarding official and personal conduct which govern the
granting of individual access to and use of Bureau cryptomaterials
appear in the COMSEC CUSTODIAN'MANUAL (CHAPTER II, PAGES 6-11).
(SEE (.2_) above.)
(9) The principles embodied in Executive Order 12674
dated 4/12/89, establishing fair and exacting standards of ethical
conduct for federal employees, are set forth as follows:
(a) Public service is a public trust, requiring
employees to place loyalty to the Constitution, the laws, and ethical
principles above private gain.
(b) Employees shall not hold financial interests
that conflict with the conscientious performance of duty.
(c) Employees shall hot engage in financial
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transactions using nonpublic government information or allow the
improper use of such information to further any private interest.
(d) An employee shall not, except pursuant to such
reasonable exceptions as.are provided by regulation, solicit or accept
any gift or other item of monetary value from any person or entity
seeking official action from doing business with, or conducting
activities regulated by the employee's agency, or whose interests may
be substantially affected by the performance or nonperformance of the
employee's duties. -
- (e) Employees shall Put forth honest efforts in the
performance of their duties.
(f) Employees shall make no unauthorized commitments
- or promises of any kind purporting tobind the government.
•
(g) Employees shall not use public office for
private gain.
(h) Employees shall act impartially and not give
preferential treatment to any private organization or individual. -
(i) Employees shall protect and conserve federal
property and shall not use it for other than authorized activities.
' (j),Employees shall not engage in outside employment
. or activities, including seeking or negotiating for employment, that
conflict with official government duties and responsibilities. .
• (k) Employees shall disclose waste, fraud, abuse,
and corruption to appropriate authorities.
(I) Employees shall satisfy in good faith their, •
obligations as citizens, including all.just financial obligations,
especially those - such as federal, state, or local taxes - that are
imposed by law.
(m).Employees shall adhere to all laws and
regulations that provide equal opportunity for all Americans
regardless of race, color, religion, sex, national origin, age;-or
handicap. (See MAOP. Part I, 4-1, for DOJ policy.)
(n) Employees shall endeavor to avoid any actions
creating the appearance that they are violating the law or the ethical
standards promulgated pursuant to this order.
These principles were established to ensure that every citizen can
have complete confidence in the integrity of the federal government. •
Accordingly, employees are expected to adhere to these fundamental. -
rules of ethical service. (See MIOG, Part II, 31-5(6)(b) and 31- 6(1)(e).)
(10) ETHICS REFORM ACT OF.1989 HONORARIUM BAN
(a) Department of Justice (DOJ) employees have long
been prohibited from receiving compensation or anything of monetary
value for a consultation, lecture, teaching, discussion, writing, or
appearance,Ihe subject of which is devoted substantially. to the
. responsibilities, programs or operations of the Department, or which
draws substantially on official data or ideas which have not becOme
part of the body,of public information.
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(b) The ban okreceipt of honoraria by federal
employees, imposed by Title VI of the Ethics Reform Act of 1989, was
overturned in part by the United States Supreme Court. As a result,
FBI employees at grade GS-15 or below are no longer subject to the
ban. The status of the ban with regard to other FBI employees is •
still being determined 'by the Department of Justice. Additionally,
all employees continue to be subject to the' restrictions on receiving
compensation for teaching, speaking and writing imposed by Section
2635.807 of Title 5, Code of Federal ,Regulations. Contact the
Administrative Law Unit for further clarification.
(c) Deleted
(d) Deleted
(a) Deleted
. (f) Deleted
(g) Deleted
(h) Deleted
(i) Deleted
(j) Deleted
- • (k) Inquiries concerning outside employment requests
froth Special Agents (SAs) may be directed to the Adjudication Unit,
'Office of -Professional -Responsibility. Similar requests concerning -
support personnel should be directed to the Personnel Security Unit,
National Security Division. The Supreme Court's decision overturning
the honoraria ban has little or no impact on SAs since they are
generally precluded from engaging in outside employment. See Manual
of Administrative•Operations and Procedures (MAOP), Part I, Section •
20.16.3.2.
(11) ETHICS REFORM ACT OF 1989 POST-EMPLOYMENT
RESTRICTIONS
(a) Department of JuStice (DOJ) employees have been
prohibited since 1980 under Title 5, Code of Federal Regulations
(CFR), Part 2637, from certain post-employment conflict of interest
activities as enumerated,in Title 18, United States Code,(USC), -
Section 207. As a result of amendments to Title 18, USC, Section 207,
effective January 1, 1991, and implementing regulations codified at .
Title 5, CFR, Part 2641, FBI employe6s who retire/resign after that
date are subject to substantially revised post-employment
restrictions. Employees who left FBI service prior to January 1,
1991, remain regulated by former Section 207 and by its implementing
regulations codified at Title 5, CFR, 2637.
(b) The provisions of Title 18, USC, Section 207, do
not bar any FBI employee from accepting employment with any private ot
public employer afterleaying federal service. However, they do
prohibit employees from engaging in certain activities on behalf of . •
entities or persons other than, the United States.
(c) A lifetime restriction applies to all former
employees barring them from representing an outside organization in
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dealing with the government in connection with a matter in which they
were personally and substantially involved during their. government '
employment. This restriction begins upon termination from government
service'and lasts as long as the particular matter does. Title 18,
USC, Section 207(a) (1).
(d) An employee can participate "personally" . in a
matter even though he/she merely directs a subordinate's
participation. The employee participates "substantially" if his/her
involvement is of significance to the matter. Thus, an employee's
participation in a single critical step will be sufficient to trigger
the restrictions of this statute. '
(e) Section 207(a) (1) does not apply unless a .
former employee communicates to or makes an appearance before the
•United States on behalf of some other person. "United States" refers
to any employee of any department, agency, or court of the United
States. The term does not include the Congress and, therefore,
communications to or appearances before Members of Congress and
legislative staffs are not prohibited. There is no prohibition
against an employee representing.himself/herself before the United
States or acting an behalf of the United States.
(f) A•communication to or appearance before the
United States is not prohibited unless it concerns the same matter in
which the former employee participated personally and substantially
while employed with the government. A "communication" can be oral; in
writing, or through electronic transmission. An "appearance" extends
to a mere physical presence at a proceeding when the circumstances
make it clear the former employee's attendance is intended 'to -
'influence. The prohibition doe's naMpplyTtbat appeararide dr". ' -•
communication involving pUrely sobial contacts, a request for publicly
available documents or a request for purely factual information.
(g).A two-year restriction applies. to all former
employees barring them from representing another person/organization
in matters before the goVemment for which they had knowledge or
should reasonably have known was pending under their official
responsibility during the last year of their government service.
Title 18; USC, Section 207(a) (2). This provision is'identical to the.
lifetime restriction discussed in (c) supra, except that it is shorter
in duration and requires only that the individual have•ad official
responsibility for a matter while employed by the government.
Official responsibility would•include the superviSion of a subordinate
employee who is personally and substantially involved in the matter
although the former employee was not. The two-year period is invoked
as a "cooling off' period during which former employees cannot unduly
influence former subordinates in their official actions. (See MAOP
Part I, 20-6.1 (5).) • . •
(h) For one year after an employee terminates
his/her government service, he/she may not represent, aid or advise .
•another person/agency on trade or treaty negotiations which•if/ere " .
ongoing during the last year of the employee's government service in •
which the employee personally and substantially participated. This
provision will have very little impact on FBI employees. Title 18,
USC, Section 207(b).
(i) One year after an employee terminates a "senior"
position with the FBI, the employee may not represent another
person/agency tefore the FBI on any matter which was pending .during .
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the one-year period prior to his/her termination from the "senior"
service position. This one year "cooling. off' period begins when the
employee ceases to be a senior employee, not when government service
is terminated. Title 18, USC, Section 207(c).
1. This prohibition applies only to those
individuals within the FBI in an Executive Schedule position or whose
rate of basic pay '(without any locality-based pay adjustments) is
equal to or greater than the rate of basic pay payable to Senior
Executive Service level 5 employees. The employee need not have been .
involved in any way in the matter at issue for this restriction to
apply.
2. The Office of Government Ethics has issued
regulations for Section 207(c) which•designate the FBI as-a distinct
and separate component of the DOJ for the purposes of the restrictions
of Secticin 207(c). Therefore, a former "senior" FBI employee may
communicate or appear before any government agency or DOJ component,
except the FBI, on behalf of another individual within one year after
leaving their senior position to influence official actions without
violating this prohibition.
(j) For ONE YEAR after terminating a senior
position, the employee may not knowingly attempt to , influence a
decision of an employee of the United States by representing, aiding
or advising a foreign entity. This restriction is measured from the
date the employee terminates his/her senior position. A foreign .
entity includes a government of a foreign country or a foreign
• political party. A foreign commercial Corporation is not generally
considered a ''foreign entity" unless it exercises the functions of a'
'sovereign. Title 18, USC, Section 207(f}.
.(k) Title 18, USC, Section 2070) provides several
exceptions to Section 207's substantive prohibitions. Several of
these exceptions are not applicable to all of the substantive
restrictions.
1. A former employee is not restricted by -•
Section 207 from engaging in post-employment activities in carrying '
out official duties on behalf of the United States, nor will a
"senior" employee violate Section 207(c) when Carrying out official
duties'as an employee and if made on behalf of an agency or
instrumentality of a state or local government, an accredited degreegranting
institution of highereducatiOn, or a hospital or medical
research organization which is tax exempt under Title 26, USC, Section
501(c) (3). )
• 2. A former employee is not 'barred from
representing, aiding, or advising an international organization in
which the United States participates, provided the Secretary of State
certifies in advance that such'activity is in the interests of the
United States.
3. A.former "senior" employee will not violate
Section 207(c) if he/she makes a statement based on his/her own
special knowledge in the particular area that is the subject of the
statement, provided that the employee receives no compensation for
making the statement.
4. A former employee will not violate Section
207(a) (1), (a) (2), or (c) if he/she makes a communication solely for
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the purpose of furnishing scientific or technological information
consistent with agency procedures or if the Director publishes a
certification in the FEDERAL REGISTER attesting to the individual's -
qualifications and that the national interest would be served by the
former employee's participation. •
5. A former employee is not restricted from ••
giving testimony under oath or from making statements required to be
made under penalty of perjury, except for expert opinion testimony.
Expert opinion testimony may only be given on behalf of the United
States pursuant to a court order if the former employee is subject to
the lifetime prohibitions contained in Section 207(a) (1) relating to .
the matter-to be testified on.
(I) A willful violation of this section could be •
punishable by imprisonment of not more than five .years. A violation
that is not willful would be a misdemeanor which is punishable by
imprisonment of not more than one year. A civil action may also be
brought by the Attorney General (AG) which could carry a penalty
(fine) of not more than $50,000. The AG may petition for an
injunction againSt persons he/she has reason to believe are engaged in
conduct prohibited by Section 207. Title 18, USC, Section 216.
(m) Inquiries concerning post-employment
restrictions should be addressed to the Section Chief, Legal Advice
and Training Section, Office of the General Counsel, who is the.FBI's
Deputy Designated Agency Ethics Official (DDAEO). Interpretations of
Section 207's restrictions are fact-specific, depending upon the
former employee's proposed outside employment and his/her former FBI
position and its responsibilities. • - •
- (n) Upon termination of government serVice'employees
should be advised of these restrictions-during their , exit interview
and this should be documented-on the exit interview Form FD-193:
**EffDte: :12/16/1997 MCRT#: 730 Div: D9OP Cav: SecCls:
1-2 PERSONAL CONDUCT (See MAOP, Part 1, 1 -25.2.).
(1) 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 for meal periods or any period of leave taken if the employee
intends to return to work before the termination of working hours,
with limited exceptions necessary for Special Agents in
certain undercover or surveillance assignments. Employees are not
permitted to consume alcoholic beverages on Bureau premises while on
or off duty, unless otherwise granted an exemption by the Director,
the Assistant Director or DeputyAssistant Director- of the •
'Administrative ServicesiDivision, or by the Assistant Director of the
Training Division with regard to the FBI Academy. Employees may not
consume alcoholic beverages while on other federal property without
the permission of the cognizant agency head or designee. Employees
must be held accountable for their On- and off-duty alcohol-related
misconduct, whether OR NOT they are specifically CHARGED with an
alcohol-related offense by a local law enforcement agency. (See MAOP ,
Part 1, 1-30 through 1-30.4.) The -use of illegal drugs or narcotics
or the abuse of any drugs or narcotics is strictly prohibited at any
time. Employees must not, at any time, engage in criminal, dishonest,
immoral or disgraceful conduct or other conduct prejudicial to the
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government.
(2) USE OF OFFICIAL TIME -
" (a) Unless authorized in accordance with law or
regulations to use such time for other purposes, an employee shali.use
official time in an honest effort to perform his/her official duties.
An employee not under a leave system, including a Presidential
' appointee exempted under Title 5, USC, Section 6301(2), haS an
obligation to expend an honest effort and a reasonable proportion of
. his/hertime in the performance of official duties.
(b) An employee shall not encourage, direct, coerce,
or• request subordinates to use their official time to perform •
activities other than those required in the performance of their
official duties or authorized in accordande with law or regulation.
"EffDte: 12/06/1999 MCRT#: 938 Div: OP Cav: SecCis: •
1 -2.1 Sexual Harassment Policy Rsee MAOP, Part 1, 1 -2.2.)I
1(1) Sexual harassment is in violation of Section 703 of
Title VII of the Civil Rights Act of 1964, and is defined by the Equal
Employment Opportunity Commission (EEOC) as follows: ,
"Unwelcome sexual advances, request for sexual favors and other verbal
or physical conduct of a sexual nature constitute sexual harassment
when: (1) submission to such conduct is made either explicitly or •
implicitly a term or condition of employment; (2) submissicin to or
rejection,of suchconductby an individual is used as.the basis far • .
employment deciskins affecting such individual; or (3) such conduct
has the purpose or effect of unreasonably interfering with an
individual's work performance or creating an intimidating, hostile,
or offensive working environment."
There are two forms of sexual harassment: (1) quid pro quo; and (2) •
hostile work environment Quid pro quo involves the • requirement of
sexual favors as a term or condition of employment, or requires
submission to sexual advances for•favorable consideration for
workplace opportunities or promotions. A hostile work environment is
created by supervisors or co-workers by unwelcome conduct of a sexual
,nature. Examples of conduct which may be considered sexual harassment
may include, but are not limited to: •
(a) oral or written comments of a sexual nature;
(b) comments regarding an individual's body;
(c) statements, anecdotes, jokes, teasing and/or •
gestures of a sexually degrading nature, which are used to describe an
individual;
(d) physical contact or threats of physical contact;
Or
(e) display of books, magazines, or pictures of a
sexual nature that are, in the view of the recipient, offensive and ,
unwelcome.
(2) Sexual harassment is strictly prohibited within the FBI
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workplace, and will not be tolerated. All , employees are expected to •
conduct themselves in a professional manner in all work environs and
in all their dealings with other employees and those individuals •
outside the FBI with whom they have contact in the course of official •
business.
Sexual harassment is unlawful and must be prevented. In all instances
where allegations are substantiated, disciplinary action will be
taken. Supervisors who become aware of such conduct and fail to,take
proper action may also be subject to disciplinary action. Proper .
action includes bringing the incident to the attention Of the EEO
Officer (the FBI Sexual Harassment Prevention Coordinator), the
Special Agent in Charge, Assistant Director, or similar management
officials:Upon receipt of such allegations, the management officials
will promptly investigate the incident. If appropriate, disciplinary
action will be taken against those employees who commit such
misconduct. Disciplinary action resulting from a substantiated
incident of sexual harassment may range from oral reprimand to
dismissal. Employees are also reminded that such prohibited conduct
may. lead to personal, legal, and financial liability.
Individuals may best gauge the appropriateness of their language or
conduCt by first asking themselves the question, "Is.this something I
would want done or said in the presence of my mother, sister, wife, or
daughter?" This example may appear trivial; however, it remains as
the most reliable indicator as to the appropriate nature of a Word or
action.
(3) When employees find conduct offensive or unwelcome,
they are encouraged to first bring it to the attention of the
offending party. tithe behavior__ is not corrected; oritifie initial
instance of harassrhent is particularly offensive, the employees should ,•
bring this conduct to the attention of the appropriate supervisor, or„
if necessary, a higher-level official.
(a) Individuals who believe they haye been the victim
of sexual harassmentmay seek redress from their situation through the
Equal Employment Opportunity (EEO) process by initiating contact with
an EEO Counselor within 45 days of the alleged incident. If possible,
the'EE0 Counselor will first attempt to resolve the issue through
informal resolution. (See MAOP, Part 1, 4-4.)
(b) Employees are encouraged to report instances of
suspected sexual'harassment to appropriate management officials andfor
to the Adjudication Unit, Office of Professional Responsibility. (OPR).
(Sea MAOP, Part 1, 13-1(2), and 13-2(11.) , . •
(c) In addition to reporting allegations of sexual
harassment to management or through the EEO and OPR precesses,
employees may wish to discuss matters with the FBI's Prevention of
Sexual Harassment (POSH) Coordinator. She may be reached at.(202)
324-6690. Moreover employees serving in management, EAP, health care'
delivery and ombudsman roles may consult.with the POSH Coordinator for
policy, guidance in advising employees.
(d) For employees who.want more information regarding
their rights and alternatives, have specific questions, or wish to
utilize another reporting mechanism for sexual harassment allegations,
they may telephone the Sexual Harassment Helplirie, (202) 324-7777; TTY
users may call (202) 324-2394. The Helpline is staffed by the Office
of Equal Employment Opportunity Affairs during normal duty hours.
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After hours, individuals may leave a message,.which will be returned
the next business day. In case of an emergency, employees should
contact the FBI switchboard' at (202) 324-3000 and ask for the . Equal
Employment Opportunity Duty Officer.
**EffDte: 11/18/1999 MCRT#: 935 Div:'EEOP Cav: SecCls:
11 -2.2 Informal Resolution Process (IRP) .
The Informal Resolution Process•(IRP) has been instituted
as an alternate method by which to address allegations of sexual
harassment. It is separate and apart from the Equal Employment
Opportunity (EEO) and Office of Professional Responsibility (OPR)
processes which continue to be available, altbough.the three are not
mutually exclusive. Mandated by -the Attorney General, this process is
a vital step to the prevention of sexual harassment within the
Department of Justice (DOJ),. and attempts to provide an expeditibus
and meaningful resolution to employees who feel that they have
experienced sexual harassment in any form. This process is
administered by employees known as ' ,Facilitators." (See MAOP, Part I,
j 1-2.1, for the FBI's Sexual Harassment Policy, and a detailed
discussion of the definition of sexual harassment. Also, see the
"Informal Resolution Process Handbook" for further details about the
!RP.) •
I . (1) Each field office and Headquarters division should
I have at least two (2) trained Facilitators whose names and contact
telephone numbers are to be prominently displayed.
(2) Employees should be aware that any retaliation
resulting from their use of the IRP.is a violation of the Civil Rights
Act of 1964 (Title VII) -as amended, • and,may be,addressed through the
EEO process•nd/or OPR.
(3) The IRP has a very short time frame in order to
afford expedited attention or corrective action that can be either
temporary or permanent. The DOJ has mandated that the Facilitator
begin,the inquiry within seven (7) calendar days from the time of
initial contact, and that the inquiry be completed withih 30 calendar
days (with a provision for a 15 day extension). It is anticipated • .
that FBI Facilitators will not require the entire 30 days, or the 15
day extension, in most cases since these matters are of the utmost
priority. Facilitators should be able to determine the facts, present
them to the SAC/Division Head, and have a final decision on the matter
within a'period of days rather than weeks.
(4) Upon being contacted by a complainant, Facilitators -
will provide explanations of the various avenues by which sexual
harassment complaints may be addressed by furnishing the complainant
with the required forms and handouts...
• (a) If the complainant is seeking disciplinary
action against the alleged offending party, the most appropriate forum
is the OPR process. If the complainant wishes to initiate the OPR
process, the Facilitator.will advise the SAC who will refer the matter
to OPR.
(b) If the complainant is seeking "make-whole"
corrective relief, the EEO process should be invoked. If the
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complainant desires to invoke the EEO process, the Facilitator will
provide the names and contact numbers of the EEO Counselors within
that office/division. Contact with the Facilitator does not
constitute contact with an Equal Employment Opportunity (EEO)
Counsefor for the purpose of initiating EEO preconnplaint counseling,
even if the Facilitator is an EEO Counselor. Should the complainant
elect to go forward with the allegation of sexual harasSment under the
EEO process, she/he must initiate precomplaint counseling with an EEO
Counselor within '45 days from the date of the alleged discriminatory
activity.
(c) If the complainant is simply seeking to be
transferred to another area within their division or to have someone
speak to the alleged offending party, informal resolution through the
ARP may present the best recourse.
(d) If the complainant is seeking a remedy beyond
the limits of the IRP informal settlement, the complainant must also
proceed through either the OPR and/or EEO process, or all three
simultaneously. Utilization of the IRP does not preclude the
complainant from concurrently pursuing OPR and EEO avenues.
(5) Once the Facilitator has thoroughly interviewed the
complainant and determined the facts as known at that point, the
SAC/Division Head should immediately be advised of the facts prior to
initiating any.inquiry.
(a) If the complaint is against the SAC/Division
Head, the Facilitator will discuss the matter with FBIHQ prior to
advising the SAC/Division Headand conducting any inquiry:
(b) By coming 'to the Facilitator and raising issues
of sexual harassment, there is no provision for anonymity.
•
(c) It is within the discretion of the SAC/Division
Head to temporarily transfer or detail within that divisiOn the
complainant and/or the alleged harasser while awaiting the results of
the Facilitator's inquiry into.a complaint. The latter temporary
transfer is not to be interpreted as an indicator of the credibility
being attached to the complaint, but should be viewed as a necessary
measure to ensure that the alleged behavior, or any reprisal, does not
occur throughout the'course of the inquiry.
'(d) Utilization of the IRP does not preclude or
abrogate the SACs/Division Heads from responsibility to refer matters
of serious misconduct to OPR for appropriate administrative action.
Serious misconduct is defined as conduct which has a significant
adverse-impact on the FBI, and includes possible violations of
administrative policy as well as potential criminal activity.
SACs/Division Heads will, however, allow Facilitators appropriate time
to conduct their inquiry before reporting these matters to OPR except
in the most egregious situations..
**EffDte: 06/07/1995 MCRT#: 394 Div: EEOP Cav: SecCis:
11 -2.2.1 Conducting/Resolving the IRP Inquiry
(1) The Facilitator will conduct a limited inquiry to
I determine the facts of the matter. The inquiry will normally consist
of interviews with the complainant, the alleged offehding party and .
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witnesses, and a review of any pertinent documents. While this .
is an informal•process, all employees are expected to fully cooperate.
(2) The Facilitator will expeditiously provide the
SAC/Division Head with the facts and serve as an impartial mediator to
attempt an informal settlement of the matter. The SAC/Division Head ,
may request asistance from the Facilitator in composing any
settlement or in the drafting of any communication to FBIHQ referring
cases of serious misconduct to OPR. Those communications become a
part of the OPR file.and are not to be kept with IRP documents.
' (3) The SAC/Division Head will decide the appropriatemeans,
if any, of resolving the matter at hand. Resolutions will be
limited to speaking with the offending party, and/or effecting the
permanent intradivisional transfer of the offending party if the
inquiry develops corroboration of the alleged sexual harassment. The
decision will depend upon the nature of the alleged activities and,the •
immediate corrective action desired by the complainant. •
(a) The SAC/Division Head may consider the
intradivisional transfer of the victim as part of an informal
resolution only if the complainant concurs that her/his being moved is
a reasonable solution to the situation.
(b) If the offense does not rise to the level of
serious misconduct and appropriate parties agree to the informal
resolution, the SAC/Division Head will not be required to refer the
matter to OPR, and the complaint will be considered resolved.
(c) The SAC/Division Head retains the right to take
additional measures, such as transfering the alleged offending-party— .
within the division, and/or discussing the impact of this .
inappropriate conduct upon the workplace with the alleged violator.
(d) If the SAC/Division Head believes stronger
disciplinary considerations are warranted against the alleged
offending party, the matter must be referred to OPR for their
consideration of adthinistrative action.
(4) In those instances where an informal resolution is
not achieved through the IRP, complainants may wish to avail.
themselves of the EEO and/or OPR processes. -
**EffDte:06/07/1995 MCRT#: 394 Div: EE Cav: SecCls:
1 -2.2.2 Records Conducting/Resolving the IRP Inquiry -
(1) Although.the IRP is an informal process, certain
statistics are required to be retained for response to requests from
the DOJ regarding utilization of this new process. This information
is being retained for statistical purposes only and
no information or record of the names of complainants or alleged
offenders will be placed in any FBI file. Any and all notes taken by
the Facilitator during the course of the inquiry will be destroyed
upon submission of the statistical data to the IRP Coordinator located
in the Organizational Program Evaluation and Analysis (OPEA) Unit,
Inspection Division, FBIHQ.
(2) The only forms used to record IRP contacts are an
Acknowledgement Form used to inform complainants of a possible
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I conflict if the IRP and EEO processes are selected; and a Record of
Inquiry used as a tracking device which contains limited information.
' (3) While in the Facilitator's custody ., all IRP documents
are to be afforded appropriate security and confidentiality in that
they are not to be shown to or discussed with anyone other than the
complainant, the SAC/Division Head or their designee, and the IRP
Coordinator in, OPEA at FBIHQ. All notes taken by the Facilitator
during the course of the inquiry should be destroyed upon completion
of the"Record of Inquiry form, and that destruction noted on the
Record of Inquiry form.
••
(4) The original executed Acknowledgement Form, and the
Record of Inquiry form should be sealed in a suitable envelope and
mailed to the IRP Coordinator within seven (7) calendar days of the
conclusion of this matter. These records will be maintained for an •
appropriate period of time after which they will be destroyed.
" • •
(5) The Facilitator will also' collect and record •
statistical data and submit it-to the IRP Coordinator as requested. •
The OPEA Coordinator will compile quarterly and/or annual reports as
required by DOJ, and furnish copies of those reports to the OEE0A.1
**EffDte: 06/07/1995 MCRT#: 394 Div: EE Cav: SecCls:
1 -3 USE OF GOVERNMENT PROPERTY (See MIOG, Part 2, 10-18.1.)
An employee has a duty to protect and conserve government
property and .shall not use such property, or allow its use ; for other
than authorized purposes.
" DEFINITIONS OF.TERMS:
GOVERNMENT•ROPERTY includes any form of real or personal prOperty in
which the government has an ownership, leasehold, or other property
interest as well as any right or other intangible interest that is
purchased with government funds, including the services of contractor
personnel. The term includes office supplies, telephone and other
telecommunications equipment and services, the government mails,
automated data processing capabilities, printing and reproduction
facilities, government records, and government vehicles.
AUTHORIZED PURPOSES are those purposes for which'government property
is made available to members of the public or those purposes
authorized in accordance with law or regulation. Authorized purposes
also include personal uses that involve only a negligible expense
(such as electricity, ink, small amounts of paper, and ordinary wear
and tear); and limited personal telephone/fax calls to locations
within the office's commuting area, or that are Charged to
nongovernment accounts. The foregoing authorization does not override
any statutes, rules, or regulations governing the use of specific
types of government property, and may be revoked or limited at any
time by any supervisor for any business reason. In using government
property, employees should be mindful of.their responsibility to •
protect and conserve such property and to use official time in an
honest effort to perform official duties.
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IFBI property charged to an employee-remains the property of the FBI'
while employed by the.FBI. All employees are to ensure that
government property is safeguarded outside of FBI office space. All
issued property is to be adequately secured in a manner to ensure that
the property is not accessible or useable by any other person.
It is the employee's responsibility to appropriately secure government
Property. MIOG, Part 2, Section 12, should bereferred,to regarding
the safeguarding of firearms outside of FBI office space. In
addition, employees have the responsibility of preventing the loss and
destruction of Bureau property wherever possible. Employees are to
ensure that issued FBI property is returned at the time an e_ mployee
separates frOm the FBLI
(1.) All government prOperty, including automobiles, boats
and other methods of conveyance, supplies, equipment, telephones and
facilities are to be used solely for official purposes and not
converted to any employee's personal use except for use in accordance
with the foregoing Authorized Purposes provisions. With the
authorization of the SAC, Assistant Director'or a designated
management representative, the use of equipment for training and -
research during nonwork hours shall be considered "official purposes.
Government property authorized for an employee's use during nonworking
hours must be appropriately charged out to the employee by executing
appropriate property receipt, Form FD-281.•The loss, misplacement,
theft or destruction of government property issued to any employee .
must be reported to his/her superior within five calendar days of the
loss, misplacement, theft or destruction. The division must report
the loss, misplacement, theft or destruction on an FD-500, Report of
Lost or Stolen Property form, to the Property Management Unit, '
Property Procurement and Management Section; Firrame Division within
ten calendar days. The Accountable Property Officer for the division .
must sign the FD-50, (Se alsoNAOP, Part 2, 6-7.5.)
(2) All government and FBI records, to include computer
records, are to be used solely for official purposes. The use of FBI - •
records, or records made available to the FBI through other government
agencies, for the purpose of obtaining information for personal use is .
strictly prohibited.
(3) The Bureau encourages the use of government property
to reward employees and promote morale building, ceremonies, and
events where such use, in the opinion of the SAC, increases the
efficiency of the Bureau and facilitates a Bureau function. FBI
Headquarters' permission should be obtained priOr to use of
. government-owned boats, airplanes, and special purpose vehicles for
purposes-described above.
(4) Pursuant to Departmental Order 2630.2A, "Protecting '
And Controlling Federally Controlled Property and Loss/Theft Reporting
Procedures," the removal of government-owned property from a federal
building is prohibited unteSs properly authorized through the issuance
of some form of property pass. Accordingly, the following procedures
shall apply for government-owned property being temporarily removed
from a federal building for any such property not otherwise
issued/charged out to an employee, such as through the use of the
FD-281:
(a) Approved forms, such as the 0-96, "FBI Property
• Pass," or the FD-79, "Chargeout of Nonexpendable. Property," can be
used for property pass purposes in place of the Property Management
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,
Application's (PMA) Charge Out/In Functions.
1. In field offices, the FD-281, Receipt FOr
Government Property, or the PMA.Charge Out Receipt mustbe executed
when property is removed from the office.
2. At FBIHQ, property passes shall be issued by
-the Finance Division, Property Procurement and Management Section
(PPMS). Form 0-96 is to be used and government property shall not be
removed from the J. Edgar Hoover F.B.I. Building until this form is
properly executed and signed by an authorized individual'in PPMS,
Finance Division.
(b) Property passes should be prepared in duplicate, •
unless administrative controls require additional copies. The
original Shall be given to the employee removing the property from the
building, who will, in turn, surrender it to the security guard or
other appropriate individual at the time the property is removed from .
"the government building. The security guard or other authorized
individual is responsible for returning this copy to the Property
Procurement and Management Section (PPMS).
(c) Deleted
(d) Deleted
**EffDte: 01/31/2003 MCRT#: 1257 Div: FD Cav: SecCls:
4;3.1-Bureau Vehicles (See MAOP, Part 1,.12 -2.5.1; Pad 2,0.2.3.
(1) Bureau vehicles (to include government-owned
vehicles, and vehicles rented or leased by the FBI) are to be used for
official business only. In connection with the use of Bureau
vehicles; transportation for other than FBI employees is to be
restricted to individuals and their families, or aides accompanying
them, who are traveling to attend FBI-sponsored or FBI-participating
functions or have other direct business to transact with FBI officials
.and/or officials of the Department of J ustice traveling on official
business. •
(a) Deleted
(2) Bureau vehicles are allowed to be driven between an
employee's residence and work place to enable the FBI to maintain an
emergency response capability which is necessitated by The nature of
the work and not solely for the personal convenience of employees. In
conjunction with this, the most direct and expeditious route to and
from the employee's residence should be observed. An employee may,,
when circumstances warrant such' an action, interrupt his/her travel as
long as he/she does not deViate from an expeditious` route to his/her'
residence nor impair his/her ability to retain emergency response
I capability. !(See MIOG, Part 2, 34-14, re Victim Specialists.)! -
(3) FBI employees are authorized to accompany the driver
of the Bureau automobile to and from the driver's residence and the,
• place of work provided that the trip is justifiable as necessary for
the Bureau to retain its emergency response capabilities and no
significant deviation from the most direct route occurs.
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(4) An SAC may authorize on a case-by-case basis an
Agent's spouse to travel in a Bureau automobile while the Agent is en
route to and from a function in which the Agent has an official role,
provided the Bureau vehicle is used exclusively as basic •
transportation to and from the FBI-sanctioned function. The foremost
consideration in granting such a request should be whether such travel
'would be considered to be in the best interest of the government.
Among the factors which should be considered are length of time of the -
function and distance to betraveled. (See MAOP, Part 2, 8-5.)
(5) Should the weight of facts demonstrate that
government-owned, -rented, or -leased vehicles were in fact being used
'primarily for commuting purposes and clearly not being operated .
primarily for the benefit of the government, then this would be'in
violation of Title 31, USC, Section 1344. (See MAOP, Part 1,
1-3.1.2.) Employees should be reminded that Title 31; USC, Section
1349(b) requires a minimum suspension of one month without
•compensation for anyone who uses or authorizes the use of a government .
vehicle for other than oficial purposes. Aditional penalties are
optional. (See MAOP, Part 1, 13-13.)
(6) The employee who is authorized to drive the Bureau
vehicle between his/her residence and office is considered to be using
the vehicle for "official purposes' so that the use is not prohibited
by Title 31, USC, Section 1344. The employee is not,,however,
considered to be on official business such that he/she can use the
commuting 'time 'to qualify for Availability Pay. The passengers are -
not on official business when they are riding to and frern work with
the driver and are, therefore, not eligible for benefits , under the ,
Federal Compensation Act. Any tin-a a Special Agent'who is-- .
on duty and is en route to or from his/her residence, receives ,
instructions to proceed to an emergency situation, any passengers who
'are not likewise instructed are tote discharged.
(7) The addition of more passengers subjects the
government to increased liability. Assuming the driver is within the
scope of his/her employment, the government would be liable for
damages.suffered by the passengers as a result of the driver's
negligence'. If the driver is determined to be outside the scope of
his/her employment when an accident occurs through the driver's
negligence, then the "driver's statute" of the Federal Tort Claims
Act, Title 28, USC, Section 2679(b), would be inapplicable, and the
driver could be personally liable for damages suffered by the
passengers, third parties, and the vehicle itself, as well as the
penalties of Title 31, USC, Section 1349(b). The picking up of and
discharging of passengers at a point not en route to and from work
could place'the driver outside the scope of his/her employment.
Therefore, the drivers of Bureau vehicles which are authorized to be •
driven between the residence,and office are limited to routes•that may
normally be traveled to and from work.
(8) Bureau vehicles may be used to transport•ill or •
injured employees to a hospital or health-care facility.
Administrative leave is not necessary where a government or personally
owned vehicle is utilized to transport a sick or injured employee to a
hospital or health-care facility. Form FD-661, "Waiver for
Transporting Bureau Personnel Via FBI Vehicles" must be executed.
(See MAOP, Part 2, 6-8.2(2).)
Bureau vehicles may not be used, to transport ill or
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injured employees to their residence.
(9) Immediately following an employee's arrest or
administrative finding of driving while under the influence (DUI) or
while intoxicated, that employee will be prohibited from operating
.government motor vehicle. Whenever an employee is found guilty of
alcohol-related misconduct, a division head will determine the extent
to which the employee's privilege to operate a government motor
vehicle will continue to be suspended, In alcohol-related misconduct
cases involving the use of a motor vehicle, a presumption will exist ,
that there is a necessity to suspend the employee's privilege to
operate a government•motor vehicle for a period of not less than ONE
YEAR following his/her offense. This suspension will occur regardless
whether the nature of the employee's motor vehicle offense has been
reduced as a result of judicial review, plea bargaining, or the
employee's entry into a diversion or substance abuse program.
Whenever a Special Agent is suspended from operating a government
motor vehicle as a result of alcohol-related misconduct and following
a determination of such misconduct by the Bureau, he/she will NOT be "
considered eligible to earn premium compensation, such as Sunday pay,
holiday pay, night differential, and Availability Pay. Prior to
discontinuing .eligibility for Availability Pay, the employee will be
afforded appropriate adverse action proceedings. (See MAOP, Part
1-30.3, 8-1.12.2 and 12-1.5.)
**EffDte: 03/12/2004 MCRT#: 1328 Div: FDOP Caw SecCls:
1-3.1.1 Home-to-Work Use of Bureau Automobiles
(1) 'Pursuant to Title 31, USC, Section 1344, the FBI's
Home-to-Work Transportation Plan (HTWTP) specifies positions which are
expressly authorized for the utilization of governmentvehicles by FBI - •
personnel on a routine basis for home-to-work transportation. To
provide each. field office an adequate capacity to respond to emergency
and other investigative demands, the positions which are authorized to
use a government vehicle on a routine basis include officials in
charge of FBI field offices and their alternates (ADICs, SACs, ASACs);
field office Supervisory Special Agents; Undercover Special Agents;
Special Agents (SAs) assigned to Special Operation Groups; SAs
assigned to resident agencies and Legal Attaches; personnel assigned
to Special Surveillance Groups; and field office SAs designated for,
off-duty or emergency response.'
(2) The official in charge (ADIO or SAC) or designated
representative(s) is required to maintain e'current list of employees -
authorized to take government vehicles home on a routine basis: A
semiannual review must be performed and documented of the personnel
authorized to take vehicles home on a routine basis to ensure that
emergency and investigative demands of the position continue to
require the use of a vehicle. These documented reviews are to be
performed semiannually and maintained in an appropriate administrative
file and subject to review during the field office inspection.'
(3) Iln addition to personnel expressly authorized for use
of a government vehicle for home-to-work transportation, the official
in charge (EAD/AD/ADIC or SAC) or designated representative(s), may
authorize the conditional use of a government vehicle for
transportation between an employee's domicile and place of employment
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ivitMLJI 1 r1-1A-.i 1 EA-, 1 Il..111/71.k... 11 V I 1 J.ZO 21J.N1J 111-1.•11/1-11‘1_, %Jr l.,U.LN LIU L. J. rage ,zu Of 114
( Id
by completing the Form FD-490, "Authorization to Maintain Bureau
Vehicle Overnight at Employees Residence on an Irregular and/or .
Emergency Basis." This authorization is based on duties that•nvolve
travel from the employee's home to various lobations, such as
surveillance posts, arrest and search scenes, sites of meetings with
operatives, suspects, or witnesses, and other locations. The use of a
government vehicle for home-to-work transportation is approved on a
'conditional basis (FD-490) where such use is essential for the safe
and efficient performance of intelligence, counterintelligence,
protective services, or criminal law enforcement duties requiring the
presence of that employee, in an official capacity, at a location
other than the office to which he or she is assigned.'
(4) !The FD-490 will be completed for the entire period
the vehicle is anticipated to be utilized. If the period extends ,
beyond 90 days, a separate FD-490 will be completed to cover every 90'
days the requirement exists. An administrative file will be'
established in each field office and FBIHQ Division for completed FD-
490s. The official in charge (EAD/AD/ADIC or SAC) or designated •
representative(s) is required to perform and document semiannual
reviews to ensure that only . Bureau vehicles with written authorization'
and justification (a completed FD-490) are taken home. The documented
reviews will be performed semiannually and be maintained in the
administrative file and subject to review during the field office
inspections. The FD-490s may be destroyed at the completion of the ,
field office's inspection.
**EffDte: 02/06/2002 MCRT#: 1172 Div: FD Cav: SecCis:
•
11 -3.1.2 Rental/Leased Vehicles
(1) A rental/leased vehicle procured'with a, personal
credit card or one issued under the United States Government Credit
Card Program is not a government-leased OR -RENTED vehicle within the
meaning of Title 31, USC, Section 1344, as described in MAOP, Part I,
1-3.1 (5). It is FBI policy that vehicles rented or leased by an
employee with a personal credit card or one issued under the United
States GovernmentCredit Card Program for the primary purpose of
conducting official business must be used within the parameters set
by the' employee's SAC or division head. An SAC or division head may
limit the scope of use by considering such faCtors, as the length,
nature and location of the assignment. Expenses accrued for use of
the rental/leased vehicle outside the scope of employment must be
borne by the employee and must not be vouchered. Any employee who is
determined to have intentionally violated this.sectiorf will be
subject to administrative action,,up to and including dismissal.
• (2) Should the rental/leased vehicle become involved in
an accident while being driven outside the scope of the employee's
duties,-the employee is personally liable for damages suffered.by
passengers, third parties, and the vehicle itself. In order to avoid
increased liability to the government while the employee is on duty,
the rental/leased vehicle may NOT be used to transport individuals
having no direct relationship with official business. Any employee
who is determined to have intentionally transported such individuals '
will subject to administrative action commensurate with the
circumstances.
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(3) The transport of passengers in such a vehicle
'subjects the goVernment to increased liability. Assuming the driver
is within the scope of his/her employment, the government would be
liable for damages suffered by the passengers as a result of the
driver's negligence, provided the passengers were authorized to
accompany the driver: If the driver is determined to be outside the
scope of his/her employment when an accident occurs through the
driver's negligence, then the "driver's statute" of the Federal Tort
Claims Act, Title 28, USC, Section 2679(b) would be inapplicable, and
the driver could be personally liable for damages suffered by the •
passengers, third parties, and the vehicle.'
**EffDte: 05/15/1997 MCR-1-#: 671 Div: FD Cav: SecCls:
1 73.2 Property in Vehicles (See MIOG, Part II, 12-1.2 & 12-6.2.)
Employees are expected to take proper care of any Bureau
property issued to them or used by them. 'See MIOG, Part II, 12-6.2,.
. I for policy on maintaining expendable Bureau equipment related to
I Special Agent safety in vehicles. AnyInbnexpendable BUreau equipment
not related to Special Agent safety is to be maintained in the locked
trunk of an unattended Bureau vehicle or vehicle authorized for
officialluse, but should not be left overnight unless operational
I circumstances dictate otherwise.' '
**EffDte: 04/07/1997 MCRT#: 658 Div: FDD2 Cav: SecCls:
1 -3.3 Utilization of Facilities by Special Agents Attending School
Special Agents attending school under the. Government.
Employees' Training Act as an official assignment may avail themselves
of 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 attending school at
their own expense.
**EffDte: 11/24/1989 MCRT#: 0 Div: D3 Cav: SecCls:
1 -3.4 Credentials and Badges
Employees are responsible for complete, security of
credentials, identification cards and badges at all times. These -
items must be kept under the employee's control, should be immediately
available, are to be displayed for official purposes only and are not
to be photographed. The Bureau's name or the initials "FBI" shall not
be indiscriminately or improperly used by any employee in, either oral
or written form.
**EffDte: 11/24/1989 MCRT#: 0 Div: D3 Cav: SecCls:
1 -3.5 Business Cards and Stationery(see MAOP, Part 1, 1 -3.7.)
(1) Authorization to use the FBI Seal on either business
cards or stationery is granted to Bureau. officials, Special Agents and
certain support employees'only for the purpose of ordering such items -
for their own official use. As such, an FBI employee can authorize a
. printer to reproduce the Seal for this purpose on an order-by-order
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basis. The printer, however, cannot use any items prepared with the
FBI Seal for advertisement or to solicit business from the public.
Authorization for support employees to utilize business cards or
stationery, on a select basis, may be obtained by.formal written
requests to the SAC or the appropriate Assistant Director. Such
requests must clearly demonstrate the necessity for the employee's use
of business cards or stationery and should be limited to support
personnel at the GS-7 level or above. The cards or stationery should
contain the following: name, official title, Federal Bureau of
Investigation, office address,' telephone number and may have the FBI
Seal inscribed in the upper left corner.'
(2) To facilitate the purchase of business cards, the
General Services Administration has negotiated with theSeattle
Lighthous•for the Blind to be the exclusive national source for
,federal employees requiring business cards for official duties. The
Seattle Lighthouse for the Blind has been provided with electronic
artwork of the FBI's seal to ensure quality reproduction. The cost
of business cards purchased from the Seattle Lighthouse for the Blind
may be paid for using appropriated funds. Expenses incurred for the
purchase of business cards from any other vendor, regardless of the •
circumstances, must be borne by the employee.
(3) The Seattle Lighthouse for the Blind offers the
option of plain offset printed cards in one color, dark blue or, black
ink, or offset with an embossed gold foil-stamped seal. Because of
the significant difference in the price of the plain cards and the
embossed cards, the only employees authorized to obtain the embossed
cards are the ADICs, SACs, Associate SACs, Legats, and Section Chiefs
and above at FB(-1Q. Employees who wish to upgrade to the embossed
gold foil-sfamped seal may do by pi-acing individual orders and - —
paying for th•cards using personal funds. Upon receipt of the
cards, the employee may claim reimbursement through submission of a •
draft request form and a copy of the invoice for an amount equal to
the cost of the one-sided plain offset printed business cards. (See
MAOP, Part 2, 6-3.6 (8).)
**EffDte: 07/24/2001 MCRT#: 1122 Div: D9FD Cav: SecCls:
1 -3.6 Copies of Official Correspondence and Documents
Employees are•not to:make copies for themselves of any
reports or correspondence they prepare in the course of their official
duties except copies of expense vouchers, Form CA-1 (Federal
Employee's Notice of Traumatic Injury and Claim for Continuation of
Pay/Compensation), nor should they make or maintain *session. 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 niustreturn 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 promotion. (See also)MAOP, Part I, 1-19,
forPureau rule on disclosure oflinformation, and MAOP. Part I,
20-4.2, for instructions on FBI employees' access to their own
personnel files.)I
**EffDte: 06/09/1995 MCRT#: 395 Div: OP Cav: SecCls:
1 -3.7 Bureau Seal Matters (see MAOP, Part 1, 1 -3.5.)
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(1) It has been the positionof the Bureau to deny all
.requests for commercial reproduction of the'FBI's name and initials
where a particular product Was to be marketed to the public at large.
The Director has, however, under certain circumstances, authorized use
of the FBI Seal on items when distribution was to be limited to
employees and former employees.
(2) Title 18, United States . ode (USC) ; Section 709,
prohibits, without the express written permission of the Director, the
use of the name or initials "FBI" or any colorable imitation of such
words or initials in any manner which reasonably conveys the
impression that the FBI approves, endorses, or authorizes a particular
product or business.
(3) Title 18, USC, Section 701, prohibits the
manufacture, sale, possession, or colorable imitation of any insignia
of the design prescribed by the head of any department or agency of
the United States for use by any of its officers or employees, except
as allowed by regulation.
(4) In conjunction with Section 701, the Department of
Justice has issued regulations that are set forth in Title 41, Code of
Federal Regulations, Section 128-1.5007, which require permission to
reproduce the seal of the FBI for commercial, educational, ornamental,
or other purposeS by other government agencies or private entities be
referred to the head of the respective departmental organization for
decision. Requests are reviewed on a case-by-case basis to determine
whether approval should be.granted. •
(5) Authorization to determine use of the FBI's name,
initials, and/or seal in conjunction with the above-Mertioned statutes
I and regulations is vested in thelAdministrative Law Unit, Office of .
'the General Counsel.' All requests for use of the FBI's name,
.initials, and/or seal in any manner, whether requested by a
manufacturer or by a Bureau entity for products exclusively for Bureau
use, must be referred to thelAdministrative Law Unitifor review and
recommendation.
(6) Any violations of Title 18, USC, Sections 701 and
709, should be handled in accordance with the instructions set out in
Part 1, Section 43-2.1 and 43-3.4 and 43-3.14 (4) of the Manual of
Investigative Operations and Guidelines (MIOG).
"**EffDte: 07/24/2001 MCRT#: 1122 Div: D9 Cav: SecCls:
1 11 -4 ILLEGAL ACTIVITIES l(See MAOP, Part 1, 15-3.2; Legal Handbook for SAs, Part 1, 3 -6.4.)I
(1) 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 one for employment by the government
or 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 activities of a personal or official nature. With respect to
investigative activities, this admonition particularly applies to entrapment
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, Sections 1702, 1703, 1708, and
1709). Furthermore, employees must not tamper with, interfere with, or
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open mail in violation of law nor aid, abet or condone the opening of mail
illegally by any employee of the U.S. Postal Service.
(2) Asa member of a federal investigative agency, FBI employees
must 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, including illegal surreptitious
entries, 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 conduct which may result in defaming
the character, reputation, integrity, or dignity of any citizen or organization
of citizens of the United States.
(3) Employees must not install electronic surveillance equipment •
without F.131HQ written authority.
. (4) 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
I self-defense. (See MIOG, Part 2, 12-2:1 land 12-10.4.1 (2); Legal
I Handbook for SAs, Part 1, 4-2.5.)I
(5) All of the foregoing prohibitions, including those pertaining to
illegal surreptitious entries, are applicable to all phaSes of the FBI's work,
applicant‘ criminal, civil, domestic security, and foreign counterintelligence.
Violations must be reported to FBIHQ as set out in this manual, Part 1, -
Section 13, entitled "Disciplinary Matters." •
"*EffDte: 05/05/2002 MCRT#: 1192 Div: OP Caw SecCis:
1 -5 PAROLE OR PROBATION OFFICERS
Employees may not act as parole or probation officers.
**EffDte: 11/24/1989 MCRT#: 0 Div: OP Cav: SecCls:
1 -6 LAW ENFORCEMENT ORGANIZATIONS
Employees may serve as officers of law enforcement
organizations. only when to do so would in no. way affect the conduct of
official duties or present a situation wherein a conflict of interest
or a lessening of Bureau efficiency would result. Should such occur,
the situation must be resolved in favor , of terminating the
officership. In all cases, prior FBIHQ approval must be requested,
accompanied by SAC analysis and recommendations. It is permissible to
serve on a committee of a law enforcement organization.
**EffDte: 11/24/1989 MCRT#: 0 Div: OP Cav: SecCls:
1 -7 LAW ENFORCEMENT SELECTION BOARDS
, IFBI employees will not serve on any promotional or
• I selection boards or committees considering local, county, or state laW
I enforcement personne1.1
•**EffDte: 11/15/1978 MCRT#: 0 Div: OP Cav: SecCls:
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1-8 LABOR ORGANIZATIONS
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The Bureau is exempted from Federal Labor-Management
Relations programs and requirements by Executive Order 11491 and will
not recognize, or negotiate with labor organizations. Labor •
organizations are defined as those which exist, in whole or in part,
for the purpose of dealing with agencies concerning grievances,
personnel policies and practices, or other matters affecting the
.working conditions of their employees. Bureau employees are
prohibited from engaging in labor activities such as, but not limifed
to, strikes, picketing, organizing and campaigning. Additionally,
they must not use Government time or property for such purposes nor
permit the use of same by others.
**EffDte: 11/15/1978 MCRT#: 0 Div: OP Cav: SecCls:
11 -9 'PARTICIPATION IN1NONFEDERAL ENTITIES (See MAOP, Part 1,11-16,1118.1 (1)(i) and
.(1s1,11-26, 20-6.2, 20-6.3; Part 2, 5-4.1.)I
1FBI employees who wish to participate in nonfederal
organizations, whether in their personal capacities or as part.of
their official duties, must comply with applicable provisions of
sections 1-9.1 or 1-9.2. In no case, however, may an employee acquire
an interest in or be active on behalf of a group if that interest or -
activity conflicts with his or her duties to the federal government
In addition, employees must conform to Bureau policy regarding outside
employment. (Provisions regarding outside employment are found in
MAOP, Part 1, 20-6 through 20-6.3.2.) Additional limitations apply to
personal-capacity participation in certain political organizations.
(566 MAOP, Part 1, 1-18:)1
**EffDte: 09/05/2000 MCRT#: 1038 Div: D9• Cav: SecCls:
11 -9.1 Personal -Capacity Participation (see 1 -9.)
, .
(1) GENERAL. In personal-capacity participation, employees
make a personal Choice to undertake the activity rather than being
assigned to perform the activity by a superVisor as part of their
official duties. The.FBI does not control or direct employees in
outside activities undertaken in a personal capacity. EmployeeS
should ensure that their actions and positions.taken while
participating in these activities are recognizedas their Own, and not
those of the FBI or DOJ. All employees must be aware of the
provisions of Sections,203 and 205 of Title 18, United States Code,
which prohibit executive branch employees from representing an outside
organization before or to any department or agency of the U.S.
government. (Organizations whose membership is composed of a majority
of federal employees or their family members are not subject to this
prohibition.) Employees must also remember that, when performing
their- FBI.duties, they are prohibited from taking any official action
"that would affect thelinanciatinterests of an organization which •
they serve as officer, director, trustee, general partner; or
employee. See•Section 208 of Title 18, United States Code, and 5 CFR
Subparts D (Conflicting Financial Interests) and E (Impartiality in .
Performing Official Duties).
(2) LIMITATION ON THE SCOPE OF THIS SECTION. This section
does not apply to participation in PRO BONO activities. Although the
standards for participation in PRO BONO activities are the same as for
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other outside activities, DOJ has issued more specific guidance for
PRO BONO legal services and similar volunteer work. The guidance has
been uploaded in ACS as file 66F-HQ-1201415-C Serial 636:
(3) WHEN APPROVAL IS REQUIRED
(a) Employees do not need approval (beyond that
required for outside employment) for personal-capacity participation
in organizations whose work is not related to the work of the FBI.
(b) Even if an organization's work is related to the
work of the FBI, employees do not need FBI approval (beyond that
required for outside employment) for perSonal-capacity participation
which will not extend beyond simple membership, i.e., does not involve
the management or operation of the organization. Simple membership
includes service as a committee member, but not as a committee chair,
co-chair, or vice-chair.
(c) If an organization's work is related to the work
of the FBI, employees must obtain prior FBI approval if persdnalcapacity
participation will extend beyond simple membership.
Participation beyond simple membership includes service as an officer,
director, committee chair, co-chair, or vice-chair, or other-similar
managerial position, or which is accompanied by a fiduciary duty.
(4) SEEKING FBI APPROVAL. Employees shall forward requests
for approval via their supervisory chain to their approval authority.
Requests shall include: the organization's name; a summary of its
goals and objectives and how its work is related to the FBI; a
description of its membership or constituency; the title, managerial
authority„votirfg powers, and responsibilitiess'bf the poSition in '-
question; and a certification that an indices•check reveals no reason
to suggest that official FBI participation would pose a conflict of
interests or that participation should be disapproved.
(5) FBI APPROVAL. Authority for approving these r.equests
lies with an employee's SAC; ADIC,.or Assistant Director (AD), as
appropriate (subject to any supplemental guidance from the concerned
FBIHQ AD). This approval authority may not be delegated below ASAC or
Section Chief. The approval authority will. review such requestt and
may approVe them if he or She-determines, with the concurrence of the
Chief Division Counsel (CDC) for field divisions or Chief,
Administrative Law Unit for FBIHQ divisions, that participation does
not conflict with the faithful performance of the employee's FBI
duties (and that any applicable outside employment requirements have
also been met).
(6) USE OF GOVERNMENT RESOURCES. Ordinarily, personal
activities on behalf of outside organizatiOns should not be conducted
at the' expense of the government in terms of time or money. DOJ
generally permits a limited use of office and library, equipment and
facilities for outside activities so long as the cost to the
government is negligible. These resources y not be used in a marmer
that suggests that the FBI or DOJ endorses the activity, nor may they
be used for outside activities in a way that interferes with official .
business. And, employees may not task subordinate staff to assist
them in their personal-capacity outside activities. Managers may
continue to authorize administrative time for certain outside
activities where there is a benefit to the FBI, in accordance with the
FBI's rules applicable to administrative timed
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**EffDte: 09/05/2000 MCRT#: 1038 Div: D9 Cav: SecCls:
1 -9.2 Official -Capacity Participation (See 1 -9.)
(1) GENERAL. In official-capacity participation, FBI/DOJ
management-assigns an employee to participate in a nonfederal
organization as part of the employee's official duties, under the
directibn of an appropriate supervisor. All official-capacity .
participation requires prior approval. As detailed below, approval
authority varies based on the degree of the involvement in the
organization.
(2) LIMITATION ON THE SCOPE OF THIS SECTION. This section
does not apply to participating in an organization in a personal
capacity or appearing in one's official capacity as a speaker, '
panelist, or.other participant in a seminar, convention, or other
particular event. Provisions regarding public speakingare found in
MAOP, Part 2, 5-4, and MAOP, Part 1, 1-16.2 and 1-26 through 1-26.5.
(3) OFFICIAL-CAPACITY PARTICIPATION THAT IS LIMITED TO
PASSIVE MEMBERSHIP '
(a) What is Passive Membership? Passive membership
encompasses serving as FBI observer of the organization's activities
• and exercising the privileges of a member individually. It does not '
include serving as a representative of the FBI or DOJ to the
organization.
(b) Who Approves Passive Membership? For official-
.--- capacity participation that does not extend beyond passive. membership-,
the appropriate approval authority is the employee's SAC, ADIC, or AD,
as appropriate (subject to any supplemental guidance from the
I concerned FBIHQ AD). IADs may delegate approval authority, but not
I below the level of.Section Chief. Otherwise, this authority may not
I be delegated.'
(c) Requesting Approval. Employees shall forward
requests for approval via their supervisory chain to their approval
authority. Requests shall include: the organization's name; a
summary of its goals and objectives and how its work is related 'to the
• FBI; a description of how the FBI will benefit by participating •
officially in the organization; a description of its membership or
constituency; the title, managerial authority, voting powers, and
' responsibilities of the position in question; and a certification that
an indices check reveals no reason to suggest that official FBI
participation would pose a conflict of interests or that participation
• -should be declined.
(d) ApproVing Requests. The approval authority will
review such requests and may approve them if he or she determines that
the participation will only constitute passive membership, and is
nece.ssary.and-proper,for the accomplishment of the FBI's mission.
Before acting on . a request, the approval authority shall seek legal.
review from the CDC (field divisions) or Chief, Administrative Law
'Unit (ALU) (FBIHQ divisions). Correspondence approving official
participation shall include an express reminder as to the very limited
degree of involvement in the organization inherent in the approval.
(4) OFFICIAL-CAPACITY PARTICIPATION THAT EXCEEDS PASSIVE
MEMBERSHIP
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(a) What is Official-Capacity Participation Beyond
Passive Membership? Participation that is specifically within this
category includes ; but is not limited to, serving: as an officer,
director, or similar managerial position; in a position that is
accompanied by a fiduciary duty; or as a representative of the FBI or
DOJ to the organization.
• • (b) Who Approves Official-Capacity Participation
Beyond Passive Membership? The Deputy Attorney General (DAG) is the
approval authority.'
(c) Requesting Approval of Participation Beyond
Passive Membership. Employees shall forward requests for approval•to
the DAG via: 1) their own . SAC/ADIC/AD, 2) the concerned FBIHQ AD
(i.e., the FBIHQ division with the greatest interest in the programs,
objectives, or policies of the organization); and 3) the FBI Deputy •
Designated Agency Ethics Official (DDAEO) in OGC. Requests shall
include: the organization's name; a summary of its goals arid
objectives and how its work is related to the FBI (DOJ considers that
authorizing official-capacity participation where•the outside
organization's work is unrelated to FBI's mission and responsibilities
would mistakenly convey FB1/DOJ endorsement of the organization's
activities); a description of its membership or constituency; the
title, managerial authority,•voting powers, and responsibilities of
the position in question; a description of the nature and extent of
any fiduciary duty associated with service in the position, and a copy
of or citation to any state laws that impose or describe the duty; a
description of how the FBI will benefit by participating officially in .
the organization; a copy of the orbanizatidn's charter and by-laws, if •
reasonably available; and a certification that an indices check , • •
reveals no reason to suggest that official FBI participation would
pqse a conflict of interests or that participation should be declined.
(d) Approving Requests
1. Basis for Approval. Approval may only be
given when the FBI and DOJ have a clear interest in having an'employee
represent their interests, and the employee in question is an
appropriate one to do so. The views articulated by officials serving
in outside organizations as part of official duties must reflect the
views of the whole DOJ, not just that of the FBI. These officials
also must recognize situations when DOJ should take no position
because DOJ has no interest in the matter or when it will always be
inappropriate for DOJ to express 'an official position, such as matters
involving the internal operatipn of an orgdnization. DOJ coordination
of official positions is necessary to achieve these results and,
therefoie, officials serving in this capacity should seek guidance
from the supervisor assigned by the DAG to coordinate DOJ's positions.
2. Action by Head of Office. The supervising
SAC/ADIC/AD will review each request, ensure it is complete, and may
either disapprove it or forward the request along with his-or her—• •
comments and recommendations to the AD of the concerned FBIHQ division
(i.e., the FBIHQ division with the greatest interest in the programs,
objectives, or policies of the organization).
3. Action by Concerned FBIHQ AD. The concerned
FBIHQ AD shall review each request to determine whether the FBI has a
clear interest in having an employee represent the DOJ's interests,
whether the candidate employee is fully qualified to represent the FBI
. .
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and DOJ officially in or before the organization, and whether the
participation would conflict with the faithful:performance of the
employee's duties. If the concerned AD determines that the,request
should not be approved, he or she may disapprove the request and take
any additional action deemed appropriate. If the concerned AD
recommends that the request be approved, he or she shall forward the
request to the Deputy Designated Agency Ethics Official for the FBI
(DDAE0)(c/O OGC/ALU), along with the AD's determinations and any .
policy guidance he or she believes necessary to ensure that the
candidate carries out the duties of the office in accordance with the
understanding on which the approval is based.
4. Action by DDAEO. The DDAEO shall review the
request for legal sufficiency and may effect such further coordination
as warranted. If the DDAEO determines that the request is legally
"objectionable or otherwise inappropriate, he or she may deny the .
request and take any additional action deemed appropriate. If the
DDAEO determines that the request is legally sufficient and
appropriate, he or she shall forward the request to the DAG.
(5) USE OF GOVERNMENT RESOURCES. When employees serve an
outside organization as part of their official duties, some government,
expense and use of subordinate, employees' time"is permissible, subject
to supervisory discretion. However, in general the FBI does not -
authorize use of FBI resources to support the internal administration
'of an outside organization. The following use of resources may be
authorized for employees serving an outside orgafiization as part of
their official duties:. official time to prepare materials related to
the activities; appropriated funds for travel to meetings; and the
tirrie of a subordinate in preparing material fdr meetings and other .
"activities.' • •
**EffDte: 06/26/2001 •MCRT#: 1114 Div: D9 Cav:"SecCls:
I 1-10 JDELETEDI
**EffDte: 06/15/1994 MCRT#: 264 Div: D2 Cav: SecCls:
. 1-11 NON-FBI SEMINARS OR CLASSES
Prior FBIHQ approval is needed for an employee to attend,
serve as an instructor, or assist in conducting seminars, classes, or
similar gatherings where the employee's FBI affiliation is known with
the exception of attendance as a student at a college, law school,
school of accounting or other recognized institution of learning.
This rule applies to all nonduty time, including leave, and in any
case in which a question arises as to the desirability of such
' participation.
**EffDte: 11/15/1978 MCRT#: 0 Div: D9D2 Cav:.SecCls:
• -
I 1-12 GRATUITIES AND REWARDS (See MAOP, Part 1-14 and 11-24.)
(1) Employees may not accept rewards or gratuities
resulting from their FBI employment nor shall they accept fees from an
outside source on account of public appearances, speeches, lectures,
or publications, if such public appearance or the preparation of the
speech, lecture, or publication was part of an employee's' official .
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duties. Also, no emplOyee shall receive compensation or anything of
monetary value for any consultation, lecture, teaching, discussion,
writing, or appearance, the subject matter of which is devoted
substantially to the responsibilities, programs or operations ofthe
Department, or which draws substantially on official data or -•deas
which have not become part of the body'of public information.
Further, in this regard, no employee shall engage, with or without
compensation, in teaching, lecturing, or writing that is dependent on
information obtained as a result of government•employment except when
that information has been made available to the general public or when
the Attorney General gives written authorization for the use of
nonpublic information on the basis that such use is in the public
interest. However, an employee injured during a kidnapping, assault
or assassination attempt against the President, Vice-President or "a
Member of Congress may receive contributions or payments from a taxexempt
charitable organization.
(2) Bureau officials or other employees who speak or
otherwise represent the FBI at conferences, training sessions,
banquets, meetings and similar affairs given by.outside groups are in
official duty status when making such appearances and are entitled to
claim payment through the Bureau for travel, subsistence, or other
reimbursable expenses incurred. Only under limited circumstances will
approval be granted to accept reimbursement of travel expenses from a
nonfederal source. Unless prior approval has been obtained from
appropriate FBIHQ officials authorizing the acceptance of travel
reimbursement from a nonfederal source, any payment offered by the
sponsoring group as reimbursement for such expenses MUS_ T be declined.
(See MAOP, Part II, 6-1.7.)
*"EffDter01/16/1997 MCRT#: 62 -7 Div:-FDD9OP Caw SecCls:'
1 1-13 GIFTS (SeelMAOP, Part!, 1 114;(Legal'Attache Manual, 2-23.)-
**EffDte: 07/12/1994. MCRT#: 271 Div: D9FDOP Cav: SecCls: •
111-13.11 Gifts Between Employees 1(See MAOP, Parti, 1-13:2.1(5)1& 1-1441
(1) GENERAL STANDARDS
(a) GIFTS TO SUPERIORS: Except as provided below,
an employee may not directly, or indirectly, give a gift to, or make a
donation toward a gift for an official superior OR solicit a
contribution from another employee for a gift to either his/her own or
the other employee's official superior.
For purposes of this section, an official superior is not just an
employee's immediate supervisor, but any other employee whose official
duties include directing or evaluating either the performance of the -
employee's official.duties or the performance of any other official
superior of the employee: —
(b) GIFTS FROM EMPLOYEES RECEIVING LESS PAY: Except
as provided below, an employee may not, directly, or indirectly,
accept a gift from an employee receiving less pay unless the two
employees are NOT in a subordinate/official superior relationship, and
there is a personal relationship between the two employees which would
justify the gift.
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(2) EXCEPTIONS
.(a) GENERAL EXCEPTIONS: On an occasional basis,
including any occasion on which gifts are traditionally given or
exchanged, the following may be given to an official superior or
accepted from a subordinate or other employee receiving less pay:
1. Items, other than cash, with an aggregate
market value of $10 or less per occasion;
2. Items such as food and refreshments to be
shared in the office;
3. Personal hospitality provided at a residence
,which is of a type and value customarily provided by the employee to
personal friends;
4. Items given in connection with the receipt ,
of personal hospitality if similar in type and value customarily given
on such occasions; and,
5. Leave transferred to an employee who is not
an immediate supervisor.
(b) SPECIAL INFREQUENT OCCASIONS: A gift
appropriate to the occasion maybe given to an official superior or
accepted from a subordinate or other employee receiving,less pay:" -
1. in recognition of infrequently occurring •
occasions of personal signifidance such as marriage, illness, or the
• birth or adoption bf a child; "
2. Upon occasions that terminate a
subordinate/official superior relationship, such as retirement,
resignation, or transfer.
• (c) VOLUNTARY CONTRIBUTIONS: An employee may
'solicit voluntary contributions of nominal amounts from fellow
employees for an appropriate gift to an official superior and an
employee may make a voluntary contribution of a nominal amount to an.
appropriate gift to an official superior:
1. On a special infrequent occasion such as
described above; or
2. On an occasional basis, for items such as
food and refreshments to be shared in the office.
An employee may accept gifts of this'nature.to which a subordinatd or
other employee receiving less pay than himself/herself has
contributed.
'EffDte: -07/12/1994 MCRT#: 271 .Div: D9OP Cav: SecCls: -
I 1 -13.2 'Gifts From Outside Sources (See MAOP, Part 1,1 -14.)
**EffDte: 07/12/1994 MCRT#: 271 Div: D9OP Cav: SecCls:
I 1-13.2.1 General Standards (See MAOP, Part I, 1-14.)
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(1) GENERAL PROHIBITIONS: An employee shall not,
directly or indirectly, solicit, coerce or accept a gift:
(a) From a prohibited source;
(b) . Given because of the employee's official
position;
(c) In return for being influenced in the
performance of an *official act;.
(d) From the same or different sources on a basis so
frequent that a reasonable person would be led to believe the employee
is using his/her public office for private gain; .
• (e) In violation of any statute. Relevant statutes
applicable to all employees include:
1. Title 18, USC, Section 201(b), which'
prohibits a public official from seeking, accepting, or agreeing to.
receive or accept anything of value in return for being influenced in
the performance of an official act or for being induced to take or
omit to take any action in violation of his/her official duty: As
used in Title 18, USC, Section 201(b), the term ''public official" is
broadly construed and includes regular and special Government
employees as well as all other Government officials;
2. Title 18, USC, Section 209, which prohibits
an employee, other than.a special Government employee, -from receiving
any salary or any contribution to or supplementation of salary from
aiy source other thant ie United States as compensation for services ,
as a Government employee. The statute contains-several specific
exceptions to this general prohibition, including an exception for
contributions made from the treasury of a State, county, or
municipality,; and
3. Title 41, USC, Section 423(b)(2), which
prohibits a procurement official from seeking, accepting, or agreeing
to receive any money, gratuity, or other thing of value from any
officer, employee, representative, agent, or consultant of a competing
contractor during the conduct of a federal agency procurement.
Implementing regulations, including exceptions to the gift
prohibition, are contained.in the Federal Acquisition Regulation, 48
CFR 3.104; or
(f) Vendor promotional training contrary to
applicable regulations, policies or guidance relating to the
procurement of supplies and services for the Government.
(2) DEFINITIONS OF TERMS: GIFT includes.any gratuity, ,
favor, discount, entertainment, hospitality, loan, forbearance, or
other item having monetary valUe. It includes services as well as
gifts of trainingrtransp-ortation, local travel, lodg 3igs- anermeals,
whether provided in-kind, by purchase of a ticket, payment in advance,
or reimbursement after the expense has been incurred. It does not
"include:
(a) Modest items of food and refreshments, such as
soft drinks, coffee and donuts, offered other than as part of a meal;
(b) Greeting cards and items with little intrinsic
Page 32. of 114
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value, such as plaques, certificates, and trophies, which are intended
solely for presentation;
(c) Loans from banks and other financial
institutions on terms generally available to the public;
(d) Opportunities and benefits, including favorable
rates and 'commercial discounts, available to the•public or to a class
consisting of all Government employees or all uniformed military
personnel, whether dr not restricted on the basis of geographic
considerations;
(e) Rewards and prizes given to competitors in
contests or events, including random drawings, open to the public
unless the employee's entry into the contest or event is required as
part of his/her official duties;
(f) Pension and, other benefits resulting from
continued participation in an employee welfare and benefits plan
maintained by a former employer;
(g) Anything which is paid for by the Government or
secured by the Government under Government contract;
(h) Any gift accepted by the Goverhment under
specific statutory authority, including:
1. Travel, subsistence, and related expenses , •
accepted by an agency under the authority of Title 31, USC, Section
1353 in connection with an employee's attendance at a meeting or
similar function relating -to his/her officiardutiesswhich,takes place
away from his duty station: The agency's acceptance must be in
accordance with the implementing regulations at 41, CFR, Part 304-1;
and •
2. Other gifts provided in-kind Which have been
accepted by an agency under its agency gift acceptance statute; or
(i) Anything for which market value is paid by the
employee.
(3) MARKET VALUE means the retail cost the
employee would incur to purchase. the gift. An employee who cannot
ascertain the market value of a gift may estimate its market value by
reference to the retail cost of similar items of•like quality. The
market value of a gift of a ticket entitling the holder to food, ..
refreshments, entertainment, or any other benefit shall be the face
value of the ticket.
(4) PROHIBITED SOURCE means any person who:
(a) Is seeking official action by the employee's
• • ••••n••
(b) Does business or seeks to.do business with the
I employee's agency; .
I agency; ,
(c) Conducts activities regulated by the employee's
(d) Has interests that may be substantially affected .
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by performance or nonperformance of the employee's official duties; or
(e) Is an organization a majority of whose members
are described as prohibited sources. (See MAOP, Part I, 16-10.1.)
(5)A GIFT IS SOLICITED OR ACCEPTED BECAUSE OF THE
EMPLOYEE'S OFFICIAL POSITION if it is from a person other than an
employee and would not have been solicited, offered, or given had the
employee not held his/her position as a federal employee. Note:
Gifts between employees are subject to the limitations set forth in
MAOP, Part I, Section 1-13.1.
(6) A GIFT WHICH IS SOLICITED OR ACCEPTED INDIRECTLY
INCLUDES A GIFT:
•
. • (a) Given with the employee's•knowledge and
acquiescence to his/her parent, sibling, spouse, child, or dependent
- relative.because of that person's relationship to the employee, or
(b) Given to any other person,,including any
charitable organization, on the basis of designation, recommendation,
or other specification by the employee, except as permitted for the
disposition of perishable items by 5 CFR 2635.205 (a)(2) of the .
Office of Government Ethics (OGE) standards of conduct or for payments
made to charitable organizations in lieu of honoraria under 5 CFR
2636.204 of the OGE standards of conduct.
(7) VENDOR PROMOTIONAL TRAINING means training provided
by any person for the purpose of promoting its products or services. .
It does not include training provided, under . a Governrrient contract or '
by a contractor tofacilitaie- use -of products or services•it furnishes - • - •
I under a Government contract....
**EffDte: 07/12/1994 MCRT#: 271 Div: D9OP Cav: SecCls:
1 -13.2.2 Eicepiions (See MAOP, Part 1,1 -144
The prohibitions set forth in OGE standards of conduct do
not apply to a gift accepted under the circumstances described in
paragraphs (1) through (9) of this section and•a gift accepted in
accordance with one of those paragraphs will not be deemed to violate
the principles set forth in 5 CFR 2635.101(b) of the OGE standards
of conduct. EVEN THOUGH ACCEPTANCE OF A GIFT MAY BE PERMITTED BY ONE
OF THE FOLLOWING EXCEPTIONS IT IS APPROPRIATE AND FREQUENTLY
PRUDENT FOR AN EMPLOYEE TO DECLINE A GIFT OFFERED BY A PROHIBITED
SOURCE OR BECAUSE OF HIS/HER OFFICIAL POSITION.
(1) Gifts of $20 or less: an employee may accept
unsolicited gifts having an aggregate market value of $20 or less per
occasion, provided that the aggregate market value of individual gifts
received from any one person under the authority of this pargraph •
shall not exceed $50 in a calendar year. This_ exception does not
apply to gifts of cash or of investment interests.such as stock,
bonds, or certificates of deposit. Where the'market value of a gift
or the aggregate - market value of gifts offered on any single occasion
exceeds $20, the employee may not pay the excess value over $20 in
order to accept that portion of the gift or those gifts worth $20.
Where the aggregate value of tangible items offered on a single
occasion exceeds $20, the employee may decline any distinct and
separate item in order to accept those items aggregating $20 or less,
Page 34 of 114
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-, (2) Gifts based on a personal relationship: an employee
May accept a gift given under circumstances which make it clear that
the gift is motivated by a family relationship or personal friendship
rather than the position of the employee. Relevant factors . in making
such a determination include the history of the relationship and
whether the family member or friend personally pays for the gift.
(3) Discounts and similar benefits. An employee may
accept:
' (a) Reduced membership or other fees for
participation in organization activities offered to all Government
employees or all uniformed military personnel by professional
organizations if the only restrictions on membership relate to
professional qualifications; and
(b) Opportunities and benefits, including favorable
rates and commercial discounts not precluded by paragraph 3. of this
section: •
1. Offered to members of a group or class in •
which membership is unrelated• to Government employment;.
2. Offered to members of an organization, such
as an employees' association or agency credit union, in which
membership is related to GovernMent employment if the same offer is
broadly available to large segments of the public through
organizations of similar size; or
• - - 3. Offered bra perkm \who is not -a-prohibitell - ,
source to any group or class that is not defined in a manner that
specifically discriminates among Government employees on the basis of
type of official responsibility or on a basis that favors those of
higher rank or rate of pay; provided, however, that-
.
An employee may not accept for personal use any benefit to which the
Government is entitled as the result of an expenditure of Government -•
funds. (See (b).)
(4) Awards and honorary degrees:
(a5 An employee may accept gifts; other than cash or
an investment interest, with an aggregate market value of $200 or less
if such gifts are a bona fide award or incident to a bona fide award'
that is given for meritorious public service or achievement by a
person who does not have interests that may be substantially affected
by the performance or nonperformance of the employee's official duties
or by an association or other organization, the majority of whose
members do not have such interests. Gifts with an aggregate market
value in excess of $200 and awards of cash or investment interests •
offered by such persons as awards or incidents of awards that are
given for these purpoSes may be accepted upon:a written determination
by an agency ethics official that the award is made as part of an
established program of recognition:
1. Under which awards have been made on a
regular basis or which is funded, wholly or in part, to ensure its
continuation on a regular basis; and
2. Under which selection of award recipients is
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made pursuant to written standards.
(b) An employee may accept an honorary' degree from
an institution of higher education as defined at Title 20, USC,
Section 1141(a) baSed on a written determination by an agency ethics
official that the timing of the award of the degree would not cause a
reasonable person to question the employee's impartiality in a matter
affecting the institution.
(c) An employee who may accept an award or honorary
degree pursuant to this section may also accept meals and
entertainment given to him/her and to members of his/her family at the
event at which the presentation takes plaCe.
(5) Gifts based on outside business or employment
relationships. An employee may-accept meals, lodgings, transportation
and other benefits:
.(a) Resulting from the business or employment
activities of an employee's spouse when it is clear that such benefits
have not.been offered or enhanced because of the employee's official
position; .
• (b) Resulting from the employee's outside business,
or employment activities when it is clear that such benefits have not
been offered or enhanced because of the employee's official status; or
(c) Customarily provided by a prbspective employer
in connection with bona fide employment discussions. If the •
prospective employer has interests that could be affected by
performarice'ou"nonpe'rfoFinance of the employee's•duties, acceptance
permitted only if the employee first has complied with the
disqualification requirements of MAOP, Part I, Section 1-16.1(3) (a) -
(c) which is,applicable when seeking employment.
(d) For purposes of paragraphs' (5) (a) through (c)
of thissection, employment includes any form of nonfederal employment
or business relationship involving the provision of personal services .
by the employee, whether to be undertaken at the same time as or
subsequent to federal employment. It includes, but is not limited to,
personal services as an officer, director, employee, agent: attorney;
consultant, contractor, general partner ortrustee.
(6) Widely attended gatherings and other events:
(a) Speaking and similar engagements. When an
employee is assigned to. participate. as a speaker or panel participant
or otherwise to present information on behalf of the agency at a
conference or other event, his/her acceptance of an offer of free
attendance at the event on the day of his/her presentation is •
permissible when provided by the sponsor of the event. The employee's
participation in the event on that day is viewed as a customary and
necessary part of his/her performatite brine assignment and does not
involve a gift to him/her or to the agency. (See (d) and (D..)
(b) Widely attended gatherings. When there has been
a determination that his/her attendance is in the "interest of the
agency" because it will further agency programs or operations, an
employee may accept a sponsor's unsolicited gift of free attendance at
all or appropriate parts of a widely attended gathering of mutual .
interest to a number of parties. A gathering is widely attended if,
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(
for example, it is open to members frcim throughout a given industry or
professibn or if those in attendance represent a range of persons
interested in a given matter. For employees subject to a leave
system, attendance at the event shall be on the employee's own time
or, if authorized by the employee's agency, on excused absence
pursuant to applicable guidelines for granting such absence, or
otherwise without charge to the employee's leave account. (See.(d)
and M.)
(c) Determination of "agency interest." The
determination of "agency interest" required by paragraph (6)(b) of
this section shall be made orally or in writing by the agency
designee,
1. If the sponsor is a person who has
interests that may be substantially affected by the performance or ..
nonperformance of an employee's official duties, or an association or
organization, the majority of whose members have such interests, the
employee's participation may be determined to be in the interest.of
the agency only where there is a written finding by the agency
designee that the agency's interest in the erriployee's participation in
the event outweighs concernthat acceptance of the gift of free .
attendance may or may appear to improperly influence the employee in
the performance of his/her official duties. Relevant factors that
should be considered by the agency. designee include the importance of
the event to the agency, the nature and sensitivity of any pending
matter affecting the interests of the sponsor of.the event, the
significance Of the employee's role in any such matter, the Purpose of
the event, the identity of other expected participants and the .
monetary value of the gift of free attendance.
2. A blanket determination of agency interest
may be issued to cover all or any category of invitees other than
those as to whom a finding is required by paragraph (c)1. above.
Where a finding under paragraph (c)1. above is required, a written •
determination of agency interest, including the necessary finding, may
be issued to cover two or more employees whose duties similarly affect
the interests of the sponsor or its members.
(d) Free attendance. For purposes of paragraphs (6)
(a) and (b) above, free attendance may include waiver of all or part
of a conference or other fee or the provision of food, refreshments,
entertainment, instruction and materials furnished to all attendees as
an integral part of the event. It does not include trayel expenses,
lodgings, entertainment collateral to the event, or meals taken other
than in a group setting with all other attendees. .
(e) Cost provided by sponsor of event. The cost of
the employee's attendance will not be considered to be provided by the
sponsor where a person other than the sponsor designates the employee
to be invited and bears the cost 'of the employee's attendance through
a contribution or other payment intended to facilitate that employee's
attendance. Payment of dues or a similar assessment to a sponsoring - --
organization does not constitute a payment intended to facilitate a
particular employee's attendance.
(f) Accompanying spouse. When others in attendance
will generally be accompanied by spouses, the agency designee may
authorize an employee to accept a sponsor's invitation to an -
accompanying spouse td participate in all or a portion of the event at"
which the employee's free attendance is permitted under paragraph (6)
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(a) or (b) above. The authorization required by this paragraph may be
provided orally or in writing.
(7) Social invitations from persons other than prohibited
sources. An employee may accept food, refreshments and entertainment, •
not including travel or lodgings, at a social event attended by •
several persons where:
(a) The invitation is from a person who is not a
prohibited source; and
(b) No fee is charged to any perSbn in attendance.
(8) Meals, refreshments and entertainment in foreign
areas: an employee assigned to duty in, or on official travel to, a
foreign area as defined in 41 CFR 301-7.3(c) may accept food,
refreshments or entertainment in•the course of a breakfast, luncheon,
dinner or other meeting or event provided:
(a) The market value in the foreign area of the
food, refreshments or entertainment provided at the meeting or event;
as converted to U.S. dollars, does not exceed the per diem rate for.
the foreign area 'specified in the U.S. Department of State's Maximum
Per Diem Allowances for Foreign Areas, Per Diem Supplement Section 925
to the Standardized Regulations (GC,FA) available from the
Superintendent of Documents, U.S. Government.Printing Office,
Washington, D.C. 20402;
(b) There is participation in the meeting or eight
by non-U.S. citizens or by representatives of foreign governments or
other foreign ditties;'
(c) Attendance at the meeting or event is part of
the employee's official duties to obtain. information, disseminate
information, promote the export of U.S. goods and services, represent
the United States or otherwise furthers programs' or operations of the
agency or the U.S. mission in the foreign area; and
(d) The gift of meals, refreshments or entertainment
is from a person other than a foreign government as defined in Title
5, USC, Section 742(a)(2).
(9) Gifts accepted under specific statutory authority.
The prohibitions on acceptance of gifts from outside sources contained
in this subpart do not apply to any item, receipt of which is
specifically•authorized by statute. Gifts which may be received by an
employee under the authority of specific statutes include, but are not
limited to:
(a) Free attendance, course or Meeting materials,
transportation, lodgings, foodand refreshment or reimbursements
therefore incident to training or meetings when accepted by the
employee under the authority -ofTitle'.5, USC, Section 4111 from an
organization with tax-exempt status under Title 26, USC, Section •
501(c) (3) or from a person to whom the prohibitions in Title 18,
USC, Section 209 do not apply. The employee's acceptance must be
approved by the agency in accordance with Section 410:701 through
Section 410.706 of Title 5, CFR; or
(b) Gifts from a foreign government or international
or multinational organization, or its representative, when accepted by •
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the employee under the authority of the Foreign.Gifts and Decorations
I Act, Title 5, USC, Section 7342. As a condition of acceptance, an
I employee must comply with requirements imposed by the agency's
I regulations or procedures implementing that Act ,Refer to,MAOP, Part
I I, Section 1-13.3.1.
**EffDte: 07/12/1994 MCRTM 271 Div: D9 Cav: SecCis:
Fage 39 or .11.4
1-13.2.3 Proper Disposition of Prohibited Gifts (See MAOP, Part 1, 1-13.30-13.3.1,12nd
1-14.) •
(1) An employee who has received a gift that cannot be
accepted shall:
(a) Return any tangible item to the donor or pay, the •
donor its market value. An employee who cannot ascertain the actual
market value of an item may estimate its market value by reference to
the retail cost of similar items of like quality.
(b) When it is not practical to return a tangible
item . because it is perishable, the item may, •at the discretion of the
employee's'supervisor or an agency ethics official, be given to an
appropriate charity, shared within the recipient's office, or
destroyed.
(c) For any entertainment, favor, service, benefit
or other intangible, reimburse the donor the market value. Subsequent
reciprocation by the employee does not constitute reimbursement
• (d) Dispose of gifts frorri foreign gdvernments or
international organizations in accordance with 41 CFR' Part 101-49, and' .
dispoSe of materials received in
conjunction with oficial travel accordance with 41 CFR 101-25.103.
'(2) An agency may authorize disposition or return of
gifts at government expense. Employees may use penalty mail to
forward reimbursements required - or permitted by this section.
(3) An employee who, on hiS/her own initiative, promptly
complies with the requirements of this section will not be deemed to
have improperly accepted an unsolicited gift. An employee who
promptly consults an FBI ethics official to determine'whether •
acceptance of an unsolicited gift is proper and who, upon the advice
`of the ethics official, returns the gift or otherwise disposes of the
gift in accordance with this section, will be considered to have
complied with the requirements of this section on his/her own
initiative.
**EffDte: 12/19/2003 MCRT#: 1313 Div: D9 Cav: SecCls: -
1-13.2.4 Request for Gift Acceptance
(1) IThe Attorney General has gift acceptance authority
pursuant to Title 28, U.S. Code, Section 524, and has
I delegated that authority to the Assistant Attorney General for
I Administration (AAG/A) in DOJ Order 2400.2. The AAG/A has redelegated
I this authority to the Director when the gift is valued at no more than ..
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$150 per donor per calendar year. The Director has further
redelegated this authority to the Chief, Property Procurement and
Management Section,(PPMS), Finance Division. The FBI's Deputy
Designated Agency Ethics Official must concur with. the PPMS Chief for
the gift to be accepted. Except as indicated below, these two
officials may accept any form of devise, bequest, gift, or donation of
property that is appropriate for use or display in the component and
is valued at $150 or less per donor,per calendar year.'
(2) 'Gifts valued at more than $150, gifts of services, and
gifts from DOJ employees may not be accepted by FBI officials, but
must instead be processed by the PPMS for DOJ consideration. Gifts
from DOJ employees are rarely accepted by DOJ.
• (3) When an individual or group advises an FBI employee of
the intent to donate a gift, that FBI employee must evaluate, or
obtain from other appropriate employees in that office an evaluation
of, the suitability of the proposed gift for use or display either at
that office or elsewhere within the Bureau. Gifts of limited valueto
the FBI due to maintenance requirements, general condition,
restrictions placed on their use, or other factOrS should be refused
or discouraged.
(4) In order to process a gift, the office tQwhich the •
gift is offered should submit the DOJ Gift Donation Form, signed by
the gift's donor, along with information clearly demonstrating the
utility of the gift to the FBI and any other pertinent information,,to
the PPMS. In the unusual circumstance that the donor is unavailable
to sign the Gift Donation Form, a gift of more than $150' may be
processed through completion of the Gift Donation. Form`by the head of
-the division-to which the gift was offered, or a delegate, indicating --
on the form the circumstances under which the giftwas offered. If
the gift is valued at $150 or less and the donor is•unavailable to
sign a Gift Donation Form, the recipient division's head or a delegate
may complete a Gift Acceptance Form. Both forms can be obtained from
the PPMS. Completed forms should be forwarded to PPMS for further
processing.
(5) If the PPMS confirms that a gift of more than $150 is
appropriate for use or display either at the office to which it was
offered or elsewhere in the Bureau, the PPMS will prepare a cover
letter seeking DOJ acceptance of the gift. This cover letter will
communicate the basis for the PPMS's determination that the gift would
be appropriate for use or display by the FBI and enclose the Gift •
Donation Form. The PPMS will seek concurrence from OGC before
forwarding the cover letter and Gift Donation Form to the AAG/A for
DOJ approval. If the PPMS confirms that a gift of $150 or less is
appropriate for use or display, the PPMS will seek OGC concurrence
and, if OGC concurs, accept the gift.
(6) FBI components may not, as a general rule, accept
custody of gifts pending decision regarding gift acceptance by the
appropriate officials.-If, however; a donor insists that the FBI take
immediate custody of a proffered gift, the concerned component may do
so ONLY if the potential donor agrees in writing to hold the FBI
blameless for any damage to the property suffered while it is in FBI
custody and to remove the property promptly without cost to the FBI
if the gift is ultimately declined. Property taken in temporary FBI •
custody under this authority shall be safeguarded in the same manner
as comparable government property but shall not be used for any
purpose.'
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**EffDte: 05/01/2000 MCRT#: 974 Div: FDD9 Cav: SecCls:
1 1-13.3 Receipts of Foreign Gifts and Decorations (See MAOP, Part 1,11-13.2.3,11-14;
Legal Attache Manual, 2-23.) '
•
(1) Gifts and decorations received from foreign
.governments fall within one of two categories depending upon the
appraised value of the gift. If the appraised value of the gift is
less than "minimal" value, as determined by the consumer price index
set forth by Congress, with the exception of firearms, it may be
retained by the receipt for personal use or as a souvenir proVided. •
that al reporting. requirements are satisfied. Foreign gifts and
• decorations of more than minimal value (contact the Property
,Management Unit (PMU), Property Procurement and Management Section
(PPMS), Finance Division (FD), to determine the current minimal value)
may be retained and placed into official use (i:e., displayed in •
reception areas) after the Supply Technician has placed the item(s) on
the Property Management Application. All gifts over the minimal value
that are not retained shall be declared as excess to the General
Services Administration (GSA) and later sold. This declaration will
be made by FBIHQ. If the original recipient desires to participate in
the sale of the property by GSA, FBIHQ should be advised at the time
the gift is reported so that appropriate action can be taken.
(2) In addition to tangible gifts, all foreign'gifts of
travel or expenses for travel taking place entirely outside the United
States should be reported where the acceptance of which has not been
atillibriiid in accordance with speCific instaktiongbf F811:10. (See
MAOP, Part 2, 6-1.7 through 6-1.7.4.)
. **EffDte: 12/19/2003 MCRT#: 1313 Div: FDD9 Cav: SecCls:
1-13.3.1 - Reporting Requirements (See MAOP, Part 1, 1-13.2.2 (9)'(b), 1-13.2.3,1-14 &
Legal Attache Manual, 2-23.) •
•
, •
All gifts or decorations, valued at greater thanl$285,1
received from foreign individuals and all gifts valued at more than
the minimal value GIVEN to foreign individuals by employees . acting• in
an official capacity should be reported within-15 days of the
property's receipt or presentation. The report should be submitted to
FBIHQ, Attentidn: PMU, PPMS, FD, by electronic communication as
appropriate. A separate statement containing the following
information should be submitted for each gift received or presentation
made.
(1) For tangible gifts:
(a) Name and title of recipient.
(b) Gift, date of acceptance, estimated value, and
current disposition or location.
(c) Identity of foreign dohor and government.
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' (d) Circumstances justifying acceptance.
(2) For travel or expenses for travel:
• (a) Name and title of recipient.
(b), Brief description of travel or travel expenses
occurring entirely outside the United States.
(c) Identity of foreign donor and government.
(d) Circumstances justifying acceptance,
(3) For each gift to a foreign individual:
(a) Identity of individual receiving gift.
. (b) Description of gift:
(c) Value of gift. •
(d)Type of funds used for gift (appropriated or
• nonappropriated). .
(e) Date gift presented.
(f) Name of individual presenting gifts.
**EffDte: 12/19/2003 MCRT#: 1313 Div:.FD Cav: SecCls:
1-14. MONETARY MATTERS AND FINANCIALDEALINGS (See MAOP, Part I, 1-12, 1-13 through
1-13.3.1; Part II, 6-5; MIOG, Part I, 211-9.)
(1)'An employee who is an official superior may not
borrbw money from or give or receive endorsements of ptOmissory notes
of other employees working under him/her or of lesser rank.
(2) All employees must meet their financial obligations
. and, in addition, are expected to abide by the laws of the United
States and of the several states with respect to filing proper tax
statements. Any controversy arising with taxing authorities must be •
brought to the attention of FBIHQ immediately. Although employees
will not be required to pay unjustified claims, these matters should
be resolved with reasonable promptness. In this respect, it should benoted
that the U.S. Internal Revenue Service may attach salaries of
federal employees who refuse to pay delinquent taxes.
(3) Failure on the part of an employee withodt good
reason and in proper and timely manner to honor debts acknowledged by
employee to be valid or reduced to judgment by a court or to make or
adhere to satisfectory-arrangements for settlement thereof may be
cause for disciplinary action.
(4) USE OF PUBLIC OFFICE FOR PRIVATE GAIN - An .employee
shall not use his/her public office:for his/her own private gain, for •
the endorsement of any product, service or enterprise, or for the
private gain of friends, relatives, or persons with whom the employee
is affiliated in a nongovernmental capacity, including nonprofit
Organizations of which the employee is an officer or member, and
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persons with whom the employee has or seeks. employment or business
relations. The specific prohibitions set forth in paragraphs (b)
through (e) of this section apply this general standard, but are not
intended to be exclusive o•to limit the application of this section.
(a) Performance of Of duties affecting a
private interest. To ensure that the performance of his/her official
duties does•nbt give rise to an appearance of .use of public office for
private gain or of giving preferential treatment, an employee whose
duties would affect the financial interests of a friend, relative or
person with whom he/she is affiliated in a nongovernmental capacity
Shall comply with any applicable requirements of 5 CFR 2635.502.
(b) An employee shall not use or permit the use of
his/her government position or title or any authority associated with
his/her public office in a manner that is intended to coerce or induce
another , person, including a subordinate, to provide any benefit,
financial or otherwise, to himself/herself or to friends, relatives,
or persons with whom the employee is affiliated in a nongovernmental
capacity.
(c) Except as otherwise provided by the OGE
standards of conduct, an employee shall not use or permit the use of
his/her government position or title or any authority associated with
his/her public office in a manner that could reasonably be construed
to imply that his/her agency or the government sanctions or endorses
his/her personal activities or those-of another. When teaching,
speaking, or writing in a personal capacity, he/she may refer to
his/her official title or position only. as permitted in MAOP, Part I,•
1-16.2. He/She may sign a letter of recommendation using his/her
officiallitle only in reSponse'to a - requ-ast fOran employment
- recommendation or character reference based upon personal knowledge of
the ability or character of an individual with whom he/she has dealt
in the course of federal employment or whom he/she is recommending for
federal employment. (See MAOP Part 1, 1-15.3.)
(d) An employee shall not use or permit the use of
his/her government position or title or any authority associated with
his/her public office to endorse any product, service or enterprise ,
except:
1. In furtherance of statutory authority to
promote products, services or enterprises; or
2. As a result of documentation of Compliance
with agency requirements or standards or as the result of recognition
for achievement given under an agency program of recognition for
accomplishment in support of the agency's mission.
(e) Nothing in this section prohibits an employee
who. is ordinarily addressed using a general term of address, such as
"The Honorable," "Doctor" or a former military rink, from using that
term of address or rank in connection with a personal activity. —
(5) No employee shall use, for the financial gain of the
employee or another person, or make any other improper use of, whether
by direct action on the employee's part or by counsel, recommendation,
or suggestion to another person, information which comes to the
employee by reason of his/her status as an employee and which has not
become part of the body,of public information. (See MAOP, Part I, .
1-24.) Further, no employee shall make investments
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• (
(a)in enterprises which, it is reasonable to
believe, will be involved in decisions to be made by the employee,
(b)on the basis of information which comes to
notice as the result of the employee's status and which has not become
part of the body of public information, or
• •
(c) which are reasonably likely to create any
conflict in the proper discharge of the employee's official duties.
(6) No employee shall accept free transportation for
official or Unofficial purposes when the offer of such transportation
•might reasonably be interpreted as an attempt to affect the employee's
impartiality. (See MAOP, Part II; 6-1.7 through 6-1.7.4.) No
employee shall solicit or accept, for the employee or any other
person, directly or indirectly, any.gift, favor, entertainment, loan
or any other thing of monetary value from a person who has or is
seeking contractual or other business or financial relations with the
Department, is engaged either as a principal or attorney in
proceedings before the Department or in court proceedings in which the
United States is an adverse party, or has interests that may be.
substantially affected by the performance or nonperformance of the
employee's official duties. This prohibition does not, however,
prevent:
• . (a) solicitation ' rac ceptance of anything from a
friend, parent, spouse, child, or other close relative when the
circumstances make it clearthat the motivation is a personal or
family relationship;
(b) acceptance of food and refreshments of nominal
value on infrequent occasions in the ordinary course of a luncheon or
. dinner meeting or other meetings; •
• •
(c) acceptance of loans from financial institutions
on customary terms for normal and ordinary activities such as home
mortgage loans;
(d) receipt of genuine reimbursement, unless
prohibited by law, for actual expenses for travel and such other .
necessary subsistence for which•no government reimbursement is made
and provided the reimbursement is not excessive and employee is not •
traveling on official business under Bureau orders;
(e) acceptance of an award for a meritorious public
contribution or achievement.
•(7) Employees traveling on official business by means of
public carriers, and who receive promotional items or property as a
result of having purchased tickets are required to relinquish such
promotional property to the SAC or other appropriate FBI official.
This complies with Treasury Bulletin No. 79-09 which states, "When -.
employes travel on oficial. busines al items given beyond the terms
of contractual arrangements between the government and public carriers
become the property of the government." (See MAOP, Part II, 6-1.1.3.)
(8) PUBLIC FINANCIAL DISCLOSURE REPORTS (SF-278) FILING
REQUIREMENTS: .
(a) Public Financial Disclosure Reports must be
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filed by:
1. Presidential nominees to'positions requiring
the.advice and consent of the Senate.
2. Officers and employees whose positions are
classified above GS-15 (SENIOR EXECUTIVE SERVICE (SES)) of the General
Schedule, or whose rate of basic pay which is fixed under pay
schedules at a rate equal to or greater than 120 percent of the
minimum rate of basic pay fixed for a GS-15 of the General Schedule. .
(b) When to file SF-278:
•
1. Within 30 days after assuming a designated
position, unless the individual has left another position, for which
an SF-278 was. required to be filed or has already filed a report as a
nominee or candidate for position.
2. No later than May 15th annually.
3. Upon termination of a designated position,
within 30 days. However, if within 30 days of the termination the
individual assumes employment in another position or office for which
a public report is required to be filed, no report shall be required. •
(c) Extensions:
1. Requests for extension must be made in •
writing to the Office of the General Counsel (OGC) to allow for •
sufficient time for coordinationMeferral to the Deputy Designated
Agency Ethics Official-(DDAE4-- ' •
(d) Late filing fee:
1. A $200 late filing fee will become due at •
the time of filing if a financial disclosure report is filed more than
30 days after the required date or the last day of any approved filing
extension. Waivers to the late fee may only be obtained frorh the
Director, Office of Government Ethics. A request for waiver of the
, late fee must be initiated by the filer in writing, justifying why a
waiver should be granted and submitted with supporting documentation.
The request for a waiver should be submitted to the DDAEO through the
Administrative Law Unit (ALU), OGC:
(e) Failure to file or falsifying reports:
t Failure to file or the filing of false
information could result in criminal and administrative action and
civil penalties of up to $10,000. (See (11) (c).)
(f) Where to file SF-278:
t Completed SF-278s are to•be- signed -anti- dated
by the filer and forwarded to his or her immediate supervisor (i.e.,
rating official), who upon receipt should date-stamp the form to •
certify compliance with the reporting requirements. After the
supervisor conducts the initial review, the form should then be
forwarded to OGC for.final processing and review by the DDAEO.
, (g) Where SF-278s are maintained:
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1. All completed SF-278s are maintained by the ALU, OGC.
2. Forms are to be maintained for a minimum of
six years and thereafter maybe destroyed.
3. Inspection by the public is permitted by any
person who makes written application. Requests for a copy of the
report will, be honored. It is unlawful for any person to obtain or
use a public report for:
a. any unlawful purpose;
. b. any commercial purpOse, other than by
news and communications media for dissemination to the general public;
c. for determining or establishing the •
credit rating of any individual; or
d. use, directly or indirectly, in the
soliditation of money for any political, charitable, or other purpose.
(9) RESOLUTION OF QUESTIONABLE SF-278s:
Should the immediate supervisor (IS), ALU, and/or the'
DDAEO determine that an actual or apparent financial conflict of
interest exists, additional information may be requested from the
filer to assist in taking appropriate action to resolve the conflict.
Actions that may be taken to resolve the conflict include:,
divestiture of the financial interest; recusal from the . rnetter
procurement of a waiver'pursuant to Title 18, United States Code
(USC), Section 208(b); or the establishment of a qualifie-iltrust as -
permitted by Title 5, Code of Federal Regulations (CFR), Section
•2634.401 ET SEQ. for the financial interest.
(.10) CONFIDENTIAL FINANCIAL DISCLOSURE REPORT (OGE-450)
FILINGREQUIREMENTS:
(a) Employees . at grades GS-15 and below must file a
Confidential Financial Disclosure Report if their duties require them.
to exercise significant judgment on behalf of the 'government:
1. Regarding contracting or procurement;
2. Regarding the administration or monitoring
of grants, subsidies, licenses or other benefits; •
3. As a special government employee serving
with or without compensation; or
4. Resulting in a final decision or action which
will directly and substantially affect the economic interests of any
nonfederal entity.
(b) F.BIHQ ha's determined that the following
categories of employees must file the OGE-450 according to the criteria above:
1. FBIHQ PERSONNEL REQUIRED TO FILE:
a. All GS-15 personhel (including those .
asigned to Legal Ataches, detail asignments, etc.) who are
supervisors or whose duties meet the criteria set forth in (10)(a)
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( .
above;
b. All procurement and contracting officials;,
c. All Unit Chiefs, regardless of their grade; and
d..All Government Purchase Card holders
assigned to the Finance Division regardless of their grade.
2. FIELD DIVISION PERSONNEL REQUIRED TO FILE:
a. All Assistant Special Agents in Charge
(ASACs) who are non-SES and all Supervisory Special Agents;
. b. All Administrative Officers (AOs),
Office Services Managers (OSMs), Office Managers (OM) and/or
appropriately designated assistants such as Supervisory Administrative
Specialists (SAS), Assistant Office Services Managers (AOSM), etc.;
c. All procurement and contracting officials;
d. Ernployees'acting in a covered position for more than 60 days;
e. All Chief Division Counsels at the GS-14 level; and
f. 'Deleted'
(c) When to file the OGE-450:
1. Annually by October 31 for the 12 months ending September 30;
— • - • --
2. New entrants into covered positions within
30 days of assuming the position unless they have previously satisfied
the reporting requirements in another covered position or filed a
report in consideration for appointment to the position;
3. Whenever an employee is acting in a position
for more than 60 days in a 12-month period ending September 30; •
(d) OGE-450 reviewing requirements:
1. Initial review to be conducted by an IS
within 30 days. The IS should have first-hand knowledge, of the
assignments of the employee to ensure that no potential financial .
conflicts of interest are present. Consequently, the IS shall be the
same individual who acts as the rating official for the employee's
annual performance appraisal. The IS will date-stamp the OGE-450 upon
receipt, to certify compliance with established deadlines and is to
ensure designated employees annually submit a completed OGE-450 by the
established deadline, or a Conflict of Interest Certification (010)
whenever such is required, and sign the form.
2. Secondary review is to be-performed by the
individual designated by the headquarters divisidn head as being the
Final Reviewer (FR). In the field, the FR is the field office's Chief
Division Counsel (CDC), except for the CDC's report, which Will be
reviewed in final by the SAC.
If the CDC reports directly to the SAC, the SAC will serve
as the FR and there will be no initial review. In those offices with
an Assistant Director in Charge (ADIC), the ADIC will serve as the FR.
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3. If a filer's interests did not change from
last year, the filer may complete the top part of the first page of
the form, sign and date it, write across Part I the words "SEE
ATTACHED" and attach a copy of last year's certified report. The
initial and secondary review can then be performed.
(11) CONFLICT OF INTEREST CERTIFICATION (CIC), FILING IN
LIEU OF THE OGE-450:
(a) The CIC is a one-page abbreviated version of the
OGE-450 designed to ensure that the employee has no actual or apparent
financial conflicts of interest. A CIC must be executed each time a .
project is assigned or reassigned to a Contracting Officer's Technical
Representative (COTR). Supervisors, coordinators, contracting and
procurement officials will be responsible for ensuring the required
CIC filing is performed for projects under their responsibility. For
the field and all FBIHQ division heads, these individuals are defined
as:
1. Employees who occasionally serve as a COTR;
which may include Special Agents and/or certain support employees such
as Senior Electronics Technicians, Information Systems Analysts or
Warehbusepersons.
2. Employees acting in a covered position for more than 60 days:
(b) When to file the CIC:
1. Each time a project is assigned or reassigned to a COTR.
. .
(c) Penalty for failure to file:
1•. See (8) (a) above.-
- (d) CIC reviewing requirements:
1. CICs need only be reviewed by the IS who is
the same individual who acts as the initial reviewer for the OGE-450,
The IS should date-stamp the CIC upon receipt to certify compliance
with established deadlines.
(12) DESIGNATION AND RESPONSIBILITY OF THE FINAL REVIEWER (FR):
(a) The designation of the FR rests with the
division head or other designated entity. The FR shall review each
OGE-450 within 30*days of its receipt from the IS to ensure it is
complete and that no apparent or actual conflict of interest.exists.
Once the FR determines these requirements are met, he/she shall sign'
the OGE-450 (not necessary on the CIC) and maintain the form in
accordance with the guidelines set forth in (14) below..
• (13) RESOLUTION OF QUESTIONABLE OGE-450s:
(a) Should the IS and/or the FR determine that an
actual or apparent financial conflict of interest exists, additional
information may be requested from the filer to assist in taking
appropriate action to resolve the conflict. Actions that may be taken
to resolve the conflict include: divestiture of the financial
interest; recusal from the matter, procurement of a waiver pursuant to
Title 18, USC, Section 208(b); or the establishment of a qualified .
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trust as permitted by Title 5, CFR, Section 2634.401 ET SEQ. for the
financial interest. Should resolution prove difficult or further
problems arise, the FR should forward the signed or unsigned report to
the SAC or division head for further consideration.
(b) Upon receipt of a questionable OGE-450 or CIC,
the SAC or division head shall take whatever action is necessary to
resolve the actual or apparent conflict to ensure compliance with the
law. Conflicts which cannot be satisfactorily resolved should be
brought to the attention of the ALU, OGC, for advice, guidance and
resolution.
(14) MAINTENANCE OF OGE-450s AND CICS: (See (12) above
and MAOP-, Part I, 11-1.3; Part II, 2-4.5.10.)
(a) OGE-450s are to be maintained in folders titled
"Confidential Financial Disclosure Reports" by the division's front
-office in date order. 'CICs will be maintained in a second folder
titled "Confidential Financial Disclosure Reports/CICs," also in date
order. These folders will be maintained in a secure manner, and
every effort should be made to ensure*their privacy. Both OGE-450s
and CICs will be maintained for a period of six years, after which
they must be destroyed, unless needed for an ongoing investigation.
(b) Should an employee transfer out of an office,
his/her previously submitted OGE-450s and/or CICs should be
transferred with the employee to his/her new assignment in a sealed
envelope. In the event an employee terminates employment, previously
submitted forms are to be placed in a sealed envelope and labeled *
with the employee's name and the words "CONFIDENTIAL FINANCIAL
DISCLOSURE REP.ORTS AND/OR CONFLICTOF INTEREST CERTIFICATIONS." . .
- These envelopes should be dated, maintained by the employee's la*st
duty station in a secure location for six years, and then destroyed,
unless needed for an ongoing investigation.
(c) SACs and division heads shall be responsible for
ensuring that any employee who falls within one of the categories
detailed above files the appropriate report or certifications, and
that the required documentation is properly maintained according to
•the guidelines set out above.
(15) NO PUBLIC ACCESSIBILITY
(a) OGE-450s are confidential. No member of the
public can•have access to such reports except pursuant to the order of
Federal, Court or as otherwise provided under the Privacy Act.
**EffDte: 02/14/2000 MCRT#: 908 Div: D9FD Cav: SecCls:
1.1 -14.1 Financial Relationships with Witnesses, Subjects, and Individuals Furnishing
Information to the FBI (See Part 1,1417-7 (42)41 . •
(1) Because of the appearance of improper conduct or conflict
of interest usually involved in such relationships as well as the high
potential for actual impropriety inherent in such relationships, Bureau
employees are prohibited from engaging in private business and
financial relationships with subjects; witnesses, individuals furnishing
information to the FBI (including informants), and counsel or other
representatives of such persons without prior FBIHQ approval. This
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prohibition includes giving or receiving gifts, selling, purchasing, or
exchanging 'property, making or receiving loans, and engaging in, other
transactions or business relationships in which some financial.or
tangible benefit is bestowed upon.either the employee or third party.
(2) In seeking FBIHQ approval for an exception to this general
prohibition, employees must be able to demonstrate that the proposed
transaction or relationship will not create an appearance of impropriety,
involve a conflict of interest, or otherwise reflect adversely upon the FBI.
(3) Requests for exceptions should be directed to the
I 'the Office of the General Counsel and, for informant matters, the
I Assistant Director, Office of Intelligence.)
**EffDte: 01/14/2002 MCRT#: 1177 Div: D9D6OP Cav: SecCls:
111 -14.2 Restriction on Financial Involvern6nt with Employees, Relatives, or Friends of
Employeesl(See MAOP, Part 2, 6-11.)I
The FBI is prohibited from any type of financial •
involvement with its employees, relatives or friends of employees,'
business concerns or organizations owned or substantially owned or
controlled by one or more employees, unless specifically approved by
FBIHQ in advance. All such requests must be submitted in writing to .
I thelOffice of the Chief Contracting Officer, Property Procurement and
I ManagementISection, Finance Division. The restriction on government
agencies which prohibits financial involvement with its employees or
relatives of employees is to avoid either actual or perceived Conflicts
of interest which may arise with respect tc the , government showirrg -
favoritism or preferential treatment toward its employees.
**EffDte: 11/15/2001 MCRT#: 1155 Div: FD day: SecCls:
• 1 -15 ADMINISTRATIVE MATTERS
**EffDte: 06/28/1991 MCRT#: 0 Div: D3 Cav:SecCls:
• '1 -15.1 Promotions, Transfers, Administrative Action
(1) Recommendations for the promotion of any employee
shall come only from the official superior of the employee. This
procedure shall be followed, too, concerning any recommendations
tending to initiate, retard, or rescind any order or administrative
action of the Bureau. Failure to abide by these regulations will •
result in severe administrative action as well as possible removal
from the service. See 1-15.4 for further policy on personnel actions
concerning relatives of Bureau managers. —
(2) In connection with any pending, contemplated or
recommended personnel action, such as promotions, reassignments,
transfers, commendations, incentive awards, and disciplinary action,
every• precaution should be taken to ensure existing files and records
are provided adequate security. Except for considering access to such
records in response to a request submitted under the Privacy Act,
disclosure of the existence of such contemplated action must be kept
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to a minimum. There should be no unnecessary discussions of the •
proposed action until a final decision is made by FBIHQ.
(3) In this regard, itshould be understood by all
employees that the matter of promotions, demotions, transfers, and any
other similar, official personnel action must be decided solely on the
merits of the individual•case. The welfare of the Bureau must take
precedence over desires and convenience of the employee involved,
particularly with respect to transfers of investigative personnel who
are expected to be available for service wherever the needs of the
Bureau may require their assignment.. Any attempt, either directly or
indirectly, to bring outside influence to bear on the Bureau. to :
promote, rescind, or alter official actions in any manner is contrary
to the above-stated policy.
(4) In accordance with the provisions of the Privacy Act,
the employee may request access to FBI records concerning his/her
employment, including those compiled during the course of an internal
administrative inquiry. To access his/her employment records, the
employee should execute an FD-488, the Privacy Act Request Form. The •
Field Privacy Control Officer is responsible for ensuring prompt
attention to each request. Requests must be processed without delay,
and the employee provided with copies of whatever records are
accessible to him/her under the law. The submission and processing of
Privacy Act requests by employees should not be impeded by management
personnel. (See MAOP, Part 1, 20-4.2.)I
**EffDte: 07/15/2002 MCRT#: 1212 Div: D3OPRM Cav: SecCis:
1 -15.2 'Employee Arrests or Involvement with Pollee
(1) Under no circumstances, except in an official
capacity, should any SAC or other FBI personnel become involved in any
matter directly or indirectly concerning an employee or nonemployee
who has been arrested or is otherwise in difficulty with a law .
enforcement agency; nor should any Bureau employee attempt to mitigate
the action of any arresting officer, agency, or prosecuting officer,
or in any way try to minimize publicity concerning such incident..Any
incidents of this nature must be reported immediately to FBIHQ as set
out in this manual, Part I, Section 13 entitled "Disciplinary
Matters."
(2) All employees are to report promptly to their
supervisors any incident in which they are involved with law
enforcement authorities.
**EffDte: 06/28/1991 •MCRT#: 0 Div: OP Cav: SecCis:
. 1 -15.3 Testimonials and/or Personal Recommendations Regarding FBI Employees and
Personal 'Acquaintances 1(See MAOP, Part 1,1-14, 20-15.3; II, 9-4.4 (2)(d).)I
(1) !Except as authorized in subparagraph (2) below, FBI
employees shall not provide oral or written, testimonials, opinions,
or letters of recommendation to non-FBI personnel regarding the
official status or performance of current or former Bureau employees.
"Official status or performance" includes such information as current
or former position's or titles held in the Bureau, salaries, duty
stations, evaluations, reasons for separation, and so forth. Persons
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I making such inquiries should be advised that their questions should
I be addressed to: Personnel Verification and .Records SLibunit, Field
I Services Unit, Information Resources Division, FBIHQ, 935
I Pennsylvania Avenue, Washington, D.C. 20535. (See MAOP Part I
1 20-15, regarding service record and credit inquiries)!
(2) IFBI employees may, however —
(a) Sign a letter of recommendation regarding a
current or former Bureau employee using their official titles and
official stationery in response to a request for an employment
recommendation or character reference based upon personal knowledge
of the abilities or character of 'an individual with whom the writer
has dealt in the course of federal employment or whom the writer is
recommending for federaremployment. All such recommendations must
include a disclaimer that the information provided is based solely on
PERSONAL KNOWLEDGE and should not be construed as the official views
of the FBI. Persons seeking the OFFICIAL views of the FBI in such
matters should be advised to direct their questions to: Personnel
Verification and Records Subunit, Field Services Unit, Information
Resources Division,'FBIHQ, 935 Pennsylvania Avenue, Washington, D.C.
20535. (See MAOP. Part I 20-15, regarding service record and credit
inquiries.)
(b). Respond to inquiries from non-FBI personnel
asking for their PERSONAL opinions about.the nonofficial aspects or
characteristics of current or former FBI employees. Such inquiries
include questions about an individual's loyalty, character, habits,
community reputation, and so forth. Responses must: be approved in
advance by the declarant's SAC or division head; make'no reference to
. 1 official performance 'or status;mot disclose information .concerning"
or from any FBI investigation, inquiry, ,operation or file; reveal any
confidential or sensitive information; disclose any information
protected from disclosure by any law or regulation, including the
Privacy Act; and include a disclaimer that all information provided •
is based solely on - personal knowledge and should not be construed as
the official.views of the FBI. Official stationery may NOT be used
in responding to such inquiries.'
(3) Employees may, in regard to friends or acquaintances
that are NOT forrrier or present Bureau employees, furnish PERSONAL
opinions based upon PERSONAL ASSOCIATION pertaining to loyalty,
character, habits, conduct, reputation, etc., to individuals..
collecting information as.part of a background investigation gathering • .
information relating to suitability for employment or issuance of a •
security clearance. BUREAU STATIONERY MAY NOT BE USED TO PROVIDE
WRITTEN COMMENTS.
(4) Any employee interviewed during the conduct of an
employment or clearance background investigation conducted by the FBI
may provide his/her PERSONAL opinions based on PERSONAL ASSOCIATION
with the subject of the investigation, but must recuse himself/herself
from participation in the conduct of that investigation to avoid the
appearance of bias or partiality by the FBI. The employee must ask •
the interviewer to include in the report of the interview the fact
that the views expressed are the employee's own. Field managers .
(Assistant Director in Charge, Deputy Assistant Director in Charge,
SAC, ASAC br Supervisory Special Agent) must be interviewed at the
conclusion of the investigation to avoid any concerns that the field
manager's remarks could influence the outcome or direction of the
I investigation. I(See MAOP, Part II, 10-17.11.2 (1).)I
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(5) In background investigations conducted by the FBI, '
Agents routinely select for interview representatives of the federal
law enforcement community, from whom official observations are •
solicited. Agents are permitted to use their own discretion in
selecting the interviewee but are encouraged to interview •
representatives outside the FBI. i(See MIOG, Part I, 77-4.5.)I
(6) Employees may not offer opinions or conclusions drawn
from information gained from FBI or other agency investigations to
those conducting background investigations.
.(7) CAUTION: Information obtained solely from FBI or
other agency records cannot be disclosed outside the FBI, except
pursuant to established dissemination procedures.
**EffDte: 11/20/1996 MCRT#: 616 Div: D4D3D9 Cav: SecCls:
I 1 -15.4 Nepotism (See MAOP, Part 1, 1-15.1 Land 3-3.1.)I•
(1) No Bureau managers shall advocate one of their relatives for
appOintment, employment; promotion, or advancement to a position
in the FBI or any other component of the Department of Justice (DOJ).
(2) No Bureau managers shall appoint, employ, promote, or
advance their relatives to any post within the FBI.
. (3) No Bureau managers shall appoint, employ, promote, or
--advance therelatives of other Bureau er DOJ managers to any post
within the FBI if those other managers have advocated the appointment,
employment, promotion or advancement of their relatives for positions
within the FBI.
(4) No, Bureau managers, as either Rating or Reviewing Officials,
shall appraise the performance of any of their relatives.
(5) For the purpose of this section, Bureau managers who
•recommend relatives or refer relatives for consideration by a Bureau
manager 'giver in the chain of command (i.e., the line of supervisory
personnel that runs from position of Bureau manager to the Director)
for appointment, employment, promotion or advancement are deemed to
have advocated the appointment, employment, promotion or advancement
of those relatiVes.
(6) All Bureau managers whose assignments cause them to confront
any of the circumstances described in paragraphs (1) through (4) must
immediately contact their superiors to effect a prompt resolution of the
matter. In this respect, the Administrative Services Division should be
included in the resolution process.
(7) The resolution of each appointment, employment, promotion,
advancement or appraisal incident with nepotistic potential will be ,
coordinated on a case-by-case basis by the respective SAC or division
head with the Personnel Officer at FBI Headquarters. Once each situation
is satisfactorily resolved, documentation of that resolution will be filed in
the respective personnel files of the affected employees.
(8).Failure to properly address a nepotism matter may cause a loss of
• pay to the individual appointed; employed, promoted or advanced in violation
Page 53 of 114
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( (
of law. Bureau managers who'fail to address any personnel matters which
contain potential for nepotism will be subjected to appropriate administrative
action.
(9) See MIOG, Part 1, 67-1.4, regarding FBI applicant matters affected
by this policy.
**EffDte: 09/06/2001 MCRTh.1142 Div: D30? Cav: SecCis:
111-15.5 Employment Recommendations for Applicants by Members. of Congress (see
also MIOG; Part I, 67-7.12.)
FBI officials concerned with examining or appointing an
applicant may not receive or consider a recommendation from a Senator
or Representative, except as to the character or residence of the
applicant, unless the recommendation is based on the personal
knowledge or records of the sender. In no case is the FBI required
to return a letter to the sender, even if it does not meet the above
requirement. All recommendation letters received from Members of
Congress about Bureau applicants should be answered by the Chief
Division Counsel in the field office or the appropriate applicant
entity in the Personnel Division, i.e., the Bureau Support Applicant
Unit or the Special Agent Applicant•Unit. The following standard
reply is to be used:
"This is to acknowledge receipt of your letter on behalf
of (applicant's name),, who has applied for a,position with the
Federal Bureau of Investigation . (FBI).
"You may be assured that (applicant's name's) application
will receive appropriate consideration.for this position.
"We appreciate (applicant's name's) interest in employment
I with the FBI." -
The following illustrates the types of recommendations that we may or
may not consider. For example, we may consider the following
recommendation from a Member of Congress since it relates only to the
applicant's character and residence: •
"I have known Mary Smith, a resident of my State, to be a
very fine person. She has always been reliable, and shown good
judgment and integrity. She is very highly regarded in the
community."
The following expanded recommendation may also be considered because
it is based on personal knowledge:
"I recommend Mary Smith for the vacant policy-analyst,
position because of her excellent performance while working in a
similar capacity in my office for-the past nine years. Mary has . — –
recently attended several training classes which make her even more
qualified for the job."
If a recommendation is not based on the personal knowledge or records
of the sender, then it should not discuss the qualifications of the
applicant or assess the applicant's suitability for employment with
the FBI or in a particular job. If it does, then we may not consider
it.!
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**EffDte: 01/2211998 MCRT#: 739 Div: D9D3 Cav: SecCls: •
1-16 OUTSIDE EMPLOYMENT (See MAOP, Part 1, 1-18.1 (1)(i), (k), 1-24, 20-6,120-
28;IMIOG,.Part 1, 67-11 (1)(d).)
Employees shall not engage in other work, employment,
occupation, profession, business or partnership, without receiving
prior Bureau approval : This rule applies whether the outside
employment is self-employment or employment by a third party. Any
case of doubt should be referred to Bureau for decision. Furthermore,
no employee, even though having Bureau approval to engage in part-time
outside employment in a sales capacity, may solicit business on Bureau
: premises at any time, whether during the workday• or on own time before
or after working hours or during lunch or rest periods. In no case
may Bureau premises be used for storage or display of merchandise.
Special Agents are further restricted in outside employment as set .
forth in Part 1, 20-6.3.2 of this manual.
**EffDte: 08/27/2003 MCRT#: 1293 DM SYOP Cav: SecCls:-
1 1-16.1 Conflicting Outside Employment and Activities (See MAOP, Part 1, 1-27,120-
28;p/11OG, Part 1, 67-11 (1)(d).)
(1) An employee'snall not engage , in outside employment or .
any other outside activity that conflicts with.his/her official
duties. An activity conflicts with an employee's official duties:
(a) If it is prohibited by statute or by an agency
supplemental regulation; or - •
(b) If it would require the employees •
disqualification from matters so central or critical to the
performance of his/her official duties that the employee's ability to
perform the duties Of his/her position would be materially impaired.
(2) Employees are cautioned that even though an outside
activity may not be prohibited under this section, it may violate
other principles or standards or require the employee to disqualify
himself/herself from participation in certain particular matters under
either subpart D or subpart E of 5 CFR Part 2635.
(3) Disqualification while seeking employment: (See
MAOP, Part 1, 1-13.2.2(5).)
(a) Obligation to disqualify. Unless the employee's
participation is authorized in accordance with (2) above, the employee .
shal not participate in a particular mater that; to his/her
knowledge, has a direct and predictable effect on the financial
interests of a prospective employer with whom he/she is seeking
employment. Disqualification is accomplished by not participating in
the particular matter.
(b) Notification. An employee who becomes aware of.
the need to disqualify himself/herself from participation .in a
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particular matter to which he/she has been assigned should notify
his/her immediate supervisor. An employee who is responsible for
his/her own assignment should take whatever steps are necessary to
ensure that he/she does not participate in the matter from which
he/she is disqualified. Appropriate oral or written notification of
the employee's disqualification may be made to coworkers by the
employee or a supervisor to ensure that the employee is not involved
in a matter from which he/she is disqualified.
(c) Documentation. An employee need not file a
written disqualification statement unless he/she is required by 5,
CFR, Part 2634 to file written evidence of compliance with an
ethics agreement with the Office of Government Ethics or is
specifically asked•by the FBI's ethics official or the person
responsible for his/her assignment to file a written disqualification
statement. HoWever, an employee may elect to create a record of
his/her actions by providing written notice to. their supervisor or
other appropriate official.
(d) Agency determination of substantial conflict.
• Where the FBI determines that the employee's action in seeking
employment with a particular person will require his/her
disqualification from matters so central or critical to the •
, performance of his/her official duties that the employee's ability to
- perform the duties of his/her position would be materially
impaired, the FBI MAY allow the employee to take annual•eave or leave
without pay while seeking employment, or may take other appropriate
administrative action. .
(4) Waiver or authorization permitting participation
while seeking employmerit:'
(a) Waiver. Where an employee is engaged in
discussions that constitute employment negotiations for purposes of
Title 18, USC, Section 208(a), the employee may participate in a
particular matter that has a direct and predictable effect on the
financial interests of a prospective employer only after receiving a
written waiver issued under the authority of Title 18, USC, Section
208(b) (1) or (b) (3).
(b) Authorization. Where an employee is seeking •
employment, a reasonable person would be likely to question his/her
impartiality if he/she were to participate in a particular matter that •
• has a direct and predictable effect on the financial interests of any •
such prospective employer..The.employee may participate in such
matters only where the Bureau's ethics officer has authorized his/her
participation.
(5) Disqualification based on an arrangement concerning
prospective employment or otherwise after negotiations.
(a) Employment or arrangement concerning employment.
An employee shall be afiqu'alited from taking official action irfa
particular matter that has a direct and predictable effect on the
financial interests of the person by whom he/she is employed or with
whom he/she has an arrangement concerning future employment, unless
authorized to participate in the matter by a written waiver issued ,
under the authority of Title 18, USC, Section 208(b) (1) or (b) (3).
(b) Offer rejected or not made. The Bureau's ethics
officer may, in an appropriate case; determine that an employee not
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covered by the preceding paragraph who has sought but is no longer
seeking employment nevertheless shall be subject to a period of
disqualification upon the conclusion of employment negotiations. Any
such determihation shall be based on a consideration of all the
relevant factors, including those listed in MAOP, Part 1, .1 -1,.and a
determination that the concern that a reasonable person may question
the integrity of the Bureau's decision-making process outweighs the
government's interest in the employee's participation in,the
particular matter.
**EffDte: 08/27/2003 MCRT#: 1293 Div: SYD9OP Cav: SecCls: •
I 1-16.2 Teaching, Speaking and Writing (See MAOP, Part 1, 20-28;IMIOG, Part 1, 67-11
( 1 )(d).) •
(1) An employee, shall not receive compensation from any
source other than the government for teaching, speaking or writing
that relates to the employee's official duties. .
(2) Definitions of Terms: TEACHING, SPEAKING OR WRITING
relates to the employee's official duties if:
(a) The activity is undertaken as part of the
employee's official duties;
(b) The circumstances indicate that the invitation
to engage in the activity was extended to the employee primarily
because of his/herofficial position Tether than 'hisitier expertise on
the particular subject matter;
. .•
(c) The invitation to engage in the activity or the
offer of compensation for the activity was extended to the employee, •
directly or indirectly, by a person who has • nterests that may be •
affected substantially by performance or nonperformance of the
employee's official duties;
(d) The information conveyed through the activity
draws substantially on ideas or official data that are nonpublic
information; Or •
(e) The subject of the activity deals in significant
' part with:
1. Any .matter to which the employee presently
is assigned or to which the employee had been assigned during the
previous one-year period; - •
2. Any ongoing or announced policy, program or
operation of the agency.
3. In the case of a noncareer employee as
defined in 5 CFR 2636.303(a), the general subject matter area,
industry, or economic sector primarily affected by the programs and
operations of his/her agency.
(3) Reference to official position. An employee who is
engaged in teaching, speaking or writing as outside employment or. as.
an outside activity shall not use or permit the use of his/her
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official title or position_to identify him/her in connection with •
his/her teaching, speaking or writing activity or to promote any book,
seminar, course, program or similar undertaking, except that:
(a) An employee may include or permit the inclusion
of his/her title or position as one of several biographical details :
when such information is given to identify him/her in connection with
his/her teaching, speaking or writing, provided that his/her title or
position is given no more prominence than other significant
biographical details;
(b) An employee may use, or permit the use of,
his/her title or position in connection with an article published in a
scientific or professional journal, provided that the title or
position is accompanied by a reasonably prominent disclaimer ,
. satisfactory to the agency stating that the views expressed in the
article do not necessarily represent the views of the agency or the
United States; and
(c) An employee who is ordinarily addressed using a
general term of address, such . as "The Honorable," "Doctor," or former
military rank, may use or permit the use of that term of addreSs or
rank' in connection with his/her teaching, speaking or writing. (See
MAOP, Part 1, 1-14(4).) ' •
(4) See MAOP, Part 1, 1-24, Prepublication ReView
Matters; 1-26.2, Types of Employee Public Speech; 1-26.3, Factors
Determining Appropriateness of Employee Public Speech.
r`EffDte: 08/27/2003 MCRT#:" 1293 Div; D9OP Cav: SecCls:
• • ,
I . 1-17 ACTIVE PARTICIPATION IN MILITARY RESERVE OR NATIONAL GUARD UNITS
(READY RESERVE STATUS) 1(See MAOP, Part 1, 10-1141
(1) According to Department of Defense Directive 1200:7, ,
heads of federal agencies should make determinations identifying key
agency positions and, the key personnel occupying such positions and •
then take the necessary action to assure that agency key employees
holding key positions are not permitted to hold conflicting
. mobilization assignments with military Ready Reserve.•If employees
are permitted to hold conflicting mobilization assignments, the
agency's emergency operating capabilities may be seriously eroded,.
which is contrary to the purpose and intent of preparedness
planning.
(2) Due to the key federal employee status of Special
Agents, following appointment of a New Agent with Ready Reserve
Status the employee is required, as a condition of employment,
either to request the appropriate branch. of the military to transfer
(screen) him/her from the Ready Reserve to the Standby Reserve, or
request to be discharged from Reserve or National Guard obligation.
Due to availability requirements of all Special Agent personnel, and
in order to permit adequate contingency planning in the event'of an
emergency which would necessitate the mobilization of the Ready .
Reserve, Bureau policy precludes any Special Agent from enlisting,
reenlisting, or reactivating into a Ready ReservejUnit (including
I Individual Mobilization Augmentee (IMA) billets and all National
Guard billets, whether active or inactive). (See MIOG, Part I
j Section 67.)I •
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(
**EffDte: 12/01/1998 MCRT#: 837 Div: D3Cav: SecCls:
1-18 POLITICAL ACTIVITIES
(1) The Hatch Act, Title 5, United States Code (USC),
Section 7324 et seq., prohibits federal employees froM using their
official authority or influence to interfere.with or affect the .result
of an election and from taking an active part in partisan political
management and partisan political campaigns. Partisan campaigns and
issues are ones which are identified with a national or state
political party or political party of a territory or possession of the
United States. Permissible nonpartisan political activity includes
campaigns and issues relating to constitutional amendments,
referendums, approval of municipal ordinances and others of a similar
character. In addition, other federal laws control certain political
contributions.and services; prohibit the political • use of authority
and influence; and prohibit most federal executive agency employees
requesting or receiving from, or giving to, another federal employee,
member of Congress, or officer.of a uniformed service any thing of
value for political purposes. See Title 5, USC, Sections 7321-7323.
" (2) Under the Hatch Act, federal employees do retain the
right to vote as they choose and to express opinions on political
subjects and candidates.
(3) The prohibitions of the Hatch Act are in effect
whether an employee is on or off duty, and they apply to employees on
leave, including employees on leave without pay. Violation of the
Hatch Acts's punishable by discharge "or suspension for not less than
30 days.
(4). Beyond the above-mentioned administrative directiyes
found in Chapter 73 of Title 5, USC, which pertain to political
activities,.employees should also be aware that there are federal .
criminal statutes and penalties relating to (a) promises of, or - • '"
deprivation of, employment in connection with political contributions;
(b) soliciting or making certain political Contributions; or (c)
intimidation to secure political contributions. See Title 18, USC,
Sections 600-607. •
(5) The Office of Persohnel Management (OPM) has compiled
a list of permissible and prohibited political activities derived from
the Hatch. Act. This list, as set forth below, is published in Title
15, Code of Federal Regulations (CFR),ISectIon 734, Subpart al
These provisions apply tolFBI employees, among others.I In addition,
the Department of Justice (DOJ), through regulation (Title 28, CFR,
Section 45.735-19), has adopted the strictures on partisan political.
activities found in the above-cited OPM,regulations.
**EffDte: 08/09/1995 MCRT#: 440 Div: D9. Cav: SecCls: .
1-18.1 Permissible Activities (Title 5, CFR, Section 734, 'Subpart D) (See MAOP, Part I, 1- .
18.1(21 1-18.3(1), 1-24.)I ,
f 1) All employees are free to engage in.political
activity to the widest extent consistent with the restrictions imposed
by law and this subpart. Each employee retains the right to —
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(a) Register and vote in any election;
(b) Express (his or her) opinion as an individual
privately and publicly. on political subjects and candidates (note FBI
policy limitations set forth below); (See MAOP, Part I, 1-18.3.) -
(c) Display a political picture, sticker, badge, or
button (except in situations that are connected to his (or her)
official duties, i.e., such items may not be displayed while on duty,
on government property, including governMent vehicles);,
(d) Participate in the nonpartisan activities of a •
civic, community, social, labor, or other professional organization,
or of a similar organiiation;
(e) Be a member of a political party or other
political organization and participate in its activities to the extent
consistent with FBI policy limitations set forth below and with
federal law; •
. (f)Attend a political convention, rally, fundraising
function; or other political gathering (note FBI policy
limitations set forth below);
(g) Sign a political petition as an individual;
(h) Make a financial contribution to a political
party or organization (BUT SEE Title 18, USC, Section 603, dealing
with contributions to one's federal employer);
(i).Takean active part, as a candidate or in.—.
support ota candidate, in a nonpartisan election (BUT SEE MAOP,
Part I, Sections'1-7, 1-8, 1-9, 1-16, .and, 20-6.1 ET SEQ. which require
ISureaulapproval for outside employment);
(j)•Be politically active in connection with a
question which is not specifically identified with a political party,
such as a constitutional amendment, referendum, approval of a
municipal ordinance or any other question or issue of a similar
character;
(k) Serve as an election judge or clerk, or in a
, similar position to perform nonpartisan duties as prescribed by state
• or local law (BUT SEE MAOP, Part I. Sections 1-7, 1-8, 1-9, 1-16, and
120-6.1 ET SEQ. which requireIBureaulapproval for outside employment);
and
(I) Otherwise participate fully in public affairs,
except as prohibited by law, in a manner which does not compromise'
his/her efficiency or integrity as an employee or the neutrality,
efficiency, or integrity of his/her agency.
-(m) Each employee has the-right teengage in any of
the activities listed in subsections (b), (c), (g), (j), and (I), as
lOng as such activity is not performed in concert with a political •
party, partisan political group, or a candidate for partisan political
office.
(2) Paragraph (1) of this section does not authorize an
employee to engage in political activity in violation of law; while on
duty; while wearing a uniform, badge, or insignia that identifies the
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employing agency or the position of the employee; while in any room or
building occupied in the discharge of official duties; or while using .
a government-owned or leased vehicle or while using a privately owned
vehicle in the discharge of official duties. The head of an agency
may prohibit or limit the participation of an employee or class of
employees of his/her agency in an activity permitted by paragraph (1)
of this section, if participation in the activity would interfere with •
the efficient performance of official duties, or create a conflict or
apparent conflict of interests. (The FBI policy, which is more
restrictive, is set forth below, under "FBI Policy.") (See MAOP, Part
I, 1-18.3(1).)
**EffDte: 03/10/1998 MCRT#: 761 Div: D9 Cav: SacCls:
.rage bl of 114
1-18.2 Prohibited Activities (Title 5, CFR, SectionJ734, Subpart D)11(see MAOP, Partl, 1-
18.3.)1
(1) An employee may not take an active part in political •
management or in a political campaign, except as permitted by this
subpart.
(2) Activities prohibited by paragraph (1) of this .
, section incltide but are not limited to-
(a) Serving as an officer of a political party, a •
member of a National, State, or local committee of a political party,
an officer Or member of a committee of a partisan political club, or
being a candidate for any of these positions;
. (b) Organizing orreorganizing a political party •••-•
• organization or political club;
(c) !Soliciting, accepting, or receiving political
I contributions.f
• (d) Organizing, selling tickets to, promoting, or
actively participating in a fund-raising activity of a candidate in a
partisan election or of a political party, or political .
(e)Taking an active part in managing the political'
campaign of a candidate for public office in a partisan election or a
candidate for political party office;
•••.•••••
• (f) Becoming a candidate for, or campaigning for, an
elective public office in a partisan election; •
(g) Soliciting votes in support of, or in. opposition
to a candidate for public office in a partisan election or a candidate
for political party office;
(h) Acting as a recorder, watcher, challenger, or
similar officer'at the polls on behalf of a political party•or a
candidate in a partisan election;
(i) Driving voters to the polls on behalf of a
political party or a candidate in a partisan election; • •
. (j) Endorsing or opposing a candidate for public
office in a partisan election or a candidate for political party
office in' a political advertisement, a broadcast, campaign, •
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literature, or similar material;
(k) Serving as a delegate, alternate, or proxy to a
political party convention;
• (I) Addressing a convention, caucus, rally, or
similar gathering of a political party in support of or in opposition
to a partisan candidate for public office or political party office;
(m) Initiating or circulating a partisan nominating
petition;
(n) Soliciting, collecting, or receiving a
contribution at or in the federal workplace from any employee for any
political party, political fund, or other partisan recipient;
.(o) Paying a contribution at or in the federal
workplace to any employee who is the employer or employing authority
of the person.making the contribution for any political party,
political fund, or other partisan recipient; and ,
I , (p) peletedl
**EffDte: 08/09/1995 MCRT#: 440 Div: •D9 Cav: SecCls:
1 -18.3 FBI Policy
. (1) As noted above in Section 1-18.1(2) ''the head of an
agency may prohibit or limit the participation of an employee or class
of employeez-of hisither agency in-an stctivity•permitted by Section
1-18.1(1), if participation in the activity would interfere with the
efficient performance of official duties or create a conflict or
apparent conflict of interests." This discretionary authority has
been exercised by the FBI, and, as a matter of policy concerning FBI
standards of conduct, FBI employees are restricted in the nature of
their participation in political activities, partisan or. otherwise.
(2) Of.course, FBI employees retain the right to vote as
they choose and to register and vote in'any election. Also, FBI
employees-are entitled to expreSs their opinions on political matters
and matters of public interest. However, sound diScretion and
judgment dictate that such activity be conducted with the utmost care
so as not to interfere with the efficient performance of the
employee's official duties, or create a conflict or apparent conflict
of interest.
(3) By virtue of our role and status in law enforcement,
the FBI as an organization; and its employees individually, have
assumed some special responsibilities. Employees must recognize that
their participation in political activities can easily be subject to
misinterpfetation and criticism by the public, which can readily
impact on, the efficiency, effectiveness, and integrity of the-FBI as
an organization. Clearly, the more actively and overtly the employee
participates in a political activity and the more directly the
employee is identified as an FBI employee, the more likely the
potential for interference with the efficient performance of the
employee's official duties. Likewise, FBI employees should avoid any
political activity which has the slightest partisan connection
(thereby suggesting that the FBI favors any political party) or which,
by virtue of the employee's participation, will hamper or render less
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effective the performance of the employee or adversely reflect upon
the integrity of the FBI. Employees must fully understand the
inherent difficulty involved in separating thernSelves personally from
their positions as FBI employees where participation in . political
activities is concerned. Also, when an employee participates in
political activity, his/her conduct must comport with the standards of
professionalism and good judgment which are required generally of FBI
personnel.. .
**EffDte: 03/28/1989 MCRT#: 0 Div: D9 Cav: SecCls: •
1 -18.3.1 Off-Duty Political Activities
While off duty, FBI personnel may participate in
permissible political activities, as set forth above. However,
employees must take steps to make it absolutely clear that the
opinions they express Care their own personal opinions, not those of
the FBI. In this regard, employees must not highlight their FBI
employment status unnecessarily through volunteering the fact that
they are employed by the FBI or through conspicuously displaying FBI
insignia when engaging in permissible political activities: Further,
since professionalism and good judgment are required of all FBI
personnel, off duty as well as on duty, employees must not engage in
political activities in a manner which is clearly offensive,
outrageous, nonpeaceful or otherwise unprofessional.
**EffDte: 03/28/1989 MCRT#: 0 Div: D9 Cav: SecCls:
1 -18.3.2 On-Duty political Activities /
(1)While on duty, FBI personnel are prohibited from
engaging in otherwise permissible political activities when in contact•
with the public. Exchanging political views with members of the
public while on duty may suggest favoritism or bias on the part of the • •
FBI toward political candidates or parties: The FBI, like all law
enforcement agencies, must be perceived by the public as nonpartisan
and apolitical. While on duty, employees are prohibited from .
displaying to members of the public any button, sign, advertisement,
etc., of a partisan nature. LikeWise, no advertisement supporting any
political candidate/party or any public issue may be placed on
Government property, including GovernMent vehicles:
(2) In order to ensure harmonious and close working
relations with co-workers in the "workplace, rio pOlitical.buttons,
signs or other advertisements may be displayed within FBI or
Government office space or vehicles. Similarly, FBI employees must
avoid protracted political discussions or debate with co-workers in
the workplace, since such activity can easily disrupt or negatively
impact upon 'harmonious working relations and efficient office
operations.
(3) Failure to adhere to Federal laws and regulations,
and FBI policy, as set forth above, regarding participation in
political activities may result in an employee's discharge,
suspension, or other administrative action.
(4) In the event an FBI employee desires to participate
in some form of political activity (other than partisan political
activity) beyond voting and discreet expressions of opinion on matters
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rAtu. i 6.u.; 1.LUINI 1 AUL' VIELEN AND STANDARDS OF „CONDUCT
of political or public concern, and if there is any doubt about
whether the•activity is prohibited, the employee is advised to seek
I guidance from the Administrative Summary UnitIPersonnelpivision,
FBIHQ. '
**EffDte: 04/21/1994 MCRT#: 226 Div: D9 Cav: SecCis:
1 -19 CONFIDENTIAL NATURE OF FBI OPERATIONS
(1) Employees must afford confidential orders involving
special assignments and, in some instances, transfers appropriate .
secrecy in accordance with the exigencies thereof. Should there be
any doubt in these matters, the advice of the SAC or ASAC should be
sought.
Page 64 Of 114 —
(2) Employees are required to keep strictly _confidential
all information secured in their official capacities. Failure to
abide by this provision violates Department of Justice regulations and
may violate certain statutes providing severe penalties. (See also
I regulations set out in Manual of Investigative Operations and •
I 'Guidelines, Part 2 Section 26,Ion unauthorized disclosure of
classified security information.)
**EffDte: 04/20/2001MCRT#: 1090 Div: D5OP Cav: SecCls:
1 1-19.1 Unofficial Contact with*Nationals from Foreign NationsWhose Interests may be
Hostile to the Interest of the United States pee National Foreign Intelligence" Program Manual,
introduction, 1-1.1.)
• - -
All. employees must immediately report to their Security •
Officer all contacts with any individual from a National Security •
Threat List (NSTL) country and any contact with individuals of any
nationality, either within or outside the scope of their official
duties, in which illegal or unauthorized access is sought to
classified or sensitive information. Employees must also report
contacts in which they feel they may be the target of actual or
attempted exploitation by a foreign entity. The employee should be
debriefed by the Security Officer who will forward an appropriate
communication to the Personnel Security Unit, National Security
Division, FBIHQ. Include in the report the date, time, and place of
the contact; the name(s) of the individual(s) involved; and complete
details of the contact.! "
**EffDte: 03/10/1998 MCRT#: 761 'Div: D5 Cav: SecCls:
1-20 TRAVEL OUTSIDE THE UNITED STATES AND ITS POSSESSIONS (See' MIOG, part
67-11.)
(1) All FBI'employees who haveSensitive.Compartmented
Information (SCI) access and are planning official/unofficial foreign
travel must be afforded a Hostile Intelligence Threat (HIT) briefing
prior to their foreign travel. Upon return, a debriefing should'be
conducted and the completed, signed FD-772 should be forwarded to the
Security Programs Manager (SPM), National Security Division, FBIHQ.
A copy of the FD-772 should be placed in the employee's security
subfile (67 Sub S).
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I
(2) FBI employees who do not hold SCI access should
. report their foreign travel to non-NSTL countries to their Security .
1 Officerj(SO). The!original FD-772 should be sent tolPersonnel
1 Security Unit, National Security Division, FBIHQ, and a copy placed in
.1 the employee's field office security subfile (67 Sub S).!
(3) All FBI employees who travel to an NSTL country (see
National Foreign Intelligence Program Manual, Introduction,
must report that travel to their SO who will afford the employee an
HIT briefing to include, but not limited to, the following:
(a) Employee is-to be advised of recruitment .
approaches utilized by hostile intelligence services:.
(b) Employee is to be instructed to immediately
contact the nearest U.S. Consulate, Attache, or Embassy if detained or
subjected to significant harassment or proyocatiori while traveling;
(c) Employee is also to be instructed not to
disclose nature of employment;
(d) Employee will be debriefed by the appropriate .
Security Officer upon return to his/her office of assignment;
(e) That if a substantial objective basis exists,
the employee will be requested to submit to a polygraph examination
pertaining to counterintelligence issues, in accordance with the
Mahual of Investi•ative 0•erations and Guidelines Part 2 Section •
13-22.13.1.
(4) Form FD-772 reporting foreign travel' to NSTL —
countries should include the briefing/debriefing date and signature
of.the SO/employee. This form, along with the employee's
communication (if applicable) advising of recruitment approaches, •
• , harassment, or provocation, should be immediately forwarded to the
SPM with a copy retained in the employee's security subfile (67 Sub'
S).
•
(5) Any foreign travel by FBIHQ employees should be
reported on Form FD-772, which should be sent to their FBIHQ division
I SO forlforwarding to the SPM.I
"EffDte: 06/22/2000 MCRT#: 993 Div: D5 Cav: SecCls:
1-20.1 Security Briefings to Immediate Relative(s) of FBI Employees Traveling/Residing
in Foreign . Countries (Specified Hazardous Area)
(1) FBI personnel should notify the Securityplearances1
Unit, FBIHQ, or the appropriate field office Security Officer, if an
immediate family member intends to visit or reside in a specified
hazardous country and seeks the assistance of the SPM's office.
(2) Upon a request from the employee, the immediate
relative will be afforded a hostile intelligence threat briefing by
the appropriate Security Officer to include, but not be limited to,
the following: •
(a) Immediate relative of employee is to be advised
of recruitment approaches utilized by foreign intelligence services;
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• . MAOP PART 1 SECTION 1 ACTIVITIES AND STANDARDS OF CONDUCT Page 66 of 114
(b) Immediate relative of employee is to be
instructed to contact the nearest U.S. Consulate, Attache, or Embassy
in the.case of an emergency or life threatening situation, or if
detained or subjected to significant harassment or provocation;
(c) Immediate relative is to be instructed not to
disclose nature of employment of FBI personnel who are family members;
(d) ImMediate relative will be debriefed by the
appropriate Security Officer.
(3) FBIHQ is to be advised of the briefing date, identity
of briefing official, and that the employee's immediate relative has
agreed to the provisions set forth in (2), supra. When the travel has •
been completed, the employee's field office will debrief the relative .
I and should advise the SecuritylClearanceslUnit, FBIHQ, of the
debriefing date, identity of debriefei, and any information conceening ,
recruitment aproaches; harasment, or provocation experienced while
in a travel status.
**EffDte: 03/26/1992' MCRT#: 0 Div: D5 Cav: SecCls:
1 -21 EMPLOYEES' RIGHTS UNDER THE PRIVACY ACT OF 1974
**EffDte: 03/26/1992 MCRT#: 0 Div: PAD9 Cav: SecCls:
1-21.1 Privacy Act of 1974 .
accordance with a provision of the Privacy Act,(Title _
5, USC, Section 552a(e) (3)), each FBI employee who is requested to
provide personal information about himself/herself or his/her personal
activities must be apprised of the authority which allows. the
solicitation of infc;rmation, whether providing the information is
mandatory or voluntary, the purpose and use to be made of that
information, and the effects on that individual if individual does not
provide this information. This notice need not be provided if the
solicitation of information from the employee is related to an
investigation of alleged criminal activity. Each applicant for
employMent with the FBI is furnished a statement contained in our
I Application for Employment (FD-140)Iand in the font, entitled Applicant
I Background Survey (FD-804),I This statement includes the FBI authority
to conduct personnel investigations pursuant to Title 28, Code of
Federal Regulations, Section 0:137, the reasons and uses of the
solicitation of information which was to determine the suitability for
•employment, and advises that willfully making a false statement or
concealing a material•fact would be the basis for dismissal if an
applicant.received an appointment. In addition to the above, each
employee should be aware that he or she may be,asked to furnish
information concerning themselves by completing various forms during
their tenure with the Bureau in order for the Bureau to carry out its
many administrative duties and responsibilities.
**EffDte: 10/13/1993 MCRT#: 110 Div: PA Cav: SecCis:
1 -21.2 Standards of Conduct
(1) All employees are expected to abide by the standards
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l of conduct set forth in Executive Order112674Idated April 12, 1989,
Departmental Order 350-65 and rules and regulations of the FBI
pursuant to the above-Mentioned authority set forth in the Code of
Federal Regulations.
(2) According to these regulations, investigations will
be conducted in connection with violations of the standards and will
include an interview of the employee involved. The purpose of the
inquiry will be to determine whether disciplinary action is warranted.
The inquiry may encompass any conduct which is reasonably-related to
work performance, Thus, a disciplinary inquiry is not.restricted to
activities within the critical elements and performance standards of
the employee's position and may also include on- or off-duty conduct
.when such conduct affects an employee's ability to perform his or her
job or adversely affects the bureau's ability to secure needed . •
cooperation from members of the public. If an employee refuses to
cooperate in an interview during an administrative inquiry regarding
work performance or other conduct which affects job performance, that
employee could be disciplined for insubordination. Failure by an
employee to follow all regulations will result in appropriate
disciplinary action, including possible dismissal.
It is not intended that an administrative inquiry will involve an
unreasonable intrusion into the private lives of FBI employees: These
inquiries will be pursued only where there are indications that the
conduct in question impacts upon Work.performance and/or-the ability
of the FBI to discharge its responsibilities.
• **EffDte: 09/22/2004 MCRT#: 1352 Div: OP Celt: SecCls: ,
1 -21.3 Penalties
The Privacy Act of 1974. sets forth-the following
provisions which you should be aware of regarding criminal penalties
which- may be imposed under certain circumstances:
(1) Any officer or employee of an agency, who by virtue
of employment or official position, has possession of, or access to,
agency records which contain individually identifiable information,
the disclosure of which is prohibited by this section or by rules or
. regulations established thereunder; and, who knowing that disclosure
of the specific material is so prohibited, willfully discloses the
material in any manner to any person or agency not entitled to receive
it, shall be guilty of a misdemeanor and fined not more than $5,000.
(2) Any officer or employee of any agency who willfully
'maintains a system of records without meeting the notice requirements
of subsection (e) (4) of this section shall be guilty of a misdemeanor
and fined not more than $5,000. '
• (3) Any person who knowingly and willfully. requests or
obtains any record, concerning an individual from an agency under false -
pretenses shall be guilty of a misdemeanor and fined not more than
$5,000.
**EffDte: 03/26/1992'MCRT#: 0 Div: PAD6 Cav: SecCls:
11 -22 INTELLIGENCE OVERSIGHT BOARD (See NFIPM,12 .-56.)I
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(1) The President, by Executive Order 12863 of
September 13, 1993, established the Intelligence Oversight Board as a
standing committee of the President's Foreign Intelligence Advisory
(Board. The]Board is charged with reviewing activities of the
Intelligence Community and informing the President of any activities
that any member believes are in violation of thelConstitution, thel
laws of the UnitediStates, orlExecutive Orders, or Presidential
Directives. 1In this regard, the Board will receive and consider
reports of InspeCtors General and General Counsels of the Intelligence
Community concerning any, intelligence activities of their
organizations that they have reason to believe may be unlawful or
contrary to Executive Orders, Presidential.Directives, or other
guidelines or regulations approved by the Attorney General, in
'accordance with Executive Order 12333, if Such provisions were
intended to protect the individual rights of a United States person.'
(2)1In the FBI, reports to the Board are submitted
by the General Counsel (or the General Counsel's designee). Employees
must refer matters which they believe may require submission to the
Board to the Office of the General Cbunsel (OGC), Attention: National'
Security Law Branch (NSLB). It should be noted that matters involving
allegations of illegal or improper personal conduct on the part of
government employees generally are not matters within the purview of
the Intelligence Oversight Board. Accordingly, allegations of illegal .
or improper personal conduCt which are 'not related to the FBI's
intelligence or counterintelligence responsibilities, if detected,
should be reported to the FBI's Office of Professional Responsibility.
,dditionally rwhile reports of overdue administrative orinvestigative
activities conducted under the NSIG may be considered in •
evaluating the work performance of FBI employees, such errors are not
required to be i-eportedto'OGC as potential 10B matters.1
1(3)1 Pursuant to provisions of ExecutiVe Order112863; of
September 13, 1993, on a quarterly basis, each field'office and
FBIHQ division, is required to submit to the OGC, Attention: NSLB, an
electronic communication (EC) certifying that all•employees of the
office or division havebeen contacted cohcerning the requirement to
report any intelligence or counterintelligence activities within their
office or division that they believe may be unlawful or contrary to
Executive Order, Presidential Directive, or Departmental regulation.
Such canvassing may be accomplished by e-mail. EC certifications
reporting the results of employee canvassing may be signed out by an
•SAC or Deputy Assistant Director, as appropriate. Allegations of
potential 10B violations not previously reported pursuant to the
requirements of Section 2-56 of the NFIPM shall be reported to OGC
within 14 days of discovery. The failure to report such matters, for
whatever reason, may result in severe disciplinary-action, up 'to and
including dismissal from the FBI.1
1(4) Questions concerning the-10B process or reporting
procedures should be directed to the NSLB, OGC.1
**EffDte: 03/08/2004 MCRT#:- 1324 Div:D5D9D0 Cav: SecCls:
11 -231 DEPARTMENT OF JUSTICE OFFICE OF PROFESSIONAL RESPONSIBILITY
(1)•By Departmental Order No. 635..75, the Department of
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MAOP PART 1 SECTION 1 ACTIVITIES AND STANDARDS OF CONDUCT
( • • .
Justice Office of Professional Responsibility (DOJ-OPR) was created to
oversee investigations of allegations of criminal or ethical
misconduct by departmental employees. The office, headed by a •
Counsel, is responsible for reviewing allegations against departmental
employees involving violations of law, regulations or standards of . •
conduct. To this end, DOJ-OPR serves as a special review and advisory
body, reporting directly to the Attorney General or, in appropriate
cases, to the Deputy Attorney General or the Solicitor General.
(2) Each employee has the responsibility to report
promptly, any indication of possible exploitation or misuse of Bureau
resources; information as to violations of law, rules or regulations;
personal misconduct; or improper performance of duty as stated in
MAOP, Part I, 13-1. Reporting may be to supervisorS, the Director,
the Office of Professional Responsibility, Inspection Division, FBIHQ,
or directly to the Department of Justice Office of Professional
Responsibility, Washington,.D.C.
(3) Each SAC and division head is to bring the above,
reporting requirement to the attention of all employees on June 1, and
December 1, of each year. Forward a letter to the attention of Office
of Professional Responsibility, Inspection Division, when this has
been accomplished.
(4) Whenever any employee prbvides information pursuant
to this requirement, that employee's confidentiality shall be
maintained unless the employee consents to the release of his or her
identity or it is determined by DOJ-OPR that the disclosure of the.
identity is necessary to resolve the allegation.
"EffDte: 07/18/1988 -MCR f'#:'0 Div: OP Caw SecCFs:
1 11 -23.11 Protecting EmplOyees (Whistleblowers) From Offidial Reprisals
(1) Pursuant to the Civil Service Reform Act of 1978,
Section 2303 of Title 5, United States Code, as added by Section .
101(a), employees of the FBI who disclose information of violation of
law, mismanagement, gross waste of funds, or other misconduct are
. protected from official reprisals. Official reprisal includes; but is
not limited to, punitive personnel action taken or favorable action,
not taken in order to penalize an employee for having discharged the
duty to report. This protection is assured by the monitoring of such
employee's subsequent career by Office of Professional Responsibility,
Inspection Division; in order to detect any official reprisal.
(2) Office of Professional Responsibility, Ins'pection
Division, will receive complaints of reprisal and furnish any evidence
to the Director and DOJ-OPR. CoMplaints may also be made directly to
DOJ-OPR. If the Counsel, DOJ-OPR, determines that reasonable grounds
exist to believe that personnel action was taken or favorable action
not taken as a reprisal for disclosure of information, the Attorney .
General'may, upon request by the Counsel, DOJ-OPR, stay such action:— •-
**EffDte: 07/18/1988 MCRT#: d Div: OP Cav: SecCls:
1 -24 PREPUBLICATION REVIEW
(1) CROSS-REFERENCES: MAOP, Part 1, 1-16 (Outside
Employment); 1-18 (Political Activities); 1-26 (Employee Public
•
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(
Speech Rights and Obligations); 1-27 (Service as an Expert Witness);
20-6 (Outside Employment), and 20-28.3 (Administration and
Requirements of PTAP). See also 28 CFR Section 17.144 (Nondisclosure
of Classified Information) and 5 CFR Part 2635 (Standards of
Conduct).
(2) BACKGROUND (See MAOP, Part 1, 1-14 (4).)
(a) This section promulgates regulations and
provides guidance on the FBI's prepublication review program'. It •
applies to both current and former employees and is meant to regulate
individual conduct as well as to set forth organizational policy.
(b) As a condition of employment, all FBI personnel
signed an "Employment Agreement" (FD-291) in which they promised to
never divulge, publish, reveal, or otherwise disclOse any information
or material from or relating to FBI files or any other information
acquired by virtue of their official employment, duties, or status,
without the written permission of the Director. Each employee also
promised to present the full text.of any proposed disclosure in
writing for the Director's consideration at least 30 days in advance
of•the proposed disclosure. BREACH OF THESE OBLIGATIONS I • GROUNDS •
FOR DISCIPLINARY ACTION, A CIVIL SUIT AGAINST THE OFFENDER, OR BOTH.
IN SOME INSTANCES, UNAUTHORIZED DISCLOSURE MAY ALSO CONSTITUTE CAUSE
FOR REVOCATION OF A SECURITY CLEARANCE OR BE A CRIMINAL OFFENSE. For
example, Title 5, USC, Section 552a(i)(1) makes it a crime to
wrongfully disclose individually identifiable information from a
system of records protected by the Privacy Act; and Title 18, USC,
• Section 1905 makes it a crime for federal employees to wrongfully
disclose trade secrets acquired during the course of their
employment:—
The FBI prepublication review program is •
designed to implement the Employment Agreement by establishing a
process by which employees and former employees who wish to make
disclosures—WHETHER ORAL, ELECTRONIC, OR WRITTEN—within the scope
of the agreement may request permission to do so. By its nature, the
prepublication review process contemplates a.tangible expression.of
information. Most often this involves a writing but, regardless of ,.
the medium through which a disclosure is to be made (written, oral, •
elebtronic, etc.), an employee's obligation under the Employment
Agreement is NOT to disclose ANY informatioriwithin the scope of the
agreement without written permission to do so.
1. Thus, outlines of oral presentations, drafts
and manuscripts of fictional or nonfictional written works, software
and other electronic works, and so forth must be submitted for , .
prepublication review if their subject matter falls within The scope
of the Employment Agreement.
2. Disclosures made in the performance of
official duties are outside the scope of the prepublication review
program. Officiespeecne-s7writingt, and publications are reviewed
and authorized by cognizant FBI officials and need not be further
reviewed. (See MAOP, Part 1 1-12.)
3. Completely extemporaneous oral disclosures, ,
by their very nature cannot be reviewed in advance. This does not
mean that an employee or former employee can disregard the terms of
the Employment Agreement when making such disclosures; on the
contrary the Agreement covers ALL disclosures, not just written ones.
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It does, however, mean that as a practical matter, compliance with
the prepublication review program is impossible in such situations.
Thus, while an employee or former employee may be held accountable
for making an extemporaneous oral disclosure of information obtained
during the course of FBI employment without permission to do so, he
• or she will not be sanctioned for failing to comply with the
prepublication review program.
. (d) Compliance with the prepublication review
program does not relieve a current employee from the obligation to
comply with the FBI's outside employment rules or the Standards of .
Ethical Conduct for the Executive Branch. Thus, current employees' .
must ensure that any acceptance of compensation for speaking or
writing conforms to these rules and standards.
(3) BASIC RULE (See MAOP, Part 1, 1-14 (5)..)
(a) Current and former employees must submit to.the
Office of Public and Congressional Affairs (OPCA) for prepublication
review any nonfiction or fiction work,. regardless of the medium in •
which the work is to be memorialized, that they intend to publish or
otherwise divulge which•discusses, concerns, is based on, derived
from, or otherwise relates to any data, information, files,
documents, or materials acquired from or relating to FBI files or any
other information acquired by virtue of official employment, duties,
or status.
1. No disclosure is authorized prior to the
completion of the prepublication review process. Thus, oral
disclosures and disclosures of drafts, initial manuscripts,, and so -
forth to prospective'publishers, co-authois,,ghost-wrfters,• -
attorneys, or other persons not properly authorized to have access to
the information in question are prohibited if the subject of the •
disclosure falls within the scope of the basic rule.
2. Works that clearly have nothing to do with
the FBI or its activities, investigations, mission, or which are not -
otherwise related to any information, documents, or materials
acquired by virtue of FBI employment, duties, or status need not be
Submitted for review. For example, a book of children's stories, an
article on stamp collecting, or an outline of a presentation on
religion need not be submitted for prepublication review.
3. For further information, see 28•CFR
Section 17.144.
(4) PROCEDURES
(a) The following procedures govern the
prepublication review process:
1. Submissions must be made in writing even if
an oral disclosure is contemplated. Submissions must be presented to- --
OPCA at least 30 WORKDAYS in advance of the proposed disclosure.
(Some oral presentations are not scheduled that far in advance. In
such cases, the concerned employee must submit the related written .
materials as far in advance as possible. The Bureau will endeavor to
review the material in a timely manner but disclosure is not
authorized until the reviewls complete.).
2. OPCA will coordinate the
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• prepublication review process for the Director. In this regard, OPCA
will
a. provide assistance to persons with
questions about the prepublication review process.
b. prepare the FBI response to each request
for prepublication review not later than 30 workdays after the
request and all related materials are received by the FBI. (The day
of receipt is not counted for purposes of calculating the 30 work day
period but the day of response is.)
c. screen all requests:
• • (i) If no further review is required,
then OPCA will inform the requester in writing that the FBI has no
objection to disclosure or publication of the material in question.
(ii) If further review is 'required,
then OPCA will refer the work, in writing, to a prepublication review
panel (see below), via the responsible' division Assistant Director
(AD), and inform the requester in writing that the work has been
received and is under review.
(iii)If the request reveals that the
author has breached his or her EmplOyment Agreement by making an
unauthorized disclosure prior to submitting the work for review, then
OPCA will forward copies of the request and the work to the Deputy
General Counsel, Litigation Branch, Office of the General Counsel .
(OGC) for possible institution of civil suit against the author:If
-tile author is a current employee, then OPCA shall also forward copies_
• to the Personriel Security Unit, National Security Division, for
evaluation of the effect of the, disclosure on the employee's
, continued trustworthiness and security clearance, and to the Office .
of Profesional Responsibility (OPR) for further investigation. OPCA
will also simultaneously pursue the•actions described in •
subparagraphs (i) or (ii) above, as appropriate in such cases, unless
directed to the contrary by OGC or OPR.
3. A prepublication review panel shall review
all works referred by OPCA for further review:
a. Three panels shall be constituted. Each
panel shall be comprised of one FBI employee from each of-the
following: the Criminal Investigative Division, the National
Security DiviSiondthe Counterterrorism Division, the Investigative •
Services Division,Ithe Information Resources Division, the Laboratory
Division, and the Training Division. Members will be appointed in
writing by their respective division AD and shall serve one-year
terms. Designated attorneys appointed by the General Counsel shall
provide legal advice and counsel to the panels, as needed.
•-••• b-.'OPCA shall refer a work to-a panel via
the AD who,.in OPCA's judgment, has the greatest interest in the
subject matter of that particular work. (Advance copies of the work
will be provided directly to the panel members by OPCA to permit them
to begin their substantive review.) That AD shall then be
responsible to OPCA, acting for the Director, for ensuring that the
panel to which the work is assigned completes its review in a timely
and substantively correct, manner. The . panel member from the division
through which the work is referred by OPCA shall act as the
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• (
chairperson for the review panel for that particular work and is
responsible to his or her respective AD for completing the review in
a timely and substantively correct manner.
c. When a work is referred to a panel, each
member shall review the work in question using the standards set
forth below and such guidelines as may be provided by OPCA. (OPCA
I will provide the panel withisevenlcopies of the work at the time of
the referral, one for each member.) The panel may request the
assistance of any FBI employee with specialized knowledge or skills
in reviewing the work. Additionally, the panel may request the
assistance of personnel from other agencies or entities If the work
pertains or relates to matters under the cognizance of or involves
the expertise of such agencies or entities.'
d. The panel may meet to . discuss the work
or otherwise determine how to proceed at the discretiOn of the
• chairperson. The panel will either authorize disclosure in full or
provide written objections to specific portions (by page and
paragraph number) specifying why-the FBI should withhold permission
. to disclose. The chairperson shall be responsible for writing up the
panel's findings but may task any member of the panel with assisting. •
The panel's findings must be submitted to OPCA not later than five
workdays before the date when the FBI response is due to the author.
OPCA may presume that the panel has no objections to the work if this
deadline is not met.
4. If a panel objects to disclosure of any
portion of a work, OPCA shall notify the requester that the FBI
withholds permission to disclose or publish the portions to which the
board has objected ar.d•request -stiCh m-OtificaMns aS- may be
necessary. If the author submits corrected portions for further
review, OPCA will continue to work with the requester and the
concerned panel until final clearance is authorized. If a particular
matter cannot be•esolved, then the requester may appeal to the .
Director. The decision of the Director is final, except that "
decisions relating to the deletion of classified information may be
appealed to the Deputy Attorney General per 28 CFR Section
17.144(s)(3).
5. If a current or former employee publishes or
otherwise discloses information within the scope of the Employment
Agreement without obtaining the requisite FBI authorization, and OPCA .
(or any other FBI entity employe) learns of the violation, then
they will refer the case to the Deputy General Counsel, Litigation
Branch, OGC and to OPR and the Personnel Security Unit if the
individual is a current employee. OGC will determine whether
institution of civil suit is warranted. OPR will investigate the
•matter and refer the case, if warranted, for consideration of
appropriate disciplinary action to thelAdjudicationIUnit.
The Personnel Security Unit will evaluate the effect of the
disclosure on the employee's continued trustworthiness for security
access and clearance.
6. Any work submitted for prepublication review
is presumed to be proprietary and shall not, with the exceptions set
forth in paragraph 3.c. above, be disseminated to any person not
involved in the prepublication review process or in the enforcement of
that process. In general this means that the work shall not be
disclosed outside OPCA and the concerned prepublication review panel
except on a "need-to-know" basis during the prepublication review
- •
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process, and to OGC and OPR during the enforcement process. No copies
of the work may be made without the approval of OPCA.
(5) STANDARDS
(a) The following standards will be observed during
the review process:
1. Proposed disclosure or publication by
current or former employees of the following ordinarily will be
grounds for objection: '
a. Information protected from agency
disclosure by the Privacy Act;
b. Information that is classified or the
disclosure of which"could otherwise harm national security;
c. Information that reveals sensitive law
enforcement, intelligence, or counterintelligence techniques, "
sources or methods; or that reveals the sensitive, confidential, or
proprietary techniques, sources, or methods of other agencies or
governmental entities;
d. Information that would reveal grand jury
material protected from disclosure by'Rule 6(e) of the Federal Rules
of Criminal Procedure;
'e. Information that would reveal the
identity of a confidential source or informant;
f. Information that relates to any
sensitive operational details or the substantive merits of any
ongoing or open investigation, inquest, probe, prosecution, appeal;
or case;
g. Information that consists of the
proprietary information of another, including trade secrets;
h. Information pertaining to wiretaps or
intercepts protected or regulated by Title III (Title 18, USC;
Sections 2510-2520);
i. Information pertaining to currency
transaction reports regulated or protected by Title 31, USC, Section
5319; .
j. Tax return information regulated or
protected by Title 26, USC, Section 6103;
k. Information pertaining to contractor
bids or proposals or source-selection, information before the award of
the procureMent contract to which the information relates;
I. Information protected from disclosure by
any other federal statute or regulation; and
m. Information exempt from disclosure under
the Freedom of Information Act (Title 5, USC, Section 552) unless the
material is clearly already in the public domain.
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2. No objection to disclosure or publication by
a current or former employee will be interposed solely because a work
is critical ordisparaging of the FBI, the government; or its •
officers and employees. If, however, a work by A CURRENT EMPLOYEE
contains material the disclosure of which would adversely affect the
ability of the FBI to effectively and efficiently fulfill its
responsibilities to the public (including speech concerning private
grievances or that impairs discipline or harmony among co-workers or
exerts a detrimental impact on close working' relationships for which
personal loyalty and confidence are necessary), then the declarant or
author shall be informed that disclosure or publication may result in
adverse consequences,. including disciplinary action. In other words,
the FBI will not object to the disclosure or publication of such •
.material but the declarant or author may be warned that disclosure is
not withdut potential consequences.
3. No objection will be interposed solely
because,of errors ('factual, grammatical, or otherwise) in the work.
**EffDte: 06/20/2000 MCRT#: 997 Div: PA Cav: SecCis:
1 1-25 DRUG DETERRENCE PROGRAM (DDP) CONSISTING OF THE DRUG-FREE
WORKPLACE PROGRAM (DFWP) AND ALCOHOL AND CONTROLLED SUBSTANCE
ABUSE PROGRAM (ACSAP) (See MAOP, Part 1,124-8.2(3).)1
**EffDte: 02/26/2003 MCRT#: 1259 Div: D3 Cav: SecCls;
: •„. • ••• •,;"
I 1 :25.1 Background andlPurpose, Dpwpi
(1) On May 7, 1986, the FBI and the DEA adopted a joint
I policy statement that sets forth the details of thelFBI's Drug-Free
Workplace Program (DFWP),I All • were notified of the new
FBI/DEA policy by the Directors June 3, 1986, Memorandum to All
Employees. On July 28, 1986, Agent applicant testing commenced:
(2) On September 15, 1986, President Reagan signed
Executive Order (EO) 12564 establishing the goal of a drug-free
federal workplace. The order made it a condition of employment for
all federal employees to refrain from using illegal drugs on or off •
duty.
(3) The EO recognized that illegal drug use seriously
impairs a portion of the national work force. The FBI is concerned.
with the well-being of its employees, the successful accomplishment of
its missions, and the need to maintain employee productivity. The
intent of a drug-testing policy is to offer a helping hand to those
who need it, while sending a clear message that any illegal drug use
is incompatible with federal service.
(4) On July 11, 1987, legislation was enacted affecting
implementation of the EO under Section 503 of Public Law 100-71 in an
attempt to.establish uniformity among federal agency drug-testing
plans, reliable and accurate drug testing, employee access to drugtesting
records, confidentiality of drug test results and centralized
oversight of the federal government's drug-testing program.
(5) The purpose of thelFBI's DFWPlis to set forth
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objectives, policies, procedures, and implementation guidelines to
achieve a drug-free federal workplace, consistent with the EO and the
mandatory guidelines required by subsection (a)(1)(A)(ii) of Section
503 of Public Law 100-71. The intent of Congress and the President is
clear: illegal drug use by federal employees, on or off duty,
. particularly in agencies such as the FBI, is inconsistent with the
national security and with the public's health and safety.
"EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCis:
111-25.1.1 Background and Purpose, ACSAP
, • •
(1) The Omnibus Transportation Employee Testing Act ("the
Act") of 1991 (Public Law 102-143), was signed into law by former
President Bush on October 28, 1991. The Act requires alcohol and drug
testing of safety-sensitive employees in the aviation, motor carrier,
railroad and mass transit industries.
(2) The Act recognizes that alcohol abuse and illegal
drug use pose significant dangers to the safety and welfare of the
Nation. Millions of the Nation's citizens utilize fransportationty
aircraft, railroads, trucks, and buses and depend on the operators of
such to perform in a safe and responsible manner.
(3) The Act further acknowledges that efforts must be
expended to eliminate the abuse of alcohol and use of illegal drugs by
individuals involved with the operation .of these vehicles. The use of
alcohol and illegal drugs has been demonstrated to affect -
significantly the performance of individuals, and has been proven to
be a critical factor in transportation accidents. Testing h as shown
to be the most effective deterrent to abuse of alcohol and the useOf
illegal drugs.
(4) The Secretary of Transportation was charged with the
responsibility of expanding drug and alcohol testing regulations.
These regulations would affect over.seven million employees in the
transportation industry, to include certain covered employee's within
the federal government. Final rules were published in the Federal
Register on February 15, 1994.
(5) In response, the FBI's Deterrence Program
developed a comprehensive Alcohol - and Controlled Substance Abuse
Program (ACSAP) for all FBI employees operating commercial motor
vehicles for official Bureau business. This program was approved by
the Director on February 19, 1999.
(6) The intent of the FBI's AlCohol and Controlled
Substance Abuse program is to prevent accidents and injuries resulting
from alcohol and/or illegal drug use.I
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCis:
I 1-25.2 Statement ofIPolicy, DFWPI
(1) The FBI has been charged with enforcing•the federal
narcotics laws and is expected to be drug-free. It has been a •
longstanding FBI policy that employees should never cause-themselves
to be mentally or physically unfit for duty. (See MAOP, Part 1,
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Section 1-2 supra.) The use of illegal drugs is strictly prohibited
at any time. As employees of the nation's chief federal law
enforcement agency, FBI employees must not themselves engage in
criminal conduct. See the Memorandum to all Employees dated May 15,
1981, captioned "Disciplinary Matters," regarding the FBI Personal
Conduct Policy.
(2) The very nature of the FBI's investigative work and
unique mission in the criminal; domestic security, foreign
counterintelligence and security-loyalty background areas demands that
a high degree of special trust be required not only in the conduct of
these investigations but-also by all personnel who are involved in the .
reporting, processing' and filing of our investigative results. The
unauthorized dissemination of material or information developed during
our investigations or maintained in our files (by employees such as
Office Automation Clerks/Assistants as well as by Special Agents)
would significantly affect our mission, endanger the lives or safety
of our Agents or informants, destroy or diminish their usefulness and
invade personal privacy. Thus, it is imperative that ALL employees '
conduct their lives in such a way that' they are free from potential
blackmail or other possible' pressure from agents of hostile foreign •
governments who wish to procure sensitive information contained'in the
FBI's records.
(3) Pursuant to Office of Personnel Management (OPM)
guidelines, all positions within the FBI are designated "critical '
sensitive," permitting employees access to classified information.
Federal drug testing can be done on all jobs labeled "critical
sensitive"; therefore; all FBI positions are testing designated.
Furthermore, EOs 10450 and 12356 and Director of Central Intelligence
Directive 1/14 make itclearthat-drug use by federal employees with : -
access to classified , information is NOT consistent with the interests ..
of national security.
(4) In carrying out the FBI's mission, Special Agents
conduct many types of investigations over which the FBI has
jurisdiction; must be available for general and 'special assignments
whenever and wherever their services are required; must apprehend
subjects, many of whom are armed and dangerous; participate in
undercover assignments; operate automobiles at high speed; be able to
subdue persons and defend themselves and others as required; and must
operate scientific crime detection devices and investigative
equipment, and firearms, exploSives and gases. Therefore, they must
remain alert and in total control of their physical and mental
faculties and unencumbered by drugs. The FBI believes that the.threat
to public safety posed by Special Agents (as well as a wide variety of
support employees with investigative duties) whose judgment may be
impaired by illegal drug use is a legitimate factor in establishing a
mandatory urinalysis drug-testing program. .
,• (5) Assignments for Special Agents and many support
employees alike necessitate appearing and testifying before courts,
grand juries, and other judicial and administrative tribunals. Hence,
FBI employees who are themselves violating the drug laws would be •
impeachable and lose all credibility as witnesses.
As a result of the above, the FBI has an especially compelling
obligation to deter'and eliminate illegal drug use from its workplace.
FBI officials have a legitimate interest in assuring that all
employees are not under the influence of illegal drugs and that they
arefully capable of performing their duties. The FBI believes this
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summary of the necessity for Special Agents to be unencumbered by the •
effects of illegal drug use to be equally applicable to all support
positions within the FBI as job functions associated with these
positions directly and immediately relate to public health and safety,
the protection of life and property and/or to the national security.
(6) TheIFBI's DFWPItherefore established a.comprehensive
drug-testing program which, as applied to FBI employees, consists of
the following:
(a) The testing/screening of all applicants seeking .
employment;
(b) The testing of probationary Special Agents
during the•first two years of employment;
(c) The testing of employees when there is
reasonable suspicion of illegal drug use;
(d) The testing of all employees under a "random,
testing" program;
(e) Follow-up testing; and
(f) The testing of employees on a voluntary basis.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Caw SecCls;
1 -25.2.1 Statement of Policy , ACSAP
(1) FBI employeeS who operate commercial motor vehicles are
charged with operating these vehicles in a safe and responsible manner.
It has been a longstanding FBI policy that employees should never cause
themselves to be mentally or physically unfit forduty. (See MAOP, Part
1, Section 1-2 supra.) The use of illegal drugs'is strictly prohibited as is
the use of alcohol and/or controlled substances, except when the
controlled substance use is pursuant to the instructions of a physician
who has advised that the use does not adversely affect the ability to safely
operate a commercial motor vehicle.
(2) As a result, the FBI's ACSAP has a compelling obligation to deter
alcohol and/or drug use by FBI employees who operate commercial motor
vehicles. To ensure compliance, the ACSAP will test commercial motor
vehicle operators under the following categories:
(a) Post-Accident Testing - A driver will be tested as soon as
practical following an accident involving a Commercial Motor Vehicle, '
when he/she:
1. Was performing safety-sensitive functions with respect
— the.vehicle, if the accident involved the loss of human life; or
2. Received a citation under state or local law for a moving
. violation arising from the-accident.
(b) Random Testing - A Commercial Motor Vehicle.Operator will
be subject to random testing while the driver is performing safety-sensitive
functions, just before the driver is to perform safety-sensitive functions, or
just after the driver has ceased performing such functions.
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(c) Reasonable Suspicion Testing - This type of testing for drugs
and/or alcohol may be required when the employees management official
has reason to believe that the driver has used or is using illegal drugs and/or
alcohol. This belief must be based on specific, contemporaneous articulable
observations concerning the appearanCe, behavior, speech or body odors of
the driver.
(d) Return-to-Duty Testing - This type of testing will be required -
after the driver has engaged in prohibited alcohol use.
(e) Follow-Up Testing - This type of testing will be required
following a determination, by a Substance Abuse Professional, that a
driver is in need of assistance in resolving problems associated with
alcohol and/or controlled substances on 'an unannounced basis.
I(f) Pre-Duty - FBI employees who are assigned to a .
"1 testing designated•position will be required to undergo a pre-duty
I drug test prior to the first time a CD performs a safety-sensitive
Ifunction.1 .
•
• In addition, Commercial Motor Vehicle Operators are also subject
to drug testing as required by the DFWP.
**EffDte: 11/19/2001 MCRT#: 1162 Div: D3 Cav: SecCls:
1 725.3 EmployeeINOtifiOations, DFWP1
. .
(1) Memorandum to All Employees dated June 3, 1986, from
Director Webster advised of the provisions of the DDP. • -
(2) Memorandum to All Employees dated November 14, 1989,
from Director SesSions advised of random testing.
**EffDte: 05/19/2000 MCRT#:' 972 DKr D3 Cav: SecCIS:
. 1 11 -25.3.1 EmployeeNotification, ACSAP
I Memorandum to All Employees dated August 5, 1999, from'
.1 Director Freeh,advised of the provisions Of the Alcohol and Controlled
Substance Abuse Program.)
**EffDte: 05/19/2000"MCRT#: 972 Div: D3 Cav: SecCls:
1 1 -25.4 Drugs to belSOreened,,DFWP1
In accordance with Department of Health and Human Services
(HHS) guidelines, the testing process involves the detection of the '
following categories of drugs:
(1) Amphetamines
(a) Amphetamine
(b) Methamphetamine
(2) Cocaine
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(3) Cannabinoids
. (4) Opiates
(a) Codeine
(b) Morphine
(5) Phencyclidine (PCP)
In the case of reasonable suspicion testing, any drug in Schedule I
amill can be tested for in accordance with HHS guidelines.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
111 -25.4.1 Drugs to be Screened, ACSAP
I FBI testing protocol involves the detection of the
I following substance:
(1) Alcohol
(a) Ethanol
(2) Amphetamines
(a) Amphetamine
(b)'Methamphetamine
(3) Cocaine
(a) Benzoylecgonirie
(4) Cannabinoids
(a) Marijuana (THC)
(5) Opiates
(a) Codeine
(b) Hydromorphone (Dilaudid)
(c) Oxycodone
(6) Phencyclidine (PCP)
In the case of reasonable suspicion testing, an employee
J can be tested for any drug in Schedule I and II in accordance with HHS
I guidelines.)
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1 1-25.5 DetectionjMethod, DFWPI
'Urinalysis testing is performed usingla two-step
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(
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screening-confirmation process.
(1).1nitial screening immunoassay (IA) is a rapid semiquantitative
chemical test which uses a specific antibody to react
with the drug or metabolite of interest.
(2) Confirmation assay used in the di-ug analysis
procedure is GC/MS, GasChromatography/Mass Spectrometry, which is
scientifically acknowledged.to be the most sensitive and accurate '
method for confirming the presence of drugs in.biological samples.
**EffDte: 05/19/2000 MCRT#:972 - Div: D3 Cav; SecCls:
11 -25.5.1 Detection Method, ACSAP
(1) Controlled Substance Testing
Urinalysis testing is performed using a two-step
screening-confirmation process.
(a) Initial screening immunoassay (IA) is a rapid
semiquantitative chemical test which uses a specificentibody to
react with the drug or metabolite of interest.
(b) Confirmation assay used in the drug analysis "
procedure is GC/MS, Gas Chromatography/Mass Spectrometry, which is
scientifically acknowledged to be the most sensitive and accurate
method for confirming the presence of drugs in bioldgical samples.
-(2) Alcohol 'resting
(a) Evidential Breath Testing (EBT) deVices will be
used to measure alcohol concentrations in the breath. A screening
test shall be conducted to determine whether the employee has a
prohibited concentration of alcohol in the system. Confirmation
testing shall be conducted when the result of the screening test is
0.02 or greater.
(b) Testing shall be conducted using Electrochemical
Oxidation/Fuel Cells. This - method of measuring breath alcohol uses
special electronic components that generate electrical energy by
oxidizing alcohol. The components are called "electrochemical cells,"
or fuel cells, which are comprised of two platinum electrodes.
How does the fuel cell work?
1. When the subject blows into a mouthpiece, a
small (1.5 cc) sample of expired breath is drawn into the fuel cell
for analysis.
2. When breath containing alcohol molecules
comes into contact with the fuel cell, a spontaneous flow of
electricity is generated. The amount of electrical current generated
indicates how much - alcohol is present in the breath sample. The end
result is the alcohol measurement which is displayed on the EBT.I
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1-25.6 Scope of1Testing, DFWPJ
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•The FBI'sIDFWPIestablishes a comprehensive drug-testing
program in the test/screening of all applicants seeking employment
with the FBI, testing of probationary Special Agents during their
first two years of service, testing of employees when there is
"reasonable suspicion" of illegal drug use, the testing of all FBI
employees under a random `selection program and voluntary testing. In
addition, all employees who undergo a counseling and rehabilitation
program for illegal drug use through the Employee Assistance Program
(EAP) will be subject to unannounced follow-up testing.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
11 -25.6.1 Scope of Testing, ACSAP
(1) The FBI's ACSAP establishes a comprehensive drug and
alcohol testing program for employees who operate Commercial Motor •
Vehicles (CMV). Drug testing will be done using established DDP
collection officials. Actual testing of the specimen will be clOne
using a contract laboratory certified by the National Institute of
Drug Abuse. As with the current DFWP, all positive drug tests will be
verified by the FBI's Medical Review Officer. Thereafter, the case
will be referred to the Employee Assistance Program (EAP) and to the
Office of Professional Responsibility (OPR) for administrative action.
(2) Certified Breath Aldohol Technicians will conduct
alcohol testing. Any employee found over the permissible breathalcohol
limit will be referred to the EAP and to OPR for
administrative action.I
**EffDte: 05/19/2000 MCRT#1 ,972 Mt.,: D3 Cav:.Secas:----
1 -25.7 Collection1Procedures, DFWPI
The following highlights the collection procedure. For
complete details of the collection procedure, refer to SeCtion IX of
I the "Drug Deterrence Program1Drug-Free-WorkplacelPolicy and. Procedure
Manual." •
(1) Before testing, the collection • official will request
the individual to be tested (the donor) to present photo
identification, if necessary.
(2) SocialiSecurity 'numbers will be used as specimen
identifying numbers throughout the collection,'shipping and testing
phases of the screening to protect the identity of the donor.
(3) Chain of Custody forms shall be used to account for
the integrity of each urine specimen by tracking its handling from
point:of specimen collection to-final disposition of the, specimen.
(4) Each donor will be escorted by a collection official, .
to the collection area. Same-sex collectors will be used in the •
instances where collection personnel have reason to believe that the
donor may alter or substitute the urine specimen, but are not limited
to: -
• (a) Evidence that employee has tampered with
previous specimen.
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(
(b) An individual has equipment, implements; or
substances that may be used to tamper with a drug test.
(5) Donors Will be allowed individual privacy when
prbviding specimens unless collection personnel have reason to belieye
that the donor may alter or substitute the urine specimen or otherwise
tamper with the drug test.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1 11 -25.7.1 Collection Procedures, ACSAP
I The following highlights the collection procedure. For
'I complete details of the collection procedure, refer to Section XI of
I the Drug Deterrence Program "Alcohol and Controlled Substance Abuse
I Policy and Procedure Manual." ,
• (1) Breath Alcohol Testing:
(a) Breath Alcohol Testing will be Conducted by a
I Certified Breath Alcohol Technician (BAT).
I (b) Prior to testing, the BAT will request to see
I the donor's photo identification.
(c) Social Security numbers will.be used as employee
I identification numbers.
. . A Breath Alcohol Testing form will be, used to ,
I record necessary information.
(e) The breath testing location will proyide aural
I and visual privacy, sufficient to prevent unauthorized persons from
I seeing or hearing test results.
I . (2) Drug ,Testing:
I (a) Drug Collections will be conducted by
I established DDP Collection Officials (CO's).
I • (b) Prior to testing, the CO will request to see the
I donor's photo identification.
(c) Social Security numbers will be used as specimen
I identifying numbers throughout the collection, shipping, and testing
I phases of the screening to protect the identity of the donor.
I (d) Chain of:Custody forms shall account for the
I integrity of each urine specimen by tracking its handling from point
I of specimen collection to final disposition of the specimen:
(e) Each donor will be escorted by a CO to the
I collection area. •ame sex collectors will be used in the instances
I where collection personnel have reason to believe that the donor may
I alter or substitute the urine specimen./
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
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**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Caw SecCls:
11 -25.8.1 ApplicantlTesting, DFWPI
(1) All tests confirmed positive for drugs will be
reviewed by the FBI's medical review officer (MRO) prior to the
initiation of any official action. If the MRO determines, after
contacting the donor, that there is no alternate medical explanation
for the positive test, the DDP Administrator will be notified. A
communication will be immediately prepared by the.DDP Administrator
identifying the donor and describing the.drugs identified upon
I testing. This communication will be forwarded to thelAdministrative
I Services Division (ASD), Attention: Bureau Applicant Employment Unit
I. (BAEU),Iand will become a permanent•part of the applicant record.
Upon receiving a communication regarding a verified positive test, the .
I IBAEUIwill immediately notify the.field office through which the
applicant is being processed to discontinue the processing of that
I applicant. TheIBAEUIwill, over the signature of the Personnel -
Officer, prepare an appropriate letter notifying the applicant that he
I or she is no longer being considered for employment. I(See MIOG, Part
11 ; 67-2.7.4, for additional notification instructions.)I •
. (2) Inquiries and appeals received from applicants being
denied employment With the FBI due to positive drug tests will be
handled by the Personnel Officer,IASDI. Cases in which illegal
drugs, such as marijuana, cocaine, or•pCP, were detected will . not be
I given further considerafion)-o-r emploYment withthe -FE3T. Mrs° see
I MIOG, Part 1, 67-2.7.1, for guidelines for determining applicants'
I suitability based on their drug history.)I In the event
that the drug detected was a legitimate . prescription,drug and the
applicant had failed to inform the FBI that he or she was taking such
a drug prior to. testing, the applicant may appeal to the Personnel
Officer, who will refer the appeal to the MRO for review prior-to a
final decision. Such appeals will be reviewed on an individual basis
taking into consideration the verification. of the legitimacy of the
:drug and possible lack of candor on the.part of the applicant. •
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1 -25.8.2 Testing On-BoardlEmployees, DFWPI
(1) Random Selection and Probationary Testing
(a) Notification of employees to be tested by random
selectiOn and probationary Special Agents within their first two •
years of employment will be made to field offices and FBIHQ divisions
by the FBIHQ DDP. The field office will follow•the established
collection procedures and forward collected specimens to the testing
laboratory. •
(b) All examinations confirmed positive for drugs
,.will be reviewed by the FBI's MRO prior to the initiation of any
official action. Itis the responsibility of the MRO to review all
positive test results and medical information provided by the employee
for an alternate medical explanation for the positive test. The MRO •
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may interview the employee, review medical history, consult with ,
laboratory personnel.and order retesting as determined necessary. If
no•alternate.medical explanation can be determined, the test will be
designated a "verified positive" by the MRO.
(c) In the event of a "verified positive" test, the
MRO will notify the DDP Administrator who will prepare an appropriate
communication outlining the selection procedures and test results.
This communication will be forwarded through the Assistant Director, •
IASDI, to the Director, FBI, Attention: Assistant Director, Office of •
Professional Responsibility (OPR), requesting that the OPR initiate an
appropriate investigation.
(d) Investigations conducted by OPR will be
conducted in accordance with the FBI regulations regarding
investigation of employee misconduct. The results of such
investigations will be forwarded to the AdjUdication Unit, OPR, for
review. The degree of severity of administrative action 'will be
determined on a case-by-case basis.
(e) A copy of the communication prepared for a
"verified positive" test will be forwarded to an EAP counselor who
will immediately initiate contact with the employee and extend the
assistance and rehabilitation services mandated by ED 12564. A letter
will be sent by the DDP to the employee outlining the services
available and providing names of EAP contacts. This letter will be
sent by registered mail, return receipt requested.
(2) Reasonable" Suspicion Testing
(a) If an employee is suspected of using illegal -•,
drugs, the first-line supervisor will gather information, specific
facts, and circumstances leading to and supporting this suspicion.
This information is then brought to the second-line supervisor who .
then decides if there is enough documentation to substantiate
reasonable suspicion. This information is then brought to the
attention of the SAC or division head who will then determine whether
to recommend to OPR. that an employee be tested. When such a
recommendation is made, a written communication will be prepared to
include, at a minimum, the appropriate dates and times of reported
drug-related incidents, reliable/credible sources of information and
any other justification for a test. This communication is to be
forwarded to the OPR, FBIHQ. It is the responsibility of the
Assistant Director, OPR, or his/her designee to review the facts in
each case and to authorize the institution of an investigation and the
collection of a urine specimen for testing. •
(b) All test results will be forwarded to OPR by the
DDP staff after the MRO has conducted the required review to ensure
that an alternate medical reason for the presence of a drug does not
•exist. Where testing is conducted based on reasonable suspicion, the
urine specimen will be obtained by a collection 'official using set
collection procedures. Same-sex collectors will be used in the •
instances where collection personnel have reason to believe that the
donor may alter or substitute the urine specimen. A refusal to
provide a specimen will be considered refusal to participate in
testing, and administrative action for insubordination may be
instituted. Following investigation by OPR, the investigative results •
will be forwarded to the Adjudication Unit which will act upon each
case as outlined under random and probationary testing.
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(3) Follow-up Testing
(a) Follow-up testing, on an unannounced basis, may
be required during or after EAP counseling or rehabilitation up to one
year after completion of rehabilitation.
(b) In such cases, the DDP Administrator is
authorized, at his/her discretion to initiate the collection of a
urine specimen for testing. Thereafter, th•reporting procedures will
be the same as those detailed for reasonable suspicion testing,
• including direct observation. •
(4) Voluntary Testing
In order to demonstrate their commitment to the FBI
goal of a drug-free workplace, employees may volunteer for testing by
contacting the DDP Administrator. The DDP Administrator, at his/her
discretion, is authorized to initiate the collection of a urine
specimen for testing. Thereafter, the reporting procedures will be
the same as those detailed for random selection testing.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1 -25.8.3 Reporting Procedures, ACSAP
(1) Alcohol Testing
(a) Notification of drivers to be tested Will be made to field
offices and-FBIHO divisions by,FBIFICIDDR.
(2) Confirmed Positive Alcohol Tests .(Greater Than 0.02, Less Than 0.04) .
. (a) Commercial Drivers (CDs) having a breath alcohol content
greater than 0.02 - .039 will be placed on temporary restriction from performing •
safety-sensitive functions.
(b) Management Officials (MOs) shall completelan
FD-907, Temporary Restriction Form,jand fax the form to the DDP Administrator.
•
(3) Confirmed Positive Alcohol Test (0.04 or Greater)
(a) In the event the confirmation test reveals an
alcohol concentration of 0.04 or greater', the CD shall be placed on
full restriction from performing safety-sensitive functions. MOs.
• I shall completelan FD-908, Full Restriction Form,Iand shall fax this
information to the DDP Administrator.
(b) The DDP Administrator'will prepare an appropriate
communication to the Office of Professional Responsibility (OPR),
requesting that the Internal Investigation Unit (IIU) initiate an
appropriate investigation. .
(c)A copy of this communication will be forwarded to an
Employee Assistance Counselor who will immediately contact the
employee to extend assistance and provide rehabilitation services.
(d) Investigations conducted by OPR will be conducted in
accordance with FBI regulations regarding investigations of employee
misconduct. The degree of severity of administrative action will be
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determined on a case-by-case basis, taking into consideration all
extenuating or mitigating factors.
(4) Drug Testing
(a) Notification of CDs to be tested will be made to field
offices and FBIHQ divisions by FBIHQ DDP.
(b) In the event of a "verified positive" test, the MRO will notify
the DDP Administrator who will prepare an appropriate communication of
the confirmed positive test. Information regarding the positive test shall be
forwarded'through the ASsistant Director.to OPR, requesting that the IIU
initiate an appropriate investigation. • .
(c) A copy of this communication will be forwarded to an
Employee Assistance Counselor who will immediately contact the
employee to extend assistance and provide rehabilitation services.
(d) Investigations conducted by OPR will be conducted in
accordance with FBI regulations regarding investigations of employee
misconduct. The degree of severity of administrative action will be
determined on a case-by-case basis, taking into consideration all
extenuating or mitigating factors.
**EffDte: 11/19/2001 MCRT#: -1162 Div: D3 Cav: SecCls:
1.1 -25.9 SupervisorylResponsibilities, DFWPI
•(1) All supervisoit frained to recognize and
address illegal drug use by employees and will be provided.informafion
. regarding referral of employees to the EAP, procedures and
requirements for drug. testing and behavioral patterns that give rise
to a reasonable -suspicion that'an employee may be using illegal drugs.
First- and second-line..supervisors shall:
. (a) Be responsible for developing reasonable
suspicion of illegal drug use by employees under their supervision
after first making appropriate factual observations, documenting, those
observations and obtaining approval from the next higher supervisor or
manager;
(b) Notify the SAC or division head that reasonable .
suspicion.drug tests may be waranted for employes under their
supervision; and
(e) Refer employees to the EAP for assistance in
obtaining counseling and rehabilitation when there is a finding of
illegal drug use. •
(2) The SAC or division head shall:
(a) Be responsible for developing reasonable
suspicion of illegal drug use by a direct subordinate after making
factual observations and documenting those facts;
(b) Determine whether a request to test for
• reasonable suspicion should be made to OPR for any employee under his
or her supervision; and .
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(c) Ensure that employees under his or her
supervision have been referred to the EAP for assistance in obtaining
counseling and rehabilitation when there is a finding of illegal
use.
**EffDte: 05/19/2000 MCRT#: 972 Oinf: D3 Cav; SecCls:
111 -25.9.1 Supervisory Responsibilities, ACSAP
(1) Supervisors will be trained to recognize alcohol
and/or drug use and impairment and will be provided information
regarding referral of drivers to the EAP, procedures and requirements
for alcohol and/or drug testing and behavioral patterns that give rise
to a reasonable suspicion that an employee may be using controlled
substances an/o,r misusing alcohol.
, (2) Supervisors shall ensure that Commercial Drivers .
(CDs) do-not'perform safety-sensitive functions while taking over-thecounter
medications that may impair judgment or motor skills.
(3) Trained supervisors will be responsible for '-
developing reasonable suspicion of illegal drug and/or alcohol misuse
based on specific, contemporaneous articulable observations concerning
the appearance, behavior, speech or body odors of the driver. .
(4) Supervisbrs will be responsible for placing drivers •
on restriction as warranted and shall ensure that drivers under
his/her supervision have been referred to the EAP for assistance in '
counseling and rehabilitation.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cay: SecCls:
1 1-25.10 Records andlReportS, DFWPI
**EffDte: 05/19/2000 MCRT#: 972 DiV: D3 Cav: SecCls:
1 1 -25.10.1:Confidentiality of TestiResults, DFWPI
(1) Laboratory results will be forwarded to the MRO. Any
positive result which the MRO justifies by appropriate medical or
scientific documentation to account for the result as other than the
intentional ingestion of an illegal drug will be reported as a
negative test result and may not be released for Purposes of
identifying illegal drug use. The MRO may maintain only those records
necessary•for compliance with'this program and such records shall be
the records of the FBI. Records of the MRO may be released to any
supervisor or management official having authority to take adverse
personnel actions or for purposes of auditing the activities of the
MRO.
(2) In order to comply with the Privacy Act and Section
-503(e) of Public Law 100-71, the results of a drug test of an FBI
employee may not be disclosed without the prior written consent of
such employee, unless the disclosure would be to:
(a) The MRO;
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(b) The Employee Assistance Administrator (EAA)
when the employee is receiving counseling or treatment or is otherwise
participating;
(c) Any supervisory or management official within
the FBI having authority to recommend or approve adverse personnel
action against such employee; or
(d) A court of competent jurisdiction, pursuant to
an order of the court, and.where required by the United States
governMent to defend against any challenge against any adverse
personnel action.
Test results with all identifying information removed shall also be
made available-t6 FBI personnel for data collection and auditing.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
I 1 -25.10.2 Confidentiality ofiRecords, DFWPI •
All drug-testing information specifically relating to
individuals is confidential and shall be treated as such by anyone
authorized to review or compile program records. All records and
information of the perSonnel actions taken on employees with "verified
positive" test results shall be maintained in accordance with
previously established procedures in regard to the maintenance of
records of alleged employee misconduct.
**EffDte: 05/19/2000 IVICRT#: 972 Div. D3 Cav: SecCls: , :
I 1 -25.10.3 Maintenance ofiRecords, DFWPI •
(1) The FBI shall establish or amend a recordkeeping
system to maintain the records of the DDP consistent with the FBI's
Privacy Act System of Records and with all applicable federal laws,.
rules and regulations regarding confidentiality of records.
(2) If necessary, records may be maintained as required
by subsequent administrative or judicial proceedings, or at the
discretion of the Director of the FBI. The recordkeeping system
should capture sufficient documents to meet the operational and, .
statistical. needs of legislation and regulations and include:
(a) Numbers of "verified positive" test results
referred by the MRO;
(b) Written material justifying 'reasonable suspicion
testing or evidence that an individual may have "altered or tampered
with, a specimen;
(c)Anonymous statistical reports; and
(d) Other documents the DDP Administrator, MRO, or
EAA deems necessary for efficient compliance with this program and
which satisfy the records and confidentiality requirements of law.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls: •
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1-25.10.4 Records Maintained by GovernmentlContractors, DFWP1
Any contractor hired to satisfy any part of this program
shall comply with the confidentiality requirements of this program,
and.with all applicable federal laws, rules, regUlations and
guidelines.
. **EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCis:
11 -25.10.5 StatisticallInformation, DFWPI
The DDP Administrator shall collect and compile anonymous
statistical data for reporting the number of:
(1) Random, reasonable suspicion, follOw-up,
probationary, voluntary and applicant tests;
(2) "Verified positive" test results;
(3) Voluntary drug counseling referrals;
(4) Involuntary drug counseling referrals; and
(5) Terminations or denial of employment offers resulting
from refusal to submit to testing.
**EffDte: 05/19%2000 MCRT#: 972 Div.: D3 Cav: SecCls:
.•• .
11-25.10.6 .Validity of Preemployment DrLigiTests, DFWPI '
To ensure the integrity. of the DDP, it is essential that
all applicant drug tests are done within one year of EOD.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SeCCIs:
111 -25.10.7 Records and Reports, ACSAP = Confidentiality of Records
The FBI is required to maintain Strict standards of
I confidentiality in carrying out its responsibilities.
I (1) Atithorized disclosures - The results of drug
I and alcohol tests shall not be disclosed without the prior written
I consent of the CD, unless the disclosure would be:
I . (a) To a Medical Review Officer. -
•
I ' .(b) To the Administrator of any EAP in which the.
I employee is receiving counseling or treatment oils -et- el--wise
I participating.
(c) To supervisory or management officials having
1 authority to take adverse personnel action against such employee.
I . (d) Pursuant to an order of a court of competent
I jurisdiction where required to defend an adverse personnel action.
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(e) To the National Transportation Safety Board as
-1 part of an accident investigation.
(2) Maintenance of records
•
I ' (a) The ACSAP will maintain records in a manner
!consistent with the Privacy Act and all other applicable laws, rules
and regulations regarding confidentiality of records.
(b) Records maintained by government contractors -
1Any contractor hired to satisfy any part of this program shall comply
with the confidentiality requirements of this program and with all.
1 applicable federal laws, rules, regulations and guidelines]
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
1-25.11 DisciplinarylActions, DFWPI
(1) Determination
An employee may be found to use illegal drugs on the
basis of any appropriate evidence including, but not limited to:'
(a) Direct observation;
(b) Evidence obtained from an arrest or criminal
conviction;
(c) A ".verifiedpositive" test result; or
(d) An employee's voluntary admission.
(2) Administrative Actions
The FBI shall immediately refer an employee found to
use illegal drugs to the EAP. The FBI shall initiate action to remove
or suspend from service any employee the first time that employee is
found to illegally use drugs. However, as part of an EAP
rehabilitation program, an employee may remain on duty or return to
duty if the employee's continued employment would not endanger public
health and safety or national security.
(3) Range of Consequences
In determining the severity of the disciplinary
action to be taken against an employee found to-use illegal drugs, the
FBI may consider the nature of the position, the risk to the public of
the employee's illegal drug use, and the employee's personnel and/or
performance records. The FBI shall initiate disciplinary action
against any employee found to use illegal drugs, provided that such
action is not required for an employee who voluntarily admits to
illegal drug use, obtains counseling or rehabilitation and thereafter
refrains from using illegal drugs.
Such disciplinary action may include any of.the following measures,-
but some disciplinary action must be initiated:
(a) Reprimand the employee in writing;
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(b) Place the employee in an enforced leave status; -
(c) Suspend the employee for 14 days or less;
(d) Suspend the employee for 15 days or more;
(e) Suspend the employee until he or she
successfully completes the EAP or until the FBI determines that action
other than suspension is more appropriate; or
(f) Dismiss the employee from the FBI.
(4) Initiation of Mandatory Removal From Service
The FBI shall initiate action to dismiss an employee
for
(a) Refusing to obtain counseling or rehabilitation'
through the EAP as required by the ED 12564 after having been found to
use illegal drugs; or
(b) Having been found-not to have refrained from
illegal drug use after a first finding of illegal drug use. -
(5) Refusal to Take Drug Test When Required
An employee who refuses to be tested when so required
will be considered insubordinate and subject to the full range of
disciplinary action, up.to and including dismissaLAttempts to alter
or substitute the specimen provided will be deemed a refusal to take
the drug test Vih e n required. -No applicant who refuses to be tested
shall be extended an offer of employment.
(6) Voluntary Referral
(a) Pursuant to EO 12564; the FBI is required to .'
discipline any employee found to use illegal drugs in every
circumstance except one: If an employee (1) voluntarily admits his or
her drug use;. (2) completes counseling and rehabilitation through the
EAP; and (3) thereafter refrains from drug use, such discipline is not
required and may be waived.
(b) The decision whether to discipline a voluntary,
referral will be made on a case-by-case basis depending upon the facts
and circumstances. Although an absolute bar to discipline cannot be
provided because of the extreme sensitivity of all FBI positions, the .
FBI, in determining whether to discipline,. shall consider that the,
employee has come forward voluntarily.
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
• I 11 -25.11.1 Disciplinary Actions; AGSAP
I (1) Determination - A Commercial Driver (CD) may Lie
I found to be engaging in prohibited alcohol and/or drug
I activity on the basis of appropriate evidence including, but not
I limited to: .
(a) Specific, contemporaneous, articulable
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observations concerning the appearance, behavior, speech or body odors •
of the driver.
(b) Evidence obtained from an arrest or criminal
conviction.
(c) A verified positive test result.
(d) A drivers voluntary admission.
(2) Administrative action - A CD found to be engaged in
prohibited alcohol or drug use shall immediately be referred to the
EAP. The FBI shall initiate administrative action to remove or
suspend from service any CD the first time that CD is found tope
engaging in prohibited activity. If, however, the CD has sought but
EAP assistance voluntarily as part- of an EAP rehabilitation program, a
CD may remain on duty if the CD's continued employment would not
endanger public health and safety or national security.
(3) Range Of consequences - In determining the severity
of the disciplinary action regarding a CD fOund to be engaged in
prohibited alcohol and/or drug use, the FBI will take into
consideration a1,1 extenuating and mitigating factors, the nature of
the position, the risk to the public, and the CD's personnel and/or
performance records. The FBI shall initiate disciplinary action
against any CD found to use illegal drugs, provided that such action
is not required for a CD who voluntarily admits to prohibited alcohol
or drug uses, obtains counseling or rehabilitation and thereafter
refrains from prohibited activity.
(4) Initiation of mandatory removal.from service - The :-
FBI shall initiate action to dismiSs a CD for:
(a) Refusing to obtain counseling or rehabilitation
through the EAP as required after being found to be-engaging in
prohibited alcohol and/or drug activity.
(b) Having been found not to have refrained from
prohibited alcohol and/or drug activity afterthe first finding.
• (5) Refusal to take alcohol and/or drug tests when
required - A CD who refuses to be tested when so required will be
considered insubordinate and subject to the full range of disciplinary
action, up to and including dismissal. Attempts to alter or
substitute tests will be deemed a refusal. No applicant who refuses.
to be tested shall be extended an offer of employment!
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecOls: .
11 -25.12 Prohibited Activity, ACSAP
(1) ALCOHOL • .
(a) Alcohol Concentration - No Commercial Driver
(CD) shall report for duty or remain on duty requiring the performance
of safety-sensitive functions while having an alcohol concentration of
0.04 or greater. No superVisor having actual knowledge that a CD has
an alcohol concentration of 0.04 or greater shall permit the CD to
perform or continue to perform safety-sensitive functions.
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MAOP PART 1 SECTION 1 ACTIVITIES AND STANDARDS OFPONDUCT
(b) Alcohol Possession - No CD shall be on duty or
operate a commercial motor vehicle while the CD poSsesses alcohol,
unless the alcohol is manifested and transported as part of a
shipment. No supervisor having actual knowledge that a CD possesses
unmanifested alcohol may perMit the CD to drive or continue to drive a
commercial motor vehicle.
(c) On-duty Use - No CD shall use alcohol while
performing safety-sensitive functions.. No supervisor having actual
knowledge that a C•is using alcohol while performing safety-sensitive
functions shall permit the CD to perform or continue to perform
safety-sensitive functions.
(d) Preduty Use - No CD shall perform safetysensitive
functions within four hours after using alcohol. No '
supervisor having actual knowledge that a CD has used alcohol Within
four hours shall permit a CD to perform or continue to perform
safety-sensitive functions.
(e) Use Following an Accident - NO CD required to
take a post-accident alcohol test shall use alcohol for eight hours
following an accident, or until he/she undergoes a post-accident
alcohol test, whichever occurs first.
(f) Refusal to Submit to a Required Alcohol Test-
No CD shall refuse to, submit to required alcohol testing under this
program.'A CD who refuses to be tested will be considered
insubordinate and subject to disciplinary action, up to and including
dismissal. See Part 1, 1-30.3 of the Manual of Administrative
Operations ani1 Procedures (MAOP).'Any attempt to alter or substitute.
an alcohol test will be deemed a refusal to take the alcohol test when
required.
(2) DRUGS
(a) Controlled Substance Use - No CD shall perform
safety-sensitive functions when the CD uses any controlled substance,
except when the use is pursuant to the instructions of a physician who
has advised the CD that the substance does not adversely affect the
ability to safely operate a CMV. The CD must notify his/her'
Management Official (MO), division head or SAC of any condition or
drug use which may impair his/her fitness for full duty. . •
(b) Over-the-Counter Medications - No CD shall
perform safety-sensitive functions while taking over-the-counter
medications that may impair judgment or motor skills. The CD must
notify his/her MO, SAC, or division head of any condition or
medication which may impair'his/her fitness for full duty.
(c) Positive Drug Test - No CD who has tested
positive for controlled substances shall .,be permitted to perform or •
continue to perform safety-sen'Sitive furiations pending completion of
administrative action:
(d) Refusal to Submit to a Required Drug Test', No
CD shall refuse to submit to a drug test under this program. A CD who
refuses testing shall be considered insubordinate and subject to the
full range of disciplinary action, up to and including dismissal. See
Part 1, Section 13 of the MAOP. Attempts to alter or,sUbstitute the •
specimen provided will be deemed a refusal to take the drug test when
Page 94 of 114
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(
I required.
(e) On-duty Use - No MO, SAC or division head having
actual knowledge that a CD has used a controlled substance or an over-
I the-counter medication, as defined by above, shall,permit the CD to
I perform or continue to perform a safety-sensitive function.I
**EffDte: 05/19/2000 MCRT#: 972 Div: D3 Cav: SecCls:
111-26 POLICY AND GUIDELINES REGARDING EMPLOYEE PUBLIC SPEECH RIGHTS
AND OBLIGATIONS
**EffDte: 11/26/1993MCRT#: 141 Div: PAD9 Cav: SecCls:
1 -26.1 General Statement
(1) This policy is intended to inform FBI employees of
their rights and obligations prior to engaging in public speech that
is or may be perceived as related to the duties, responsibilities or
administration of the FBI. FBI employees enjoy rights protected by
the First Amendment, including freedom of expression. However, the
FBI has interests as an employer in regulating the speech of its
employees that may affect its mission.
(2) This policy seeks to balance the interests of FBI
employees in commenting publicly upon matters of public concern, on
the one hand, and the interests of the FBI, as their employer, in
promoting efficiency and effectiveness in the discharge of its; - .
responsibilitieS, on the other.
(3) The policy and guidance provided herein is based on
an analysis of cases decided in the state and Federal courts under the
First Amendment. It is founded on generally accepted principles of ,*
First Amendment law which address the rights and obligations of public
employees who desire to engage in public comment.
(4) Public comment or speech as referred to in this
section includes, but is not limited to, interviews given members of
the media or others knowing that it is intended to be"Lised in
magazines or other publications, letters to editors, and contacts with
Congress, its committees and investigative arms.
(5) Any questions concerning the implementation or
I abplication of this policy should be directed to thelNational Press
Office,I0ffice of Public and Congressional Affairs, FBIHQ.
"EffDte: 05/19/1994 MCRT#:•231 PAD9 Cav: SecCls:
1 -26.2 Types of Employee Public Speech
(1) Public Speech Regarding Matters Unrelated to FBI
Employment
(a) FBI employees ordinarily may speak publicly
about matters unrelated to their employment if they are expressing
their personal views. However, when speaking publicly about such
matters, employees should make clear that they are stating their
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personal opinion, not.the opinion of the FBI and not their official
opinion as an employee of the FBI. Particular care in this regard
should be taken if the employee is somehow'identified as an FBI
employee. For example, an employee may wish to publicly comment on
topical social issues, school board issues or other similar matters.
Such speech is deemed unrelated to FBI employment and protected under
the First Amendment so long as the employee solely and clearly
expresses his/her opinions as an individual.
(b) Employees' speech regarding matters unrelated to
their employment is subject to the general guidance contained in Title
28, Code of Federal Regulations, entitled "Standards of Conduct" and
in Departmental Order 960-81 (10/26/81), which provides that employees
shall conduct themselves in a manner that creates and maintains
respect for the DOJ and the United States Government. —
(2) Public Speech Regarding Issues Closely Related to FBI
Mission
(a) Certain matters of significant public concern ,
may be so closely related to the responsibilities and mission of the
FBI as to create a substantial likelihood that personal comments on
such matters by FBI employees would be perceived as reflecting their
official views as FBI employees or the views of the agency. Employee •
comments regarding such matters as whether use of certain controlled
substances should be legalized, whether the Government should punish
certain crimes by use of capital punishment or whether a certain
criminal statute is constitutional and enforceable are examples of
when such misperceptions might occur. When speaking about matters
closely related to the responsibilities and mission of the FBI,
employees have an obligation to make absolulely clear that they are
expressing their personal opinions., Further, certain employees may be
' precluded from stating publicly their personal opinions on a
particular matter. For example, it may be inappropriate for a senior
FBI official to express publicly his/her personal view regarding
matters within the investigative jurisdiction of the FBI. This is
because, as a prictical matter, others may perceive the personal views
of a senior management employee possessing substantial policy-making
authority as indistinguishable from his/her official position as a
senior FBI manager. The public expression of personal views in such
situations could undermine the ability of the FBI to enunciate
official policy or to remain neutral on some issues.
(b) Employees should'be alert to situations in which
the public expression of their personal views on matters closely
related to the responsibilities or mission of the FBI may be perceived' •
as expressing the official views of FBI employees. When such
circumstances are identified, the employee should seek guidance from
his/her immediate supervisor or division head.
(3) Public Speech Regarding FBI Enforcerfient Operations or
Investigations
(a) Employee public speech regarding specific FBI
enforcement operations or investigations is subject to relatively
strict regulation. The FBI's policy and guidelines for contact with
the news media are contained in the Manual of Administrative
Operations and Procedures (MAOP) Part II Section 5. That section
requires that all inquiries by representatives of the news media
concerning information under the control of the FBI be referred to
I designated media representatives of the field office or thelNational
Page 96 of 114 —
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Press Office,IFBIHQ. Additionally, disclosure of certain typed of
information, such as classified information or information relating to
pending'criminal investigations, may be unlawful or regulated by
statute, rule or regulation. Therefore, FBI employees must not
publicly comment on investigations or enforcement operations unless
authorized to do so.
(4) PubliC Speech Regarding FBI Administration, Personnel
Practices or Disciplinary Matters
(a) Employee public speech concerning the
administration of the FBI in matters such as investigative programs,
personnel practiced and procedures, disciplinary matters, the conduct
or integrity of its managers and other matters has the potential to
undermine the discipline, efficiency, and effectiveness of the agency.
Such speech may also affect morale, weaken or destroy. necessary
. working relationships and erode public confidence in, the agency.•
.Though public comment on matters such as corruption or racial
discrimination may have significant public value, such speech must
nonetheless be balanced against the concerns and interests of the
Bureau, such as those discussed above. If the pUblic value of the
speech outweighs the interests of the FBI, the speech is protected
under the First Amendment and may not be the basis for discipline
against an employee. '
(b) The FBI. may 'effectively address an employee's
work-related concerns only if the employee.brings the matter to the
attention of appropriate supervisory personnel. Therefore, employees
are required to express their work-related comments and criticisms to
their immediate supervisor, division head, or an appropriate ombudsman
at least seven days prior to commenting publicly about such a matter..
This rule is not intended to require that an employee in each case
obtain the approval of his/her supervisor prior to commenting publicly
'on a matter he/she believes is of public concern. The rule is, •
however, intended to accomplish several objectives. First, it will
notify the employee's supervisor that the employee believes that a
warrants his/her speaking out publicly.' Second,-grievance or an isue
it will assist in channeling the employee's comments and criticisms to
the appropriate supervisors, who can then investigate and seek to
resolve the matter. Third, it enables supervisors to alert the
employee that his/her intended public statement may be inappropriate
or impermissible, based upon a balancing of the employee's First
Amendment right to comment upon matters of public concern and the
FBI's legitimate interests in effectively managing the agency.
(c) If after seven days, the employee still desires
to publicly comment on the matter, the .employee must notify his/her
" SAC or Assistant Director of the intent to do so. The SAC or
• Assistant Director must, in turn, notify the Office of Public and
Congressional Affairs.
Page 97 of 114 —
(5) Speech Protected Under the FBI "Whistleblower"
Statute
(a) Federal law expressly prevents the FBI from
engaging in adverse employment actions or reprisal against most
employees who disclose to the Attorney General, the Department of
• Justice Office of Professional Responsibility, or the FBI Office of
Professional Responsibility, information which is reasonably believed
to evidence a violation of law, rule, or regulation; mismanagement;
gross waste of funds; abuse of authority; or a substantial and
• 01,9m..4%.11 9,?14,695 :-P4R.Ti-?_ _„,
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MAOP PART 1 SECTION/1 ACTIVITIES AND STANDARDS OF PONDUCT
specific danger to public health or safety. See, Title 5, United'
States Code, Section 2303; Title 28, Code of Federal Regulations,
Section 0.39(c); MAOP, Part I, Section 1-23:1.
(b) Employees who possess such information and bring .
ito the atention of Department Justice or the
FBI under procedures set forth in paragrapli(4), above, before Making public
comment ofrit will be considered to have complied with and be
protected under this statute.
**EffDte: 05/19/1994 MCRT#: 231 Div: PAD9 Cav: SecCls:
1 1 -26.3 Factors Determining Appropriateness of Employee•Public SpeeCh
Applicable law regarding the necessary balancing of
an employee's First Amendment right to speak publicly regarding a
matter of public concern and an agency's legitimate law enforcement
interests is complex. It is not possible to list all of the factors
that would be considered in determining whether to counsel an employee
.that his/her proposed public statements may be inappropriate and,
therefore, possibly subject the employee to discipline, or whether to
discipline an employee for making such comments. However, the
following factors are among those that would be considered in
determining whether disciplinary action would be appropriate:
(1) The speech violated a specifioprovision of FBI
policy or DOJ regulation (e.g., it concerned a particular FBI
investigation and was made by an unauthorized employee).
(2) The speech related only to a persOnal internal
grieVance of the employee or other matter that did not implicate a
significant public concern. For example, an employee's concern about
his/her performance appraisal report, or failure to receive a •
particular bonus or award is generally a perional matter which does
not involve political, social or community concerns and would not,
absent other significant factors, constitute protected speech'.
(3) The speech. compromised or contained classified
or sensitive information relating to an investigation or
administrative matter.
(4) The public comment was delivered in an
intemperate, offensive, caustic or unprofessional manner. For
example, if the speech identifies a specific fellow employee or •
supervisor by name or position-and characterizes that person in an
intemperate manner as a racist, thief or bigot, the manner of such
speech may subject the employee to discipline.
(5). The speech interfered with a pending civil,
criminal, personnel or administrative proceeding:
(6) The level and responsibility of the employee and
his/her concomitant obligation to support FBI management and its
policies. Generally, as employees gain higher positions in the FBI's
supervisory and management ranks, there is a corresponding higher duty
of loyalty to publicly support FBI policies and executives. The
failure to do so, particularly by one who holds a supervisory or -
management position, can increase the degree of harm to the efficiency •
and effectiveness to FBI operations and administration.
Page 98. of 114 ,
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(7) The employee criticized another employee or •
supervisor in a way that undermined discipline or ,a close working
relationship.
(8) The employee made the comments knowing they were
false, or with reckless disregard for their truth or falsity.
(9) The employee failed without sufficient cause to
use the required seven-day notice of intended public comment.
(10) The speech constituted a disclosure of
information prohibited by law. For example, public disclosure of
information governed by the Privacy Act, Title 5, United States Code,
Section 552a, or Rule .6(e), Federal Rules of Criminal Procedure, could:
lead to disciplinary action as well as possibly subjecting the
employee to potential criminal, civil, or contempt of court sanctions.
**EffDte: •11/26/1993.MCRT# 141 Div: PADS Cav:SecCls:
I 1 -26.4 Existing Procedures
(1) Part I of the MAOP contains procedures for addressing
certain: matters of interest and/or concern to FBI employees. Section
114 establiShesa grievance system for the orderly and effective
resolution of employee grievances. Section 3 contains procedures
relating to Special Agent Career Development Matters, and Section 4
contains procedures relating to Equal Employment/Upward Mobility
matters. Employees are encouraged to use these" mechanisms
for the resolution of theirooncerns and.grievarices7
(2) Employees are also reminded of their obligation under
FBI and Department of Justice policies and regulations.to submit any
written product for whiCh they seek publication to the Office of
Public and. Congressional Affairs for review prior to publication.
See, MAOP, , Part I, Section 1-24; Title 28, Code of Federal
Regulations, Section 17.144.1 . •
**EffDte: 11/26/1993 MCRT#: '141 Div: PAD9 Cav: SecCls:
1 -26.5 Guidelines on Religious Freedom in the Federal Workplace
The following Guidelines, addressing religious exercise
and religious 'expression, shall apply to all civilian executive
branch agencies, officials, and employees in the federal workplace.
These Guidelines principally address employees' religious exercise .
and religious expression.when the employees are acting in their
personal capacity within the federal workplace and the public does
not have regular exposure to the workplace. The Guidelines do not
comprehensively address whether and when the government and its
employees may engage in religious speech directed at the public.
(1) GUIDELINES FOR RELIGIOUS EXERCISE AND RELIGIOUS
EXPRESSION IN THE FEDERAL WORKPLACE
Executive departments and agencies 'shall permit personal
religious expression by federal employees to the greatest extent
I possible, consistent withlthe Religious Freedom Restoration Act
I (Title 42, USC, Section 2000bb-1) and Title VII of the Civil Rights FBIO24348CBT
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•
Act of 1964 (Title 42, USC, Section 2000e et seq.), as amendediand
interests in workplace efficiency as described in this set of •
Guidelines. Agencies shall not discriminate against employees on the
basis of religion,'require religious participation or nonparticipation
' as a condition of employment, or permit religious harassment.
Agencies shall accommodate employees' exercise of their religion in
the circumstances specified in these Guidelines. These requirements
I are butlan applicationlof the general principle that agencies shall
treat all employees with the same respect and consideration,
regardleSs of their religion (or lack thereof).
(a) Religious Expression. As a matter of law,
agencies shall not restrict personal religioUs expression by
employees in the federal workplace except where the employees'
interest in the expression is outweighed by the government's interest
in the efficient provision of public services or where the. expression
intrudes upon the legitimate rights of other employees or creates the
appearance, to a reasonable observer, of an official endorsement of
• religion.
As a general rule, agencies may mil regulate
employees' personal religious expression on the basis of its content •
or viewpoint. In other words, agencies generally may not suppress '
employees' private religious speech in the workplace while leaving
unregulated other private employee speech that has a comparable
'effect on the efficiency of the workplace, including ideological .
I speech on politics and otheritopics. Toldo so would be to
engage in .presumptively unlawful content or viewpoint discrimination.
.Agencies, however, may, in their discretion, reasonably regUlate.the
time, place; and manner of all employee speech, provided such
regulations do not discriminate on the basis- of content or viewpoirit.
The federal governi -nent generally has the authority to regulate an
,employee's private.speech, including religious speech, where the
employee's interest in that speech is outweighed.by the government's
interest in promoting the efficiency of the public services it •
performs. Agencies should exercise this authority evenhandedly and
I with restraint, and with regard for the fact thatlin some cultures -
I it is not appropriate to disagreelori controversial subjects, including,
religious ones. Agencies are not required, however, to permit
employees to use work time to pursue religious or ideological
agendas. Federal employees are paid to perform official work, not to •
engage in personal, religiouS, O•ideological campaigns during
working hours.
(2) EXPRESSION IN PRIVATE WORK AREAS
EmPloyees should be permitted to engage, in private
religious expression in personal work areas not regularly open to the,
public to the same eXtent that they may engage in nonreligious
private, expression, subject to reasonable content- and viewpointneutral
standards and restrictions: such religious expression must be
permitted so long as it does not interfere with the agency's
I !performance oflits official responsibilities.
(a) Expression Among Fellow Employees. Employees
should be permitted to engage in religious expression with fellow
employees, to the same extent that. they may engage in comparable
nonreligious private expression, subject to reasonable and content-
. neutral standards andlrestrictions. Suchiexpression should not be
restricted so long as it does not interfere with - workplace
efficiency. Though agencies are entitled to regulate such employee FBIO24349CBT
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C
speech.based on reasonable predictions of'disruption, they should not
restrict speech based on merely hypothetical concerns, having little
basis in fact, that the speech will have a deleterious effect on
workplace efficiency.
(3) EXPRESSION DIRECTED AT FELLOW EMPLOYEES
(a) Employees are permitted to engage in religious
expression directed at fellow employees, and may even attempt to
persuade fellow employees of the correctness of their religious
Views, to the same extent as those employees may engage in comparable
speech not involving religion. Some, religions encourage adherents to
'spread the faith at every opportunity, a duty that can encompass the
adherent's workplace. As a general matter, proselytizing is as •
entitled to constitutional protection as any other form of speech —
as long as a reasonable observer Would not interpret the expression
as government endorsement of religion. Employees may urge.a
colleague to participate or not to participate in religious
. activities to the same extent that, consistent with concerns of
workplace efficiency, they may urge their colleagues to engage in or
refrain from other personal endeavors. But employees must refrain
from such expression when a fellow employee asks that it stop or,
otherwise demonstrates that it is unwelcome.
(b) Though personal 'religious expression is
protected in the same way, and to the same extent, as other
constitutionally valued speech in the federal workplace, such
expression should not be permitted if it is part of a larger pattern
of verbal attacks on fellow employees (or a specific employee) not
sharing the faith of the speaker, Such speech, by virtue of its
excessive or harassing nature-, may constitute religious harassment orcreate
a hostile work environment and an agency should not tolerate
it,
(4) EXPRESSION IN AREAS ACCESSIBLE TO THE PUBLIC
(a) Where the public has access to the federal
workplace, all federal employers must be sensitive to the •
Establishment Clause's requirement that expresSion not create the .
reasonable impression that the government is sponsoring, endorsing,
or inhibiting religion generally, or favoring or disfaVoring a .
particular religion. This is particularly important in agencies with
adjudicatory functions.•
• (b) However, even in workplaces open to the public,
not all private employee religious expression is forbidden. For
example, federal employees may wear personal religious jewelry absent
special circumstances (such as safety concerns) that-might require a
ban on all similar nonreligious jewelry. Employees may also display
religious art and, literature in their personal work areas to the same
extent that they may display other artand literature; so long as the
viewing public would reasonably understand the religious expression
to be that of the employee acting in his/her personal capacity,•;‘and
not that of the government itself. Similarly, in their private time
employees may discuss religion with willing•coworkers in public
spaces to the same extent as they may discuss other subjects, so long
as the public would reasonably. understand the religious expression to
be that of the'employees acting in their personal capacities..
(5) RELIGIOUS DISCRIMINATION
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Federal agencies may not discriminate against
employees on the basis of their religion, religious beliefs, or views
concerning religion.
(a) Discrimination in Terms and Conditions. No
agency within the executive branch may promote, refuse to promote,
hire, refuse to hire, or otherwise favor'or disfavor, an employee or
potential employee because of his or her religion, religious belief,
or views concerning religion.
. .
(b) Coercion oflEmployeesrarticipation or
•Nonparticipation in Religious Activities. A.person holding
supervisory authority over an employee may not, explicitly or
implicitly, insist that the employee participate in religious
activities as a condition of continued employment, promotion, salary
increases, preferred job assignments, or any other incidents of
employment. Nor may a supervisor insist that an employee refrain
from participating in religious activities outside the workplace
except pursuant to otherwise legal, neutral restrictions that apply
to employees' off-duty conduct and expression in general (e.g.,
restrictions on political activities prohibited bythe Hatch Act).
1. This prohibition leaves supervisors free to•
'engage in some kinds of speech about religion. Where a supervisors
religious expression is not coercive and is understood as, his or her
personaiview, that expression is protected in the federal workplace
in the same way and to the same extent as other constitutionally
valued.speech. For example, if surrounding circumstances indicate
• that the expression is merely the persOnal view of the supervisor and
that employees are free to reject or igncire the Supervisors'point of
view or invitation without any harm to their careers or professional -.°
liVes, such expression is so protected.
2. Because supervisors have the power to ,hire,
fire, or promote, employees may reasonably perceive their
supervisors religious expression as coercive, even if it was not •
intended as such. Therefore•supervisors should be careful to ensure
that their statements and actions are such that employees do not
perceive any coercion of religious or nonreligious behavior (or
respond as if such coercion is occurring), and should, where
necessary, take appropriate steps to dispel such misperceptions.
(c) .Hostile Work Environment and Ffarassment. The
'law against workplace discrimination protects federal , employees from
being subjected to a hostile environment, or religious harassment, in
the•form of religiously discriminatory intimidation, or pervasive or -
severe religious ridicule or insult, whether by .supervisors or fellow
workers. Whether particular conduct gives rise to a hostile
environment, or constitutes impermissible religious harassinent, will
- usually depend upon its frequency or repetitivenest, as well as its
severity. The use of derogatory language in an assaultive manner can
constitute statutory religious harassment if.it is severe or invoked
-repeatedly: A single incident, if sufficiently abusive, might also
_constitute statutory harassment. However, although employeeS should
always be guided by general principles of civility and workplace
efficiency, a hostile environment is not created by the bare
expression of speech with which some employees might disagree. In a
country where freedom of speech and religion are guaranteed, citizens
should expect to be exposed to ideas with which they disagree.
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(a) Federal law requires an agency to accommodate
employees' exercise of their religion unless such accommodation would
'impose an undue hardship on the conduct of the agency's operations.
Though an agency need not make an accommodation that will result in
more than a de minimis cost to the agency, that cost or hardship
I nevertheless must be real rather than speculative odhypothetical.
I The'accommodation should be made unless it would cause an actual cost
to the agency or to other employees oran actual disruption of work,
or:unless it is otherwise barred by law.
(b) In addition, religiOus accommodation cannot be
I disfavoredlas compared withlother, nonreligious.accommodations.
Therefore, a religious accommodation cannot be denied if the agency
regularly permits similar accommodations for nonreligious purposes.
(c) In those cases where an agency'S work rule
imposes a substantial burden on a particular employee's exercise of
I religion, the agency must golfurther. AnIagency should. grant the
employee an exemption from that rule, unless the agency has a
compelling interest in.denying the exernptiOn, "and there is no less
restrictive means of furthering that interest.
(7) ESTABLISHMENT OF RELIGION
Supervisors and employees must not engage in
activities or expression that a reasonable observer would interpret
I asleitherlgovernment endorsementor denigration of religion or a
particular religion. Activities of employeeS need not be officially
sanctioned in order to violate this principle; if, in all the
circu'm"stance'"s, the activities Would - leave "a-reasonableobserver with
the impression that government was endorsing, sponsoring, or
inhibiting religion generally or favoring or disfavoring a particular .
religion, they are not permissible. Diverse factors, such as the
context of the expression or whether official channels of
communicatioh are. used, are relevant to what a reasonable.observer
would conclude.
(8) GUIDING LEGAL PRINCIPLES
In applying the guidance set forth. in this order,
I executive branch departments and agencieS shouldibe advised ofithe
following legal principles.
(a) Religious Expression. It is well-established
that the Free Speech Clause of the First Amendment protects
"government employees in the workplace. This right encompasses a •
right to speak about religious subjects. The Free Speech Clause also
prohibits the government from singling out religious expression for
disfavored treatment: "OPIrivate religious speech,' far from being a
First Amendment orphan, is as fully protected under the Free Speech
Clause as secular private expression," CapitoliSquareIReviewlBoardIv.
Pinette, 115 S.Ct. 2448 (1995). Accordingly, in fh—e-gd\I-efnmehr
workplace, employee religious expression cannot be regulated because
of its religious character, and such religious speech typically
cannot be singled out for harsher treatment than other comparable
expression.
1. Many religions strongly•encourage their
adherents to spread the faith by persuasion and example at every .
opportunity, a duty that can extend to the adherent's workplace. As FB1024352CBT
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a general matter, proselytizing is entitled to the same
constitutional protection as any form of speech. Therefore, in the
governmental workplace, proselytizing should not be singled out
because of its content for harsher treatment than nonreligious .
expression.
2. However, it is also well-established that
the governMent in its role as employer has broader dikretion to
I regulate itslemployees'Ispeech in the-workplace than it does to .
I regulate speech among the public at large. IEmployees'lexpresion on
I matters of public concern can be regulated if thelemployees'l •
interest in the speech is outweighed by the interest of the -
government, as an employer, in promoting the efficiency of the public
services it pel'fOrms through its employees. Governmental .employees
also possess substantial discretion to impose content-neutral and • •
viewpoint-neutral time, place, and manner rules regulating priVateemployee
expression in the workplace (though they may not structure .
or administer such rules to discriminate against particular
viewpoints). Furthermore, employee speech can be regulated or
discouraged if it impairs. discipline by superiors, has a detrimental
impact on close working relationships for which perknal loyalty and
confidence are necessary, impedes the performance of the speaker's
duties or interferes with the regular operation, of the enterprise, or
demonstrates that the employee holds views that could lead his/her
employer orthe public reasonably to question whether he/she can
perform his/her duties adequately. -
3. Consistent with its fully. protected
character, employee religious speech should be treated within the ..
federal workplace, like Other expression on issues of publicjconcern.
Inja particular case, an employer can discipline an erriplo ,- ,ee for •
engagingin speech if the value of the speech-is outweighed by the
employer's interest in promoting the efficiency of the public
services it performs through its employee. Typically, however, the
: religious speech cited as permissible in .the various examples
included in these guidelines will not unduly impede these interests'
and should not be regulated. And rules regulating employee speech,
like other rules regulating speech, must be carefully drawn to avoid
any unnecessary limiting or "chilling" of protected speech.
(b) Discrimination in Terms and Conditions. Title
VII of the Civil Rights Act of 1964 makes it unlawful for employers,
both private and public, to "fail or refuse to hire or to discharge '
any individual or otherwise to discriminate against any individual
with - respect to compensation, terms, conditions, or privileges of
employment because of such individual's ... Religion." 42 U.S.C.
Section 2000e-2(a)(1). The federal government also is bound by the
equal protection component of the Due Process Clause of the Fifth:
Amendment, which bars intentional discrimination on the , basis Of
religion. Moreover, the prohibition on religious discrimination in •
employment applies with particular force to the federal government,
for Article VI, Clause 3 of the Constitution bars the government from
enforcing- any religious test as a requirement for qualification to -
any office. In addition, if a government law, regulation or practice
facially discriminates against employees' private exercise of
religion or is intended to infringe upon or restrict private
religious exercise, then that law, regulation, or practice implicates
the Free Exercise Clause of the First Amendment. Last, under the
Religious Freedom Restoration Act, 42•U.S.C. Section 2000bb-1,
federal governmental action that substantially burdens a private
party's exercise of religion can be enforced only if it is justified
r
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MAOP PART 1 SECTION 1 ACTIVITIES AND STANDARDS OF CONDUCT Page 105 of 114 .
by a compelling interest and is narrowly tailored to advance that •
interest.
(c) Coercion of Employees' Participation or
NonparticipatiOn in Religious Activities. The ban on religious
discrimination is broader than simply guaranteeing nondiscriminatory
treatment in formal employment decisions such as hiring and
promotion. It applies to all terms and conditions of employment. It
follows that the federal government may not require or coerce its
employees to engage in religious activities or to refrain from
engaging in.religious activity. For example, a supervisor'may not
demand attendance at (or a refusal to attend) religious services as a
condition of continued employment or promotion, or as .a criterion
affecting assignment of job duties. Quid pro quo discrimination of
this sort is illegal. Indeed, wholly apart from the legal
prohibitions against coercion, supervisors may not insist upon
employees' conformity to religious behavior in their private lives
any more than they can insist on, conformity to any other private
conduct unrelated to employees' ability to carry out their duties.
(d) Hostile Work Environthent and Harassment.
Employers violate Title VIPs ban on discrimination by creating or
tolerating a "hostile environment" in which an employee is subject to
discriminatory intimidation, ridicule, or insult sufficiently severe
or pervasive to alter the conditions of the victim's employment. .
This statutory standard can be triggered, at the very least, when an,.
.employee because of her or his religion. or lack thereof: is exposed
to intimidation, ridicule, and insult. The hostile conduct-which
may take the form of speech - need not come from supervisors or from
the employer. FelloW employees can create a hostile environment
throtigh their Own Words arid -actions.
•
1. The existence of some offensive workplace
conduct does not necessarily constitute harassment under Title VII.
Occasional and isolated utterances of an epithet that engenders
offensive feelings in an employee typically would not affect .
conditions of employment, and therefore would not in and of itself
constitute harassment. A hostile environment, for Title VII
purpcises, is not created•by the bare expression of speech with which
one disagrees. For religious harassment to be illegal under Title
VII, it must be sufficiently severe or pervasive to alter the
conditions of employment and create an abusive working environment.
Whether conduct can be the predicate for a finding of religious
harassment under Title VII depends on the totality of the
circumstances, such as the nature of the verbal or•physical conduct
at issue and the context in which the alleged' incidents occurred. As
the Supreme Court has said in an analogous context:.
Whether an environment is "hostile" or "abusive" can be
determined only by looking at all the circumstances. These may
include the frequency of the discriminatory conduct; its severity;
whether it is physically threatening or himiliating, ore mere
offensive utterance; and whether it unreasonablyinterferes with an
employee's work performance. The effect on the employee's
psychological well-being is, of course, relevant to determining
whether the plaintiff actually •ound the environment abusive. Harris
v. Forklift Systems, Inc., 510 U.S. 17, 23 (1993).
2. The use of derogatory language directed at
an employee can rise to the level of religious harassment if it is
severe or invoked repeatedly. In particular, repeated religious
• oiaT,REcantaZil8d05...-2,Na. .,/11
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( 1
slurs and negative religious stereotypes, or continued disparagement
of an employee's religion or ritual practices, or lack thereof, can
constitute harassment. It is not necessary that the harassment be
explicitly religious in character or that the slurs reference
I !religion. Nis sufficient that the harassment is directed at an
employee because of the employee's religion or lack thereof. That is
to say, Title VII can be violated by employer tolerance of repeated
slurs, insults and/or abuse not explicitly religious in nature if
that conduct would not have occurred but for the targeted employee's "
religious belief or lack of religious belief. Finally, although
prOselytization directed at fellow employees is generally permissible
(subject to the special considerations relating to supervisor
expression discussed elsewhere in these Guidelines,) such activity
must stop if the listener asks that it stop or otherwise demonstrates
that it is unweltome.
(e) Accommodation of Religious Exercise. Title VII
requires employers "to reasonably accommodate an employee's or
prospective employee's religious observance'or practice" unless such
accommodation would impose an "undue hardship on the conduct of the
employer's business." 42 U.S.C. Section 2000e(j). For example, by
statute, if 'an employee's religious beliefs require him/her to be
absent from work, the federal government must grant that employee
compensation time for bvertime work to be applied against the time
lost, unless to do so would harm the ability of the agency to carry
out its mission efficiently. 5 U.S.C. Section 5550a.
• 1. Though an employer need not incur more than
de minimis costs irrproviding an accommodation, the employer hardship
nevertheless must be real rather than speculative or hypothetical. • ,.•
- Religious accommodation Canncithe digavored relative to other,
nonreligious, accomModaticins. If an' employer regularly permits
accommodation for nonreligious purposes, it cannot deny comparable
religious accommodation: "Such an arrangement would display a
discrimination against religious practices that is the antithesis of
reasonableness." Ansonia Bd. of Educ. v. Philbrook, 479 U.S. 60, 71
(1986).
2. In the federal government workplace, if
neutral workplace rules - that is, rules that do not single out
. religious or religiously motivated conduct for disparate treatment -
impose a substantial burden on a particular employee's exercise of
religion, the Religious Freedom Restoration Act requires the employer
to grant the employee an exemption from that neutral rule, unless the
-employer has a compelling interest in denying an exemption and there
is no less restrictive means of.furthering that interest. 42 U.S.C.
Section 2000bb-1.
(f) Establishment of Religion. The Establishment •
Clause of the First Amendment prohibits the government including its
employees from acting in a manner that would lead a reasonable
observer to conclude that the government is sponsoring, endorsing or
inhibiting religion gerierally or favoring or disfavoring - a particular
religion. For example, where the public has access to the federal .
workplace, employee religious expression should be prohibited where
the public reasonably would perceive that the employee is acting in
an official, rather than a private, capacity, or under circumstances
that would lead a reasonable observer to conclude that the government.
is endorsing or disparaging religion. The Establishment Clause also
forbids federal employees from using government funds or resources ,
,(other than those facilities generaly available to government
•
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employees) for private religious uses.
(9) GENERAL •
These Guidelines shall govern the internal management .
of the civilian executive branch. They are not intended to•create
any new right, benefit, or trust responsibility, substantive or
procedural, enforceable at lami or equity by a party against the
United States, its agencies, its officers, or any person. Questions
regarding interpretations of these Guidelines should be brought to
the Office of the General Counsel. "
**EffDte: 11/18•1999'MCRT#: 935 DIV: EE Cav: SecCls:
I 11 -2T SERVICE AS AN EXPERT WITNESS
(1) Restriction. An employee shall not serve, other than
on behalf of the United States, as an expert witness, with or without
compensation, in any proceeding before a court or agency of the United
States in Which the United States is a party or has a direct and
substantial interest, unless the employee's participation is
authorized by the agency under paragraph (3) of this section.
(2) Authorization to serve as an expert witness.
Provided that the employee's testimony will not result in compensation
for an appearance in violation of 5 CFR 2636.201 or violate any of
the principles or standards set forth in the Office of Government
Ethics standards of conduct, authorization to provide expert •
witness service otherwise prohibited by paragraph (1) - of this section
may be given by the Deignated -KgencY Ethics Official of the agency in
which the employee serves when:-
(a) After consultation with the agency representing
the Government in the proceeding or, if tn'e Government is not a party,
with the Department of Justice and the agency with the most direct and
substantial interest in the matter, the Designated Agency Ethics .
'Official determines that the employee's service as an expert witness
is in the interest of the Government; or
(b) The Designated Agency Ethics Official determines
that if the subject matter of the testimony does or does not relate-to
the employee's official duties as defined in MAOP, Part I, Section
• 11-16.1.
(3) Nothing in this section prohibits an employee from
1 serving as a fact witness when subpoenaed by an appropriate,
1 authority. (See (11.)1 •
**EffDte: 07/12/1994 MCRT#: 271 Div: D9 Cav: SecCls:
I 11-28 STANDARDS OF ETHICAL COND.UCT. FOR EXECUTIVE BRANCH EMPLOYEES
.ON DETAIL OUTSIDE THE FBI (See MAOP; Part,1. 4 (6).)
1(1) DETAILS TO OTHER AGENCIES: Except as prOvided in
1 paragraph (4) of this section, an employee on detail to another agency
1 for a period in excess of 30 calendar days shall remain subject to the
Office of Government Ethics (OGE) standards of conduct codified at 5,
1CFR, Part 2635, and shall be subject to any supplemental agency
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regulations to the'OGE standards of conduct of the agency to which
he/she is detailed rather than to any supplemental agency regulations
of hiS/her employing agency. •
(2) DETAILS TO THE LEGISLATIVE OR JUDICIAL BRANCH: An
employee on detail to the legislative or judicial branch for a:period
in excess of 30,calendar days shall be subject to the ethical .
standards of the branch or entity to which detailed. For the duration
of any such detail or assignment, the employee shall not be subject to
the OGE standards of conduct, except this section, or, except as
provided in paragraph (4) of this section, to any supplemental agency
regulations of his/her employing agency, but shall remain subject to
the conflict of interest prohibitions in Title 18 of the United States,
Code.
(3) DETAILS TO NON-FEDERAL ENTITIES: Except to the
extent exempted, in writing pursuant to this paragraph, an employee
detailed to a non-Federal entity remains subject to the OGE standards
'of conduct, the FBI standards of conduct and any supplemental agency •
regulation of the FBI. When an employee is detailed pursuant to
statutory authority to an, international organization or to a State or
local government for a period in excess of six months, the Designated
Agency Ethics Official may grant a written exemption from the
restrictions of 5, CFR, subsections 2635.201 - 2635.205, based on
his/her determination that the entity has adopted written ethical '
standards covering solicitation and acceptance of gifts which will
apply to the employee during the detail and which will be appropriate
given the purpose of the detail. .
..•
• (4) APPLICABILITY OF SPECIAL AGENCY STATUTES:
Notwithstanding'paragraphs-(1 )' and '(2) of this section, an employee • —
who is subject to an agency statute which restricts his/her activities
or financial holdings specifically because of his/her status as an
employee of that agency shall continue to be subject to any provisions
in the supplemental agency segulations'of his/her employing agenby
that implement that statute.
(5) The Department of Justice has submitted and obtained
preliminary approval of the following supplemental regulation to the
OGE standards of conduct:
Any employee of the. Federal Bureau of Investigation or the•rug
Enforcement Administration who is subject to any supplemental
regulations or standards of ethical conduct by reason of detail or .
assignment from his/her component to any other entity shall also
remain subject to the supplemental regulations and/or standards of
ethical conduct of the Departr,nent of Justice (including, without
limitation, his/her component's internal standards and guidelines, if
any); provided, however, that in case of .conflict between applicable
supplemental regulations and/or standards of ethical conduct, the more.
restrictive shall govern and control.'
*!E-ffDte: 07/12/1994 MCRT#: 271 Div: D9 Cav:-SbCCIs:
111-29 USE OF AN INDEFINITE SUSPENSION IN MATTERS INVOLVING REVOCATION
OF A SECURITY CLEARANCE •
(1) All positions within the FBI are Special-Sensitive,
I as defined in Department of JuStice (DOJ) Order 2610.2A, and require a
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Top Secret (TS) security clearance as a condition of employment. The
FBI's Security. Programs Manager (SPM) has been delegated authority
from the DOJ's Security Officer to grant security clearances. •
(2) Executive Order (EO) 12356, "National Security "
Information," requires an affirmative determination, of trustworthiness
as a prerequisite for a security clearance. EO 10450, "Security
Requirements for Government Employment," authorizes the head of•he
agency or designee, the SPM in the FBI, to conduct investigations to
'determine whether an individual's access to classified information is
clearly consistent with national security interests. If the SPM •
develops information that establishes that an individual's continued
employment with the FBI is not clearly consistent with the interests
of national security, the SPM may either suspend access to classified
information or revoke the employee's TS clearance.
(3) Suspension of an employee's access to classified
information necessarily results in his/her loss of access to any FBI
controlled space. During this period of suspension of access, the
employee will be placed on administrative leave with pay. Upon
reaching a determination to revoke an employee'S TS clearance, the SPM
will notify the employee and will propose to the FBI's Personnel
Officer that the employee be placed on indefinite suspension. .
'Indefinite suspension is defined in MAOP, Part I, 13-11(1). The
indefinite suspension will continue for the duration of any appellate
proceedings. The SPM's written notification to an employee will
include:
(a) the specific basis for the security clearance
revocation and
• •- -
(b) notice concerning an employee's opportunity to
appeal the revocation action to the DOJ Security Officer. (See (5).)
• • •
(4) Executive Order 10450•sets forth criteria that will
be considered when assessing an employee's trustworthiness for .
employment or retention in employment consistent with the interests of.
national security. These criteria include, but are not limited to,
the following:
.(a) Depending on the relation of the government
employment to the national security:
1. Any behavior, activities, or associations
which tend to show that the individual is not-reliable or trustworthy.
2. Any deliberate misrepresentations,
falsifications, or omissions of material facts.
3. Any criminal, infamous, dishonest, immoral,
or notoriously disgraceful conduct, habitual use of intoxicants to
excess, drug addiction, and/or sexual perversion. .
4. Any illness, including any mental Condition
of a nature which, in the opinion of a competent medical authority,
may cause a significant defect in the judgment or reliability of the
employee, with due regard to the transient or continuing effect of the
illness and the medical findings in such case.
5. Any facts which furnish reason to believe
that the individual may be subjected to coercion, influence, or
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pressure which may cause him/her to act contrary to the best interests •
of the national security.
(b) Commission of any act of sabotage, espionage,
treason, or sedition, or attempts thereat or preparation therefor, or
conspiring with, or aiding or abetting, another to commit or attempt
to commit any act of sabotage, espionage, treason, or sedition:
(c) Establishing or continuing a sympathetic
association with a saboteur, spy, traitor, seditionist, anarchist, or
revolutionist, or with an espionage or other secret agent or
representative of a foreign nation or any representative of a foreign
nation whose interests may be inimical to the interests of the United
States or with any person who advocates the use of force or violence
to overthrow the government of the United States or the alteration of
the form of government of the United States by unconstitutional means.-
(d) Advocacy of the use of force or violence to
overthrow the government of the United States or of the alteration of
the form of government of the United States by unconstitutional means.
(e) Knowihg membership with the specific intent of
furthering the aims of, or adherence to and active participation in,
any foreign or domestic organization, association, movement, group, or
'combination of persons (hereinafter referred to as organizations)
which unlawfully advocates or practices the commission of acts of
force or violence to prevent others from exercising their rights under
the Constitution or laws of the United States or of any State, or '
which -seeks to overthrow the government of the United States or any ,
State or subdivision thereof by unlawful means. •
• • n ' • —
(f) Intentional, unauthorized disclosureto any
person of security information, or of other information, disclOsure of
which is prohibited by law, or willful violation or disregard of
security regulationS. •
. (g) Performing or attempting to.perform his/her
duties, or otherwise acting, so as to serve the interests of another
government in preference to the interests of the United States.
(h) Refusal by the individual, upon the ground of
constitutional privilege against self-incrimination ; to testify before
a congressional committee regarding charges of his/her alleged
disloyalty or other misconduct. .
(5) A suspension pursuant to Title 5, United States Code
(USC), Section 7532 is available to an agency as an alternative to the
indefinite suspension described in (3), above. Section 7532 provides.
that "the head of an agency may suspend without pay an employee of
his/her agency when he/she considers that action necessary in the
interests of national security." An employee suspended pursuant to
this section may be entitled to certain procedural rights (e.g., a
written'staterrient of the charges against -him/her), but will not be
entitled to the rights afforded to preference eligible employees
pursuant to Title 5, USC, Section 7513 (See MAOP, Part I, 13-10 and
13-11).
(6) See MAOP, Part I, 13-11 for further information
concerning the use of an indefinite suspension in personnel matters.'
**EffDte: 12/01/1994 MCRT#: 353 Div: D5OP Cav: SecCls: •
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MAOP PART 1 SECTION 1 ACTIVITIES AND STANDARDS OF CONDUCT
• I 11-30 ALCOHOL POLICY (SEE MAOP, PART !, 1-2.)
**EffDte: 03/16/1995 MCRT#: 387 Div: OP Cav: SecCls:
1 1 -30.1 Background and Purpose (See MAOP, Part I, 1 -2 and 15-3.3.)
In, September, 1994,.the Director personally reviewed •
incidents involving employees' having been criminally charged with
Driving Under the Influence (DUI) of alcohol to determine the FBI's
response to the problem posed by alcohol abuse within the FBI. He was
convinced that it was necessary to firmly promulgate the FBI's policy -
regarding •alcohol-related misconduct and, in particular, to establish
harsh consequences for anyone who operates a`inotor vehicle while under
the influence of alcohol. He addressed the problem both from a
preventive and disciplinary standpoint. The policy set forth below,
in 1-30.2 through 1-30.4, should in no way be construed to indicate
any lack of sensitivity to problems faced by FBI employees or any
lessening in his strong endorsement of our Employee Assistance Program
(EAP).
**Effbte: 03/16/1995 MCRT#: 387 Div: OR Cav: SecCls:
1 1 -30.2 Statement of Policy (See MAOP, Part I, 1 -2, 1 -30.1 and 15-3.3.)
(1) It has long been the policy.of the FBI to forbid •
employees to consume alcohol•while "on-duty." This prohibition is ,
closely tied to the role of FBI Special Agents ac law enforcement
officers and the perception of the American public that our
organization should serve as a role model for law enforcement. With
limited exceptions necessary for Special Agents in certain underCoVer
or surveillance assignments, the requirement for all employees to
abstain from alcohol during duty hours is reaffirmed.
•
(2) Special Agents are expected to be available for duty
on a 24-hou•basis. Consequently, they must take affirmative steps to
remain fit for duty at all times.
(3) Every employee is strongly recommended to take steps ;
to avoid operating a motor vehicle after consumption 'of any alcoholic
beverages. Steps such as making prior arrangements for a designated
driver at social events are•not only a prudent but reasonable course
of action which should be taken by all employees despite the minor
inconvenience which may be involved.
(4) All employees must redouble their efforts — as
coworkers, as "brick agents" and as supervisors and managers — to
intervene directly to assist those who need EAP help. We must ensure •
that employees plagued by substance abuse do not endanger themselves,
their families, fellow employees, or the public we have all sworn to
protect. We must not tolerate or seek to hide problems such as •
alcoholism which so gravely threaten members of our Bureau or the
public's safety.
Page 111 of 114
**EffDte: 03/16/1995 MC.RT#: 387 Div: OP Cav: SecCls: •
j 1-30.3 Alcohol-Related Misconduct (See MAOP, Part I, 1-2, 1-3,1,1-30.1,8-1.12.2,12-1.5, 13-13
and 15-3.3.)
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MAOP PART 1 SECTION ACTIVITIES AND STANDARDS OF CONDUCT Page 112 of 114 ' .
' In the interest of public safety and the Bureau's
integrity, the FBI is obligated to take severe administrative action'
for alcohol-related misconduct Employees must be held accountable
for their on- and off-duty alcohol-related misconduct, WHETHER OR NOT
they are specifically charged with an alcohol-related offense by a
local law enforcement agency.
• •
(1) Upon an employee's FIRST offense of driving under the .
influence or while intoxicated, whether established by a conviction in
court or as the result of an administrative inquiry, he/she will be
suspended from duty, without pay, for a period of not less than 30
days. If aggravating circumstances are present, he/she may be ,
terminated from employment. A SECOND offense will result in . •
termination, absent compelling mitigating circumstances. •
(2) Immediately following an employee's arrest for .
driving while under:the influence (DUI) or while intoxicated (DWI), an
employee will be prohibited by his/her division/office head from
operating a government motor vehicle for an indefinite period of time
This indefinite suspension of an employee's privilege to operate a
government motor vehicle will continue until an administrative
determination has been reached regarding the employee's guilt or
innocence of the alleged misconduct. In such matters, renewal of an
employee's privilege to operate a government motor vehicle will be
resolved by an administrative determination of the Bureau made in
association with adjudication of employee's alleged misconduct. While ,
the result of a judicial review of the employee's actions, his/her .
plea bargaining, or entry into a diversion or substance abuse program
as a result of his/her arrest will be considered in reaching this
administrative determination, such .factor(s) will NOT, in and of •
themselves, determine the appropriateness of the Bureau's renewal of •
an employee's privilege to operate a government motor vehicle. That
decision will be made on the merits of each case and the government's
responsibility to ensure the public's safety through proper licensing
of the operator of official motor vehicles.. .
(3) An employee.'s arrest for driving while under the •
influence or while intoxicated MUST be reported to the Office of
Professional Responsibility (OPR) as an issue of serious misconduct.
An administrative inquiry will be conducted by the division/ciffice
head under the direction of OPR regarding the employee's alleged
' misconduct. Sufficient information/evidence must be obtained in this
inquiry to facilitate an administrative determination of the .
employee's guilt or innocence of the noted charge. Such infOrmation .
should include, but not be limited to, the result of adjudication
of the employee's arrest by the judicial system in which charges were
filed against the employee.
(4) In those instances. in which an employee is found
guilty in an administrative inquiry of alcohol-related misconduct
while operating a motor vehicle, his/her privilege to operate a
government motor vehicle will continue to be suspended following such
determination of guilt. This suspension will occur REGARDLESS whether
the nature of the employee's motor vehicle offense has been reduced as
a result of judicial review, plea bargaining, or the emplOyee's entry"
into a diversion or substance abuse program. A presumption will exist .
that there is a necessity to suspend the employee's privilege to
operate a government motor vehicle for a period of not less than ONE
YEAR following his/her offense. During the period of a Special °
Agent's suspension of his/her privilege to operate a government motor
vehicle, and following a determination of his/her alcohol-related
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• NIAOP PART 1 SECTION
(
ACTIVITIES AND STANDARDS OF(c'ONDUCT . Page 111of 114
misconduct by the Bureau, he/she will NOT be considered eligible to
earn premium compensation, such as Sunday pay, holiday pay, night
differential, and Availability Pay. Prior to discontinuing
eligibility for Availability Pay, the employee will be afforded
appropriate adverse action proceedings. (See MAOP, Part I, 1-3.1 and
118-1.12.2.)1
(5) As the suspension of a Special Agent's entitlement to
earn Availability Pay compensation is an adverse personnel action, it
is dependent upon completion of adverse action procedures set forth
in, MAOP, Part I, 13-14, These procedures are designed to afford
employees due process as well as procedural entitlements which arise
from an employee's personnel status. For example, a preferenceeligible
veteran has specific procedural entitlements which are set
forth in MAOP, Part I, 13-10.
(6) When suspension of an employee's privilege to operate
a government motor vehicle is continued as a result of an adverse • •
personnel action, it will be the responsibility of a division/office
head to determine the extent to which the employee's privilege to
operate a government motor vehicle will be suspended. In reaching
that determination in alcohol misconduct cases involving the use of a
motor vehicle, a presumption will exist that there is a necessity to
suspend the employee's privilege to operate a government motor vehicle
for a PERIOD OF NOT LESS THAN ONE YEAR following the occurrence of the
offense. Any reduction of that period must be fully justified by the
•division/office head on the merits of the case involved. Such a
determination must be documented in the employee's official personnel
file. Any continuation of the period of suspension of a Special
_Agent's privilege to operate, a government Linotoryehicle beyond one
year from date of the offense, which has predicated suspension of
his/her entitlement to Availability Pay, will require the initiation
of a SEPARATE adverse personnel action. Such an action may be
requisite in situations in which a Special Agent fails to comply with
a program of rehabilitation determined necessary by. his/her fitness
for duty'examination, or other appropriate cause.
(7) When an FBI employee is involved,in. alcohol-related
.misconduct, REGARDLESS WHETHER THAT MISCONDUCT IS ASSOCIATED WITH
OPERATION OF A MOTOR VEHICLE, his/her division head, in addition to
notifying OPR, will conduct an inquiry specifically focused on whether
the employee suffers from alcohol-related problems. The result of •
that inquiry will be documented in the employee's offiCial personnel
file.
(a) If the inquiry determines that the employee is
• experiencing an alcohol-related problem, the division/office head will
instruct the employee to seek counseling and/or assistance through the
EAP or some outside source:
(b) Employees subject to a medical standard for
fitness for duty - sucrfas Special Agents - who are suspectedtohave_
an alCohol abuse problem, will be referred for a fitness for duty
exam. This examination will confirm whether the problem exists, and,
if appropriate, will enable management to refer the employee through
EAP for professional treatment and assistance. In addition, it will
facilitate the Bureau's issuance of a notice to employees with alcohol
abuse problems to avoid misconduct/performance deficiencies arising .
from alcohol abuse which are contrary to the efficiency of the -
Bureau's operations. Such a "firm choice" notice may be required for
the Bureau to finalize adverse personnel action against the employee
FBIO24362CBT
12 DOJOIG013433
MAOP PART 1 SECTION 1. ACTIVITIES AND STANDARDS OF cONDUCT Page 114 of 114
if he/she fails to correct his/her misconduct/performance which arises
from alcohol abuse.
(c) In all such mafters, it will be the
responsibility of the division/office head to determine whether there
is a necessity to suspend the employee's privilege to operate a motor
vehicle. Such a determination will consider the merits of each case
and the government's responsibility to ensure the public's safety
through proper licensing of the operator of official motor vehicles.
**EffDte: 64/02/1996 MCRT#: 525 Div:.OP Cav: SecCls:, . .
I 1 -30.4 Manager and Supervisor Responsibilities (See MAOP, Part I, 1 -2, 1 -30.1, and 15.3.3.)
Since sensitivity to employee problems and support of the
EAP are integral to good leadership, FBI managers are expected to
facilitate employee assistance and outreach efforts. To underscore
the importance of these efforts, all management and supervisory
personnel will be held directly accountable for any inaction on their
part under circumstances which reasonably require their intervention.
Such intervention would include:
(1) Encouraging any employee who experiences problems
with substance abuse to seek professional assistance on an immediate
basis.
(2) Assertively reaching out to co-workers in need of.EAP
services and take steps to ensure those in need are promptly afforded
_ 1..whatever counseling, treatment or assistance may be necessary,
Managers, in particular, are to -facilitate ernpioyee assistance and
outreach efforts.) -
**EffDte: . 03/16/1995 MCRT#: 387 Div: OP Cav: SecCls:
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