Federal Register

Executive Order 11222--Prescribing standards of ethical conduct for Government officers and employees

Source: The provisions of Executive Order 11222 of May 8, 1965, appear at 30 FR 6469, 3 CFR, 1964-1965 Comp., p. 36, unless otherwise noted.

By virtue of the authority vested in me by Section 301 of Title 3 of the United States Code, and as President of the United States, it is hereby ordered as follows:

Part I--Policy

Section 101. Where government is based on the consent of the governed, every citizen is entitled to have complete confidence in the integrity of his government. Each individual officer, employee, or adviser of government must help to earn and must honor that trust by his own integrity and conduct in all official actions.

Part II--Standards of Conduct

Sec. 201. (a) Except in accordance with regulations issued pursuant to subsection (b) of this section, no employee shall solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from any person, corporation, or group which--
(1) has, or is seeking to obtain, contractual or other business or financial relationships with his agency;
(2) conducts operations or activities which are regulated by his agency; or
(3) has interests which may be substantially affected by the performance or nonperformance of his official duty.
(b) Agency heads are authorized to issue regulations, coordinated and approved by the Office of Personnel Management, implementing the provisions of subsection (a) of this section and to provide for such exceptions therein as may be necessary and appropriate in view of the nature of their agency's work and the duties and responsibilities of their employees. For example, it may be appropriate to provide exceptions (1) governing obvious family or personal relationships where the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors--the clearest illustration being the parents, children or spouses of federal employees; (2) permitting acceptance of food and refreshments available in the ordinary course of a luncheon or dinner or other meeting or on inspection tours where an employee may properly be in attendance; or (3) permitting acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans. This section shall be effective upon issuance of such regulations.
(c) It is the intent of this section that employees avoid any action, whether or not specifically prohibited by subsection (a), which might result in, or create the appearance of--
(1) using public office for private gain;
(2) giving preferential treatment to any organization or person;
(3) impeding government efficiency or economy;
(4) losing complete independence or impartiality of action;
(5) making a government decision outside official channels; or
(6) affecting adversely the confidence of the public in the integrity of the Government.

[Sec. 201 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 202. An employee shall not engage in any outside employment, including teaching, lecturing, or writing, which might result in a conflict, or an apparent conflict, between the private interests of the employee and his official government duties and responsibilities, although such teaching, lecturing, and writing by employees are generally to be encouraged so long as the laws, the provisions of this order, and Office of Personnel Management and agency regulations covering conflict of interest and outside employment are observed.

[Sec. 202 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 203. Employees may not (a) have direct or indirect financial interests that conflict substantially, or appear to conflict substantially, with their responsibilities and duties as Federal employees. or (b) engage in, directly or indirectly, financial transactions as a result of, or primarily relying upon, information obtained through their employment. Aside from these restrictions, employees are free to engage in lawful financial transactions to the same extent as private citizens. Agencies may, however, further restrict such transactions in the light of the special circumstances of their individual missions.

Sec. 204. An employee shall not use Federal property of any kind for other than officially approved activities. He must protect and conserve all Federal property, including equipment and supplies, entrusted or issued to him.

Sec. 205. An employee shall not directly or indirectly make use of, or permit others to make use of, for the purpose of furthering a private interest, official information not made available to the general public.

Sec. 206. An employee is expected to meet all just financial obligations, especially those--such as Federal, State, or local taxes--which are imposed by law.

Part III--Standards of Ethical Conduct for Special Government Employees

Sec. 301. This part applies to all "special Government employees" as defined in Section 202 of Title 18 of the United States Code, who are employed in the Executive Branch.

Sec. 302. A consultant, adviser or other special Government employee must refrain from any use of his public office which is motivated by, or gives the appearance of being motivated by, the desire for private gain for himself of other persons particularly those with whom he has family, business, or financial ties.

Sec. 303. A consultant, adviser, or other special Government employee shall not use any inside information obtained as a result of his government service for private personal gain, either by direct action on his part or by counsel, recommendations, or suggestions to others, including particularly those with whom he has family, business, or financial ties.

Sec. 304. An adviser, consultant, or other special Government employee shall not use his position in any way to coerce, or give the appearance of coercing, another person to provide any financial benefit to him or persons with whom he has family, business, or financial ties.

Sec. 305 An adviser, consultant, or other special Government employee shall not receive or solicit from persons having business with his agency anything of value as a gift, gratuity, loan or favor for himself or persons with whom he has family, business, or financial ties while employed by the government or in connection with his work with the government.

Sec. 306. [Revoked]

[Sec. 306 revoked by Executive Order 12565 of Sept. 25, 1986, 51 FR 34437, 3 CFR, 1986 Comp., p. 229]

Part IV--Reporting of Financial Interests1

Sec. 401. Policy, In order to maintain public confidence in the integrity of the Government and to preserve and promote ethical standards, a system of non-public (confidential) financial reporting shall be established for officers and employees of the Executive Branch. Such non-public (confidential) reporting shall complement the public financial disclosure system established by title II of the Ethics in Government Act of 1978, as amended.

Sec. 402. Definition. For purposes of this Part, the term
(a) The "Act" refers to the Ethics in Government Act of 1978, as amended.
(b) "Employee" means any officer or employee of an agency, including a special Government employee (as defined in 18 U.S.C. sec. 202(a)).
(c) "Executive Branch" includes each Executive agency (as defined in 5 U.S.C. sec. 105) and any other entity or administrative unit in the Executive Branch unless such agency, entity or unit is specifically included in the coverage of title I or III of the Act.

Sec. 403. Comprehensive System of Financial Reporting. There shall be a comprehensive system of financial reporting for employees in the Executive Branch pursuant to title II of the Act. Such comprehensive system shall require--
(a) Reports subject to public disclosure by those employees whose positions are covered under section 201 of the Act; and
(b) Non-public (confidential reports) by those employees whose positions have been designated pursuant to section 404 of this Part. These reports shall be held in confidence as required by section 207 of the Act and as authorized by the Freedom of Information Act at 5 U.S.C. sec. 552(b)(3), (4) and (6). Any disclosure of the reports must satisfy the terms of the Privacy Act at 5 U.S.C. sec. 552a.

Sec. 404. The Office of Government Ethics. Notwithstanding any other provision of this Order, the Office of Government Ethics shall be responsible for administering this part by--
(a) Developing, in consultation with the Attorney General and the Office of Personnel Management, regulations setting forth (1) criteria for the guidance of agencies of the Executive Branch in designating the positions for which non-public (confidential) reports will be required and the type of information to be obtained in such reports in light of applicable conflict of interest statutes and regulations and the authorized activities of each agency; and (2) the time and place for submission of such reports;
(b) Assuring that each agency of the Executive Branch designates its respective positions for which non-public reports will be required from employees holding such positions; and
(c) Assuring that implementing regulations issued by the agencies of the Executive Branch are properly administered.

[Former secs. 401-406 revoked and sec. 401-404 added by Executive Order 12565 of Sept. 25, 1986, 51 FR 34437, 3 CFR, 1986 Comp., p. 229]

Part V--Delegating Authority of the President Under Sections 205 and 208 of Title 18 of the United States Code Relating to Conflicts of Interest

Sec. 501. As used in this part, "department" means an executive department, "agency" means an independent agency or establishment or a Government corporation, and "head of an agency" means, in the case of an agency headed by more than one person, the chairman or comparable member of such agency.

Sec. 502. There is delegated, in accordance with and to the extent prescribed in Sections 503 and 504 of this part, the authority of the President under Sections 205 and 208(b) of Title 18, United States Code, to permit certain actions by an officer or employee of the Government, including a special Government employee, for appointment to whose position the President is responsible.

Sec. 503. Insofar as the authority of the President referred to in Section 502 extends to any appointee of the President subordinate to or subject to the chairmanship of the head of a department or agency, it is delegated to such department or agency head.

Sec. 504. Insofar as the authority of the President referred to in Section 502 extends to an appointee of the President who is within or attached to a department or agency for purposes of administration, it is delegated to the head of such department or agency.

Sec. 505. Notwithstanding any provision of the preceding sections of this part to the contrary, this part does not include a delegation of the authority of the President referred to in Section 502 insofar as it extends to:
(a) The head of any department or agency in the Executive Branch;
(b) Presidential appointees in the Executive Office of the President who are not subordinate to the head of an agency in that Office; and
(c) Presidential appointees to committees, boards, commissions, or similar groups established by the President.

Part VI--Providing for the Performance by the Office of Personnel Management of Certain Authority Vested in the President by Section 1753 of the Revised Statutes

Sec. 601. The Office of Personnel Management is designated and empowered to perform, without the approval, ratification, or other action of the President, so much of the authority vested in the President by Section 1753 of the Revised Statutes of the United States (5 U.S.C. 631) as relates to establishing regulations for the conduct of persons in the civil service.

[Title and sec. 601 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 602. Regulations issued under the authority of Section 601 shall be consistent with the standards of ethical conduct provided elsewhere in this order.

Part VII--General Provisions

Sec. 701. The Office of Personnel Management is authorized and directed, in addition to responsibilities assigned elsewhere in this order:
(a) To issue appropriate regulations and instructions implementing Parts II, III, and IV of this order;
(b) To review agency regulations from time to time for conformance with this order; and
(c) To recommend to the President from time to time such revisions in this order as may appear necessary to ensure the maintenance of high ethical standards within the Executive Branch.

[Sec. 701 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 702. Each agency head is hereby directed to supplement the standards provided by law, by this order, and by regulations of the Office of Personnel Management with regulations of special applicability to the particular functions and activities of his agency. Each agency head is also directed to assure (1) the widest possible distribution of regulations issued pursuant to this section, and (2) the availability of counselling for those employees who request advice or interpretation.

[Sec. 702 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 703. The following are hereby revoked:
(a) Executive Order No. 10939 of May 5, 1961.
(b) Executive Order No. 11125 of October 29, 1963.
(c) Section 2(a) of Executive Order No. 10530 of May 10, 1954.
(d) White House memorandum of July 20, 1961, on "Standards of Conduct for Civilian Employees."
(e) The President's Memorandum of May 2, 1963, "Preventing Conflicts of Interest on the Part of Special Government Employees." The effective date of this revocation shall be the date of issuance by the Office of Personnel Management of regulations under Section 701(a) of this order.

[Sec. 703 amended by Executive Order 12107 of Dec. 28, 1978, 44 FR 1055, 3 CFR, 1978 Comp., p. 264]

Sec. 704. All actions heretofore taken by the President or by his delegates in respect of the matters affected by this order and in force at the time of the issuance of this order, including any regulations prescribed or approved by the President or by his delegates in respect of such matters, shall, except as they may be inconsistent with the provisions of this order or terminate by operation of law, remain in effect until amended, modified, or revoked, pursuant to the authority conferred by this order.

Sec. 705. As used in this order, and except as otherwise specifically provided herein, the term "agency" means any executive department, or any independent agency or any Government corporation; and the term "employee" means any officer of employee of an agency.

Sec. 706. This Order shall be applicable to the United States Postal Service established by the Postal Reorganization Act of 1970.

[Sec. 706 added by Executive Order 11590 of Apr. 23, 1971, 36 FR 7831, 3 CFR, 1971-1975 Comp., p. 558]


1 Editorial note: Executive Order 12565 of Sept. 25, 1986, which added a new Part IV, also provided that "...[t]o preserve the confidentiality of the current system of financial reporting, financial reports filed pursuant to the authority of Executive Order No. 11222, 5 C.F.R. Part 735, and individual agency regulations in which confidentiality for such reports has been assured shall continue to be held in confidence."


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