A description and analysis of the administration of the Federal loyalty program

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A DESCRIPTION AND ANALYSIS OF THE ADMINISTRATION OF THE FEDERAL LOYALTY PROGRAM

A T h e sis P re se n te d to th e F a c u lty o f th e S ch o o l o f P u b lic A d m in is tr a tio n The U n i v e r s i t y , o f S o u th e r n C a l i f o r n i a

In P a r tia l F u lfillm e n t o f th e R e q u ire m e n ts f o r

th e D egree

M a ste r of S c ie n c e in P u b lic A d m in is tr a tio n

by T heodore T arlo w A u g u st 1950

UMI Number: EP64505

All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.

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This thesis, written by ........................... ™ iQ P M I..!? .M L P W ...............................

under the guidance of ZtiS.... Faculty Committee, and a p pr oved by all its members, has been presented to and accepted by the Council on Graduate S tudy and Research in partial fulfillment of the requirements for the degree of

...................... Ma^t©r„jpf._Science................... in P u b lic A d m in is tra tio n Date

A u g u s t 4„..1950

TABLE OP CONTENTS CHAPTER I.

PACE

INTRODUCTION:

THE PROBLEM, METHOD OP STUDY AND

DEFINITIONS OF TERMS U S E D ..............................................................

1

The p r o b l e m

1

• • • • • • • * > • • • • • • • • • • • •

S t a t e m e n t o f t h e p r o b l e m .........................................................

1

Im p o rta n c e o f . t h e

1

s t u d y ..............................................................

M e th o d s o f p r o c e d u r e ,

s o u rc e s o f d a ta and t h e i r

l i m i t a t i o n s .............................................

• • .

3

• • ...................................................

4

L o y a l t y p r o g r a m ..................................................................................

4

A d m i n i s t r a t i o n o f t h e l o y a l t y p r o g r a m .............................

4.

D i s l o y a l t y , d i s l o y a l and s u b v e rs iv e

5

D e f i n i t i o n s o f te rm s u sed

L o y a lty and l o y a l

. . . . . . .

............................................................................

D e ro g a to ry in fo rm a tio n

• • ................................................

N a tio n a l s e c u r ity

.......................... ...................................

S e n s itiv e p o sitio n

• • • • • « •

...............................

5 5

•

6 6

S e c r e t ......................................................................... L o y a lty o r d e r

• • • • • • • • • •

L o y a lty i n v e s tig a tio n

.........................................

...............................................

6 &

*

F e d e r a l e m p l o y e e , G o v e r n m e n t e m p lo y e e a n d c iv il

s e r v a n t ..................................................................................

7

In cu m b en t A p p o in te e

.............................................. .............................................

7

iil CHAPTER

PAGE A gency . . . . . . O rg a n iz a tio n o f

................................................................. *

th e stu d y

O rg a n iz a tio n o f th e II.

......................................................

re m a in d e r o f th e t h e s i s

.

BACKGROUND OP THE LOYALTY PROGRAM The b e g i n n i n g o f l o y a l t y i n q u i r i e s

7

.

7

.

9

. . • • • • •

T he r o l e o f t h e C i v i l S e r v i c e C o m m is sio n

7

9

. . . .

11

L o y a l t y i n v e s t i g a t i o n s b y t h e FB I • • . • • • . .

13

T he e s t a b l i s h m e n t a n d f u n c t i o n o f t h e I n t e r - D e p a r t m e n t a l C o m m i t t e e s ...........................

•• •

15

War D e p a r t m e n t d i s m i s s a l s f o r

s e c u rity reaso n s

.

16

L o y a lty i n v e s t i g a t i o n s in th e

S ta te D e p artm en t

•

17

T he r o l e S p y in g i n

o f t h e S o v i e t U n io n a n d Communism C a n ad a

. . .

.....................................................

17 18

T he H o u se P o s t O f f i c e a n d C i v i l S e r v i c e C o m m itte e r e p o r t

.....................

T he c i r c u m s t a n c e s a t t e n d i n g lo y a lty o rd er III.

. . . . . . . . . .

th e is s u a n c e o f th e

• • • . • • • • • • • •

THE LEGAL BASES OF THE LOYALTY PROGRAM T he p o w e r o f t h e G o v e r n m e n t t o p l a c e on t h e r i g h t s o f F e d e r a l e m p l o y e e s

.................... . . . . . .

r i g h t s o f p u b l i c e m p lo y ee s

t h e i r Jobs

22 23

re s tric tio n s . . . . . .

Legal th e o r ie s e x p la in in g r e s t r i c t i o h s

The r e l a t i o n s h i p

19

23

on t h e

. . • • • . • • •

24

o f G o v e rn m e n t e m p l o y e e s t o .............................................................

25

iv CHAPTER

PAGE The e x e c u t i v e a n d l e g i s l a t i v e p o w e r t o e s t a b l i s h q u a lific a tio n s p rec ed e n t to p u b lic

e m p lo y m e n t

.

26

The p r e s i d e n t i a l p o w e r o f r e m o v a l ....................................

28

R e s t r i c t i o n s on o u t s i d e a c t i v i t i e s

31

• ...........................

T he p o w e r o f t h e G o v e rn m e n t t o i m p o s e r e s t r i c t i o n s on s u b v e r s i v e e m p l o y e e s a n d o r g a n i z a t i o n s

• .

.

.

33

S t a t u t e s c o n c e r n in g s u b v e r s i v e e m p lo y e e s and o r g a n i z a t i o n s .................................................................. IV .

. .

.

33

THE ADMINISTRATION OF THE LOYALTY PROGRAM . . . . . . T he p r o c e d u r e s e m p lo y e d i n th e

l o y a l t y p ro gram

th e a d m in is tr a tio n

...............................

36

of

. . . . . . . .

36

The in c u m b e n t p ro g ra m

37

A gency p r o c e s s i n g o f l o y a l t y fo rm s FB I p r o c e d u r e s i n p r o c e s s i n g

..........................

fo rm s and

c o n d u c tin g i n v e s t i g a t i o n s The i n i t i a l

c o n sid e ra tio n

.

.

39

o f th e B u reau

r e p o r t b y t h e a g e n c y l o y a l t y b o a r d ............... A gency a l t e r n a t i v e s

37

41

f o l lo w in g an u n f a v o r a b l e

d e t e r m i n a t i o n .................................................................. A l t e r n a t i v e s o f t h e e m p lo y e e r e c e i v i n g u n fa v o ra b le i n i t i a l d e te rm in a tio n

42

an

• .....................

42

T he c o n d u c t o f h e a r i n g s b e f o r e a g e n c y l o y a l t y b o ard s A ppeal t o

. . .

...............................

. . . . . . . . .

t h e a g e n c y h e a d ...................................

43 45

V CHAPTER

PAGE A ppeal to

th e

L o y a l t y R e v ie w B o a r d

. .

.

• .

46

The L o y a l t y R e v ie w B o a r d p r e a u d i t a n d p o st a u d it

....................................................

The c o m p l e t i o n o f t h e i n c u m b e n t p r o g r a m

48

• •

T he a p p o i n t e e p r o g r a m ......................................................... A p p o in te e p rogram p r o c e d u r e s

.

49 50

..........................

50

C i v i l S e r v i c e C o m m issio n c h e c k s o f e x c e p t e d a p p o in te e s

.

T he p r o g r e s s o f t h e a p p o i n t e e p r o g r a m The r o l e

o f th e A tto rn e y G e n era l in

a d m in istra tio n

o f th e

T he p r e p a r a t i o n

• • •

54

.

55

th e

l o y a l t y program

o f th e l i s t s

53

•

.

.

of d islo y a l

o r g a n i z a t i o n s ..................... * ............................................. T he a c c o m p l i s h m e n t s a n d c o s t o f t h e

lo y a lty

p r o g r a m ................................................... A c c o m p lis h m e n ts o f t h e The c o s t o f t h e V.

55

57

l o y a l t y p ro g ram

• • •

l o y a l t y p r o g r a m ..........................

57 59

ANALYSIS OP THE ADMINISTRATION OF THE LOYALTY P R O G R A M ..................................................................................................

6-1

The

61

n e c e ssity

fo r th e

The m e a n in g o f t h e

l o y a l t y program

t e r m s and s t a n d a r d s i n

l o y a l t y o r d e r ' ..................... D e lay s in

th e

. • .

• • • • «

o p e ra tio n o f th e

• .

th e

..........................

l o y a l t y p rogram

*

65 68

CHAPTER

PAGE L ac k o f u n i f o r m i t y i n

agency lo y a lty p ro c e d u re s

.

70

H a n d l i n g o f s e n s i t i v e p o s i t i o n s .......................... • •

• •

71

N o tic e to e m p lo y in g a g e n c ie s o f d i s l o y a l t y

• •

73

^ F o l l o w - u p 11 l o y a l t y i n v e s t i g a t i o n s

• .

.

on e m p l o y e e s 75 —

once c l e a r e d

76

W eaknesses o f th e

77

.

E x c e p t e d e m p l o y e e s .......................... .................................................. l o y a l t y b o a rd sy ste m

• • • . • •

N a tu r e and e x t e n t o f i n f o r m a t i o n a v a i l a b l e e m p lo y ees and l o y a l t y b o a r d s

to

. . • • • • . • • •

78

T he r o l e o f t h e F B I .............................................................................

85

T he l i s t i n g

89

o f su b v e rsiv e o r g a n iz a tio n s

..........................

The s e c r e c y o f l o y a l t y f i l e s ...................................

92

T e s t s f o r d e t e r m i n i n g l o y a l t y ...................................................

95

E f fe c t o f th e e m p lo y ee s

l o y a l t y p r o g r a m on G o v e rn m e n t ........................................................................................... 10 1

R e c o m m e n d a ti o n s f o r t h e i m p r o v e m e n t o f t h e a d m i n i s t r a t io n o f th e l o y a l t y pro g ram V I.

............................

104

SUMMARY AND CONCLUSIONS................................................................... 113 Summary

................................................................... .

.................................. 11 3

C o n c l u s i o n s .................................................................

.................................. 116

BIBLIOGRAPHY APPENDIX

.............................................. ............................... .

124 .............................

133

CHAPTER I INTRODUCTION:

THE EROBLEM, METHOD OF STUDY

and d e f i n i t i o n s

of t e r m s u s e d

F r e s i & e n t T ru m a n i n 19 47 e s t a b l i s h e d a l o y a l t y p r o ­ g r a m d e s i g n e d t o p r o t e c t t h e U n i t e d S t a t e s G o v e rn m e n t a g a i n s t t h e e m p lo y m e n t o f d i s l o y a l p e r s o n s a n d t o p r o t e c t l o y a l em­ p l o y e e s a g a i n s t f,unfounded** a c c u s a t i o n s o f d i s l o y a l t y . fu s io n has e x is te d w ith r e s p e c t to

th e a d m in istra tio n of t h i s

program , and r e p o r t s on th e program have f a i l e d to a n u m b er o f t h e a s p e c t s o f i t s A.

THE HROBLEM

The p u r p o s e o f t h i s s t u d y

and a n a ly z e th e a d m i n i s t r a t io n o f t h e l o y a l t y

p ro g ram i n o rd e r to d e te rm in e i n w hat r e s p e c t s i t fille d

its

c o n sid e r

a d m in istra tio n .

S ta te m e n t o f th e p ro b lem . i s to d e sc rib e

Con­

has f u l ­

o b j e c t i v e s a s s e t f o r t h i n E x e c u t i v e O r d e r H o. 9 8 3 5

( 1 ) t h e p r o t e c t i o n o f t h e G o v e r n m e n t a g a i n s t t h e e m p lo y m e n t o f d i s l o y a l p e r s o n s a n d (2 ) t h e p r o t e c t i o n o f l o y a l e m p lo y ee s fro m "u n fo u n d ed " a c c u s a t i o n s o f d i s l o y a l t y . Im p o rta n c e o f t h e s t u d y .

L o y a l t y am ong G o v e rn m e n t em­

p l o y e e s , a s i n d i c a t e d by r a d i o b r o a d c a s t s , n e w s p a p e r h e a d l i n e s and th e p u b l i c i t y acco rd ed to

c e r t a i n c o n g r e s s io n a l and s e n a ­

t o r i a l i n v e s t i g a t i o n s , r e c e n t l y h a s becom e a m a t t e r o f g r e a t

co n cern in t h e U n ite d S t a t e s , p a r t from t h e s e f a c t s :

T h i s c o n c e r n h a s s te m m e d i n

(1 ) t h e d e v elo p m e n t o f t h e 9 c o ld

w a r ; ” (2 ) t h e f e a r t h a t th e c o u n tr y m ig h t l o s e t h a t w ar o r , p o ss ib ly l a t e r ,

a " h o t w a r" a s a r e s u l t o f t h e em p lo y m en t o f

d i s l o y a l p e r s o n s i n t h e G o v ern m en t;

and ( 3 ) t h e d i s c o v e r y o f

some d i s l o y a l e m p l o y e e s i n t h e F e d e r a l s e r v i c e . ste m m ed f r o m t h o s e

I t a ls o has

c a s e s w here "u n fo u n d e d " a c c u s a t i o n s o f

d i s l o y a l t y w e r e m ade a g a i n s t e m p l o y e e s w h o ,

subsequent in ­

v e s t i g a t i o n r e v e a l e d , w ere l o y a l b u t n e v e r t h e l e s s w ere s u b ­ j e c t e d t o m u ch u n f a v o r a b l e p u b l i c i t y a n d h a r a s s m e n t o w in g t o such a c c u s a tio n s . A c c o rd in g t o E x e c u tiv e O rder No, 9 8 3 5 , t h e l o y a l t y p r o g r a m w a s e s t a b l i s h e d t o p r o t e c t t h e G o v e rn m e n t a g a i n s t t h e e m p lo y m e n t o f d i s l o y a l e m p l o y e e s , a s w e l l a s t o p r o t e c t l o y a l e m p lo y ee s a g a i n s t "u n fo u n d e d " a c c u s a t i o n s .

O th er j u r i s d i c t i o n s

su c h a s L o s A n g e les C i ty an d L os A n g e le s C o u n t y , f o l l o w e d s u i t by i n i t i a t i n g

th e ir

own l o y a l t y p r o g r a m s .

H ow ever, d o u b ts

w h i c h a l s o m ay b e a p p l i e d t o t h e s e o t h e r p r o g r a m s , h a v e b e e n ex p ressed sin c e

th e e s ta b lis h m e n t

g ra m a s t o w h e t h e r i t its

o b je c tiv e s.

of th e

F ed eral lo y a lty p ro ­

h a s b e en a d m i n i s t e r e d so a s to

T hese d o u b ts have been s t a t e d

r e p o r t s on th e program .

a c h ie v e

i n a num ber o f

A re v ie w o f th o s e r e p o r ts

in d ic a te d

1 , " L o s A n g e l e s F l a n s E m p lo y e e L o y a l t y T e s t , " C i v i l S e r v i c e A sse m b ly N e w s l e t t e r , 1 4 : 4 8 , D e c e m b e r, 1 9 4 8 ; News I t e m i n t h e L o s A n g e l e s D a i l y N e w s , S i x t h S t a r E d i t i o n , P . 19 ( c o l . 1 ) , S e p t e m b e r 2 4 , 1 9 4 6 .

3 t h a t th e r e h as been c o n fu sio n as to and p r a c t i c e s c o n n e c te d w ith th e a lty

p ro g ram .

It

th e p u rp o s e s , p ro c e d u re s

a d m in istra tio n o f th e lo y ­

a ls o in d ic a te d t h a t th e scope o f th e d e s ­

c r i p t i o n an d a n a l y s i s i n e a c h o f th e r e p o r t s w as l i m i t e d one o r m ore r e s p e c t s , u s u a l l y i n t h e f a i l u r e

to

in

c o n sid e r a

n u m b er o f t h e p h a s e s o f t h e a d m i n i s t r a t i o n o f t h e p r o g r a m and i n th e f a i l u r e t o c e rta in p ro ced u res. g a th e r ',

c o n s i d e r t h e a rg u m e n ts f o r and a g a i n s t T h erefo re,

i t h a s becom e n e c e s s a r y t o

c l a s s i f y and a n a ly z e th e a v a ila b le in fo rm a tio n r e ­

la tin g to

th e a d m i n i s t r a t io n o f th e l o y a l t y p ro g ram .

M eth o d s o f p r o c e d u r e , s o u r c e s o f d a t a a n d t h e i r l i m i ­ ta tio n s.

In

s t u d y i n g t h e l o y a l t y p r o g r a m , e x t e n s i v e u s e w as

m ade o f l i b r a r y f a c i l i t i e s . lite ra tu re ,

I n d ic e s to p e r io d ic a l and o th e r

s u c h a s P u b l i c A f f a i r s I n f o r m a t i o n S e r v i c e , The

Mew Y o r k T im e s a n d t h e I n t e r n a t i o n a l I n d e x , w e r e c o n s u l t e d in o rd er to lo c a te was m ade t o

a p p ro p ria te w r itin g s .

In a d d itio n , re fe re n c e

t h e c a r d c a t a l o g u e s i n t h e Doheny M e m o ria l L i b r a r y

a t th e U n iv e r s ity of S o u th e rn C a li f o r n ia ,

t h e m a in l i b r a r y a t

t h e U n i v e r s i t y o f C a l i f o r n i a a n d t h e S a cram en to S t a t e L i b r a r y and to

s u c h p u b l i c a t i o n s a s T he Hew Y o r k T i m e s . T h e C h r i s t i a n

S c ie n c e M o n ito r, p u b lic su b sc rib e d to th e f i e l d ,

a d m in istra tio n p e rio d ic a ls g e n e ra lly

and s u p p o rte d by p r a c t i t i o n e r s

and a r t i c l e s

and s tu d e n ts in

a n d b o o k s w r i t t e n b y men o u t s t a n d i n g

f o r t h e i r w ork i n p u b l i c a d m i n i s t r a t i o n , g o v e rn m e n t, s o c i a l

s c ie n c e and jo u rn a lis m . The i n t e r v i e w m e th o d w a s u s e d i n w r i t i n g A lth o u g h i t w as em p lo y ed on s e v e r a l o c c a s i o n s , b e e n m ade i n t h i s d a ta o b ta in e d in b ib lio g ra p h y .

s tu d y o n ly t o one i n te r v ie w

th is th e s is .

refe ren c e has as m ost of th e

th e o th e r in te rv ie w s had been co v ered in th e

A ls o , i t w as n o t p o s s ib l e to o b s e rv e any o f th e

p h a s e s o f th e a d m in i s t r a t io n o f th e l o y a l t y p ro g ram , su c h as a h e a rin g b efo re an agency lo y a lty b o ard ,

s in c e th e p o lic y

o f t h e G o v e rn m e n t h a s b e e n t o m ake l o y a l t y p r o g r a m i n f o r m a t i o n o th e r th a n th a t r e le a s e d fo r g e n e ra l d i s t r ib u t i o n ,

a v a ila b le

o n l y t o p e r s o n s who w e r e o f f i c i a l l y c o n n e c t e d w i t h t h e p r o g r a m B.

DEFINITIONS OF TERMS USED

L o y a lty program . ferred

The te r m " l o y a l t y p ro g ra m ” h a s r e ­

to th e a g e n c ie s , p ro c e d u re s , r e g u la tio n s and a s s ig n ­

m e n t s w h i c h h a v e b e e n o u t l i n e d i n E x e c u t i v e O r d e r N o. 9 8 3 5 an d i n L o y a l t y R e v ie w B o a rd d i r e c t i v e s in v e s tig a tio n

i n c o n n e c tio n w ith th e

and d e te r m i n a ti o n o f th e l o y a l t y o f F e d e r a l

e m p lo y ee s. A d m in is tra tio n o f t h e l o y a l t y p rog ram .

T he t e r m

" a d m i n i s t r a t i o n o f t h e l o y a l t y p rogram ” h a s b e e n u s e d to r e f e r to

t h e p r o c e d u r e s f o llo w e d by p e r s o n n e l and o r g a n i z a t i o n s

c h a rg e d w ith , c a r r y i n g o u t a s s ig n m e n ts i n t h e p ro g ra m a s d e s ­ i g n a t e d i n E x e c u tiv e O rd e r No. 9835 and i n d i r e c t i v e s o f t h e

5 L o y a l t y R e v ie w B o a r d .

T hese p e rs o n n e l and o r g a n iz a tio n s

have in c lu d e d su ch f u n c tio n a r ie s

as th e agency l o y a lty h o a rd ,

r e g io n a l l o y a l t y b o a rd s , th e A tto rn e y G e n e ra l, t h e F e d e ra l B ureau o f I n v e s t i g a t i o n and th e a g e n c y h e a d s . D i s l o y a l t y , d i s l o y a l and s u b v e r s iv e .

The te r m s " d i s ­

l o y a l t y , ” ’• d i s l o y a l , ” a n d ” s u b v e r s i v e ” f o r t h e p u r p o s e s o f t h i s s tu d y have been u s e d in te r c h a n g e a b ly to r e f e r (1)

a d v o c a tin g th e

by f o r c e ,

o v e rth ro w o f th e U n ite d S t a t e s

(3 ) tr a n s m ittin g

o f o th e r n a ti o n s , an d (3 ) ita ry

bases,

used in i t s

G o v e rn m e n t

s e c r e t in fo rm a tio n to th e a g e n ts

d e stro y in g f a c i l i t i e s ,

a i r p l a n e f a c t o r i e s a n d so f o r t h ,

such as m il­

w h ic h m ig h t be

d e fe n s e a g a i n s t a t t a c k s by o th e r n a t i o n s .

L o y a lty and l o y a l ^ fo r

its

to :

T he t e r m s " l o y a l t y ” a n d ” l o y a l ”

th e p u rp o se s o f t h i s s tu d y have b een u se d to r e f e r to

p r o t e c t i n g t h e U n i t e d S t a t e s G overnm ent a g a i n s t a t t e m p t s t o : (1 )

o v e rth ro w i t

by f o r c e ,

(2 ) t r a n s m i t i t s

secret

in fo rm a tio n

to th e a g e n ts o f o th e r n a t i o n s , and (3 ) d e s tr o y f a c i l i t i e s , such as m ilita r y

bases,

a irp la n e f a c to r ie s

w h ic h m ig h t be u s e d i n i t s

a n d so f o r t h ,

d e fe n s e a g a i n s t a t t a c k s by o th e r

n a tio n s. D e ro g a to ry in f o r m a tio n . m a tio n ” h a s r e f e r r e d

to

B ureau o f I n v e s t i g a t i o n

T he t e r m " d e r o g a t o r y i n f o r ­

e v id e n c e d is c o v e r e d by th e F e d e r a l in th e c o u rse of i t s

in q u ir y in to an

6

e m p lo y e e ’ s l o y a l t y w h ic h i n d i c a t e d t h a t t h e em p lo y ee m ig h t he d i s l o y a l . N a tio n a l s e c u r i t y . r e f e r r e d to

The te r m " n a t i o n a l s e c u r i t y " h a s

th e p r o te c tio n o f th e U n ite d S ta te s a g a in s t a t ­

t a c k s b y a rm e d f o r c e s o f o t h e r n a t i o n s a n d t o t h e p r o t e c t i o n of se c re t

in fo rm a tio n and f a c i l i t i e s ,

a n d so f o r t h ,

a ffe c tin g

such a s m i l i t a r y b a se s

th e d efen se of th e U n ite d S ta te s

a g a in s t such a t t a c k s . S e n sitiv e p o s itio n .

The te r m " s e n s i t i v e

p o sitio n "

h a s r e f e r r e d t o a d e t e r m i n a t i o n m ad e b y a n a g e n c y o f t h e U n ite d S ta te s

G overnm ent t h a t

th e d u tie s and r e s p o n s i b i l i t i e s

o f a p o s i t io n have in v o lv e d a c c e s s to

i n f o r m a t i o n w h ic h m u st

be k e p t s e c r e t fro m o t h e r n a t i o n s . S e c re t. th e e x is te n c e

The te rm " s e c r e t " h a s r e f e r r e d t o

c o n c e a lin g

and c o n te n ts o f in fo rm a tio n a f f e c t i n g n a tio n a l

s e c u r i t y f r o m p e r s o n s who h a v e n o t b e e n a u t h o r i z e d t o r e c e i v e a n y w o rd r e g a r d i n g s u c h i n f o r m a t i o n . L o y a lty o r d e r .

The te r m " l o y a l t y o r d e r " h a s r e f e r r e d

t o E x e c u t i v e O r d e r N o . 9 8 3 5 , t h e p r o v i s i o n s o f w h i c h m ay b e fo u n d in t h e a p p e n d ix . L o y a lty i n v e s t i g a t i o n .

T he t e r m " l o y a l t y i n v e s t i ­

g a t i o n " w as i n t e r p r e t e d a s r e f e r r i n g

to

an e x a m in a tio n o f an

7 e m p lo y e e ’ s p a s t i n o r d e r to s e c u r e in f o r m a tio n r e l a t i n g

to

h is lo y a lty . F e d e r a l e m p lo y e e , G overnm ent em p lo y ee a n d c i v i l s e r v a n t . The t e r m s " F e d e r a l e m p lo y e e ," "G o v ern m en t e m p lo y e e ,” a n d " c i v i l s e rv a n t" have been u se d in te rc h a n g e a b ly to r e f e r to p e rs o n s in t h e e x e c u t i v e b r a n c h o f t h e F e d e r a l G o v e r n m e n t who h a v e b e e n s u b j e c t t o t h e a u t h o r i t y o f E x e c u t i v e O r d e r N o. 9 8 3 5 . In c u m b e n t.

The te r m " in c u m b e n t" h a s r e f e r r e d

to

t h o s e F e d e r a l e m p l o y e e s who e n t e r e d t h e F e d e r a l s e r v i c e p r i o r to

O c to b er 1 , 1 9 4 7 , and w ere u n d e r t h e a u t h o r i t y o f t h e

lo y a lty o rd er. A p p o in te e . r e f e r to

The t e r m " a p p o i n t e e " h a s b e e n u s e d t o

a l l p e rso n s a p p ly in g f o r ,

o r t r a n s f e r r e d o r a p p o in te d

t o , p o s i t i o n s o n o r a f t e r O c t o b e r 1 , 1 9 4 7 , a n d who w e r e u n d e r th e a u th o r ity of th e lo y a lty o rd e r. A gency.

The te r m " a g e n c y " h a s b e en u s e d to

a l l F e d e r a l d e p a r tm e n ts , c o m m issio n s, as w e ll as a g e n c ie s,

s u b je c t to th e

in c lu d e

b o ard s and c o r p o r a tio n s ,

a u th o rity of th e lo y a lty

o rd er. C.

ORGANIZATION OF THE STUDY

O r g a n iz a tio n of th e re m a in d e r o f th e s t u d y . m ain in g p a r t s o f t h i s s tu d y a r e o rg a n iz e d a s f o llo w s :

The r e ­

C h a p te r I I r e l a t e s

t h e e v e n t s w h ic h l e d t o t h e e s t a b l i s h ­

m ent o f t h e l o y a l t y p ro g ra m .

C h a p te r I I I d is c u s s e s th e l e g a l

g r o u n d s on w h ic h t h e p ro g ra m was b a s e d . th e a d m in is tr a tio n of th e program .

C h a p t e r 17 d e s c r i b e s

C h a p te r 7 c o n s i s t s o f a n

a n a ly s is o f th e a d m in is tr a tio n o f th e program .

C h a p te r 7 1

su m m arize s t h e f i n d i n g s o f t h e s t u d y and s t a t e s

th e con­

c l u s i o n s w h ic h h a v e b e e n draw n fro m t h e f i n d i n g s .

CHAPTER I I

BACKGROUND OK THE LOYALTY PROGRAM A s e r i e s of e v e n ts b e g in n in g p r i o r t o t h e o u tb re a k o f W o rld War I I l e d t o t h e

issu a n c e of th e lo y a lty o rd er and to

th e e s ta b lis h m e n t o f t h e l o y a l t y pro g ram . sta n d th e p rog ram ,

In o rd e r to un d er­

c ir c u m s ta n c e s w h ich p r e c e d e d t h e i n s t i t u t i o n o f t h e c o n s id e r a tio n w i l l be g iv e n to th e s e

The b e g in n in g o f l o y a l t y

in q u irie s .

l o y a l t y g e n e r a l l y was n e g l e c t e d i n t h e

e v e n ts.

T he q u e s t i o n o f

s e le c tio n of F ed eral

e m p l o y e e s b e f o r e 1 9 3 9 , a s s u c h a q u e s t i o n w as c o n s i d e r e d t o be p r o h i b i t e d by C i v i l S e r v i c e R u le 1 . ^

T h is r u l i n g s t a t e d :

Ho q u e s t i o n i n a n y f o r m o r a p p l i c a t i o n i n a n y e x a m i n a t i o n s h a l l be so fra m e d a s t o e l i c i t i n f o r m a ­ t i o n c o n c e rn in g th e p o l i t i c a l o r r e l i g i o u s o p in io n s or a f f i l i a t i o n s o f any a p p l i c a n t , n or s h a l l any in q u iry b e m ade c o n c e r n i n g s u c h o p i n i o n s , o r a f f i l i a t i o n s , a n d a l l d i s c l o s u r e s t h e r e o f s h a l l be d i s c o u n t e n a n c e d . * L o y a lty i n q u ir i e s a p p ea re d to have t h e i r

b e g in n in g s in

1 ^ o h n S a s s e t t M o o r e , ♦’Re s t r i c t i o n s o n t h e C i v i l R i g h t s o f F e d e r a l E m p l o y e e s , * C o l u m b i a Law R e v i e w . 4 7 : 1 1 6 5 , N o v e m b e r , 1947. H o w e v e r , i t h a s b e e n r e p o r t e d t h a t d u r i n g W o r l d War I t h e C i v i l S e r v i c e C o m m is s io n c o n d u c t e d l o y a l t y i n v e s t i g a t i o n s , b u t t h e d o c u m e n ts e x p l a i n i n g t h e r e a s o n a n d a u t h o r i t y f o r th e m have been k e p t s e c r e t to d a te . S e e R o g e r 3 . A b b o t t , lfT h e F e d ­ e r a l L o y a l t y P r o g r a m ,* The A m e ric a n P o l i t i c a l S c ie n c e R e v ie w , 4 2 : 4 8 7 , l u n e , 1 9 4 8 , c i t i n g P a u l V a n R i p e r , tThe P o l i t i c ‘s ~~oIr H o l d i n g O f f i c e , P h . D. d i s s e r t a t i o n , U n i v e r s i t y o f C h i c a g o , A u g u st7 1947, p . 1 9 6 . 2 Code o f F e d e r a l R e g u l a t i o n s , T i t l e p . 408 (1 9 3 9 ).

5, S e c tio n 1 .2 ,

10 th e U n ite d S ta te s C o n g ress.

T h e " D i e s C o m m i t t e e , 11 e s t a b l i s h e d

i n 1 9 3 8 , w as among t h e f i r s t

t o d em an d t h a t F e d e r a l a g e n c i e s

e x a m in e m o r e c l o s e l y t h e l o y a l t y o f t h e i r

e m p lo y e e s .3

In

1 9 3 9 C o n g r e s s p a s s e d t h e H a t c h A c t , w h i c h , u n d e r s e c t i o n 9A, m ad e u n l a w f u l t h e e m p lo y m e n t o f a n y p e r s o n who a d v o c a t e d t h e v i o l e n t o v e r t h r o w o f f,o u r c o n s t i t u t i o n a l f o r m o f g o v e r n m e n t ” o r who b e l o n g e d t o

an o r g a n iz a tio n d e d ic a te d to

such a g o a l . 4

I n 1 9 4 1 , C o n g re ss a p p r o p r i a t e d # 1 0 0 ,0 0 0 f o r t h e FB I t o u s e in in q u irin g e e s ,5

in to

and i t

su b v e rsiv e a c t i v i t i e s

began to a t t a c h r i d e r s

f o r b id d in g paym ent o f s o n s .6

o f G o v e rn m e n t e m p l o y ­

to

a p p ro p ria tio n b i l l s

a p p r o p r i a t e d m o n ey t o

I n 1943, C o n g ress a tta c h e d a r i d e r

su b v e rsiv e p e r ­

t o t h e U r g e n t D e­

f i c i e n c y A p p r o p r i a t i o n A c t 7 f o r b i d d i n g t h e p a y m e n t o f co m p e n ­ s a t i o n f o r a n y G o v e r n m e n t e m p lo y m e n t t o t h r e e R . M.

L o v e tt,

to be

su b v e rs iv e by

C o m m itte e .

e x e c u tiv e o f f i c i a l s ,

G. B. W a t s o n a n d W. E . D o d d , J r . , who w e r e f o u n d a wc l o s e d ” h e a r i n g o f t h e H o u s e A p p r o p r i a t i o n s

H o w e v e r , t h e s e men s u c c e s s f u l l y c o n t e s t e d t h e

3 R o b e r t S . C u sh m a n , " T h e P r e s i d e n t s L o y a l t y P u r g e , ” S u r v e y G r a p h i c , 3 6 : 2 8 5 , M ay, 1 9 4 7 . 4 53 S t a t . S ta t.

1148 (1 9 3 9 ).

5 D e p artm en t 289 ( 1 9 4 1 ) .

o f J u s t i c e A p p r o p r i a t i o n A c t o f 1 9 4 2 , 55

6 55 S t a t . 1 2 3

(1 9 4 1 );

7 57 S t a t . 4 5 0

(1 9 4 3 ).

54 S t a t . 620 ( 1 9 4 1 ) .

11 rid e r

in c o u rt* 8 The r o l e o f t h e C i v i l S e r v i c e C o m m issio n .

S e r v i c e C o m m is s io n , w i t h t h e a s s i s t a n c e

T he C i v i l

o f t h e F B I, began

l o y a l t y e x a m in a tio n s i n S e p te m b e r, 1939.

T he C o m m is s io n w as

c h a r g e d w i t h s c r e e n i n g o u t u n d e s i r a b l e a p p l i c a n t s f o r em p lo y ­ m en t, b u t th e r e s p o n s i b i l i t y f o r d is c h a r g in g s u b v e rs iv e p e r ­ s o n s , o n c e t h e y becam e p e rm a n e n t e m p lo y e e s , l a y w i t h t h e in d iv i d u a l d e p a rtm e n t or ag en cy c o n c e rn e d .

T h e C o m m is s io n

c o u ld m e r e ly p a s s a lo n g e v id e n c e o f u n f i t n e s s t o t h e e m p lo y ­ in g o r g a n i z a t i o n .9 A f t e r t h e w ar s t a r t e d ,

t h e C o m m is s io n i s s u e d t h e War

S e r v i c e R e g u l a t i o n s ^ - 0 w h i c h d e n i e d e m p lo y m e n t t o if

th e re e x is te d

”a re a s o n a b le

a p p ly in g t h i s r e g u l a ti o n , c ie s:

an a p p lic a n t

doubt as to h is l o y a l t y . ”

In

t h e C o m m is s io n d e v e l o p e d t h e s e p o l i ­

(1 ) t h a t " r e a s o n a b l e d o u b t ” w o u ld e x i s t w i t h r e f e r e n c e

t o t h e l o y a l t y o f p e r s o n s who h a d ( a ) a d v o c a t e d r e v o l u t i o n o r fo rc e to b rin g about p o l i t i c a l

o r e c o n o m ic c h a n g e s ,

( b ) sh o w n

b y t h e i r r e c o r d s t h a t t h e y w e r e " m o re c o n c e r n e d w i t h t h e s u c c e s s o f a f o r e i g n g o v ern m en t th a n w i t h th e w e l f a r e o f t h e U n ite d S t a t e s , ” and (c )

a s s o c i a t e d w i t h o r g a n i z a t i o n s i n sy m p a th y w i t h

--------------8 t f n i t ’e ' d " S t a t e s v . L o v e t t , 3 2 8 U . S .

30 3 ( 1 9 4 6 ) .

9 R o b e r t B . C u sh m a n , " T h e P u r g e o f F e d e r a l E m p l o y e e s A c c u s e d o f D i s l o y a l t y , ” P u b l i c A d m in i s t r a t i o n R e v i e w , 3 : 3 1 3 , A u tu m n , 1 9 4 3 . 10 F e d e r a l R e g i s t e r , 7 : 7 7 2 3 - 2 4 , S e p t e m b e r 3 0 , 1 9 4 2 .

IB N a z i , F a s c i s t o r C o m m u n ist p r o g r a m s ( E ) in

su b v e rsiv e o rg a n iz a tio n s

te rio n of d islo y a lty ,

t h a t m e m b e r s h ip

a lo n e was n o t t o

be t h e s o l e

b u t t h a t i t w as to be c o n s id e r e d a lo n g

w ith o th e r r e l e v a n t f a c t s a b o u t th e a p p l i c a n t ; ^ 2 (3) d iv id u a l fo llo w e d th e

c ri­

if

an in ­

c h a n g e s i n C o m m u n ist P a r t y p o l i c y s i n c e

1 9 E 8 , h e w as t o be c l a s s i f i e d

a s s y m p a t h e t i c t o t h e C o m m unist

c a u s e ( 4) t h a t w h e re d o u b t e x i s t e d , t h e

c ase w as t o be r e ­

s o lv e d a g a i n s t t h e a p p l i c a n t i n f a v o r o f t h e G o v e rn m e n t.^ 4 F ro m J u l y 1 ,

1 9 4 0 , t o M a rc h 3 1 , 1 9 4 7 , t h e C o m m is s io n

p a s s e d on th e l o y a l t y

o f a r e l a t i v e l y s m a l l n u m b er o f p e r s o n s

e m p lo y e d b y t h e G o v e r n m e n t .

D u rin g t h i s p e r i o d ,

t h e r e w ere

1 ,3 1 3 r u l i n g s o f i n e l i g i b i l i t y w h ere d i s l o y a l t y was a m a jo r f a c t o r o u t o f a t o t a l o f 4 3 ,8 1 1 d i s c h a r g e s f o r a l l c a u s e s . T h is t a b u l a t i o n ,

h o w e v e r , w as q u a l i f i e d

C o m m is s io n h a d r e s o u r c e s

by t h e f a c t t h a t t h e

d u rin g th o s e y e a r s to

in v e s tig a te

o n l y 3 9 5 ,0 0 0 o u t o f a t o t a l o f 7 ,0 0 0 ,0 0 0 p l a c e m e n t s . ^ D u rin g t h e s e

in v e s tig a tio n s , th e

h a n d lin g o f d i s l o y a l t y

c a s e s b y t h e C o m m is s io n w a s a t t a c k e d o n t h e g r o u n d t h a t t h e in v e s tig a to rs asked " s tu p id ,

ir r e l e v a n t and o ffe n s iv e

11 K e n d r ic k L e e , " L o y a l ty i n G o v e rn m e n t," E d i t o r i a l R e s e a r c h R e p o r t s , E :6 2 0 , S e p te m b e r 1 1 , 1 9 4 6 . IE C u sh m a n , 1 9 4 3 , l o c . c i t . 13 L e e , l o c . c i t . 1 4 C u sh m a n , 1 9 4 3 , l o c . c i t . 15 A b b o t t , £ £ .

c i t . , p . 489.

13 q u e s t i o n s w h ic h r e f l e c t e d

an i l l i b e r a l p o l i c y , O f f i c e r s

o f t h e C o m m is s io n s t a t e d , h o w e v e r , t h a t t h e y d o u b t e d t h e o c c u rre n c e o f su ch i n c i d e n t s and t h a t ,

i f th e y happened,

such

a b u s e s v i o l a t e d C o m m is s io n p o l i c y a n d w o u l d r e s u l t i n d i s c i p lin a ry a c tio n .

*1 7

L o y a lty i n v e s t i g a t i o n s by t h e F B I. o f t h e H a tch A ct i n p ro ceed ed to r e f e r

A fte r th e p a ssa g e

1939, th e F e d e r a l B ureau o f I n v e s t i g a t i o n c o m p la in ts a b o u t p e rm a n e n t e m p lo y ee s t o t h e

a g e n c y c o n c e rn e d f o r su c h a c t i o n a s t h e a g e n c y h e a d m ig h t d e sire .

The i n v e s t i g a t i o n o f p e r m a n e n t - s t a t u s e m p lo y e e s w as

u n d e r ta k e n by t h e FB I o n ly u p o n t h e r e q u e s t o f t h e d e p a r t ­ m e n t a l o r a g e n c y head.**-® U nder t h i s p ro c e d u re , t o t a l o f 1 ,5 9 7

c a s e s c o n c e rn in g t h e l o y a l t y

em p lo y ee s w ere r e f e r r e d o ffic e

o f G o v e rn m e n t

by th e FB I t o t h e A tto r n e y G e n e r a l's

f o r t r a n s m i t t a l to t h e e m p lo y in g a g e n c ie s .

1 ,1 9 4 1 , 193 e a s e s fo r

from J u l y t o S e p te m b e r, 1 9 4 1 , a

had been a u th o riz e d by

By O c t o b e r

t h e e m p lo y in g a g e n c ie s

i n v e s t i g a t i o n , 25 4 h a d b e e n r e t u r n e d w i t h

t h e s ta te m e n t

t h a t no i n v e s t i g a t i o n was d e s i r e d , a n d 1 ,1 5 0 c a s e s re m a in e d u n a c k n o w le d g e d . ^ 16 C u s h m a n , 1 9 4 3 , l o c ♦ c i t . 17 C u sh m a n , 1 9 4 3 , l o c . c i t . 18 L e e ,

0£ .

19 I b i d . ,

p.

c i t . , p . 621. 622.

14 On t h e b a s i s o f t h e s e r e s u l t s , w i d e r l a t i t u d e in itia tin g o f 1941*

in

i n v e s t i g a t i o n s w a s g i v e n t o t h e F B I i n t h e a u tu m n T he A t t o r n e y G e n e r a l a u t h o r i z e d t h e B u r e a u t o i n ­

stitu te

i n v e s t i g a t i o n s w ith o u t n o t i f y i n g d e p a rtm e n t h e a d s w hen­

ever

r e c e i v e d i n f o r m a t i o n s h o w in g r e a s o n a b l e g r o u n d s f o r

it

ta k in g a c tio n . th e

A " f a c t u a l * r e p o r t was t o be t r a n s m i t t e d t o

e m p l o y i n g a g e n c y by t h e F B I u p o n c o m p l e t i o n o f s u c h i n ­

v e s t i g a t i o n s , b u t w ith o u t reco m m e n d atio n f o r a c t i o n by t h e e m p lo y in g a g e n c y .

D ism issa l o r r e t e n t i o n

o f a n e m p lo y e e

r e m a i n e d t h e p r e r o g a t i v e o f a g e n c y h e a d s . 20 U nder t h i s

new p r o c e d u r e ,

in th e p e rio d d u ly 1, 1942,

t o Ju n e 3 0 , 1945, 6 ,1 9 3 c a s e s w ere r e f e r r e d t o t h e FBI f o r in v e s tig a tio n , m in is tra tiv e

c u l m i n a t i n g i n 1 01 d i s m i s s a l s ,

a c tio n s ,

a n d 21 r e s i g n a t i o n s

Ho a c t i o n w a s t a k e n i n t h e r e m a i n i n g 5 , 9 9 6

75 o t h e r a d ­

d u rin g th e p ro b e . c a s e s .^

As m ay b e d e d u c e d f r o m t h e n u m b e r a n d d i s p o s i t i o n o f c a s e s , F e d e ra l a g e n c ie s p a id l i t t l e r e f e r r e d t o th em .

a t t e n t i o n to th e c o m p la in ts

T he F B I s a i d t h a t m any a g e n c i e s d e a l t w i t h

t h e s e e m p lo y e e s b y a s k i n g t h e a c c u s e d em p lo y ee i f to

he b e lo n g e d

a s u b v e r s iv e o r g a n i z a t i o n a n d by d ro p p in g th e m a tte r i f

s a i d h e d i d n o t . 22

H ow ever, i t

h a s b e e n p o i n t e d o u t t h a t m any

20 L o c . ~ i t . 21 A b b o t t ,

o p . c i t *, p .

22 C u sh m a n , 1 9 4 3 ,

ojd.

he

489.

c it. ,

p .

308.

15 d e p a r tm e n ts w ere i n e x p e r i e n c e d i n a p p ly i n g l o y a l t y t e s t s an d o n ly a few h a d a d e q u a te tio n s . to th e as

in fo rm a tio n on su b v e rs iv e o rg a n iz a ­

M o r e o v e r , t h e r e w a s some c o n f u s i o n among a g e n c i e s a s s i g n i f i c a n c e o f m e m b e rsh ip i n a ^ f r o n t* 1 o r g a n i z a t i o n

c o n t r a s t e d t o m e m b e r s h ip i n t h e C o m m u n ist p a r t y o r G e rm a n -

A m e ric an Bund. d u re o u g h t to

A lso ,

t h e r e w as u n c e r t a i n t y a b o u t w h a t p r o c e ­

be fo llo w e d in o r d e r t o

e m p lo y ee and t o

e n fo rce th e

p r o te c t th e accused

l a w . 2 ^

T he e s t a b l i s h m e n t a n d f u n c t i o n o f t h e m e n ta l C o m m itte e s.

In te r-D e p a rt­

T here a p p e a re d to be a need f o r an a d ­

v i s o r y and c o o r d i n a t i n g a g e n c y .

T h u s i n 1 9 4 2 a n d 1 9 4 3 , tw o

I n t e r - D e p a r t m e n t a l C o m m i t t e e s o n E m p lo y e e I n v e s t i g a t i o n s w e r e c r e a t e d — th e f i r s t , s u b s e q u e n t ly a b o l i s h e d , by th e A tto r n e y G e n e ra l,

and th e

second, by th e P r e s id e n t— to

a d v is o ry

c a p a c ity w ith re s p e c t to

i n v e s t i g a t i o n s . 24

th e a d m i n i s t r a t i o n

of lo y a lty

T h ese c o m m itte e s s u g g e s te d p r o c e d u r e s to be

f o l l o w e d , r e v i e w e d som e e a s e s o n a p p e a l , e sse n tia lly

a c t in a p u re ly

and a d h ered to

t h e sa m e p o l i c y w i t h r e s p e c t t o m e m b e r s h i p o f

a p p l i c a n t s i n s u b v e r s i v e o r g a n i z a t i o n s a s t h a t f o l l o w e d by t h e C i v i l S e r v i c e C o m m i s s i o n . 25 on r e c o r d

H ow ever, b o th c o m m itte e s w e n t

as b e in g opposed to

23 L e e , o p . 24 M o o r e ,

c i t », p .

0£ .

th e c o n tin u a n c e o f l o y a l t y

622.

c i t . , p p . 11 6 6 -6 7 .

25 C u sh m a n , 1 9 4 3 ,

0£

.

c i t .,

p.

313.

16 i n v e s t i g a t i o n s a s " a n e e d l e s s w a s t e o f m o n e y . ” 26 War D e p a r t m e n t d i s m i s s a l s f o r s e c u r i t y r e a s o n s . A q u e s t i o n o f l o y a l t y o n t h e p a r t o f F e d e r a l e m p l o y e e s came t o p u b lic

a tte n tio n

i n J u n e , 1 9 4 6 , when f i v e

c i v i l ia n w orkers

i n t h e A rm y’ s r e s e a r c h c e n t e r a t A b e r d e e n , M a r y l a n d , w e r e d ism is se d in th e i n t e r e s t s

of n a tio n a l

s e c u rity ,^

A ll f iv e

w ere o f f i c e r s i n a l o c a l u n io n o f t h e U n ite d P u b l i c W o rk ers o f A m erica (C IO ),

and th e y h e ld jo b s a s p h y s i c i s t s ,

a n d s t a t i s t i c i a n s . 28

R e g ard in g t h e s e

c h e m is ts ,

d ism is sa ls ,

th e u n io n

s a i d t h e w o r k e r s h a d b e e n in f o r m e d t h a t t h e y w ere d i s c h a r g e d on s u s p i c i o n o f

su b v e rsiv e

a n d C o m m u n ist a c t i v i t i e s ,

th o u g h t h e d is m is s e d e m p lo y ees h a d f i l e d

even

s w o rn s t a t e m e n t s w i t h

t h e War D e p a r t m e n t i n w h i c h t h e y a v e r r e d t h a t t h e y h a d n e v e r b e e n m e m b e rs o f t h e

C o m m u n ist p a r t y . 29

(T h e d i s m i s s a l s a t t h e A b e r d e e n r e s e a r c h to th e

c e n te r le d

i n c l u s i o n b y C o n g r e s s i n t h e A to m ic E n e r g y

p ro v isio n re q u irin g p e rs o n s h a v in g

lo y a lty in v e s tig a tio n s

a c c e ss to

" re s tric te d "

by th e

A ct o f a FBI o f a l l

i n f o r m a t i o n on a to m ic

r e s e a r c h and d e v e lo p m e n t.3 0 ) 26 C u sh m a n , 1 9 4 7 , l o c . c i t . 27 L e e , £ £ .

c i t . , p.

617.

28 T h i s u n i o n h a d b e e n c r i t i c i z e d f o r a d o p t i n g a " p r o S o v ie t” fo re ig n p o lic y re s o lu tio n . S e e n ew s i t e m i n T he Hew Y ork T im e s , 9 6 s 4 , ( c o l . 3 |, J a n u a r y 2 5 , 1 9 4 7 . 29 L e e , l o c . c i t . 30 L o c . c i t .

L o y a lty I n v e s tig a tio n s

in th e S t a t e D e p a rtm e n t.

c is m o f t h e l o y a l t y o f S t a t e D e p a rtm e n t p e r s o n n e l a r o s e 1946.

T h is c r i t i c i s m

U ritiin

w as b a s e d o n t h e a b s o r p t i o n b y t h e

S t a t e D e p a r t m e n t o f some ’f o u r t h o u s a n d p e r s o n s f o r m e r l y em­ p l o y e d b y s u c h w a r a g e n c i e s a s t h e o f f i c e s o f War I n f o r m a t i o n * In te r-A m e ric a n A f f a ir s and S tr a te g ic E c o n o m ic A d m i n i s t r a t i o n .

S e rv ic e s,

and t h e F o re ig n

Some m e m b e rs o f C o n g r e s s r e p e a t e d l y

e x p r e s s e d d o u b t s a s t o t h e l o y a l t y o f m any p e r s o n s who w o r k e d in th o se a g e n c ie s. At th e tim e ,

S e c r e t a r y B yrnes s t a t e d

th a t a p p ro x im a te ly

t h r e e th o u s a n d o f t h e t r a n s f e r r e d w o rk e rs had b een s c r e e n e d by t h e D e p a rtm e n t’ s i n t e r n a l s e c u r i t y c o m m itte e .

A d verse reco m ­

m e n d a tio n s a s t o

p e r m a n e n t e m p lo y m e n t h a d b e e n m ad e o n 2 8 5

p e rs o n s , and th e

s e r v i c e s o f s e v e n ty - n in e o f th em h ad b e en t e r ­

m in a te d .

T h irty -n in e

s ta tu s or fa ilu re la tio n s.

o f th e

t o co m p ly w i t h c e r t a i n f o r e i g n

The r e m a in in g f o r t y

because o f c lo s e

a lie n

se rv ic e re g u ­

in d iv id u a ls had been d isc h a rg e d

c o n n e c tio n s w i t h f o r e i g n g o v e rn m e n ts or

p a st reco rd s in d ic a tin g The r o l e

d is m is s a ls had been due t o

a h i g h d e g r e e o f s e c u r i t y r i s k . 32

o f t h e S o v i e t U n i o n a n d Communism.

end of t h e w ar, th e r i s i n g

W ith t h e

t e n s i o n b e tw e e n t h e U n ite d S t a t e s

a n d S o v i e t R u s s i a h a d p l a c e d m o r e e m p h a s i s on t h e p r o b l e m o f

18 a ssu rin g th e lo y a lty o f a l l

G overnm ent o f f i c i a l s a n d e m p lo y e e s .

R e c u r r e n t c h a rg e s t h a t th e F e d e r a l e s ta b lis h m e n t w as p e rm e a te d w i t h C o m m u n is ts b r o u g h t new d e m a n d s f o r m e a s u r e s t o g u a r d t h e G o v e rn m e n t a g a i n s t ttf o r e i g n i d e o l o g i e s . " 3 3 p u b lic su p p o rt f o r a c tio n

to

F u r t h e r m o r e , w id e

b a r C o m m u n is ts f r o m F e d e r a l j o b s

w as i n d i c a t e d by a G a llu p p o l l p u b l i s h e d A u g u st 2 6 , 1946.

It

r e p o r t e d o n ly t w e n t y - f i v e p e r c e n t o f A m erican v o t e r s b e li e v e d t h a t C o m m un ist p a r t y m e m b e rs w e r e l o y a l t o t h e U n i t e d S t a t e s a n d o n l y s e v e n t e e n p e r c e n t b e l i e v e d C o m m u n is ts s h o u l d b e c o n sid e re d f o r

p o s i t i o n s i n t h e F e d e r a l s e r v i c e . 34

S p y in g i n C a n a d a . v e a le d in

B e lie f th a t

C anada s i n c e t h e c l o s e

t o t h a t c o u n t r y w as,- i n p a r t ,

sp y in g a c t i v i t i e s r e ­

of t h e w a r w ere n o t c o n f in e d

fu rth e r re sp o n sib le fo r th e

A m e ric an c o n c e r n o v e r d i v i d e d l o y a l t i e s . c itiz e n s,

i n c l u d i n g a n u m b er o f c i v i l

t r i e d and c o n v ic te d f o r g iv in g R u ssia n a g e n ts

F o u r t e e n D o m in io n

s e r v a n t s , w ere a r r e s t e d ,

secret m ilita ry

in fo rm a tio n t o

c o n n e c te d w i t h t h e S o v i e t e m b a ssy a t O ttaw a

a n d t h e T a s s Hews a g e n c y . 35

T h e R o y a l C o m m is s io n w h i c h i n ­

v e s t i g a t e d t h e sp y a l l e g a t i o n s fo u n d t h a t m o n e ta ry in d u c e m e n ts p la y e d no p a r t i n o b t a i n i n g t h e s e r v i c e s o f t h e s e

s p ie s who'

33 S e e n e w s i t e m s i n T h e Hew Y o r k T i m e s , 9 5 : 1 6 ( c o l . 4 ) , J u n e 2 5 , 1 9 4 6 ; 9 5 : 1 8 ( c o l . 8T7” J u I y 2 T 7 ~ 1 9 4 6 ; 9 6 : 2 0 ( c o l . 3 ) , O c t o b e r 1 0 , 1 9 4 6 ; 9 6 : 2 4 ( c o l . 6 ) , N o v e m b er 1 3 , 1 9 4 6 . 34 L e e , oj>. 35 I b i d . , p .

c i t . , p . 613. 617.

19 a c te d out o f t h e i r F u rth e rm o re ,

s y m p a t h i e s w i t h t h e C o m m u n ist i d e o l o g y .

t h e C o m m is s io n r e p o r t e d

th a t a la rg e -sc a le

p o s t - w a r e x p a n s i o n o f a n e s p i o n a g e s y s t e m w as t h e i n t e n t i o n o f t h e S o v i e t e m b a s s y . ^6 T h e H o u s e P o s t O f f i c e a n d C i v i l S e r v i c e C o m m itte e R e p o rt.

F u r t h e r d o u b ts t h a t th e m eth o d s u se d i n c h e c k in g th e

l o y a l t y o f F e d e r a l e m p lo y ee s a d e q u a t e l y p r o t e c t e d t h e i n t e r e s t s o f t h e n a t i o n l e d t h e H o u s e P o s t O f f i c e a n d C i v i l S e r v i c e Com­ m itte e

to o rd e r an i n v e s ti g a t i o n

b e fo r e th e a d jo u rn m e n t o f th e

1 9 4 6 s e s s i o n o f C o n g r e s s . 3 ’** A s u b c o m m i t t e e , w h i c h m ade t h e in v e s tig a tio n ,

issu e d a re p o rt

c o n ta in in g th e s e f in d in g s and

re c o m m e n d a tio n s: ( 1 ) T he a p p r o p r i a t i o n o f t h e C i v i l S e r v i c e C o m m is s io n f o r t h e 1 9 4 6 -4 7 f i s c a l y e a r w o u ld be s u f f i c i e n t t o m a i n t a i n a sta ff

o f o n ly one hu n d red i n v e s t i g a t o r s .

C i v i l S e r v i c e C o m m is s io n u t i l i z e d t h e

D u rin g th e w ar th e

s e rv ic e s of a p p ro x i­

m a te ly seven h u n d red i n v e s t i g a t o r s . ( 2 ) Many o f t h e s e i n v e s t i g a t o r s w o u l d b e c o n c e r n e d s o le ly w ith ro u tin e

ch eck s in v o lv in g p o s tm a s te r s and a l l e g e d

v io la tio n s o f c i v i l se rv ic e r u le s ; c o rd in g to 56

a n d t h e y c o u l d m ake, a c ­

e s t i m a t e s b y t h e C i v i l S e r v i c e C o m m issio n , o n l y

IbidTT

P« 6 1 8 .

37 News i t e m i n The New Y o r k T i m e s , 9 5 : 4 8 ( c o l . J u ly 3, 1946.

4 ),

20 1 , 4 0 0 11c h a r a c t e r a n d s u i t a b i l i t y 11 i n v e s t i g a t i o n s

d u rin g th e

f i s c a l y e a r o f 1 9 4 7 , w h ile t h e num ber o f F e d e r a l p o s i t i o n s t o be f i l l e d

d u r i n g t h e p e r i o d w o u ld a p p ro x im a te 7 9 0 ,0 0 0 .

(3 ) As a r e s u l t o f t h e f a i l u r e

to

d e v elo p a "c o n ­

s i s t e n t and u n ifo rm " p o l ic y w ith r e s p e c t to a n d r e m o v i n g e m p l o y e e s who w e r e d i s l o y a l ,

in v e s tig a tin g

som e a g e n c i e s h a v e

re g a rd e d l o y a lty p ro c e e d in g s a s c rim in a l t r i a l s th e m a l l t h e p r o t e c t i v e

p rin c ip le s

and a p p l i e d to

and p r o c e d u r a l r e q u ir e m e n ts

o f c r i m i n a l la w ; o t h e r s h av e gone t o t h e o p p o s i t e e x tre m e and have d e c id e d e a s e s on th e b a s i s o f ru m o r an d s u s p ic i o n w ith little

p ro ced u ral

safeg u ard fo r th e p erso n s a ffe c te d .

( 4 ) To a f f o r d m o r e a d e q u a t e p r o t e c t i o n t o t h e G o v e r n ­ m e n t , a l l a p p l i c a n t s a n d e m p l o y e e s s h o u l d be f i n g e r p r i n t e d an d i n v e s t i g a t e d t h o r o u g h ly i n a d v a n c e o f e m p lo y m e n t. ( 5 ) T he e s t a b l i s h m e n t o f i d e n t i c a l s t a n d a r d s o f l o y ­ a lty ,

u n ifo rm r u l e s o f p r o c e d u re ,

v ie w in g a l l f i n d i n g s

in

and r e s p o n s ib ility

fo r re ­

e m p lo y e e i n v e s t i g a t i o n s s h o u l d b e

c e n te re d in a s in g le agency. ( 6 ) T h e P r e s i d e n t s h o u l d a p p o i n t a c o m m i s s i o n t o m ak e an e x h a u stiv e a lty

s tu d y o f w ays an d m eans o f d e a l i n g w ith d i s l o y ­

i n t h e F e d e r a l G o v e rn m e n t. ^ T h e P r e s i d e n t 1s T e m p o r a r y C o m m is s io n o n E m p lo y e e L o y ­

a lty .

F o llo w in g th e c o m m itte e ’ s r e p o r t , 58 L e e ,

op.

c i t . , pp.

62 4 -6 2 6 .

P r e s i d e n t T ru m an

21 c r e a t e d t h e T e m p o r a r y C o m m is s io n o n E m p lo y e e L o y a l t y , ^ w h ic h w as t o

s t u d y t h e p ro b lem o f

d i s l o y a l t y am ong F e d e r a l

e m p l o y e e s a n d t o m ak e r e c o m m e n d a t i o n s t h e r e o n . s i o n w as com posed o f s i x o f f i c i a l s o f t h e G o v e rn m e n t:

A. D. V a n e c h ,

T h i s Commis­

from t h e e x e c u ti v e b r a n c h S p e c ia l A s s is ta n t to th e

A t t o r n e y G e n e ra l-, a s c h a ir m a n ; H a r r y M i t c h e l l , P r e s i d e n t o f t h e C i v i l S e r v i c e C o m m is s io n ; J o h n P e u r i f o y , A c t i n g A s s i s t a n t S e c re ta ry of S ta te fo r A d m in is tra tio n ; A s s is ta n t S e c re ta ry o f th e T reasu ry ;

E d w a rd F o l e y , J r . ,

K en n eth R o y a l l , U nder

S e c r e t a r y o f W ar, a n d J o h n S u l l i v a n , U n d e r S e c r e t a r y o f t h e N a v y . 40 A fte r re c e iv in g w r itte n sen t to

resp o n ses to

th e FBI and th e m i l i t a r y

a f t e r h e a rin g G e n e ra l,

s ta te m e n ts in

in te llig e n c e

e x e c u tiv e

sp e c ia l"

le tte rs

se rv ic e s,

and

s e s s io n by t h e A tto rn e y

th e A s s i s t a n t D i r e c t o r o f t h e F B I, a n d t h e

c h airm a n

o f t h e I n t e r - D e p a r t m e n t a l C o m m i t te e o n L o y a l t y I n v e s t i g a t i o n s , t h i s C o m m is s io n p r e p a r e d a r e p o r t w i t h r e c o m m e n d a t i o n s d e a l i n g w ith g e n e ra l s ta n d a rd s f o r a s c e r t a i n in g d i s l o y a l t y and w ith p r o c e d u r e s f o r i n v e s t i g a t i n g t h e e m p lo y ee s i n t h e b r a n c h a n d f o r h a n d l i n g c a s e s i 4 ^*

e x e c u tiv e

T h e s e re c o m m e n d a tio n s w ere

s o o n i n c o r p o r a t e d i n E x e c u t i v e O r d e r H o. 9 8 3 5 , w h i c h a u t h o r i z e d 39 E x e c u t i v e O r d e r H o . 9 8 0 6 , 40 A b b o tt, 41 L o c .

0£ .

c it.

c i t . , p . 4 9 0 .-

3 CHR, 1 9 4 6 S u p p . , p . 1 8 3 .

22 t h e e s t a b l i s h m e n t o f t h e l o y a l t y p r o g r a m a n d o u t l i n e d how i t w a s t o b e a d m i n i s t e r e d . 4 ** T he c i r c u m s t a n c e s a t t e n d i n g t h e i s s u a n c e o f t h e l o y a l t y o rd er*

The P r e s i d e n t ’ s l o y a l t y o r d e r w as i s s u e d i n t h e

t e x t p r o v i d e d by t h e s e

d e v e lo p m e n ts:

con­

F i r s t , w id e sp re a d p u b lic

d i s c u s s i o n o f t h e p r o p o s a l s o f t h e H o u s e C o m m i t te e o n U n A m e ric an A c t i v i t i e s d i r e c t e d p a th iz e rs ;

a g a i n s t C o m m u n is ts a n d t h e i r

sym -

s e c o n d , t h e r e f u s a l o f t h e U n i t e d S t a t e s S u p re m e

C o u rt to re v ie w and to e r a l C o urt in th e

s e t a s id e t h e d e c is io n o f a lo w er F e d ­

case o f th e

d i s m i s s a l o f M o rto n F rie d m a n fro m

t h e War M anpow er C o m m is s io n o n g r o u n d s o f d i s l o y a l t y ; 4 4 t h i r d , c o n s i d e r a t i o n o f t h e Hobbs b i l l

t o rem o v e d i s l o y a l p e r s o n s fro m

t h e G overnm ent b y a R e p u b l i c a n - c o n t r o l l e d H ouse o f R e p r e s e n t a ­ t i v e s ; 4 ^ f o u r t h , R e p u b lic a n c h a rg e s o f in d if f e r e n c e o ffic ia ls

to r e q u e s ts

p o s ts ;4^ f i f t h ,

to

o u s t C o m m u n ist s y m p a t h i z e r s

by F e d e r a l in key

a s u s t a i n e d dem and b y o r g a n i z a t i o n s t o

expose

a n d t o r e m o v e Communism f r o m t h e G o v e r n m e n t . 47 4 2 5 CFRT 1947 S u p p . , (c o l.

p p . 1 2 9-33.

43 The T im e s, 9 6 :2 ( c o l . 2 ) , 2 ), F eb ru ary 27, 1947. 44 The T im e s . 9 6 :1

J a n u a ry 3 , 1947; 9 6 :4

( c o l . 2 ) , M arch 1 8 , 1 9 4 7 .

45 The T im e s , 9 6 : 3 ( c o l . 7 ) , M arch 6 , 1 9 4 7 . 46 T h e T i m e s , 9 6 : 1 0 (c o l.

( c o l . 4 ) , M a rc h 1 9 , 1 9 4 7 .

47 T h e T i m e s , 9 6 : 5 ( c o l . 1 ) , D e c e m b e r 3 1 , 1 9 4 6 ; 5 ), F eb ru ary 19, 1947.

9 6 :1 8

CHAPTER I I I THE LEGAL BASES OF THE LOYALTY PROGRAM H aving c o n s i d e r e d t h e e v e n t s l e a d i n g t o t h e e s t a b ­ lis h m e n t o f t h e l o y a l t y program , one m ig h t a s k :

"W ere t h e r e

l e g a l g ro u n d s on w hich th e l o y a l t y program was b ased ? w hat were t h e y ? "

If

so,

Answers a d v a n c e d to t h e s e q u e s t i o n s have,

c o n s i s t e d o f e x p l a n a t i o n s o f t h e power o f t h e im pose r e s t r i c t i o n s

on t h e r i g h t s

of i t s

a u t h o r i t y v e s t e d i n t h e Government to

Government t o

em ployees and o f t h e

im pose r e s t r i c t i o n s

on

s u b v e r s iv e F e d e r a l em ployees and s u b v e r s iv e o r g a n i z a t i o n s . I.

THE POWER OF THE GOVERNMENT TO PLACE RESTRICTIONS ON THE RIGHTS OF FEDERAL EMPLOYEES I n t h e p a s t t h e aim o f r e s t r i c t i o n s

im posed on G overn­

m ent em ployees h a s b een to s e c u r e t h e i r n e u t r a l i t y p o litic s

o f t h e State.-*-

Such r e s t r i c t i o n s

ploy ees,

as such, have n o t " e x p re ss ly "

in the

on F e d e r a l em­

e x c lu d e d them from t h e

p r o t e c t i o n s a f f o r d e d by t h e C o n s t i t u t i o n . 2

However, t h e

1 German F i n e r , " C i v i l S e r v i c e , " E n c y c l o p e d i a o f t h e S o c i a l S c i e n c e s . 3 :5 1 5 - 2 3 , D ecem ber, 1 9 30; M o r s t e m M arx, ^ C o m p a r a t i v e A d m i n i s t r a t i v e Law : P o l i t i c a l A c t i v i t i e s o f C i v i l S e r v a n t s , " V i r g i n i a Law R e v i e w . 2 2 : 5 2 - 9 1 , A u g u s t , 1 9 4 2 . 2 Edward H. S h erm an , " L o y a l t y a n d t h e C i v i l S e r v a n t , " R o c k y M o u n t a i n Law R e v i e w . 2 0 : 3 8 6 - 8 7 , J u n e , 1 9 4 8 ; J o h n B a s s e t t M o o re , " R e s t r i c t i o n s on t h e C i v i l R i g h t s o f F e d e r a l E m p l o y e e s , " C o l u m b i a Law R e v i e w , 4 7 : 1 1 6 1 , N o v e m b e r , 1 9 4 7 .

24 p rac tic e

and h i s t o r y of p u b lic

lish ed th a t

th e c i v i l

and a s an " i m p a r t i a l " r e s u lt of th is

sta tu s,

as "o rd in ary p eo p le,"

ad m in istratio n has e sta b ­

serv an t has a dual s ta tu s

as a c itiz e n

s e r v a n t o f t h e w hole com m unity. c iv il

As a

s e r v a n ts have n o t been re g a rd e d

and t h e i r r i g h t s have been " l i m i t e d

by more t h a n t h e g e n e r a l c r i m i n a l l a w . " 3 Legal th e o rie s e x p la in in g r e s t r i c ti o n s o f p u b lic em ployees.

When l e g a l r e s t r i c t i o n s h a v e b e e n im ­

p o s e d on t h e r i g h t s w h ic h p u b l i c en jo y in p r i v a t e by two t h e o r i e s :

em ployees c o u ld o t h e r w is e

em ploym ent, t h e c o u r t s have e x p l a i n e d them (1)

t h a t t h e r e s t r i c t i o n s w ere j u s t i f i e d

because of s p e e ia l c irc u m sta n c e s, or (2) w aived h i s r i g h t s

on t h e r i g h t s

t h a t t h e em ployee

by a c c e p t i n g G overnm ent employment

The r e a s o n i n g o f t h e f i r s t

t h e o r y was t h a t

th e con­

s t i t u t i o n a l g u a r a n t e e s o f freedom w ere n o t in te n d e d t o

be a b ­

so lu te,

b u t c o u l d be r e s t r i c t e d w h e r e t h e g r e a t e r g o o d o f t h e 5 com m unity dem anded i t . M oreover, t h i s r e a s o n in g has c o n tin u e d , 3 Sherm an, o p . c i t * , 4 M oore, o £ .

P . 387.

c i t ., pp. 1161-62.

5 K o re m a tsu v . U n i t e d S t a t e s , 323 U .S . 214 (1 9 4 4 ) ( e x ­ c lu d in g c i t i z e n s of Ja p an e se a n c e s tr y from c e r t a i n a r e a s in w a r t i m e ) ; S c h e n c k v . U n i t e d S t a t e s , 2 4 9 U . S . 47 ( 1 9 1 9 ) ( r e ­ s t r i c t i n g f r e e s p e e c h i n w a r t i m e }; S e l e c t i v e D r a f t Law C a s e s , 2 4 5 U . S . 366 ( 1 9 1 8 ) ( c o m p u l s o r y m i l i t a r y s e r v i c e i n w a r t i m e ) ; J a c o b s e n v . M a s s a c h u s e t t s , 1 9 7 U .S * 1 1 ( 1 9 0 5 ) ( c o m p u l s o r y v a c c i n a t i o n c o n s t i t u t i o n a l a lth o u g h an i n v a s i o n o f " b o d i l y i n ­ t e g r i t y " ) ; R e y n o ld s v . U n i t e d S t a t e s , 98 U .S . 145 (1 87 8) ( r e ­ l i g i o u s t e n e t s no d e f e n s e a g a i n s t i n d i c t m e n t f o r p o l y g a m y ) .

25 t h e v e r y n a t u r e o f Governm ent em ploym ent, w i t h i t s

”n e ce s-

sary c h arac ter req u ire m e n ts,” j u s t i f i e d th e " lim ite d ap­ p l i c a b i l i t y of c o n s t it u t io n a l g u a ra n te e s to

c iv il

se rv a n ts.”^

The s e c o n d t h e o r y m a i n t a i n e d t h a t t h e n a t u r e

of

G overnm ent employm ent i t s e l f w as n o t s u f f i c i e n t t o a b r i d g e c o n s t it u t io n a l freedom s.

H ow ever, b y a c c e p t i n g Government

em ploym ent, one w a i v e d . c e r t a i n r i g h t s w ould have e n jo y e d a s an " o r d i n a r y

w h ic h he o t h e r w i s e

c itiz e n .”

If

an i n d i v i d u a l

p r e f e r r e d n o t to w aive h i s r i g h t s , t h e t h e o r y h as c o n te n d e d , he d i d n o t have t o work f o r t h e Government i n t h e f i r s t The r e l a t i o n s h i p I t has ment t o

p lace.^

o f Government e m p lo y ee s t o t h e i r

been g e n e r a l l y re c o g n iz e d t h a t

jo b s.

t h e power o f t h e G overn­

im pose r e s t r i c t i o n s on th e r i g h t s

of its

em ployees

a l s o h a s stem m ed fro m t h e v i e w t h a t G overnm ent e m p lo y e e s h a v e n o t o ccupied a fav o red p o s itio n

in the

eyes of th e la w .8

It

h a s b e e n h e l d t h a t t h e y h a v e no c o n t r a c t 9 o r p r o p e r t y ^ - 0 r i g h t s 6 M oore, op.

cit. p .

1162.

7 ” T he p e t i t i o n e r may h a v e a c o n s t i t u t i o n a l r i g h t t o t a l k p o l i t i c s , b u t he h a s no c o n s t i t u t i o n a l r i g h t t o b e a p o l i c e m a n . ” J u s t i c e O l i v e r W e n d e ll Holm es i n J o h n J . M c A u lif f e v. M a y o r o f Hew B e d f o r d , 1 5 5 M a s s . 2 1 6 , 29 H . E .517 ( 1 8 9 2 ) . 8 M oore, o p. c i t . , p .1162; W illia m E. Mosher an d J . D o n a l d K i n g s l e y ,""P u b l i c P e r s o n n e l A d m i n i s t r a t i o n (Hew Y o r k a n d London: H arper a n d fir o t h e r s 1 9 4 1 ) , p . 3 8 6 . 9 CPQB-Sbaw v , U n i t e d S t a t e s , 1 5 4 U . S . 99 ( 1 8 9 0 ) ; B u t l e r e t a l v , P e n n s y l v a n i a , 10 H o w a r d 4 0 2 , 51 U . S . 4 0 2 ( 1 8 5 0 ) . 10 T a y l o r a n d M a r s h a l l v . Beckham ( N o . 1 ) , (1900).

178 U .S .

548

26 in th eir

jo b s,

but ra th e r th a t

r e v o c a b l e by t h e

th ey en$oy o n ly "a p r i v il e g e

so v ereig n ty a t w i l l." ^ -

A lso,

except in so ­

f a r a s s t a t u t e s h av e a ll o w e d c e r t a i n r e m e d i e s , Government em ployees have n o t been p e r m i t t e d to te n u r e by i n j u n c t i o n a g a i n s t ^ or m issa l,

o r b y m andam us t o

m ore, under t h e

seek p r o te c tio n of t h e i r

j u d ic i a l review of^3 d i s ­

compel r e i n s t a t e m e n t .1 4

wc o n s t i t u t i v e

F u rth er­

pow ers o f a d m i n i s t r a t i v e

o r m a n a g e m e n t / ’ t h e y h a v e b e e n subj’e c t e d t o

dem otions,

c o n tro l lay o ffs,

and v a rio u s form s o f ^ a d m i n i s t r a t i v e ” d i s c i p l i n e . I 3 The e x e c u t i v e a n d l e g i s l a t i v e

power t o e s t a b l i s h q u a l i ­

f i c a t i o n s p r e c e d e n t to p u b l ic em ploym ent.

I t has been i n d i ­

c a t e d t h a t t h e power o f t h e Government t o r e s t r i c t of i t s

th e r i g h ts

em ployees h a s been enhanced f u r t h e r by t h e f a i l u r e

of

t h e C o n s t i t u t i o n to p l a c e ^ e x p r e s s ” l i m i t a t i o n s on t h e pow ers of t h e P r e s id e n t and C ongress to e s t a b l i s h q u a l i f i c a t i o n s p r e ­ cedent to p u b lic

e m p lo y m e n t.W ith

th e ex cep tio n of tho se

C renshaw v . U n i t e d S t a t e s , 154 U .S .

9 9 , 108 (1 8 9 0 ) .

12 W h ite v . B e r r y , 171 U . S . 366 ( 1 8 9 8 ) ; T a y l o r v . K e r c h e v a l .~8g~Fe&. W f T C .C .D . I n d . 1 8 9 7 ) . 1 3 Keim v . U n i t e d S t a t e s , 17 7 U . S . 290 ( 1 9 0 0 ) ; F b e r l i e n v . U n i t e d S t a t e s , 257 U . S . 8 2 , 8 4 ( 1 9 2 1 ) .

see

1 4 L e v i n e v . F a r l e y , 1 07 F . 2 d 1 8 6 ( A p p . B . C . 1 9 3 9 ) ; c e r t , d e n i e d , 308 U .S . 622 ( 1 9 4 0 ) . 1 5 J a m e s H a r t , An I n t r o d u c t i o n t o A d m i n i s t r a t i v e Law ( l e w Y o r k : F . S . C r o f t s a n d C o m pany , 1 9 4 0 ) , p . 8 6 . 16 M o o re,

0£ .

c it . t p.

1162.

27 q u a l i f i c a t i o n s p r e s c r i b e d f o r P r e s i d e n t ,*^

v ice-p resid en t

m e m b e r s o f C o n g r e s s , - * ^ a n d t h e F e d e r a l j u d i c i a r y , 2^ a n d t h e o a t h r e q u i r e d o f a l l who s e r v e t h e G o v e r n m e n t t o C o n s t i t u t i o n , 21 t h e o n l y ^ e x p r e s s * on t h e

support the

c o n stitu tio n a l lim ita tio n

c a p a c ity o f th e e x e c u tiv e and C ongress to e s t a b l i s h

c o n d i t i o n s p r e c e d e n t t o Government s e r v i c e ,

it

has been

p o i n t e d o u t , was t h a t w h ic h p r o h i b i t e d a r e l i g i o u s

b e lief

f r o m b e i n g made s u c h a r e q u i r e m e n t • 2 ^ F u rth erm o re,

it

h a s b e en i n d i c a t e d t h a t by v i r t u e

i t s power to f o r m u la te r u l e s

to im plem ent c i v i l

serv ice

of law ,

a g o v e r n m e n t p e r s o n n e l a g e n c y m ay a t t a c h r e q u i r e m e n t s i n a d ­ d itio n

to th o s e f i x e d by s t a t u t e

a n e x a m i n a t i o n . 23

as q u a lif ic a tio n s fo r ta k in g

These re q u ire m e n ts have been su p p o rte d i f

th e y had a s u b s t a n t i a l b e a r in g upon t h e m e r it and f i t n e s s

of

th e a p p l i c a n t to p e rfo rm th e d u t i e s o f t h e p o s i t i o n t h a t was to

be f i l l e d .

T h is power t o

1*7 U n i t e d S t a t e s

e s ta b lis h req u irem en ts has been

C o n stitu tio n . A rticle I I ,

S ectio n 1.

1 8 I b i d . , Amendment X I I . 19 I b i d . . A r t i c l e XE7, S e c t i o n T .

I,

S ectio n 2,

3 a n d 6 ; Amendment

20 I b i d . . Amendment X I V , S e c t i o n 3 . 21 I b i d . , A r t i c l e 7 1 . 22 M o o r e , o p .

c i t . . p . 1162;

C o n s t i t u t i o n . A r t i c l e V I.

2 3 O l i v e r P e t e r F i e l d , C i v i l S e r v i c e Law ( M i n n e a p o l i s : The U n i v e r s i t y o f M i n n e s o t a P r e s s , 1 9 3 9 ) , p . 7 8 .

28 u p h e ld by t h e f o l l o w i n g r e a s o n i n g :

S ince e v ery c i t i z e n

h av in g t h e p ro p e r q u a l i f i c a t i o n s f o r an o f f i c e has t h e r i g h t to h o ld such o f f i c e , fica tio n s

t h e mode o f d e t e r m i n i n g w h e t h e r s u c h q u a l i ­

e x is t ap p lies to

a ll

c itiz e n s a lik e , and, th ere fo re ,

d o e s n o t a b r i d g e t h e r i g h t s a n d p r i v i l e g e s o f a n y o f t h e m , 24 The p r e s i d e n t i a l

power o f r e m o v a l .

t h e g o v ern m en t t o im pose r e s t r i c t i o n s

The a u t h o r i t y o f

on F e d e r a l e m p lo y ee s

a l s o h a s been s u p p o r te d by t h e p r e s i d e n t i a l power o f r e ­ m oval.

£S a general ru le ,

in the absence o f "ex p ress"

c o n s titu tio n a l or s ta tu to r y p ro v isio n ,

t h e power o f r e m o v a l

h a s b e e n c o n s i d e r e d " i n c i d e n t " to t h e power o f a p p o in t m e n t s u b je c t perhaps to th e q u a l i f i c a t i o n t h a t both a p p o in te r and a p p o i n t e e be i n t h e same b r a n c h o f G o v e r n m e n t T h i s

power t o

rem ove e m p lo y ee s h a s i n c l u d e d t h e power t o p r e s c r i b e c o n d i t i o n s 24 P e o p l e e x r e l . A k in v . L o e f f l e r ,

51 N . E .

785 ( 1 8 9 5 ) .

25 W i l l i a m J . S c h r e n c k , " T h e P r e s i d e n t s L o y a l t y O r d e r — S t a n d a r d s , P r o c e d u r e a n d C o n s t i t u t i o n a l A s p e c t s , " M i c h i g a n Law R e v i e w , 4 6 : 9 4 7 , M ay, 1 9 4 8 ; P a r s o n s v . U n i t e d S t a t e s . 167 U . S . 3 2 4 T T 8 9 7 ) ; Keim v . U n i t e d S t a t e s 1 7 7 U . S . 29 0 ( 1 9 0 0 ) ; R e a g a n v . U n i t e d S t a t e s , 1 8 2 U . S '. 4 1 9 ( 1 9 0 1 ) ; B b e r l i e n v . U n i t e d S t a t e s , 2 5 7 U . S . 82 ( 1 9 2 1 ) ; B u r n a p v . U n i t e d S t a t e s , 2 5 2 U . S . 5 l 2 '(" 1 9 2 0 ). 26 Ex p a r t e H e n n e n , 3 8 U . S . 2 3 0 , 25 9 ( 1 8 3 9 ) ; M y e r s v . U n i t e d S t a t e s . 2 F 2 U .& . 52 ( 1 9 2 6 ) ; S h u r t l e f f v . U n i t e d S t a t e s , 1 8 9 U . S . 31 1 ( 1 9 0 3 ) ; P a r s o n s v . U n i t e d " S t a t e s , 1 67 U . S . 3 2 4 (1897), 2*7 Hump h r e y *s E x e c u t o r v . U n i t e d S t a t e s , 295 U . S .

602

29 o f em ploym ent, v i o l a t i o n

of w hich w ould j u s t i f y

d i s m i s s a l . 28

Where t h e P r e s i d e n t h a s a p p o i n t e d a n e x e c u t i v e o f f i c e r o r e m p l o y e e w i t h t h e c o n s e n t o f t h e S e n a t e , 29 h e h a s b e e n p e r ­ m i t t e d t o rem ove him b e f o r e t h e e n d o f h i s s t a t u t o r y t e r m o f o f f i c e , 30 e v e n w i t h o u t t h e c o n s e n t o f t h e S e n a t e . 3 1

In f a c t,

he h a s a l s o rem o v ed e x e c u t i v e o f f i c e r s and e m p lo y ee s i n h i s "ab so lu te d is c r e tio n ,"

d isre g a rd in g any c o n g re ss io n a lly p re -

s c rib e d grounds f o r rem o v al. "p red om inantly q u a s i- ju d ic ia l"

But w here a n o f f i c e r h e l d a p o sitio n fo r a d e fin ite

term , th e

28 See Friedman v . S c h w e lle n b a c h , 159 : F . 2d 2 2 , 24 (Ap-p. B . C . 1 9 4 6 ); c e r i . d e n ie d , 67 S u p . C t . 979 ( 1 9 4 7 ) ; r e ­ h e a r in g d e n i e d . 67 Sup. £ t . 1302 ( 1 9 4 7 ) . 29 I f t h e p o w e r o f a p p o i n t m e n t w a s g i v e n t o t h e P r e s i ­ d e n t a l o n e , h e p r o b a b l y h a s t h e same r e m o v a l p o w e rs a s i f t h e a p p o i n t m e n t w e r e m ade w i t h t h e a d v i c e o f t h e S e n a t e . See M yers v . U n i t e d S t a t e s , 272 U . S . 5 2 , 1 6 1 , 162 ( 1 9 2 6 ) . 30 P a r s o n s v . U n i t e d S t a t e s , 1 6 7 U . S . 32 4 ( 1 8 9 7 ) ( p o s t ­ m a s t e r , a p p o in t e d by P r e s i d e n t and S e n a te f o r a f o u r y e a r t e r m , r e m o v e d by t h e P r e s i d e n t b e f o r e e x p i r a t i o n o f t e r m ) . 51 M y e r s v . U n i t e d S t a t e s , 2 7 2 U . S . 52 ( 1 9 2 6 ) ( p o s t ­ m a s t e r , a p p o i n t e d by P r e s i d e n t a n d S e n a t e f o r a f o u r y e a r t e r m , rem oved by P r e s i d e n t a l o n e b e f o r e t h e e n d o f t e r m ) . 32 S h u r t l e f f v . U n i t e d S t a t e s , 18 9 U . S . 3 1 1 ( 1 9 0 3 ) ( g e n e r a l a p p r a i s e r o f m e r c h a n d i s e a p p o i n t e d by t h e P r e s i d e n t and S en ate under s t a t u t e w hich p ro v id e d f o r rem oval f o r " in e f f ic ie n c y , n e g le c t of d u ty , or m alfeasance in o f f ic e " w as rem o v e d by t h e P r e s i d e n t r e g a r d l e s s o f r e a s o n ) . T h is re m o v a l power a l s o h a s a p p l i e d t o o f f i c e r s o f Government c o rp o ra tio n s. Morgan v . T e n n e s s e e V a l l e y A u t h o r i t y , 115 P . 2 d 9 9 0 ( G . C . A . 6 t h l 9 4 0 )« c e r t , d e n i e d , 5 1 2 U . S . 7 0 1 ( 1 9 4 1 ) ( d i r e c t o r o f TVA a p p o i n t e d f o r n i n e y e a r s w a s r e m o v e d b y P r e s i d e n t o n g r o u n d s o t h e r t h a n t h a t t h e d i r e c t o r d i d n o t make p r o m o t i o n s f a i r l y , a l t h o u g h s t a t u t e p r o v i d e d f o r r e m o v a l by j o i n t r e s o l u t i o n o f C o n g re ss o r re m o v a l by P r e s i d e n t o n l y f o r m aking p r o m o tio n s u n f a i r l y ) .

30 P r e s i d e n t lias e x e r c i s e d o n l y t h e r e m o v a l power w h ic h C o n g r e s s " s p e c i f i c a l l y ” p r o v i d e d . 33

C ongress a l s o

has lim ite d h is r e ­

m oval pow ers by v e s t i n g t h e ap p o in tm en t o f i n f e r i o r o f f i c e r s in th e h e ad s o f d e p a rtm e n ts and t h e n p r e s c r i b i n g th e s o l e c o n d i t i o n s f o r r e m o v i n g i n f e r i o r o f f i c e r s . 3^ ¥ftiere C o n g r e s s h a s p r e s c r i b e d t h e p r o c e d u r e t o b e f o llo w e d in m aking re m o v a ls o f c l a s s i f i e d

c i v i l s e r v a n t s , 33

how ever, t h e c o u r t s have been u n w illin g t o re v ie w rem o v als on th e ir m erits

s o l o n g a s t h e p r o c e d u r e w a s o b s e r v e d . 33

c o u r ts have J u s t i f i e d t h e i r r e l u c ta n c e

t o r e v i e w by s a y i n g t h a t

th ey w i l l n o t i n t e r f e r e w ith th e e x e rc is e o f e x e c u tiv e c r e t i o n . 3^

The

I t m ig h t t h e r e f o r e be t h o u g h t t o

d is­

fo llo w t h a t a r e ­

view c o u ld be o b t a i n e d w here t h e r e was ” e l e a r ” a b u se of 55 HumpErey* s E x e c u t o r v . U n i t e d S t a t e s , 2 9 5 U . S . 602 (19 3 5 ) ( s t a t u t o r y p r o v i s i o n f o r re m o v a l by P r e s i d e n t f o r " i n ­ e f f i c i e n c y , n e g l e c t o f d u t y , o r m a l f e a s a n c e i n o f f i c e " was e x c l u s i v e ). 34 S e e U n i t e d S t a t e s v . P e r k i n s , 1 1 6 U . S . 4 8 3 ( 1 8 8 6 ) ; M yers v . U n i t e F ^ a T e s , 272 U .S . 5 2 , 162 ( 1 9 2 6 ) . S ta t.

35 P u b l i c Law H o. 3 5 6 , 6 2 n d C o n g r e s s , 2 n d S e s s i o n , 555 ( 1 9 1 2 ) .

37

36 L e v i n e v . F a r l e y , 107 F . 2 d 1 8 6 ( A p p . B . C . 1 9 3 9 ) ; c e r t , d e n i e d , &08 U . S . 6 2 2 ( 1 9 4 0 ) ; G o l d i n g v . U n i t e d S t a t e s , 78 C t . C l . 68 2 ( 1 9 3 4 ) ; c e r t , d e n i e d , £ 9 2 U . S . 6 4 5 ( 1 9 3 4 K 37 Keim v . U n i t e d S t a t e s , 177 U . S . 2 90 ( 1 9 0 0 ) ; F r i e d m a n v . S c h w e l l e n b a c h , 1 5 9 F. 2 d 2 2 ( A p p . B . C . 1 9 4 6 ) ; c e r t . d e n i e d , 67 S u p . C t . 979 ( 1 9 4 7 ) ; r e h e a r i n g d e n i e d , 67 S u p . C t . ' 1 3 0 2 (1947).

31 d isc retio n .

T h i s i n f e r e n c e , h o w e v e r , h a s n o t b e e n s u p p o r t e d . 38

Nor h a s t h e d e n i a l o f any a d d i t i o n a l p r o c e d u r a l s a f e g u a r d s w h ic h w e r e e s t a b l i s h e d by t h e P r e s i d e n t , o r t h e C i v i l S e r v i c e C om m ission, been su b je c t to review sin c e effect,

such s a fe g u a rd s w ere h e ld ,

on o u t s i d e a c t i v i t i e s .

g ro u n d f o r t h e power o f t h e

tic e

su ch a s h e a r i n g s on c h a r g e s , in

a m a t t e r o f g r a c e . 39 R e stric tio n s

of its

departm ent h ead s,

A d d itio n al

Government t o r e s t r i c t t h e r i g h t s

em ployees h a s been d e r iv e d from t h e C o n g r e s s io n a l p r a c ­

of p lacin g r e s t r i c t i o n s

on t h e o u t s i d e a c t i v i t i e s

e r a l e m p lo y e e s , e s p e c i a l l y when t h o s e a c t i v i t i e s a c o n f l i c t betw een " p e r s o n a l i n t e r e s t "

seem ed t o

have l e d t o

and " p u b l ic

The c o u r t s h av e u p h e l d s u c h r e s t r i c t i o n s ^

of Fed­

d u ty ." ^

even when t h e y

impose " c o n d i t i o n s t h a t a r e r e p u g n a n t t o . . . o t h e r

: 3 8 F o r e x a m p l e , G o l d ! n g v . U n i t e d S t a t e s . 78 C t . C l . 682 ( 1 9 3 4 ) ; c e r t , d e n i e d . 2 ^ 2 U . S . 6 4 3 ( 1 9 3 4 ) [ n o r e v i e w o f r e m o v a l when s t a t u t o r y p r o c e d u r e w as f o l l o w e d , e v e n t h o u g h t h e r e w ere a l l e g a t i o n s o f c o n s p ir a c y , p e r j u r e d te s ti m o n y , b i a s , a n d p r e j u d g m e n t on t h e p a r t o f t h e r e m o v i n g o f f i c e r ) . 39 U n i t e d S t a t e s v . L a p p . 2 4 4 F e d .

377 ( C . C . A .

6th 1917).

40 F or i l l u s t r a t i o n s of s t a t u t o r y r e s t r i c t i o n s se e Re­ s t r i c t i o n s upon th e S e c r e t a r y o f t h e T r e a s u r y , 5 U .S .C . S e c tio n 2 4 3 ( 1 9 4 9 ) ; An A c t t o R e g u l a t e C o m m e rce , 2 4 S t a t . 383 ( 1 8 8 7 ) , a s a m e n d e d , 4 9 U . S . C . S e c t i o n 1 1 ( 1 9 4 9 ) ; P u b l i c Law N o . 416 7 3 r d C o n g r e s s , 2 n d S e s s i o n , 4 8 S t a t . 1G66 ( 1 9 3 4 ) , a s a m e n d e d , 47 U . S . C . S e c t i o n 1 5 4 ( 1 9 4 9 ) . 41 I x p a r t e C u r t i s . 1 0 6 U , S .

3 71 ( 1 8 8 2 ) .

32 f u n d a m e n t a l r i g h t s , ”4 2 ch ell,

4-3

j n U n ite d P u b l i c W orkers v . M i t-

t h e Supreme C o u r t ,

m

uph o ld in g th e c o n s t i t u t i o n a l i t y

o f r e s t r i c t i o n s on t h e p o l i t i c a l a c t i v i t i e s

o f F e d e ra l em ployees,

l a i d down t h i s r u l e : F o r r e g u l a t i o n o f em ployees i t i s n o t n e c e s s a r y t h a t t h e a c t r e g u l a t e d be a n y t h i n g m ore t h a n a n a c t r e a s o n a b l y deemed b y C o n g r e s s t o i n t e r f e r e w i t h t h e e f f i c i e n c y o f t h e . p u b l i c s e r v i c e , 44 In a d d i t i o n , F e d e r a l em ployees have been r e s t r i c t e d t h e i r union a c t i v i t i e s .

4-3

^

A lth o u g h t h e y have been a llo w e d t o

a f f i l i a t e w i t h u n i o n s , 46 t h e y h a v e n o t b e e n a l l o w e d t o and t h e i r r i g h t t o

s t r i k e 47

b a rg a in c o ll e c tiv e ly has been lim i te d .4®

F u r t h e r m o r e , t h e Government h a s o b s e r v e d n e i t h e r of g ran tin g ex clu siv e re c o g n itio n tiv e

in

the p r a c tic e

to th e m a jo rity r e p r e s e n ta ­

o f F e d e r a l e m p l o y e e s 49 n o r o f g r a n t i n g r e c o g n i t i o n t o 42 I b i d . , ’ p .

376.

43 U n i t e d P u b l i c W o rk e rs v . M i t c h e l l ,

67 S u p . C t . 556

(1947). 44 I b i d . , p .

570.

4 5 - U n i t e d S t a t e s v . U n i t e d M ine W o rk e rs o f A m e ric a , Sup. C t . 6 7 7 , 678 ( 1 9 4 7 ) . 4 6 37 S t a t . S ta t.

555 ( 1 9 1 2 ) , l o c .

c it.

47 P u b l i c Law No. 1 0 1 , 8 0 t h C o n g r e s s , 1 s t S e s s i o n , 160 ( 1 9 4 7 ) , 48 M oore,

0£ .

4 9 37 S t a t . pp. 1184-85.

c i t . , pp. 1183-84.

555 ( 1 9 1 2 ) ,

67

l o c . c i t . ; M oore, op. c i t . ,

61

33 th e

"union" or " c lo s e d II.

s h o p . " 50

TEE POWER OF THE GOVERNMENT

TO IMPOSE RESTRICTIONS ON SUBVERSIVE EMPLOYEES AND ORGANIZATIONS In g e n e r a l t h e n , F e d e r a l em ployees have r e c e i v e d little

p r o t e c t i o n from t h e e o u r t s and t h e Government h a s e x ­

e r c i s e d c o n s i d e r a b l e power over t h e i r ground in m ind,

rig h ts.

W ith t h i s

back­

c o n s i d e r a t i o n w i l l be g iv e n n e x t t o t h e a u t h o r i t y

v e s t e d i n t h e Government t o im pose r e s t r i c t i o n s

on s u b v e r s i v e

em ployees and s u b v e r s i v e o r g a n i z a t i o n s . S tatu tes z atio n s.

c o n c e rn in g subve r s iv e

em ployees a n d o r g a n i -

As i n d i c a t e d p r e v i o u s l y i n C h a p t e r I I ,

a u t h o r i t y t o e x c lu d e fro m F e d e r a l employm ent a l l

sta tu to ry p e r s o n s who

a d v o c a t e d r e v o l u t i o n a r y o v e rth r o w o f t h e Government w as e s ­ t a b l i s h e d b y t h e H a t c h A c t . 5^ any p e rso n r e c e iv in g

T h i s a c t m ad e i t

unlaw ful fo r

a s a l a r y o u t o f f u n d s a p p r o p r i a t e d by

C o n g re ss " t o have m em bership i n any p o l i t i c a l p a r t y o r o r g a n i ­ z a t i o n w hich a d v o c a te s th e o f G ov ernm ent."

o v e rth ro w o f ou r c o n s t i t u t i o n a l form

In 1941, C ongress su p p o rte d t h i s p r o h i b i t i o n

b y a p p r o p r i a t i n g money f o r t h e FB I t o u s e i n i n q u i r i n g i n t o 50 M o o r e . o p . c i t . . p . 1 1 8 5 . S ta t.

51 P u b l i c Law H o . 2 5 2 , 7 5 t h C o n g r e s s , 1148 (1 9 3 9 ).

1 st S essio n ,

53

34 su b versive a c t i v i t i e s sa m e t i m e ,

it

among G o v e r n m e n t e m p l o y e e s A t

began to

attach r id e r s

to a l l

th e

ap p ro p riatio n

b i l l s f o r b i d d i n g t h a t a n y m o n ey a p p r o p r i a t e d b e u s e d t o p a y **any p e r s o n who a d v o c a t e s , tio n th a t ad v o cates,

o r who i s

a mem ber o f a n o r g a n i z a ­

t h e o v e rth r o w o f t h e Governm ent o f t h e

U n i t e d S t a t e s . * 53 In a d d itio n ,

t h e power o f t h e a t t o r n e y G e n e r a l,

d i c a t e d i n E x e c u t i v e O rd e r No. 9 8 3 5 , t o o rg an izatio n s,

as in ­

d e sig n ate su b versive

had been p reced ed by a F e d e ra l s t a t u t e r e q u i r ­

i n g o r g a n i z a t i o n s wa c t i n g i n t h e i n t e r e s t o f a f o r e i g n p o w e r a n d n o t a c c r e d i t e d t o t h e U n i t e d S t a t e s G o v e r n m e n t 1* t o r e g i s t e r w i t h t h e A t t o r n e y G e n e r a l . 3^ sta tu te

The p e r t i n e n t

se ctio n s of t h i s

are as fo llo w s:

( a ) No p e r s o n s h a l l a c t , a s a n a g e n t o f a f o r e i g n p r i n c i p a l u n l e s s he h a s f i l e d w i t h t h e A t t o r n e y G e n e ra l a t r u e a n d c o m p l e t e r e g i s t r a t i o n s t a t e m e n t . . . 55 E v e r y a g e n t o f a f o r e i g n p r i n c i p a l who h a s f i l e d a r e g i s t r a t i o n s ta te m e n t r e q u i r e d by s u b s e c tio n (a ) of t h i s s e c tio n s h a l l , w ith in t h i r t y days a f t e r e x p ira tio n o f e a c h p e r i o d o f s i x m onths s u c c e e d i n g su c h f i l i n g , f i l e w ith th e A tto rn e y G eneral a supplem ent t h e r e to u n d e r o a t h , on a fo rm p r e s c r i b e d by t h e A t t o r n e y G e n e r a l, w hich s h a l l s e t f o r t h w ith r e s p e c t to su c h p r e c e d in g s i x

S ta t.

52 D e p a r t m e n t o f J u s t i c e A p p r o p r i a t i o n A c t , 289 ( 1 9 4 1 ) .

1 9 4 2 , 55

5 3 I n d e p e n d e n t O f f i c e s A p p r o p r i a t i o n A c t o f 1 9 4 2 , 55 S t a t . 1 23 ( 1 9 4 1 ) ; E m e rg en c y B e l i e f A p p r o p r i a t i o n A c t . 54 S t a t . 620 ( 1 9 4 1 ) . 54 F o r e i g n A g e n ts R e g i s t r a t i o n A c t o f 1 9 3 8 , a s am ended, 56 S t a t . 2 4 8 ( 1 9 4 2 ) . 55 I b i d . , p .

251.

35 m o n th s’ p e rio d such f a c t s as th e A tto rn e y G e n era l, hav in g due re g a rd f o r t h e n a t i o n a l s e c u r i t y and th e p u b l i c i n t e r e s t , may d e e m n e c e s s a r y t o m a k e t h e i n f o r m a ­ t i o n r e q u ir e d under t h i s s e c tio n a c c u ra te , com plete, a n d c u r r e n t w i t h r e s p e c t t o s u c h p e r i o d . 5o I t s h a l l be u n l a w f u l f o r a n y p e r s o n w i t h i n t h e U n i t e d S t a t e s who i s a n a g e n t o f a f o r e i g n p r i n c i p a l a n d r e q u i r e d t o r e g i s t e r . . . t o t r a n s m i t o r c a u s e t o be t r a n s ­ m itte d in th e U n ited S ta te s m a i l s ...a n y p o l i t i c a l propa­ g a n d a . . . 57

56 I b i d . . p .

253.

57 I b i d . , p .

255.

CHAPTER IV THE ADMINISTRATION OF THE LOYALTY PROGRAM The l o y a l t y p r o g r a m h a s b e e n a d m i n i s t e r e d i n t h e l i g h t of th e

events le a d in g to

9835 a n d t h e

th e is s u a n c e o f E x e c u tiv e O rder N o.

le g a l bases fo r in q u irin g

Government e m p lo y e e s .

Its

in to th e lo y a lty of

a d m in is tra tio n has been c a r r ie d out

i n c o n j u n c t i o n w i t h t h e A t t o r n e y G e n e r a l , t h r o u g h two p r o c e ­ dures, th e I.

incum bent program and th e a p p o in te e program .

THE PROCEDURES EMPLOYED IN TEH ADMINISTRATION OF THE LOYALTY PROGRAM A l t h o u g h E x e c u t i v e O rd e r No. 9835 w as i s s u e d i n M a rc h ,

19 47,^ th e a te ly .

l o y a l t y p r o g r a m d i d n o t go i n t o

o p e r a t i o n imm edi­

T here w ere s e v e r a l r e a s o n s f o r t h i s d e la y .

F irst,

f u n d s f o r t h e p r o g r a m w e r e n o t s o u g h t u n t i l May, 1 9 4 7 , 2 a n d C o n g r e s s d i d n o t make a p p r o p r i a t i o n s u n t i l J u l y 3 1 , 1 9 4 7 . 3 Second,

C o n g re ss was c o n s i d e r i n g

a t th e tim e a b i l l

in tro d u ced

by R e p r e s e n ta tiv e Rees to r e p l a e e th e e x e c u tiv e program .

T h is

m e a s u r e h a d b e en a p p r o v e d by t h e H o u s e , b u t w as n o t r e p o r t e d

T itle

1 E x e c u t i v e O r d e r N o . 9 8 3 5 , Code o f F e d e r a l R e g u l a t i o n s 3 , p p . 1 2 9 - 3 3 , 1947 S u p p l e m e n t

2 . News I t e m i n T h e New Y o r k T i m e s , 9 6 : 1 10, 1947. 3 The T im e s , 9 6 :7

(co l.

4),

(co l.

J u ly 27, 1947.

7 ) , May

37 from com m ittee in t h e S e n a t e . 4 Com m ission w as i n

T h ird , th e C iv il S ervice

th e p ro cess of p rep arin g lo y a lty in s tru c tio n s

to th e a g e n c ie s and f i n d i n g ,

in v e s tig a tin g and a p p o in tin g p e r ­

s o n s t o r e g i o n a l l o y a l t y h o a rd s a n d t h e L o y a l t y R eview B o a r d . 5 When t h e F e d e r a l l o y a l t y p r o g r a m b e g a n t o was e f f e c t e d

t h r o u g h two p a r a l l e l p r o c e d u r e s .

o p erate,

The f i r s t

it pro­

c e d u r e was c o n c e r n e d w i t h d e t e r m i n i n g t h e l o y a l t y o f incum ­ b e n ts and has been c a l l e d

t h e incum bent p rogram .

p r o c e d u r e was d e s i g n e d to

exam ine t h e l o y a l t y - o f a p p o i n t e e s

and has been c a l l e d

th e ap p o in tee

p ro g ram .^

The s e c o n d

T h e s e two p r o c e ­

d u r e s w i l l be d i s c u s s e d s e p a r a t e l y . A.

THE INCUMBENT PROGRAM

Agency p r o c e s s i n g o f l o y a l t y f o r m s .

I t a p p a r e n t l y was

a g r e e d b e tw e e n t h e C i v i l S e r v i c e Com m ission a n d t h e F e d e r a l B ureau o f I n v e s t i g a t i o n t h a t th e i n i t i a l

em phasis o f t h e l o y ­

a l t y p ro g ra m s h o u l d be p l a c e d on t h e e a r l y c l e a r a n c e 4

of th e

The T im es, 9 6 : 9 ( c o l . 2 ) , J u l y 2 5 , 1 9 4 7 ; 9 6 : 7 ( c o l . 4 ) .

J u l y 27, 1947. 5 I n f o r m a t io n o b t a i n e d by i n t e r v i e w a t t h e O f f ic e o f t h e T w e lfth U n ite d S t a t e s C i v i l S e rv ic e R egion i n San F r a n c is c o , C a l i f o r n i a , O ctober 26, 1949. I t w a s r e q u e s t e d t h a t t h e name o f t h e s o u r c e o f t h i s i n f o r m a t i o n be k e p t anonym ous. 6 S e n a te R e p o r t Ho. 1775, I n t e r i m R e p o rt o f t h e I n ­ v e s t i g a t i o n s S u b c o m m i t t e e o f t h e S e n a t e C o m m i t t e e on E x p e n d i ­ t u r e s in t h e E x e c u tiv e D epartm ents, p u rs u a n t to S en ate Reso­ l u t i o n 1 8 9 , wI n v e s t i g a t i o n o f F e d e r a l E m p l o y e e s L o y a l t y P r o ­ gram , n 8 0 th C o n g r e s s , 2nd S e s s i o n , p . 6 , S eptem ber 4 , 1948 (W ashington: U n i t e d S t a t e s Government P r i n t i n g O f f i c e ) .

m ore t h a n tw o m i l l i o n a tte m p tin g to

in c u m b e n t e m p l o y e e s , r a t h e r t h a n on

conduct th e

co n cu rren tly .

incum bent and a p p o in te e p ro g ra m s

As a r e s u l t ,

each of t h e v a r i o u s a g e n c ie s

s u b j e c t t o E x e c u t i v e O rd e r No. 9835 was f u r n i s h e d f o r a l l i n c u m b e n t e m p l o y e e s c o p i e s o f S t a n d a r d F o r m 84 A, R e p o rt on L o y a lty D a ta ." w ith th e

(C opies o f th e s e

c o n n ectio n

in fo rm atio n

r e q u e s t e d on t h e f o r m a l o n g w i t h h i s f i n g e r p r i n t s Form 8 6 .

"R equest f o r

T h i s f o r m was u s e d o n l y i n

i n c u m b e n t e m p l o y e e , who f u r n i s h e d t h e

its

on S ta n d a rd

two f o r m s f o l l o w t h i s p a g e . )

D is­

t r i b u t i o n o f t h e s e f o r m s b e g a n a l i o u t two w e e k s p r i o r t o O c t o ­ b er 1,

1947,

accom panied by i n s t r u c t i o n s t o

fo rw a rd co m p lete d form s d i r e c t l y t o

th e a g en cies to

t h e FBI a t t h e r a t e

of

f i f t e e n p e r c e n t of t h e p ay r o l l p er m onth, s t a r t i n g i n O c to b e r, 17 1947. H ow ever, a g e n c ie s w ith one h u n d red o r few er em p lo y ees w ere i n s t r u c t e d

t o subm it t h e s e fo rm s to

and n o t l a t e r th a n tab lish ed a ll

O ctober 1 0 ,

by t h e C i v i l S e r v i c e

in cu m b en t fo rm s was t o

1 9 4 7 .8

t h e FBI a t one t im e

Under t h e s c h e d u le e s ­

C om m ission, t h e s u b m i s s io n o f

be c o m p l e t e d by M arch 3 1 , 1 9 4 8 . 9

The C i v i l S e r v i c e C om m ission d i d n o t recom m end a ny p r i o r i t y t o be f o l l o w e d i n s u b m i t t i n g t h e s e f o r m s . was o b s e rv e d t h a t

As a r e s u l t ,

it

t h e a g e n c i e s , w i t h few e x c e p t i o n s , f o r w a r d e d

7 Loc. cT t. 8 F e d e r a l P e r s o n n e l M anual,

C hapter 12, p .

1948. 9 F .P .M ., C hapter 12, p . 4 , August 7, 1947.

5 , May 2 7 ,

39 t h e fo rm s w i t h o u t d i s t i n g u i s h i n g betw een t h e " im p o rta n c e or s e n s i t i v i t y ” o f em ployees1 p o s i t i o n s . ^

How ever, i n t h e f a l l

o f 1948, t h e Com m ission i s s u e d i n s t r u c t i o n s w h ic h g av e p r i o r ­ ity

to th e

i n v e s t i g a t i o n o f incum bents in s e n s i t i v e

p o s i t i o n s . 11

FBI p r o c e d u r e s i n p r o c e s s in g fo rm s and c o n d u c tin g i n ­ v e stig a tio n s .

The FBI c h e c k e d t h e s e f o r m s a g a i n s t i t s f i n g e r ­

p r in t f i l e s and a g a in s t i t s

in d ic e s of in d iv id u a ls concerning

whom i t h a d o b t a i n e d i n f o r m a t i o n i n c o n n e c t i o n w i t h

its

v e stig a tio n s of "in te rn a l

f o u n d no

secu rity m a tte rs.”

If

it

in ­

d e r o g a t o r y i n f o r m a t i o n , t h e B u r e a u made a n o t a t i o n t o t h a t e f f e c t i n t h e s p a c e p r o v i d e d on t h e f a c e o f F o rm 8 4 A. c o p ie s o f t h i s fo rm w ere s e n t to w here one copy was r e t a i n e d em ploying a g en c y .

Two

t h e C i v i l S e r v i c e Com m ission

and t h e o th e r fo rw a rd e d t o t h e

The i n v e s t i g a t i o n o f e m p lo y e e s, r e g a r d l e s s

of th e "im portance or s e n s i t i v i t y ” o f t h e i r

j o b s , was t h e r e b y

g e n e r a l l y c o m p l e t e d . 12 H ow ever, when d e r o g a t o r y i n f o r m a t i o n c o n c e r n i n g a n em ployee was fo u n d i n i t s fie ld ” in v estig atio n Form 84 A t h a t

file s,

th e B ureau i n i t i a t e d a " f u l l

o f t h e e m p lo y e e , n o t i n g on t h e b a c k o f

such in fo rm a tio n had been d isc o v e re d , and r e -

10 S e n a t e R e p o r t . H o . 1 7 7 5 , l o c . c i t . 11 O f f i c e o f t h e T w e l f t h U n i t e d S t a t e s C i v i l S e r v i c e R egion, l o c . c i t . 12 S e n a t e . R e p o r t H o . 1 7 7 5 , l o c .

c it.

40 t u r n e d t h e form to t h e em ploying a g e n c y v i a t h e C i v i l S e r v ic e C om m ission i n t h e same m an n er a s d e s c r i b e d a b o v e . itia l tu re

s ta g e s o f th e program , a c o n c is e

In th e in ­

statem en t of th e n a­

o f ~ t h e d e r o g a t o r y i n f o r m a t i o n w a s g i v e n o n F o r m 8 4 A.

S h o rtly a fte r

th e in c e p tio n of th e program , how ever, t h i s

p r a c t i c e was d i s c o n t i n u e d , an d t h e

o n l y n o t a t i o n made t h e r e ­

a f t e r w a s t h a t som e i n f o r m a t i o n " d e r o g a t o r y i n n a t u r e " c e r n i n g t h e em ployee e x i s t e d i n t h e f i l e s In co n d u ctin g i t s

"fu ll field "

c a s e s , t h e FBI a s s i g n e d an a g e n t to

con­

of th e B ureau. ^

in v estig atio n

in such

i n v e s t i g a t e t h e em ployee.

The a g e n t m a d e a n i n v e s t i g a t i o n a n d p r e p a r e d a r e p o r t o f h i s f i n d i n g s w hich he s e n t to th e head of th e B ureau r e g i o n a l o ffice

o u t o f w h ich he w orked.

The r e g i o n a l o f f i c e h e a d r e ­

view ed t h e r e p o r t and fo rw a rd e d i t

to t h e Bureau o f f i c e

¥?ashington w here i t was a g a i n c o n s i d e r e d . ^ t r a n s m i t t e d two e o p i e s o f t h e r e p o r t o f t h e

in

Then, t h e B ureau in v estig atio n to

t h e I n v e s t i g a t i o n s D i v i s i o n o f t h e C i v i l S e r v i c e C om m ission. There,

one c o p y was r e t a i n e d f o r t h e

cen tral f ile s

of th e

C o m m i s s i o n a n d t h e o t h e r f o r w a r d e d t o t h e e m p l o y i n g agency.-*-5 15 L o c . ~ i t . 1 4 S e t h W. R i c h a r d s o n , " T h e L o y a l t y R e v i e w B o a r d , " Forum, 1 0 9 : 1 0 7 , F e b r u a r y , 1 9 4 8 . 15 S e n a t e R e p o r t H o . 1 7 7 5 ,

lo c. c i t .

41 The i n i t i a l

c o n sid era tio n of

agency lo y la ty h o a rd .

th e B ureau r e p o rt by th e

The r e p o r t o f t h e

B ureau’s i n v e s ti g a ­

t i o n o f t h e in c u m b e n t em ployee h a s b een s t u d i e d f i r s t em ploying agen cy l o y a l t y b o a rd . three

T h is b o ard , c o n s is tin g of

e m p l o y e e s o f t h e a g e n c y , h a s b e e n a p p o i n t e d by t h e

agency head. tra liz e d , has

by t h e

Where t h e

o rg an izatio n

e ith e r g e o g ra p h ic a lly or

b e e n empowered t o a p p o i n t

s id e ra tio n of th e

o f t h e a g en c y was d e c e n ­

by b u r e a u s , t h e a g e n c y h e a d

se v e ra l lo y a lty boards.

B ureau’s re p o rt,

A f t e r con

th e agency l o y a l t y board then

d e te rm in e d w h eth er o r n o t t h e r e p o r t was f a v o r a b l e , t h a t w hether i t

in d ic ate d

judged f a v o r a b le , F ederal

the

t h a t t h e em ployee w as l o y a l .

e m p l o y e e w a s d e c l a r e d ’’e l i g i b l e ” f o r

i f t h e b o a r d d e c i d e d t h a t t h e r e p o r t w a s n o t ’’ c l e a r l y

f a v o r a b l e , ” i t p r e p a r e d and s e n t c h arg es,” s e ttin g c o n fid e n tia l

fo rth ,

t o t h e e m p l o y e e a ’’l e t t e r

”in so far

as i s

source and n a tu re of th e

a tim e and p l a c e f o r

such c a se s,

proposed rem oval and to

a h earing

”a s

convenient to

p lo y ee as circ u m sta n ce s p e rm itte d . 16 I b i d V, p p .

th e p ar­

to g i v e th e em ployee n o t i c e

t h i r t y days in advance of t h e

6-7.

17 F . P . M . , C h a p t e r 1 2 , p .

of

consonant w ith th e

in fo rm a tio n ,

d erogatory f a c ts a l l e g e d . I n

b o ard h as been i n s t r u c t e d

late

i t was

employm ent a n d c o n t i n u e d w o r k i n g i n h i s p o s i t i o n .

H ow ever,

tic u la r

If

is,

8, A p ril 22, 1948.

th e agency at le a s t stip u ­ t h e em­

42 Agency a l t e r n a t i v e s n atio n ,

fo llo w in g

an u n f a v o r a b l e d e t e r m i ­

S e v e r a l c o u r s e s o f a c t i o n h a v e b e e n o p e n t o t h e em­

p lo y in g ag eney w here t h e i n i t i a l su lted in

an u n fa v o ra b le

th reaten in g

c o n sid e ra tio n of a ease r e ­

d e te rm in a tio n .

In a case " s e r io u s ly

t h e n a t i o n a l s e c u r i t y , " t h e em ploying agency h a s

been a u th o riz e d

to give th e

covering th e rea so n s and h i s r i g h t s

to

em ployee a n o t i c e

of su sp en sio n

f o r t h e s u s p e n s io n , w ork and p ay s t a t u s ,

an a p p e a l and h e a r i n g .

In a case "not s e r i ­

o u sly th r e a te n in g th e n a tio n a l s e c u r i t y ," th e agency board, w ith the a p p ro v al of th e agency head, p e rm it the %

w ere f o u n d .

em ployee

to r e s i g n ,

In th e l a t t e r

if

h a s b e e n empowered t o

"m itig a tin g

in s ta n c e , th e agency has been r e ­

q u ir e d to g iv e im m ediate n o t i c e

of i t s

a c tio n to th e C iv il

S e r v i c e C o m m issio n , acc o m p a n ie d by a f i l e A lte rn a tiv e s of th e i n i t i a l d e term in atio n .

F irst,

of th e i n i t i a l

Bureau i n v e s t i g a t i o n r e p o r t . c h a r g e s by an a f f i d a v i t , c it.

c o n s i d e r a t i o n by

board a ls o has had s e v e r a l a l t e r n a t i v e s .

he c o u ld have ig n o red t h e c h a rg e s ,

18 L o c .

c a s e . 18

The e m p lo y e e w h o s e r e p o r t w a s f o u n d

ageney b o a rd w ould have d e c id e d th e

th e

on t h e

em ploy e e r e c e i v i n g a n u n f a v o r a b l e

t o be u n f a v o r a b l e a s a r e s u l t th e agency lo y a lty

circu m stan ces"

i n w hich case th e

case on th e b a s is of th e

Second, he c o u ld have answ ered in w hich ease th e agency b o ard

43 w ould h av e d e c id e d t h e have re q u e s te d

c a s e " o n t h e r e c o r d **

a h earin g

before th e

T h ird , he co u ld

board and produced w i t -

n e s s e s . 19v The c o n d u c t o f h e a r i n g s b e f o r e a g e n c y l o y a l t y b o a r d s . I n t h o s e c a s e s w here th e em ployee r e q u e s t e d a h e a r i n g ,

th at

h e a r i n g h a s been c o n d u c t e d by t h e a g e n c y l o y a l t y b o a r d i n a c c o r d a n c e w i t h t h e r e g u l a t i o n s i s s u e d by t h e L o y a l t y R eview B oard.

T hese r e g u l a t i o n s have been i s s u e d th ro u g h t h e f a c i l i i o f t h e C i v i l S e r v i c e Com m ission, b u t h a v e b een p r e p a r e d

tie s

by th e L o y a l ty Eeview B oard s i n c e i t the

has been re s p o n s ib le for

issu an ce o f a l l r e g u la tio n s d e a lin g w ith th e conduct of

t h e l o y a l t y p r o g r a m . 20

I n t h e s e r e g u l a t i o n s th e agency head

h as been ad v ised to p ro v id e

f o r each h e a rin g b e fo re an agency

l o y a l t y board a r e p r e s e n t a t i v e o f t h e ag en cy , a l e g a l o f f i c e r , ” i f p r a c t i c a b l e / ’ to a s s i s t p resen tin g th e

case to t h e

i n p r e p a r i n g t h e c h a r g e s and i n board.

T h is p erso n ,

i t was co n ­

t e m p l a t e d , ." s h o u ld be t h o r o u g h l y f a m i l i a r w i t h t h e order

t h a t h e may p r e p a r e a n d p r e s e n t t h e i s s u e s

case in

in v o lv ed ,

exam ine o r c r o s s - e x a m in e w i t n e s s e s , a d v i s e t h e b o a rd m em bers, and o th e rw is e a s s i s t

in dev elop in g t h e f a c t s n e c e s s a ry to a

19 S e n a t e R e p o r t Mo. 1 7 7 5 , o p .

c i t . , p.

7.

20 O f f i c e o f t h e T w e l f t h U n i t e d S t a t e s C i v i l S e r v i c e R egion , l o c . c i t .

44 ju st

d ete rm in a tio n ."

PI

The r e c o m m e n d a t i o n a l s o

th e h earing b eg in w ith th e read in g o f th e l e t t e r However,

was m ad e t h a t of charges.

i t h a s been r e q u i r e d t h a t no l e s s t h a n t h r e e b o a rd

members be p r e s e n t i n t h e h e a r i n g an d t h a t t h e e m p lo y ee be inform ed of h i s r i g h t to p a r t i c i p a t e

in th e h earin g ,

t o be

r e p r e s e n te d by c o u n s e l, and to p r e s e n t w itn e s s e s in h i s b e­ h a lf.

A tte n d a n c e a t t h e h e a r in g has been l i m i t e d to r e p r e ­

s e n ta tiv e s o f th e agency d i r e c tl y concerned w ith th e a d ju d ic a ­ tio n of th e

ease,

r e p r e s e n t a t i v e s o f t h e L o y a l t y R eview B o a rd ,

and th e em ployee, h i s

c o u n s e l o r r e p r e s e n t a t i v e , and w i t n e s s e s

o n l y w h i l e t h e y w e r e t e s t i f y i n g . 23

B efore g iv in g h i s t e s t i ­

mony, e a c h w i t n e s s h a s b e e n r e q u i r e d t o t a k e m atio n ."

The e v i d e n c e o b t a i n e d h a s n o t b e e n s u b j e c t t o

le g a l r u le s o f ev id en ce," ployee

an " o a t h o r a f f i r ­

and b o t h t h e G o v e r n m e n t a n d t h e

have been p e rm itte d to in tro d u c e "su ch evidence

b o a r d may deem p r o p e r

"strict

in th e p a rtic u la r

c a s e . " 24

em­ as the

In those

cases

w h e r e t h e e m p l o y e e m ay h a v e b e e n h a n d i c a p p e d i n h i s d e f e n s e b y the

la c k o f o p p o r tu n ity to

c o n fro n t or cross-exam ine w itn e s se s

o r b y t h e w i t h h o l d i n g from him o f " c o n f i d e n t i a l " tio n ,

info rm a­

th e agency l o y a l t y boards have been i n s t r u c t e d t o ta k e

" ! SI F .P .M . , C h a p t e r Z l , p . 4 1 7 , M arch 2 8 , 1 9 4 9 ; Z l, p . 418, F eb ru ary 1, 1949. 22 F .P .M . , C h a p te r

Z l, p.

4 1 9 , May 1 0 , 1 9 4 9 .

23 F . P . M . , C h a p t e r

Z l, p.

4 2 0 , M arch 28, 1 9 4 9 .

24 F . P . M . ,

Z l, p. 419, l£ C .

C h ap ter

c it.

C hapter

45 such c irc u m sta n c e s in to d e t e r m i n a t i o n . 25 to have a l l

co n sid eratio n in a rriv in g

at

a

In a d d i t i o n , t h e h o ard s have been r e q u i r e d

testim o n y t r a n s c r ib e d ,

a n d m ad e a v a i l a b l e t o t h e

em ployee "w henever p o s s i b l e . I t has been r e p o r t e d t h a t e x p e rie n c e in l o y a l t y board h earin g s has in d ic a te d m ost p a r t ,

th a t "su sp ected *

em ployees, f o r t h e

"m erely " have a tte m p te d t o r e f u t e a l l e g a t i o n s w ith

f a v o r a b l e t e s t i m o n y o r a f f i d a v i t s s u b m i t t e d by p e r s o n s a c ­ q u a in te d w ith them . "m erely a t t e s t e d "

Such t e s t i m o n y or a f f i d a v i t s

o f te n have

to t h e "good c h a r a c te r and l o y a l t y o f th e

i n d i v i d u a l . " 27 A ppeal to th e agency h e ad . d eterm ined t h a t

I f t h e agency l o y a l t y board

t h e r e was " a r e a s o n a b le doub t a s t o t h e l o y ­

a l t y o f t h e em ployee," and t h a t he was t h e r e f o r e f o r F e d e r a l em ploym ent, t h e

in elig ib le

em ployee c o u ld h av e a p p e a l e d t h a t

d e te r m in a tio n to th e h ead o f th e agency o r t o su c h p e rs o n or p e r s o n s a s d e s i g n a t e d by t h e c isio n .

agency head to rev iew th e de­

T h i s a p p e a l m ay h a v e b e e n a r e h e a r i n g o f t h e e v i d e n c e ,

o r m ay h a v e b e e n l i m i t e d

to

a review o f th e re c o rd .

25 F . P . M . , C h a p t e r 2 1 , p .

Its

n atu re

420, l o c . c i t .

26 L o c . c i t . 27 ? / i l l i a m I . D o n o v a n and M a r y G a r d i n e r J o n e s , " P r o ­ g ra m f o r a D e m o c r a t i c C o u n t e r A t t a c k to Communist P e n e t r a t i o n o f G o v e r n m e n t S e r v i c e , " T h e Y a l e Law J o u r n a l , 5 8 : 1 2 2 9 , J u l y , 1949.

46 h a s b e e n d i s c r e t i o n a r y w i t h t h e a g e n c y h e a d . 2® A p p e a l t o t h e L o y a l t y R eview B o a r d *

In th e

event th a t

t h e em ploy ee was f o u n d t o be d i s l o y a l by t h e a g e n c y h e a d , h e c o u ld h a v e a p p e a le d h i s c a s e t o t h e L o y a l t y R eview B o a rd , T h i s b o d y was e s t a b l i s h e d

i n 1947 wh en t w e n t y - t h r e e p e r s o n s

w e re a p p o i n t e d t o t h e B oard by t h e C i v i l S e r v i c e C o m m issio n ­ e r s . 29

T hese p e rs o n s w ere p r i v a t e

and s c h o la r s ,

c i t i z e n s , m ainly law yers

s e r v i n g on t h e B o a r d w i t h o u t

c o m p e n s a t i o n . 3 ^

o f f i c e r s o f t h e B oard have c o n s i s t e d o f a c h a irm a n , tw o v i c e chairm en,

a n d a n e x e c u t i v e s e c r e t a r y . 3^

The c h a i r m a n ,

S e t h W.

R i c h a r d s o n , 32 h a s b e e n e m p o w e r e d t o p r e s i d e a t m e e t i n g s o f t h e L o y a l t y R eview B o a rd , th e B oard,

c all

o f th e Board to and, ize

su p erv ise th e

" a d m i n i s t r a t i v e ” w ork o f

s p e c ia l m eetings o f t h e conduct h e a rin g s,

B oard,

ap p o in t

an e x e c u ti v e

in th e event o f h is absence o r i n a b i l i t y e ith e r v ice-ch airm an to

assume h i s

e s ta b lis h p an els

to a c t ,

d u tie s.

com m ittee, to

au th o r­

The e x e c u t i v e

com m ittee a p p o in te d by t h e c h airm an h a s been a u t h o r i z e d t o lect “

c a s e s f o r p o s t a u d it or rev iew and to 28 S e n a t e R e p o r t Ho. 1 7 7 5 , l o c .

a c t f o r t h e Board

c it.

29 L o c . c i t . 30 The T im e s , 9 7 :1

(co l.

2 ) , Hovember 9 ,

31 F . B . M . , C h a p t e r Z l , p . 32 S e t h W. R i c h a r d s o n ,

op.

1947.

403, F e b ru ary 1, 1949. c it.

se­

p . 406.

47 i n e m e rg e n c ie s o c c u r r i n g b etw een i t s m ee tin g s. tiv e

«2 » 2

The e x e c u ­

s e c r e t a r y , L . V. M e l o y , 3^ h a s b e en c h a r g e d w i t h t h e

" a d m i n i s t r a t i v e * 1 w ork o f t h e

B oard under

th e d r ie c tio n of the

chairm an and w ith a d v is in g and a s s i s t i n g

B oard members i n t h e

perform ance of t h e i r

d u tie s.

In the

conduct of i t s

b u sin ess,

a m a j o r i t y o f a l l B o a r d m e m b e r s h a s c o n s t i t u t e d a q u o r u m . 35 From t i m e t o t i m e , t h r e e

or m ore members of t h e

Board

have c o n s t i t u t e d a h e a r i n g p a n e l whose re v ie w o f a n a p p e a le d c a s e h a s b e e n o n t h e e m p l o y i n g a g e n c y r e c o r d a l o n e . 35 ever,

such p a n e ls have been i n s t r u c t e d

How­

to hear a d d itio n a l ev i-

n rj

dence

"only in e x c e p tio n a l c a s e s . I n

by t h e p a n e l s ,

th e h e a rin g s conducted

th e req u irem en ts as to a tte n d a n c e ,

ev id en ce,

testim o n y ,

cro ss-ex am in atio n of w itn e s se s,

fid e n tia l"

i n f o r m a t i o n , a n d p e r m i t t i n g t h e e m p l o y e e t o be

r e p r e s e n t e d by c o u n s e l o r r e p r e s e n t a t i v e

d isclo su re

of "con­

o f h i s own c h o o s i n g ,

h a v e b e e n t h e same a s i n a g e n c y l o y a l t y b o a r d h e a r i n g s . 3® The d e c i s i o n o f t h e p a n e l h a s b e e n r e f e r r e d t o a s t h e 33 F .P .M .', C h a p te r 2 1 , p . 4 0 3 , l o c . R egion ,

d ecisio n

c it.

34 O f f i c e o f t h e T w e l f t h U n i t e d S t a t e s C i v i l S e r v i c e lo c. c i t . 35 F . P . M . , C h a p t e r Z l , p . 4 0 3 , l o c . 36 S e n a t e R e p o r t Ifo. 1 7 7 5 ,

c it.

lo c . c i t .

37 F . P . M . , C h a p t e r L 2 , p . 1 1 , A p r i l 2 2 , 1 9 4 8 . 38 I b i d . , C h a p t e r L 2 , p . 1 3 ; The T i m e s , 9 7 : 1 December 2 8 , 1947.

(co l.

3),

o f t h e R o y a l t y R eview B oard an d h a s b e en o n l y a d v i s o r y t o t h e em ploying agency h e a d .

However, u n d e r s e c t i o n n i n e t e e n o f t h e

V e t e r a n ’s P r e f e r e n c e Act of 1944,

a s amended, i n

cases in ­

v o l v in g an a p p e a l by a v e t e r a n t h e d e c i s i o n o f t h e L o y a l ty R eview B oard, w h ic h i n su c h e a s e s h a s a c t e d i n t h e p l a c e o f t h e C i v i l S e r v i c e C om m ission, h a s b e e n m a n d a to ry on t h e

em­

p l o y i n g a g e n c y h e a d . 3^ The L o y a l t y R e v ie w B o a rd p r e a u d i t a n d p o s t a u d i t . d e c i s i o n o f ’’e l i g i b l e ” a t a n y s t a g e ,

A

i t was o b se rv ed , h as

b e e n ’’p r a c t i c a l l y c o n c l u s i v e ” a s n o p r o v i s i o n h a s b e e n made for

t h e Government t o a p p e a l su c h a d e c i s i o n .

However, t h e

L o y a l t y R e v ie w B o a r d h a s b e e n empowered t o r e v i e w l o y a l t y r e c o r d s a n d t o make r e c o m m e n d a t i o n s w i t h r e s p e c t t o s u c h r e ­ c o rd s even in co rd in g ly ,

e a s e s w h ere t h e em ployee w as f o u n d l o y a l .

A c­

t h e B o a rd h a s c o n d u c te d a p r e a u d i t on a l l em p lo yee

l o y a l t y c a s e s w h e r e t h e F B I h a s made a ” f u l l f i e l d ” i n v e s t i g a ­ tio n .

T h i s p r e a u d i t h a s b e e n made a t t h e t i m e t h a t t h e B u r e a u

r e p o r t was f o r w a r d e d by t h e em ploying a g en c y .

C i v i l S e r v i c e C om m ission t o t h e

The p r e a u d i t h a s b e e n c o n d u c t e d by L o y a l t y

R e v i e w B o a r d e x a m i n e r s a n d h a s c o n s i s t e d o f a r e v i e w ;o f t h e r e c o r d s and B ureau r e p o r t s to c u l l o u t th e c a s e s from th e

’’q u e s t i o n a b l e ” c a s e s .

’’c l e a r l y e l i g i b l e ”

By t h e summer o f 19.48,

t h e L o y a l t y R eview B oard e x a m in e rs h a d p r e a u d i t e d a p p r o x i m a t e l y 39 S e n a t e R e p o r t H o . 1 7 7 5 , l o c . c i t .

49 two t h o u s a n d c a s e s . ^ Where t h e a g e n c y a d j u d i c a t i n g p r o c e s s r e s u l t e d d eterm in atio n of " e lig ib le "

in a

in a case considered "q u e stio n ­

a b l e " on t h e p r e a u d i t , t h e L o y a l t y R eview B oard h a s c o n d u c te d a p o st-a u d it of the sisted

d eterm in atio n .

T his p o s t- a u d it has con­

o f a re v ie w o f t h e a g en cy a d j u d i c a t i o n by L o y a l ty R e­

v i e w B o a r d e x a m i n e r s , who t h e n p r e p a r e d t h e c a s e f o r e r a t i o n b y t h r e e members of t h e L o y a l t y R ev iew B o a r d .

co n sid ­ I f the

t h r e e members d e c i d e d t h a t t h e c a s e s h o u l d be r e t u r n e d t o t h e agency f o r a r e h e a r i n g , th e c a se was h e ld f o r th e th e f u l l L o y a l t y R eview B o a rd .

d ecisio n of

A d e c i s i o n by t h e B oard t o r e ­

commend a r e h e a r i n g b y t h e a g e n c y b o a r d , h o w e v e r , h a s b e e n ad v iso ry to th e agency head. c ase s had been p o s ta u d ite d .

As o f t h e

summer o f 1 9 4 8 , 1 3 1

I n 122 o f t h e s e

cases th e L o y alty

R eview B oard c o n c u r r e d i n t h e a g e n c y d e c i s i o n . m a in in g c a s e s w ere b e in g h e ld f o r t h e L o y a l t y R eview B o a rd .

The n i n e r e ­

d ecisio n of the

Ho c a s e r e s u l t i n g

fu ll

in an " e l i g i b l e "

d e te r­

m i n a t i o n by an a g e n c y was r e t u r n e d by t h e L o y a l t y R eview Board t o t h e a g e n c y f o r r e d e t e r m i n a t i o n . 41 The c o m p l e t i o n o f t h e

incum bent p ro g ram .

em ployee l o y a l t y p ro g ra m h ad b een " v i r t u a l l y t h e summer o f 1 9 4 8 . 40 I b i d .". p p . 41 I b i d . , p . 8 .

The in c u m b e n t

co m p lete d " by

As o f J u l y 2 0 , 1 9 4 8 , a p p r o x i m a t e l y o n e 7-8.

50 year a fte r

C ongress a p p r o p r ia te d fu n d s f o r

carry in g out th e

p ro g ram , t h e FBI r e p o r t e d " v i r t u a l ” c o m p le tio n o f i t s

A t o t a l o f 2 ,0 2 0 ,9 7 5 incum bent l o y a l t y

g atio n s thereunder. form s w ere p ro c e s s e d . in itiated

" F u l l f i e l d ” i n v e s t i g a t i o n s w ere

i n 5,510 c a s e s ,

June 30, 1948.

o b li­

o f w h ich 2 ,6 5 2 w ere c o m p le te d by

I n 458 o f t h e c o m p le te d e a s e s t h e e m p lo y e e s r e ­

signed during th e

in v estig atio n .

In eig h teen

in stan c es th e

d i v i d u a l s w e re f o u n d t o be no l o n g e r e m p lo y ed by t h e B.

in ­

G o v e r n m e n t.4^

THE APPOINTEE PBOGRAM

A p p o in tee program p r o c e d u r e s .

A fte r th e com pletion of

l o y a l t y i n v e s t i g a t i o n s o n m o r e t h a n t w o m i l l i o n i n c u m b e n t em­ p l o y e e s , t h e a p p o i n t e e p ro g ra m was " j u s t b e g i n n i n g t o

f u n c t i o n . ”43

Under t h i s p rogram t h e a d j u d i c a t i o n o f t h e l o y a l t y o f em ployees i n t h e " c o m p e t i t i v e ” s e r v i c e was e n t i r e l y w i t h i n t h e tio n

of th e

C i v i l S e r v i c e C om m ission.

ju risd ic ­

When a n a p p o i n t m e n t w a s

made b y a n a g e n c y , t h e a p p o i n t e e c o m p l e t e d S t a n d a r d F o r m s 85 and 87,

c o p ie s o f w hich f o l l o w t h i s p a g e .

sen t to the

These form s w ere

a p p ro p ria te re g io n a l lo y a lty board.

t h e r e w ere f o u r t e e n r e g i o n a l l o y a l t y b o a r d s . w ere a p p o in te d by th e C i v i l S e r v ic e

43 I b i d . , p .

10.

T h e i r m embers

C om m ission, an d e a c h

b o a r d was composed o f a p a n e l fro m w hich t h r e e 42 L o e . ~ i t .

O rig in ally ,

o r more p e r s o n s

w ere s e l e c t e d to h e a r

cases.

44

Under t h e a p p o in te e program each ap p o in tm en t has b e en made c o n d i t i o n a l l y ,

th at

is,

su b je c t to

in v e s tig a tio n and

c le a r a n c e by t h e C i v i l S e r v i c e Com m ission.

Such i n v e s t i g a ­

t i o n s and c le a r a n c e has been t h e r e s p o n s i b i l i t y o f t h e I n v e s t i ­ g a t i o n s D i v i s i o n o f t h e Com m ission and h a s c o n s i s t e d of a c h e e k by t h a t d i v i s i o n o f t h e t e n s o u r c e s of in f o r m a tio n o u t l i n e d i n P a r t X o f E x e c u ti v e O rder No. 98 3 5 . clo sed th e

W here t h e c h e e k h a s d i s ­

e x i s t e n c e o f d e r o g a to r y in f o r m a tio n about an a p p o in t e e ,

th e c a se h a s been t u r n e d o v e r t o t h e FBI f o r a " f u l l f i e l d ” i n ­ v e stig a tio n .

The FB I h a s p r e p a r e d a r e p o r t o f i t s

in v estig a ­

t i o n and h a s s e n t t h e r e p o r t t o t h e r e g i o n a l l o y a l t y b o a r d . T h e re , t h e r e p o r t and a l l e g a t i o n s have been s t u d i e d an d ,

as

i n t h e a g e n c y l o y a l t y b o a r d , a d e t e r m i n a t i o n h a s b e e n made a s t o w h e t h e r t h e r e p o r t w a s " c l e a r l y f a v o r a b l e . " 45 not,

an " i n t e r r o g a t o r y "

If

i t was

s t a ti n g th e " n a tu re o f th e ev id e n ce ,"

i n c l u d i n g t h e " f a c t s and c i r c u m s t a n c e s i n v o v l e d , so f a r a s s e ­ cu rity

c o n s id e ra tio n s p e rm it," has been s e n t to th e

H is r i g h t s

to answer th e

fo re th e re g io n a l lo y a lty em ployee u n d e r t h e

45 Ibi.fr* , p .

" i n te r r o g a to r y " and t o a h e a rin g be­ board p a r a l l e l e d th e r i g h t s of th e

incum bent program .

44 i f o i d . , p p .

8-9. 9.

a p p o i n t e e . 46

How ever, t h e r e h a s been

5£ no a p p e a l t o t h e a g e n c y h e a d .

In ste a d , appeal has la in

d i r e c t t o t h e L o y a l t y R e v i e w Board*, a n d i t s co n clu siv e.

only

d e c isio n has been

I t has n o tif ie d th e agency head th a t th e

ap p o in tee

was " e l i g i b l e ” or " i n e l i g i b l e ” f o r F e d e r a l em ploym ent. August 1,

1948,

t h i s n o t i f i c a t i o n was t h e f i r s t n o t i c e

As o f to the

h e a d o f t h e e m p lo y in g a g e n c y t h a t t h e a p p o i n t e e was s u s p e c t e d of d islo y a lty . to th e

How ever, s t e p s have been t a k e n to i n s u r e n o t i c e

a g en cy h e ad by t h e r e g i o n a l l o y a l t y b o a rd s upon th e

c o m p le tio n o f a " f u l l f i e l d ” i n v e s t i g a t i o n by t h e FBI an d p r i o r to t h e h e a r in g s and f i n a l d e te r m in a tio n a s t o th e a p p o i n t e e 's e l i g i b i l i t y . 47 E ffe c tiv e Ju ly 15,

1949, th e s t a f f s * o f th e f o u r te e n

r e g io n a l l o y a l t y boards w ere c o n s o lid a te d in to fo u r a re a boards lo c a te d

i n New Y o r k C i t y , W a s h i n g t o n , D. C . , C h i c a g o

and San F r a n c i s c o .

Each o f t h e s e f o u r

b o a r d s h a s b een manned

by a c l e r i c a l s t a f f u n d e r t h e d i r e c t i o n o f a n e x e c u t i v e tary , th e

and h a s been s u p e r v i s e d l o c a l l y

by t h e c h a i r m a n o f one o f

o r ig in a l r e g io n a l lo y a lty boards lo c a te d w ith in th e

The d u t i e s o f t h e

staffs

secre­

area.

of th e s e a re a bo ard s have been lim ite d

t o p r e p a r i n g and t y p i n g su m m a rie s o f e a s e s t o be c o n s i d e r e d by hearin g p a n e ls.

Many o f t h e s e p a n e l s w e r e p a r t o f t h e o r i g i n a l

f o u r t e e n r e g i o n a l l o y a l t y b o a rd s and have c o n tin u e d t o 47 S e n a t e R e p o r t N o . 1 7 7 5 , l o c . c i t .

ad ju d icate

53 ap p o in tee case s. p o i n te e program ,

The c h a n g e i n t h e

o rg an izatio n of th e

ap­

i t was e x p l a i n e d , r e s u l t e d from a s h o r t a g e

o f w ork f o r t h e o r i g i n a l f o u r t e e n s t a f f s and from a r e d u c t io n i n a p p r o p r i a t i o n s . 48 C i v i l S e r v i c e ‘ Com m ission c h e c k s o f e x c e p t e d a p p o i n t e e s . I n a d d i t i o n t o a p p o i n t i n g t h e members o f t h e r e g i o n a l l o y a l t y b o a r d s and c h e c k i n g t h e t e n s o u r c e s o u t l i n e d i n t h e

lo y alty

o r d e r , t h e C i v i l S e r v i c e Com mission h a s p l a y e d a n o t h e r r o l e i n th e a p p o in te e program . for

A lth o ug h th e

lo y a lty order provided

i n v e s tig a t io n s o f ex cep ted a p p o in te e s

to p o sitio n s

ex clu d ed from t h e

(p erso n s ap p o in ted

"co m p e titiv e” se rv ic e )

by th e

e m p l o y i n g a g e n c y , a r r a n g e m e n t s i n m o s t c a s e s h a v e b e e n made w i t h t h e C om m ission f o r t h e i r

lo y alty in v estig atio n s.

These

i n v e s t i g a t i o n s h a v e b e e n m ad e b y t h e C o m m i s s i o n t h r o u g h t h e sa me p r o c e d u r e u s e d f o r a p p o i n t e e s t o except th a t th e r e p o r ts of th e been sent to th e head of th e

"co m p etitiv e” p o s itio n s ,

Com m ission i n v e s t i g a t i o n hav e

em ploying agency f o r a c t i o n .

The e m p lo y in g a g e n c y h e a d ’ s d e c i s i o n t h e n h a s b e e n f i n a l . o f J u ly 1, 1948,

As

e x c e p te d em ployees c o n s t i t u t e d a p p ro x im a te ly

e ig h t per cent o f a l l co n tin en tal lim its

em ployees o f t h e Government w i t h i n t h e

of th e U nited S t a t e s . C o m m i s s i o n

48 O f f i c e o f t h e T w e l f t h U n i t e d S t a t e s C i v i l S e r v i c e R egion, l o c . c i t . 49 S e n a t e R e p o r t H o . 1 7 7 5 ,

o£. c i t . , p .

10.

54 i n v e s t i g a t i o n o f a p p o i n t e e s t o " c o m p e t i t i v e ," a s w e l l a s ex em p t, p o s i t i o n s h a s consumed a p p r o x i m a t e l y t h i r t y The " f u l l f i e l d "

days.

i n v e s t i g a t i o n c o n d u c te d by t h e FBI h a s

a v e r a g e d a n o t h e r n i n e t y d a y s . 50 The p r o g r e s s o f t h e

ap p o in tee program .

S ixteen

m onths a f t e r t h e p r o m u lg a tio n o f E x e c u tiv e O rder Ho. 9855, t h e personnel fo r th e

h earin g panels of te n of th e o r ig in a l fo u r­

t e e n r e g i o n a l l o y a l t y b o a r d s h ad b e e n a p p o i n t e d by t h e C i v i l S e r v i c e C om m ission.

The s t a f f s

o f th e se te n re g io n a l boards

w ere n o t o r g a n i z e d and t r a i n e d f o r t h e i r w ork u n t i l A p r i l , 1 S 4 8 , a n d t h e y d i d n o t s t a r t t o p r o c e s s c a s e s u n t i l Ma y, 1 9 4 8 . By. O c t o b e r , 1 9 4 8 , t h e p e r s o n n e l o f t h e

h e a rin g p a n e ls and th e

s t a f f s of a l l th e f o u r te e n r e g i o n a l l o y a l t y boards had been a p p o i n t e d . 52 th irty -fiv e

As o f t h e sum mer o f 1 9 4 8 , to f i f t y

i t was r e p o r t e d t h a t

d eterm in atio n s reg ard in g th e e l i g i b i l i t y

o f a p p o i n t e e s f o r F e d e r a l e m p l o y m e n t h a d b e e n m ad e b y r e g i o n a l b o a r d s . 55

---------- 50.TbTSTT P .

9.

51 i M i * > P- 10 • 52 O f f i c e o f t h e T w e l f t h U n i t e d S t a t e s C i v i l S e r v i c e R egion, l o c . c i t . 53 S e n a t e R e p o r t H o. 1 7 7 5 , l o c . c i t .

55 II.

THE HOLE OF THE ATTORNEY GENERAL

IN THE ADMINISTRATION OF THE LOYALTY iROGRAM In

co n ju n ctio n w ith th e

incum bent and a p p o in t e e p r o ­

gram s, th e A tto rn e y G eneral h a s been r e q u i r e d to d e s ig n a te w hich o r g a n i z a t i o n s a r e ” t o t a l i t a r i a n ,

F a scist,

C om m unist, o r

s u b v e r s i v e . . . ” 5