PWS 2.0_t_DoDD 5500.07 Chg 7 JER.pdf

THE SECRET ARY OF DEFENSE

WASHINGTON, THE DISTRICT OF COLUMBIA

August 30, 1993

FOREWORD

This Regulation is issued under the authority of DoD Directive 5500.7, "Standards of Conduct," August 30, 1993. It provides a single source of standards of ethical conduct and ethics guidance, including direction in the areas of financial and employment disclosure systems, enforcement, and training.

DoD Directive 5500.7, "Standards of Conduct," May 6, 1987; DoD Directive 5500.2, "Policies Governing Participation of Department of Defense Components and Personnel in Activities of Private Associations," August 4, 1972; and DoD Directive 5120.47, "DoD Ethics Council," September 5, 1989, have been cancelled. However, subsection A.3.b. of Enclosure 3 of DoD Directive 5500.7 of May 6, 1987 (32 C.F.R. 40.1) and corresponding implementing regulation sections will remain in effect. All DoD Component regulations implementing these cancelled DoD Directives, and all provisions of other DoD Component regulations, directives, instructions, or other policy documents that are not consistent with this Regulation, will be cancelled. DD Form 1357, "Statement of Employment-Regular Retired Officers," March 1~87, and DD Form _1555, "Confidential Statem~nt of Affiliations and Financial Interests," March 1987, have also been cancelled. The supersessions of this paragraph lake effect immediately and will be announced by each DoD Component.

This Regulation applies to the Office of the Secretary of DeJense; the Military Departments; the Chairman of the Joint Chiefs of Staff and the Joint Staff; the Unified and Specified Commands; the Office of the Inspector General of the Department of Defense; the l)niforrned Services University of the Health Sciences;

the Defense Agencies; the DoD Field Activities; the Combined Commands and Agencies; and the Special Activities, including non-appropriated fund instrumentalities (hereafter referred to collectively as the "DoD Components"). Its provisions are applicable to all DoD employees, regardless of civilian or military grade. The Chapters entitled "Financial and Employment Disclosure," "Post Govemment Service Employment," and "Seeking Other Employment" also apply as specified to certain former employees of DoD Components in accordance with specified statutes. The criminal statutes referenced in this Regulation, 18 U.S.C.

203, 205, 207, 208, 209, and 218, do not apply to enlisted members; however, provisions similar to those of 18 U.S.C. 208 and 209 apply administratively to enlisted members as noted in appropriate subsections of this Regulation.

This Regulation requires the collection and maintenance of information protected by the Privacy Act of 1974 (5 U.S.C. 552a). ~e authorities to collect and maintain the records prescribed in this Regulation are 10 U.S.C. 2397; 10 U.S.C. 2397b;

5 U.S.C. 5532; Reorganization Plans, reprinted in 5 U.S.C.A. app.; Executive Order o i

12731; and Executive Order 9397. Each form required by this Regulation includes a Privacy Act statement in the body of the document qr in a separate attachment to the form.

References cited within each Chapter are listed at the end of that Chapter in the order they appear.

This Regulation is effective immediately and is mandatory for use by all DoD Components. The Heads of DoD Components may issue supplementary instructions only with the approval of the General Counsel of the Department of Defense, when necessary, to provide for unique requirements.

Send recommended changes to the Regulation to:

Standards of Conduct Office Office of General Counsel 1600 Defense Pentagon Washington, D.C. 20301-1600

The DoD Components may obtain copies of this Regulation through their own publications channels. Other Federal agencies and the public may obtain copies from the U.S. Department of Commerce, National Technii:al Information Service, 5285 Port Royal Road, Springfield, Virginia 22161.

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DoD 5500.07-R i Change 7, 11/17/2011

CHAPTER 1

GENERAL INFORMATION

SECTION 1. PURPOSE

1-100 Single Source of Guidance 1-101 Disclaimer……

SECTION 2. DEFINITIONS

1-200. Administrative Officer 1-201. Agency ……… 1-202. Agency Designee 1-203. Alternate Designated Agency Ethics Official (Alternate DAEO) 1-204. DAEO or Designee 1-205. Defense Contractor 1-206. Deputy Designated Agency Ethics Official (Deputy DAEO) 1-207. Designated Agency Ethics Official (DAEO) 1-208. DoD Component 1-209. DoD Employee 1-210. DoD Supplemental Standards of Ethical Conduct for Employees 1-211. Employment 1-212. Ethics Counselor 1-213. Former DoD Employee 1-214. Gratuity 1-215. He, His, Him, Himself 1-216. Head of DoD Component Command or Organization 1-217. Non-Federal Entity 1-218. Non-Public Information 1-219. Office of Government Ethics 1-220. Personal and Substantial 1-221. Personal Commercial Solicitation 1-222. Prohibited Source 1-223. Qualified Individual 1-224. Reserve Military Officer 1-225. Retired Military Officer 1-226. Senior DoD Official 1-227. Special Government Employee 1-228. Title 32 National Guard Member 1-229. Travel Benefits

SECTION 3. GENERAL POLICY

1-300. DoD Policy ii

SECTION 4. GENERAL RESPONSIBILITIES

1-400. Head of each DoD Component 1-401. DoD Component Designated Agency Ethics Official 1-402. DoD Component Alternate Designated Agency Ethics Official 1-403. DoD Component Deputy Designated Agency Ethics Official 1-404. Head of each DoD Component command or organization 1-405. General Counsel of each DoD Component 1-406. Judge Advocate General of each Military Department 1-407. General Counsel, DoD 1-408. Agency Designee 1-409. DoD Standards of Conduct Office 1-410. Director, Washington Headquarters Services 1-411. Ethics Counselors 1-412. Inspector General of each DoD Component 1-413. Director of each DoD Component Personnel Office 1-414. Administrative Officer 1-415. DoD Employee

SECTION 5. REFERENCES

1-500 References

CHAPTER 2

STANDARDS OF ETHICAL CONDUCT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

2-100. 5 C.F.R. Part 2635, "Standards of Ethical Conduct for Employees of the Executive Branch"

SECTION 2. 5 C.F.R., PART 3601 “SUPPLEMENTAL STANDARDS OF ETHICAL

CONDUCT FOR EMPLOYEES OF THE DEPARTMENT OF DEFENSE”

2-200. Purpose 2-201. Designation of Separate Agency Components 2-202. Additional Exceptions for Gifts from Outside Sources 2-203. Additional Limitations on Gifts Between DoD Employees 2-204. Standard for Accomplishing Disqualification 2-205. Limitation on Solicited Sales 2-206. Prior Approval for Outside Employment and Business Activities 2-207. Disclaimer for Speeches and Writings Devoted to Agency Matters

SECTION 3. DoD GUIDANCE iii

2-300. Gifts 2-301. Use of Federal Government Resources 2-302. Gambling 2-303. Outside Employment and Activity 2-304. Use of Military Title by Retirees or Reserves

SECTION 4.REFERENCES

2-400. References

CHAPTER 3

ACTIVITIES WITH NON-FEDERAL ENTITIES

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

3-100. 5 C.F.R., Part 2636, "Limitations on Outside Earned Income, Employment and Affiliations for Certain Noncareer Employees"

SECTION 2. OFFICIAL PARTICIPATION IN NON-FEDERAL ENTITIES

3-200. Attendance 3-201. Membership 3-202. Management 3-203. Impartiality of Agency Designee and Travel-Approving Authority 3-204. Impartiality of DoD Employees 3-205. Remuneration 3-206. Co-Sponsorship 3-207. Participation in Conferences and Similar Events 3-208. Distributing Information 3-209. Endorsement 3-210. Fundraising and Membership Drives 3-211. Logistical Support of Non-Federal Entity Events 3-212. Relationships Governed by Other Authorities

SECTION 3. PERSONAL PARTICIPATION IN NON-FEDERAL ENTITIES

3-300. Participation 3-301. Membership and Management 3-302. Impartiality of DoD Employees 3-303. Use of Federal Government Resources 3-304. Prior Approval of Outside Employment and Business Activities 3-305. Teaching, Speaking, and Writing

SECTION 4. PERSONAL ACCEPTANCE OF GIFTS FROM NON-FEDERAL

ENTITIES

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3-400. Acceptance of Gifts by Injured or Ill Service Members and Their Family Members

3-401. Covered DoD Employees 3-402. Definitions 3-403. Acceptance of Gifts by Certain Reserve and National Guard Members 3-404. Retroactivity 3-405. Delegation 3-406. Relationship to illegal gratuities statute

SECTION 5. REFERENCES

3-500. References

CHAPTER 4

TRAVEL BENEFITS

SECTION 1. ACCEPTANCE OF OFFICIAL TRAVEL BENEFITS IN KIND OR

PAYMENT FOR OFFICIAL TRAVEL EXPENSES

4-100. Acceptance from Non-Federal Sources 4-101. Acceptance of Travel and Related Expenses by a DoD Component From

Non-Federal Sources 4-102. Acceptance of Contributions, Awards and Other Payments (5 U.S.C. 4111) 4-103. Receipt and Disposition of Foreign Gifts and Decorations (5 U.S.C. 7342)

SECTION 2. DoD GUIDANCE

4-200.Acceptance of Incidental Benefits

SECTION 3. PROCEDURES AND RESPONSIBILITIES

4-300. The travel-approving authority 4-301. Each DoD Component DAEO or Designee 4-302. Each traveling DoD employee

SECTION 4. REFERENCES

4-400. References

CHAPTER 5

CONFLICTS OF INTEREST

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

5-100. "Interpretation of 18 U.S.C. 209" v

SECTION 2. OFFICE OF GOVERNMENT ETHICS REGULATION

5-200. 5 C.F.R. 2640, "Interpretation, Exemptions and Waiver Guidance Concerning

18 U.S.C. 208"

SECTION 3. GUIDANCE ON 18 U.S.C. 208

5-300. Conflicts and Appearance of Conflicts Under 18 U.S.C. 208 5-301. Applicability to Enlistees and National Guard Members 5-302. Waiver of 18 U.S.C. 208(a) 5-303. Resolution of Conflicts

SECTION 4. OTHER CONFLICT OF INTEREST LAWS

5-400. Bribery of Public Officials and Witnesses 5-401. Compensation to Officers and Others in Matters affecting the Government 5-402. Contracts with DoD Employees 5-403. Representation of Others 5-404. Compensation From Other Sources 5-405. Additional Pay or Allowances 5-406. Interference with Military Duties 5-407. Civil Office Prohibition 5-408. Assignment of Reserves for Training 5-409. Commercial Dealings Involving DoD Employees 5-410. Related Rules

SECTION 5. REFERENCES

5-500. References…… vi

CHAPTER 6

POLITICAL ACTIVITIES

SECTION 1. OFFICE OF PERSONNEL MANAGEMENT REGULATION

6-100. 5 C.F.R. 734, “Political Activities of Federal Employees”

SECTION 2. POLITICAL ACTIVITIES OF DoD EMPLOYEES

6-200. Civilian Employees Policy 6-202. Military Members 6-203. Political Recommendations

SECTION 3. REFERENCES

6-300. References

CHAPTER 7

FINANCIAL AND EMPLOYMENT DISCLOSURE

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

7-100. 5 C.F.R. 2634, "Executive Branch Financial Disclosure, Qualified Trusts, and Certificates of Divestiture"

SECTION 2. PUBLIC FINANCIAL DISCLOSURE REPORT (OGE Form 278)

7-200. Individuals Required to File 7-201. Information on Covered Positions 7-202. Notification of Requirement to File 7-203. Time of Filing 7-204. Content of Report 7-205. Chain of Submission 7-206. Review 7-207. Disposition 7-208. Public Availability of Reports 7-209. Penalties

SECTION 3. CONFIDENTIAL FINANCIAL DISCLOSURE REPORT

(OGE Form 450) 7-300. Individuals Required to File 7-301. Information on Covered Positions 7-302. Notification of Requirement to File 7-303. Time of Filing 7-304. Content of Report vii

7-305. Chain of Submission 7-306. Review……… 7-307. Disposition 7-308. Privacy Act 7-309. Status Reports 7-310. Penalties

SECTION 4. REFERENCES

7-400. References

CHAPTER 8

SEEKING OTHER EMPLOYMENT

SECTION 1 GENERAL RULES

8-100. Office of Government Ethics Regulation

SECTION 2. CONFLICT OF INTEREST - (18 U.S.C. 208)

8-200. Negotiating for Employment 8-201. Penalties

SECTION 3. PROCUREMENT INTEGRITY - (41 U.S.C. 2103-2107)

SECTION 4. ANNUAL CERTIFICATION

8-400. Annual Certification

SECTION 5. DoD GUIDANCE

8-500. Appearances 8-501. Written Guidance

SECTION 6. REFERENCES

8-600. References

CHAPTER 9

POST-GOVERNMENT SERVICE EMPLOYMENT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

9-100. 5 C.F.R. 2637, “Regulations Concerning Post-Employment Conflict of Interest”

SECTION 2. OFFICE OF GOVERNMENT ETHICS REGULATION

viii

9-200. 5 C.F.R. 2641, “Post-Employment Conflict of Interest Restrictions”

SECTION 3. DoD GUIDANCE ON 18 U.S.C. 207 (Reference (c))

9-300. Exceptions to Restrictions of 18 U.S.C. 207

SECTION 4. POST-EMPLOYMENT COUNSELING AND ADVICE

9-400. Written Advice 9-401. Delegation of Authority 9-402. Guidance for Departing DoD Employees

SECTION 5. RESTRICTIONS RESULTING FROM PROCUREMENT ACTIVITIES

9-500. Statutory and related prohibitions, restrictions, and requirements

SECTION 6. RESTRICTIONS ON RETIRED MILITARY MEMBERS

9-600. Restrictions on Federal Government Employment 9-601. Foreign Employment Restrictions

SECTION 7. RESTRICTIONS ON FORMER SENIOR POLITICAL APPOINTEES

9-700. Executive Order 13490

SECTION 8. RESTRICTIONS ON DEALING WITH CURRENT OR FORMER DoD

EMPLOYEES

9-800. General Rule 9-801. Terminal Leave

SECTION 9. REFERENCES

9-900. References

CHAPTER 10

ENFORCEMENT

SECTION 1. ENFORCEMENT OF THE PROVISIONS OF THE JOINT ETHICS

REGULATION

10-100. Penalties

SECTION 2. REPORTING PROCEDURES

10-200. Reporting Suspected Violations 10-201. Receipt of Report 10-202. Violations of 41 U.S.C. 2103, 2104

SECTION 3. REFERENCES

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10-300. References

CHAPTER 11

TRAINING

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

11-100. Subpart G of 5 C.F.R. Part 2638, “Executive Agency Ethics Training Programs”

SECTION 2. DoD GUIDANCE

11-200. Initial and Annual Ethics Training

SECTION 3. PROCEDURES

11-300. Initial Ethics Orientation (IEO) for New DoD Employees 11-301. Annual Ethics Training (AET) 11-302. Annual Ethics Training Plans 11-303. Ethics Training Assistance

SECTION 4. RESPONSIBILITIES

SECTION 5. REFERENCES

11-500. References x

CHAPTER 12

ETHICAL CONDUCT

SECTION 1. EXECUTIVE ORDER 12674

12-100. E.O. 12674

SECTION 2. EXECUTIVE ORDER13490

12-200. E.O. 13490

SECTION 3. DoD HUMAN GOALS 12-300. DoD Human Goals

SECTION 4. ETHICAL VALUES

12-400. General 12-401. Primary Ethical Values

SECTION 5 ETHICAL DECISION-MAKING

12-500. General 12-501. Ethical Decision-Making Plan

SECTION 6. REFERENCES

12-600. References

APPENDIX A

DIGEST OF LAWS

SECTION 1. DoD-SPECIFIC STATUTES

A-100. Synopsis of Laws

SECTION 2. OTHER LAWS RELATED TO STANDARDS OF ETHICAL CONDUCT

A-200. OGE Digest A-201. Related Statutes

CHAPTER 1

GENERAL INFORMATION

SECTION 1. PURPOSE

1-100. Single Source of Guidance. This Regulation provides a single source of standards of ethical conduct and ethics guidance, including direction in the areas of financial and employment disclosure systems, post-employment rules, enforcement, and training.

1-101. Disclaimer. A violation of this Regulation does not create any right or benefit, substantive or procedural, enforceable at law by any person against the U.S., its agencies, its officers or employees, or any other person.

SECTION 2. DEFINITIONS

1-200. Administrative Officer. The individual responsible for the administrative control of personnel within a unit or office, including assistance with training, travel, or personnel actions for individuals of the unit or office.

1-201. Agency. A Department of Defense (DoD) Component as follows: Department of the Army; Department of the Navy; Department of the Air Force; Defense Commissary Agency;

Defense Contract Audit Agency; Defense Finance and Accounting Service; Defense Intelligence Agency; Defense Security Service; Defense Logistics Agency; National Geospatial-Intelligence Agency; Defense Threat Reduction Agency; Defense Information Systems Agency; National Security Agency; Office of the Inspector General of the Department of Defense (IG, DoD); and the Uniformed Services University of the Health Sciences. Employees of DoD Components not designated as separate Agencies, including employees of the Office of the Secretary of Defense (OSD), shall be treated as employees of DoD which shall be treated as a separate Agency.

1-202. Agency Designee. The first supervisor who is a commissioned military officer or a civilian above GS/GM-11 in the chain of command or supervision of the DoD employee concerned. Except in remote locations, the Agency Designee may act only after consultation with his local Ethics Counselor. For any military officer in grade 0-7 or above who is in command and any civilian Presidential appointee confirmed by the Senate, the Agency Designee is his Ethics Counselor.

1-203. Alternate Designated Agency Ethics Official (Alternate DAEO). An employee of a DoD Agency who has been appointed by the DoD Component Head to serve in the absence of the DoD Component Designated Agency Ethics Official (DAEO).

1-204. DAEO or Designee. This phrase refers to the Designated Agency Ethics Official, or to the Alternate Designated Agency Ethics Official, Deputy Designated Agency Ethics Official, or Ethics Counselor who has been delegated specific written authority by the DoD Component DAEO to perform specific functions on behalf of the DoD Component DAEO.

1-205. Defense Contractor. Any individual, firm, corporation, partnership, association, or other legal non-Federal entity that enters into a contract directly with DoD or a DoD Component to furnish services, supplies, or both, including construction. Subcontractors are excluded. Foreign governments or representatives of foreign governments that are engaged in selling to DoD or a DoD Component are defense contractors when acting in that context.

1-206. Deputy Designated Agency Ethics Official (Deputy DAEO). An employee of a DoD Agency who has been appointed, in writing, by the DoD Component DAEO and who has been delegated written authority by that DoD Component DAEO to act on his behalf.

1-207. Designated Agency Ethics Official (DAEO). A DoD employee appointed, in writing, by the Head of the DoD Agency to administer the provisions of Pub. L. 95-521 (Reference (c)) and this Regulation.

1-208. DoD Component. OSD; the Military Departments; the Chairman of the Joint Chiefs of Staff and the Joint Staff; the Unified Combatant Commands; IG, DoD; the Uniformed Services University of the Health Sciences; the Defense Agencies; the DoD Field Activities; and the Special Activities, including non-appropriated fund instrumentalities. See subsection 1-201 of this Regulation, above, for those DoD Components that are Agencies.

1-209. DoD Employee

a. Any DoD civilian officer or employee (including special Government employees) of any DoD Component (including any non-appropriated fund activity).

b. Any active duty Regular or Reserve military officer, including warrant officers.

c. Any active duty enlisted member of the Army, Navy, Air Force, or Marine Corps.

d. Any Reserve or National Guard member on active duty under orders issued pursuant to title 10, United States Code.

e. Any Reserve or National Guard member while performing official duties or functions under the authority of either title 10 or title 32, United States Code, or while engaged in any activity related to the performance of such duties or functions, including any time the member uses his Reserve or National Guard of the United States title or position, or any authority derived there from.

f. Any faculty member in a civil service position or hired pursuant to title 10, United States Code, and any student (including a cadet or midshipman) of an academy, college, university, or school of DoD.

g. Consistent with labor agreements and international treaties and agreements, and host country laws, any foreign national working for a DoD Component except those hired pursuant to a defense contract.

1-210. DoD Supplemental Standards of Ethical Conduct for Employees. See 5 C.F.R., Part 3601 (Reference (r)). Subsections 2-200 through 2-207 of this Regulation contain the DoD Supplement of 5 C.F.R. 2635 (Reference (d)), which is reproduced in subsection 2-100 of this Regulation.

1-211. Employment. See 5 C.F.R. 2635.603(a) (Reference (d)) in subsection 2-100 of this Regulation.

1-212. Ethics Counselor. The DoD Component DAEO, Alternate DAEO, Deputy DAEO, or a DoD employee appointed in writing by the DoD Component DAEO or designee to generally assist in implementing and administering the DoD Component command's or organization's ethics program and to provide ethics advice to DoD employees of the DoD Component command or organization in accordance with this Regulation. Except for a DoD Component DAEO, Alternate DAEO, or Deputy DAEO, a DoD employee appointed as an Ethics Counselor shall only serve as a "DAEO or designee" when he has been delegated specific written authority by the DoD Component DAEO to perform specific functions on behalf of the DoD Component DAEO. Except for a DoD Component DAEO, Alternate DAEO, or Deputy DAEO, a DoD employee appointed as an Ethics Counselor shall be an attorney. Legal assistance officers (or equivalent) who also serves as Ethics Counselors must clearly separate these roles.

Communications received in an Ethics Counselor capacity are not protected by the attorney-client privilege while communications received in a legal assistance capacity may be.

Attorneys who serve as Ethics Counselors must advise individuals being counseled as to the status of that privilege prior to any communications. The term "Ethics Counselor" includes "agency ethics official" as used by the Office of Government Ethics (OGE). See 5 C.F.R.

2635.102.(c) (Reference (d)) in subsection 2-100 of this Regulation.

1-213. Former DoD Employee. Any individual defined in subsection 1-209 of this Regulation, above, after termination of active duty or termination of DoD service, including Reserve military officers who served on active duty for more than 130 days and who are no longer on active duty, or who are in an inactive or retired status.

1-214. Gratuity. Gifts as defined in 5 C.F.R. 2635.203(b) (Reference (d)) in subsection 2-100 of this Regulation.

1-215. He, His, Him, Himself. These pronouns include she, hers, her, and herself. (This section will be deleted in future reissuance of this Regulation.)

1-216. Head of DoD Component Command or Organization. A commander, commanding officer, or other military or civilian DoD employee who exercises command authority within a DoD Component. For the purposes of subsections 3-210.a.(6), 3-210.a.(7), and 3-211., below, the Adjutant General of each State and territory is the “Head of a DoD Component command or organization” regarding National Guard facilities, resources, and personnel of that State or territory.

1-217. Non-Federal Entity. A non-Federal entity is generally a self-sustaining, non-Federal person or organization, established, operated and controlled by any individual(s) acting outside the scope of any official capacity as officers, employees or agents of the Federal Government. A non-Federal entity may operate on DoD installations if approved by the installation commander or higher authority under applicable regulations.

1-218. Non-Public Information. Information generally not available to the public, obtained in the course of one's official DoD duties or position, which would normally not be releasable under the Freedom of Information Act, 5 U.S.C. 552 (Reference (e)). The term "non-public information" includes "inside information," "proprietary information," and "source selection information." See 5 C.F.R. 2635.703 (b) (Reference (d)) in subsection 2-100 of this Regulation, DoD Directive 5400.07 (Reference (f)), and FAR 3.104-2(b) (Reference (a)).

1-219. Office of Government Ethics. The Federal Government agency responsible for overall direction and leadership concerning Executive Branch policies related to ethics in the Federal Government. See 5 C.F.R. 2638 (Reference (g)) in subsection 11-100 of this Regulation.

1-220. Personal and Substantial. See 5 C.F.R. 2635.402(b)(4) (Reference (d)) in subsection 2-100 of this Regulation.

1-221. Personal Commercial Solicitation. Any effort to contact an individual to conduct or transact matters involving unofficial business, finance, or commerce. This does not include off-duty employment of DoD employees employed in retail establishments. See DoD Instruction

1344.07 (Reference (h)).

1-222. Prohibited Source. See 5 C.F.R. 2635.203(d) (Reference (d)) in subsection 2-100 of this Regulation.

1-223. Qualified Individual. See 5 C.F.R. 2638.703(d) (Reference (g)) in subsection 11-100 of this Regulation.

1-224. Reserve Military Officer. An individual who currently holds an appointment in the Reserve of a Military Department, or is a military officer of the National Guard with Federal Government recognition.

1-225. Retired Military Officer. Any military officer entitled to receive military retired pay, even though such pay may be waived or pending.

1-226. Senior DoD Official. See 18 U.S.C. 207(c)(2) (Reference (i)); 5 C.F.R. 2641.104.

1-227. Special Government Employee. See the definition at 18 U.S.C. 202. It does not include enlisted members; however, for the purposes of this Regulation, enlisted members shall be considered special Government employees to the same extent that military officers are included in the meaning of the term.

1-228. Title 32 National Guard Member. National Guard members performing military training or other duties under title 32, United States Code, Reference (l).

1-229. Travel Benefits. Travel related gifts, including in kind subsistence and accommodations and payments or reimbursements of expenses, from non-Federal sources.

SECTION 3. GENERAL POLICY

1-300. DoD Policy. It is DoD policy that:

a. A single, uniform source of standards of ethical conduct and ethics guidance shall be maintained within DoD, and each DoD Agency shall implement and administer a comprehensive ethics program to ensure compliance with such standards and guidance;

b. Although OGE regulations, reprinted in this Regulation, do not apply to enlisted members of the Uniformed Services or “Title 32 National Guard Members,@ the provisions of 5 C.F.R.

2634 (Reference (m)) in subsection 7-100., below, 5 C.F.R. 2635 (Reference (d)) in subsection 2-100., below, 5 C.F.R. 2638 (Reference (g)) in subsection 11-100., below, 5 C.F.R. 2640 (Reference (o)) in subsection 5-200., below, and 5 C.F.R. 2641 (Reference (p)) in subsection 9-200., below, are hereby determined to be appropriate for, and are made applicable to, enlisted members of the Uniformed Services and “Title 32 National Guard Members” to the same extent that these regulations apply to officers of the Uniformed Services. The following exception applies:

(1) Certain criminal statutes, 18 U.S.C. 203, 205, 207, 208, and 209, (Reference (i)), and related provisions of OGE regulations, do not apply to “Title 32 National Guard Members” or enlisted members of the Uniformed Services. Provisions similar to those of sections 208 and 209 of Reference (i) apply to enlisted members of the Uniformed Services and “Title 32 National Guard Members” as follows:

(a) Except as approved by the DoD Component DAEO, or designee, a “Title 32 National Guard Member” and an enlisted member of the Uniformed Services, including an enlisted special Government employee, shall not participate personally and substantially as part of his official DoD duties, in any particular matter in which he, his spouse, minor child, partner, entity in which he is serving as officer, director, trustee, partner, or employee, or any entity with which he is negotiating or has an arrangement concerning prospective employment, has a financial interest;

(b) A “Title 32 National Guard Member” and an enlisted member of the Uniformed Services, except an enlisted special Government employee, shall not receive any salary or supplementation of his Federal Government salary, from any entity other than the Federal Government or as may be contributed out of the treasury of any State, county, or municipality, for his services to the Federal Government.

c. DoD employees shall become familiar with all ethics provisions, including the standards set out in E.O. 12674 (Reference (q)) in subsection 12-100 of this Regulation, and comply with them;

d. DoD employees shall become familiar with the scope of and authority for the official activities for which they are responsible. Sound judgment must be exercised. All DoD employees must be prepared to account fully for the manner in which that judgment has been exercised;

e. If the propriety of a proposed action or decision is in question for any reason, DoD employees shall seek guidance from a DoD Component legal counsel, the DoD Component DAEO or designee, or Ethics Counselor, as appropriate;

f. Individual conduct, official programs and daily activities within DoD shall be accomplished lawfully and ethically;

g. DoD employees shall adhere strictly to DoD policy of equal opportunity, regardless of race, color, religion, gender, age, national origin, or handicap, in accordance with applicable laws and regulations.

SECTION 4. GENERAL RESPONSIBILITIES

1-400. The Head of each DoD Component shall:

a. Exercise personal leadership and take personal responsibility through the DoD Component DAEO or designee for establishing and maintaining the DoD Component's ethics program and be personally accountable for the DoD Component's compliance with every requirement of this Regulation, including the ethics and procurement integrity training requirements;

b. When authorized, appoint a DoD Component DAEO, through a formal written delegation of authority, who is qualified to oversee and supervise the DoD Component's ethics programs for DoD employees, both civilian and military. (The GC, DoD, may serve as the DAEO for several DoD Components);

c. When authorized, appoint a DoD Component Alternate DAEO who shall serve in the absence of the DoD Component DAEO;

d. Provide sufficient resources (including funding and investigative, audit, legal, training and administrative staff) to enable the DoD Component DAEO or designee to implement and administer the DoD Component's ethics programs in a positive and effective manner.

1-401. Each DoD Component Designated Agency Ethics Official (DAEO) shall:

a. Be responsible for the implementation and administration of all aspects of the DoD Component ethics program and manage and oversee local implementation and administration of all matters relating to ethics covered by this Regulation.

b. Appoint DoD Component Deputy DAEOs and Ethics Counselors and delegate to them written authority to act on behalf of the DoD Component DAEO;

c. Ensure that ethics advice (and facts relied upon for such advice) is in writing, when practicable;

d. Ensure that written opinions regarding the applicability of 41 U.S.C. 2103-2107 (Reference (b)) are provided within 30 days of request by any DoD employee provided that the request is accompanied by complete and full information necessary to render an opinion;

e. Ensure the proper collection, review, and handling of the DoD Component's financial and employment disclosure reports, including those submitted by Presidential appointees for confirmation purposes;

f. Be responsible for the implementation and administration of ethics and procurement integrity training and ensure that necessary resources are available to accomplish such training;

g. Provide periodic ethics and procurement integrity training for Ethics Counselors;

h. Certify Qualified Individuals to conduct ethics training;

i. Assist Agency Designees, through the chain of command or supervision, in initiating prompt, effective action to evaluate and process violations, potential violations, and appearances of violations of ethics laws or regulations, in accordance with applicable procedures as discussed in Chapter 10 of this Regulation;

j. Provide advice and assistance to DoD employees of the DoD Component not otherwise served by a local Ethics Counselor;

k. Oversee and coordinate local ethics programs through a system for periodic evaluation and ensure that the DoD Component provides and maintains sufficient funding, staff, space and resources to administer the DoD Component's ethics programs;

l. Maintain liaison with the DoD EOC, OGE, and the DoD Standards of Conduct Office (SOCO), and provide to SOCO and OGE all information required by law or regulation;

m. Represent the DoD Component to OGE, Congress, the Executive Branch and the public on matters relating to ethics and standards of conduct.

1-402. Each DoD Component Alternate Designated Agency Ethics Official (Alternate DAEO) shall serve in the absence of the DoD Component DAEO and, when so serving, is authorized to take any action this Regulation indicates may be taken only by the DoD Component DAEO.

1-403. Each DoD Component Deputy Designated Agency Ethics Official (Deputy DAEO) shall serve on behalf of the DoD Component DAEO consistent with written delegation of authority from the DoD Component DAEO.

1-404. The Head of each DoD Component command or organization shall:

a. Exercise personal leadership and take personal responsibility for establishing and maintaining the command's or organization's ethics program in coordination with the command's or organization's Ethics Counselors;

b. Be personally accountable for the command's or organization's ethics program, including its ethics and procurement integrity training program, and the command's or organization's compliance with every requirement of this Regulation;

c. Provide sufficient resources to enable the command's or organization's Ethics Counselors to implement and administer the local aspects of the command's or organization's ethics program in a positive and effective manner;

d. Ensure the prompt resolution of any actual or apparent conflict of interest involving a DoD employee of the command or organization;

e. Direct Administrative Officers (or equivalent) of the command or organization to ensure that the position descriptions of the DoD Component command or organization indicate if financial disclosure report filing, annual ethics training or procurement integrity training is required and ensure the accuracy of personnel data provided by the Director of the DoD Component personnel office on DoD employees of the command or organization;

f. Direct Administrative Officers (or equivalent) of the command or organization to coordinate with the DoD Component DAEO or designee to develop lists of all DoD employees of the command or organization who are required to receive ethics and procurement integrity training, schedule such training, annotate such lists to indicate when required training was accomplished and retain annotated lists for three years;

g. Ensure that DoD employees of the command or organization who are in positions requiring the filing of OGE Form 450, "Confidential Financial Disclosure Reports," do so in a timely manner;

h. Ensure that DoD employees of the command or organization attend required ethics and procurement integrity training.

1-405. The General Counsel of each DoD Component shall:

a. Serve as the DAEO for the DoD Component unless otherwise delegated;

b. Support all aspects of the ethics program of the DoD Component;

c. Provide legal guidance and assistance to the DoD Component DAEO or designee.

1-406. The Judge Advocate General of each Military Department shall:

a. Provide legal guidance and assistance to Ethics Counselors under his supervision;

b. Support all aspects of the ethics program of the Military Department.

1-407. The General Counsel, DoD (GC, DoD) shall:

a. Maintain the DoD SOCO and provide sufficient resources to enable SOCO to oversee and coordinate DoD Component ethics programs, to produce reports required by Congress and maintain report data, and to manage the DoD EOC;

b. Represent DoD as a whole to OGE, Congress, the Executive Branch, and the public when called upon to do so on matters relating to ethics policy;

c. Have the authority to incorporate changes to Government-wide regulations that are reprinted in this Regulation without formal coordination.

1-408. Each Agency Designee shall:

a. In accordance with subsections 2-206 and 3-304 of this Regulation, provide prior approval or disapproval of outside activities by DoD employees under his responsibility;

b. Receive and appropriately process reports of suspected violations of ethics statutes or regulations and possible conflicts of interest;

c. Receive and appropriately process reports of non-compliance with the filing requirements of Chapter 7 of this Regulation;

d. Perform all the other duties of an Agency Designee established in this Regulation and in 5 C.F.R. 2635 (Reference (d)) in subsection 2-100 of this Regulation;

e. Annually determine those positions under his responsibility that require the filing of OGE Form 450, and annual ethics and procurement integrity training.

1-409. The DoD Standards of Conduct Office (SOCO) shall:

a. Manage the DoD EOC and call periodic meetings to consider current issues in ethics and standards of conduct;

b. Coordinate DoD Component ethics programs, including providing uniform guidance and training material;

c. Collect and publish important written opinions from DoD Components, when practicable, to promote uniformity of ethics opinions throughout DoD;

d. Monitor and assist DoD Component DAEOs in ensuring effective corrective action is taken to remedy violations, potential violations and the appearance of violations of ethics laws or this Regulation;

e. Certify Qualified Individuals to conduct ethics training who may be used by DoD Components;

f. Make ethics and procurement integrity training for ethics trainers available on an ongoing basis to ensure that Qualified Individuals are uniformly prepared to provide such training;

g. Distribute ethics and procurement integrity training material to all DoD Component DAEOs for use in all types of ethics and procurement integrity training;

h. In the interest of Federal Government efficiency and economy, establish and maintain a resource center of ethics and procurement integrity materials (including training materials) developed by DoD Components.

1-410. The Director, Washington Headquarters Services shall:

a. Prepare an annual report listing all the defense contractors that have been awarded $25,000 or more in defense contracts during the fiscal year;

b. Distribute the annual report to the DoD Component DAEOs not later than December 31 following the end of the fiscal year.

1-411. Each Ethics Counselor shall:

a. Provide written and oral advice, counseling, and assistance to his DoD Component command or organization and to the DoD employees of his DoD Component command or organization, on all ethics matters, particularly areas covered by this Regulation and related statutes and regulations;

b. Request assistance, through appropriate channels, from the DoD Component DAEO or designee on any matter that cannot be resolved locally;

c. Maintain a current copy of this Regulation, and all changes, for review by any DoD employee;

d. Maintain a thorough understanding of current DoD ethics policy through contact with the DoD Component DAEO, attendance at periodic ethics training courses, and other appropriate methods;

e. Promptly provide a copy to the DoD Component DAEO of precedential written decisions to assist uniformity throughout the DoD Components;

f. Perform other duties as assigned by written delegation from the DoD Component DAEO;

g. Review financial disclosure reports in accordance with Chapter 7 of this Regulation.

1-412. The Inspector General of each DoD Component shall:

a. Investigate ethics matters arising in the DoD Component, and refer any such matters that involve suspected criminal violations to the appropriate criminal investigative office of the DoD Component;

b. Report to the DoD Component DAEO or designee on investigations that result in referrals to the Department of Justice (DOJ) and on disciplinary actions that must be reported in response to the OGC annual ethics survey;

c. Ensure inspectors and agents are educated in ethics matters to ensure appropriate handling of ethics related cases and calls;

1-413. The Director of each DoD Component Personnel Office (or equivalent) shall:

a. Provide the DoD Component DAEO or designee such personnel data on DoD employees, both civilian and military, as may be required by the DoD Component DAEO or designee;

b. Assign personnel action officers the responsibility of providing the required information at local levels;

c. In coordination with the DoD Component DAEO or designee, establish procedures to inform new DoD employees of their obligation to receive ethics and procurement integrity training as required;

d. In coordination with the DoD Component DAEO or designee, establish out-processing procedures and records to advise DoD employees of available counseling regarding post-employment and procurement integrity restrictions prior to departure from DoD;

e. In coordination with the DoD Component DAEO or designee, establish procedures to advise incoming and outgoing DoD employees of their financial and employment disclosure reporting obligations.

1-414. The Administrative Officer (or equivalent) of each DoD Component command and organization shall:

a. Ensure that each position description of the DoD Component command or organization indicates if an OGE Form 278, "Public Financial Disclosure Report," or OGE Form 450, and annual ethics and procurement integrity training are required so prospective or new DoD employees are on notice of such requirements prior to employment;

Change 7, 11/17/2011

b. Upon the request of the DAEO or designee, ensure the accuracy of personnel data provided by the Director of the DoD Component personnel office on DoD employees of the DoD Component command or organization;

c. In coordination with the DoD Component DAEO or designee, develop a list of all DoD employees within the DoD Component command or organization who are required to receive ethics and procurement integrity training;

d. In coordination with the DoD Component DAEO or designee, ensure that DoD employees of the DoD Component command or organization are scheduled to receive required ethics and procurement integrity training;

e. Annotate such list to indicate when required training was accomplished and retain annotated list for three years.

1-415. Each DoD Employee shall:

a. Abide by the ethical principles established by E.O. 12674 (Reference (q)), in subsection 12-100 of this Regulation, ethics statutes, and the ethics regulations promulgated by OGE and the DoD there under;

b. Set a personal example for fellow DoD employees in performing official duties within the highest ethical standards;

c. Report suspected violations of ethics regulations in accordance with subsection 10-200 of this Regulation;

d. Perform all official duties so as to facilitate Federal Government efficiency and economy;

e. Attend ethics and procurement integrity training as required;

f. File financial and employment disclosure reports as required.

SECTION 5. SUMMARY OF CHANGE 7. This change consists of required legal updates to make the issuance compliant with statutory and regulatory changes since 1993. It also updates references, corrects organizational names, and incorporates other non-substantive administrative changes.

SECTION 6. REFERENCES

1-600. References

(a) Federal Acquisition Regulation, Part 3.104, current edition

(b) Section 2103-2107 of title 41, United States Code

(c) Public Law 95-521, "Ethics in Government Act of 1978," October 26, 1978, as amended

(d) Part 2635 of title 5, Code of Federal Regulations

(e) Subchapter II, and Sections 552 and 5305 of title 5

(f) DoD Directive 5400.07, "DoD Freedom of Information Act (FOIA) Program,"

January 2, 2008

(g) Part 2638 of title 5, Code of Federal Regulations

(h) DoD Instruction 1344.07, "Personal Commercial Solicitation on DoD

Installations," March 30, 2006

(i) Sections 203, 205, 207, 208, and 209 of title 18, United States Code

(j) Sections 105 and 106 of title 3, United States Code

(k) Section 201 of title 37, United States Code, Section 201

(l) Title 32, United States Code

(m) Part 2634 of title 5, Code of Federal Regulations

(n) Part 2640 of title 5, Code of Federal Regulations

(o) Part 2641 of title 5, Code of Federal Regulations

(p) Executive Order 12674, "Principles of Ethical Conduct for Government Officers and

Employees," April 12, 1989, as amended

(q) Part 3601 of title 5, Code of Federal Regulations

CHAPTER 2

STANDARDS OF ETHICAL CONDUCT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

2-100. 5 C.F.R., Part 2635, "Standards of Ethical Conduct for Employees of the Executive Branch" (Reference (a))

SECTION 2. 5 C.F.R., PART 3601, “SUPPLEMENTAL STANDARDS OF ETHICAL

CONDUCT FOR EMPLOYEES OF THE DEPARTMENT OF DEFENSE” (Reference (q))

2-200. Purpose. In accordance with 5 C.F.R. 2635.105 (Reference (a)) in subsection 2-100 of this Regulation, the regulations in this part apply to employees of the Department of Defense (DoD) and supplement the Standards of Ethical Conduct for Employees of the Executive Branch contained in 5 C.F.R., Part 2635 (Reference (a)) in subsection 2-100 of this Regulation. DoD employees are required to comply with Part 2635 (Reference (a)) in subsection 2-100 of this Regulation, this part, and implementing guidance and procedures.

2-201. Designation of Separate Agency Components. See 5 C.F.R. 3601.102.

a Pursuant to 5 C.F.R. 2635.203(a) (Reference (a)) in subsection 2-100 of this Regulation, each of the following Components of DoD is designated as a separate Agency for purposes of the regulations in subpart B of 5 C.F.R., Part 2635 (Reference (a)) in subsection 2-100 of this Regulation, governing gifts from outside sources and 5 C.F.R. 2635.807 (Reference (a)) in subsection 2-100 of this Regulation, governing teaching, speaking and writing:

(1) Department of the Army;

(2) Department of the Navy;

(3) Department of the Air Force;

(4) Defense Commissary Agency;

(5) Defense Contract Audit Agency;

(6) Defense Finance and Accounting Service;

(7) Defense Information Systems Agency;

(8) Defense Intelligence Agency;

(9) Defense Security Service;

(10) Defense Logistics Agency;

(11) National Imagery and Mapping Agency (which was redesignated as the National Geospatial-Intelligence Agency in 2004);

(12) Defense Threat Reduction Agency;

(13) National Security Agency;

(14) Office of the Inspector General;

(15) Uniformed Services University of the Health Sciences;

(16) Armed Services Board of Contract Appeals

b. Employees of DoD Components not designated as separate Agencies, including employees of OSD, will be treated as employees of DoD which shall be treated as a single Agency that is separate from the above listed agencies for purposes of determining whether the donor of a gift is a prohibited source under 5 C.F.R. 2635.203(d) (Reference (a)) in subsection 2-100 of this Regulation, and for identifying the DoD employee's Agency under 5 C.F.R.

2635.807 (Reference (a)) in subsection 2-100 of this Regulation, governing teaching, speaking and writing.

2-202. Additional Exceptions for Gifts from Outside Sources. See 5 C.F.R. 3601.103. In addition to the gifts which come within the exceptions set forth in 5 C.F.R. 2635.204 (Reference (a)) in subsection 2-100 of this Regulation, and subject to all provisions of 5 C.F.R.

2635.201 through 2635.205 (Reference (a)) in subsection 2-100 of this Regulation, a DoD employee may accept gifts from outside sources otherwise prohibited by 5 C.F.R. 2635.202(a) (Reference (a)) in subsection 2-100 of this Regulation, as follows:

a. Events Sponsored by States, Local Governments or Civic Organizations. A DoD employee may accept a sponsor's unsolicited gift of free attendance for himself and an accompanying spouse at an event sponsored by a State or local government or by a civic organization exempt from taxation under 26 U.S.C. 501(c)(4) (Reference (b)), when:

(1) The Agency Designee has determined that the community relations interests of the Agency will be served by the DoD employee's attendance;

(2) The cost of the DoD employee's and the spouse's attendance is provided by the sponsor in accordance with 5 C.F.R. 2635.204(g)(5) (Reference (a)) in subsection 2-100 of this Regulation; and

(3) The gift of free attendance meets the definition in 5 C.F.R. 2635.204(g)(4) (Reference (a)) in subsection 2-100 of this Regulation.

b. Scholarships and Grants. A DoD employee, or the dependent of a DoD employee, may accept an educational scholarship or grant from an entity that does not have interests that may be substantially affected by the performance or non-performance of the DoD employee's official duties, or from an association or similar entity that does not have a majority of members with such interests, if the DoD Component DAEO or designee determines that:

(1) The scholarship or grant is made as part of an established program of grants or awards that is funded, wholly or in part, to ensure its continuation on a regular basis and under which recipients are selected pursuant to written standards; or

(2) The scholarship or grant is established for the benefit of DoD employees, or the dependents of DoD employees, and recipients are selected pursuant to written standards approved by the Secretary of Defense or, where the scholarship or grant is available only to military members or their dependents, by the Secretary of the Military Department concerned.

2-203. Additional Limitations on Gifts Between DoD Employees. See 5 C.F.R. 3601.104. The following limitations shall apply to gifts from groups of DoD employees that include a subordinate and to voluntary contributions to gifts for superiors permitted under 5 C.F.R.

2635.304(c)(1) (Reference (a)) in subsection 2-100 of this Regulation:

a. Gifts From a Group That Includes a Subordinate. Regardless of the number of DoD employees contributing to a gift or gifts on a special, infrequent occasion as permitted by 5 C.F.R. 2635.304(c)(1) (Reference (a)) in subsection 2-100 of this Regulation, a DoD employee may not accept a gift or gifts from a donating group if the market value exceeds an aggregate of $300 and if the DoD employee knows or has reason to know that any member of the donating group is his subordinate.

(1) The cost of items excluded from the definition of a gift by 5 C.F.R. 2635.203(b), (Reference (a)) in subsection 2-100 of this Regulation, and the cost of food, refreshments and entertainment provided to the DoD employee and his personal guests to mark the occasion for which the gift is given shall not be included in determining whether the value of a gift or gifts exceeds the $300 aggregate limit.

(2) The value of a gift or gifts from two or more donating groups shall be aggregated and shall be…