# Joint Ethics Regulation

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/fr%3A94-5975

## Record

- **Collection:** Federal Register
- **Document type:** Uncategorized Document
- **Published:** March 21, 1994

## Text

DEPARTMENT OF DEFENSE
32 CFR Part 84

[DoD 5500.7-R]

Joint Ethics Regulation

AGENCY: Office of the Secretary of Defense, DoD.

ACTION: Final rule and request for comments.

-----------------------------------------------------------------------

SUMMARY: This part is designed to prescribe standards of ethical
conduct required of all DoD personnel and certain former DoD officers
and employees, regardless of assignment. It also provides guidance and
procedures to implement the regulations promulgated by the U.S. Office
of Government Ethics for the entire Executive Branch, especially
concerning gifts and conflict of interest. It covers matters related to
activities with non-Federal entities, travel benefits, political
activities, financial and employment disclosure procedures, post-
Government service employment issues, enforcement of ethics rules,
ethics training, and ethical conduct. It will serve as the single,
uniform publication of rules and guidance for ethics and standards of
conduct in DoD with no implementations by DoD components.

DATES: This part is effective August 30, 1993. Comments must be
received by May 20, 1994.

ADDRESSES: Forward comments to DoD Standards of Conduct Office, Office
of General Counsel, 1600 Defense Pentagon, Washington, DC 20301-1600.

FOR FURTHER INFORMATION CONTACT:
Randi Elizabeth DuFresne, DoD Standards of Conduct Office, (703) 697-
5305, FAX (703) 697-1640.

SUPPLEMENTARY INFORMATION: On August 7, 1992, the U.S. Office of
Government Ethics (OGE) published a final rule entitled ``Standards of
Ethical Conduct for Employees of the Executive Branch'' (Standards).
See 57 FR 35006-35067, as corrected at 57 FR 48557 and 52583. The
Standards, codified at 5 CFR part 2635, establish uniform standards of
ethical conduct that are applicable to all Executive Branch personnel.
With the concurrence of OGE, DoD published an interim rule entitled
``Supplemental Standards of Ethical Conduct for Employees of the
Department of Defense'' (Supplement). See 58 FR 47619-47624. The DoD
Supplement appears at 5 CFR chapter XXVI. In addition the Standards and
the Supplement, there are ethics statutes applicable only to 2635 DoD
employees and former employees, matters such as political activities,
activities with non-Federal entities, enforcement, and ethical conduct
which are not addressed by the Standards or the Supplement, and
procedural concerns that require publication of a uniform,
comprehensive DoD regulation.
Certain portions of this part that are marked ``general orders''
apply to all military members without further implementation.
Violations may result in prosecution under the Uniform Code of Military
Justice (UCMJ), as well as adverse administrative action and other
adverse action authorized by the United States Code and Federal
regulations.

Executive Order 12866

It has been determined that this is not a significant rule as
defined under section 3(f)(1) through 3(f)(4) of Executive Order 12866.

Regulatory Flexibility Act

It has been determined under the Regulatory Flexibility Act (5
U.S.C. chapter 6) that this rule will not have a significant economic
impact on a substantial number of small entities because it affects
only DoD employees and certain former DoD employees.

Paperwork Reduction Act

It has been certified that information collection associated with
32 CFR part 84 has been submitted to the Office of Management and
Budget and is currently under review.

List of Subjects in 32 CFR Part 84

Conflict of interests, Government procurement.

Accordingly, Title 32, Chapter I, Subchapter A is amended to add
part 84 to read as follows:

PART 84--JOINT ETHICS REGULATION

Subpart A--General Information

Sec.
84.1 Purpose.
84.2 Definitions.
84.3 General policy.
84.4 General responsibilities.

Subpart B--Standards of Ethical Conduct

84.5 Office of Government Ethics regulation.
84.6 DoD supplement to 5 CFR part 2635.
84.7 DoD guidance.

Subpart C--Activities with Non-Federal Entities

84.8 Office of Government Ethics regulation.
84.9 Official participation in non-Federal entities.
84.10 Personal participation in non-Federal entities.

Subpart D--Travel Benefits

84.11 Acceptance of official travel benefits in kind or payment for
official travel expenses.
84.12 DoD guidance.
84.13 Procedures and responsibilities.

Subpart E--Conflict of Interest

84.14 Office of Government Ethics regulation.
84.15 Guidance on 18 U.S.C. 208.
84.16 Other conflict of interest laws.

Subpart F--Political Activities

84.17 Office of Personnel Management regulation.
84.18 Political activities of civilian DoD employees.
84.19 Political activities of military members.

Subpart G--Financial and Employment Disclosure

84.20 Office of Government Ethics regulation.
84.21 Public financial disclosure report (SF 278).
84.22 Confidential financial disclosure report (SF 450).
84.23 Report of DoD and defense related employment (DD form 1787).

Subpart H--Seeking Other Employment

84.24 General rules.
84.25 Conflict of interest (18 U.S.C. 208).
84.26 Procurement integrity (41 U.S.C. 423(b)).
84.27 Reporting employment contacts (10 U.S.C. 2397a).
84.28 DoD guidance.

Subpart I--Post-Government Service Employment

84.29 Office of Government Ethics regulation.
84.30 Guidance on 18 U.S.C. 207.
84.31 Post-employment counseling and advice.
84.32 Restrictions resulting from procurement activities.
84.33 Restrictions on retired military members.
84.34 Restrictions on former senior appointees.
84.35 Restrictions on dealing with current or former DoD employees.
84.36 Report of DoD and defense related employment (DD form 1787).

Subpart J--Enforcement

84.37 Enforcement of the provisions of the Joint Ethics Regulation.
84.38 Reporting procedures.
84.39 Administrative enforcement procedures.

Subpart K--Training

84.40 Office of Government Ethics regulation.
84.41 DoD guidance.
84.42 Procedures.
84.43 Responsibilities.

Subpart L--Ethical Conduct

84.44 Executive orders.
84.45 Code of ethics for Government service.
84.46 DoD human goals.
84.47 Ethical values.
84.48 Ethical decisionmaking.

Appendix A to Part 84--Digest of Laws

Appendix B to Part 84--Excerpts From DoD Publications

Appendix C to Part 84--DoD Human Goals

Authority: 5 U.S.C. 301, 7301, 7351, 7353; 5 U.S.C. App. (Ethics
in Government Act of 1978); E.O. 12674, 54 FR 15159, 3 CFR, 1989
Comp., p. 215 as modified by E.O. 12731, 55 FR 42547, 3 CFR, 1990
Comp., p. 306; 5 CFR part 2635.

Subpart A--General Information

Sec. 84.1 Purpose.

(a) Single source of guidance. This part 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.
(b) Disclaimer. A violation of this part 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.

Sec. 84.2 Definitions.

(a) 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.
(b) Agency. A 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 Investigative Service;
Defense Logistics Agency; Defense Mapping Agency; Defense Nuclear
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.
(c) 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.
(d) 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).
(e) Competing defense contractor. See Federal Acquisition
Regulation,\1\ 48 CFR 3.104-4(b) or 41 U.S.C. 423(p)(2).
---------------------------------------------------------------------------

\1\For purchase of this Department of Defense document contact
Superintendent of Documents, Congressional Sales Office, U.S.
Government Printing Office, Washington, DC 20402.
---------------------------------------------------------------------------

(f) Conduct of a procurement. See 48 CFR 3.104-4(c) or 41 U.S.C.
423(p)(1).
(g) 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.
(h) Defense contractor. For purposes of 10 U.S.C. 2397, 2397a, and
2397b, 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 unless they are
separate legal non-Federal entities that contract directly with DoD or
a DoD component in their own names. 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.
(i) 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.
(j) Designated Agency Ethics Official (DAEO). A DoD employee
appointed, in writing, by the Head of the DoD agency to administer the
provisions of the Ethics in Government Act of 1978, Public Law 95-521
(5 U.S.C. App.), and this part.
(k) DoD component. OSD; the Military Departments; the Chairman of
the Joint Chiefs of Staff and the Joint Staff; the Unified and
Specified Commands; IG, DoD; the Uniformed 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. See paragraph (b) of this
section for those DoD components that are agencies.
(l) DoD employee. (1) Any DoD civilian officer or employee
(including special Government employees) of any DoD component
(including any non-appropriated fund activity).
(2) Any active duty regular or reserve military officer, including
warrant officers.
(3) Any active duty enlisted member of the Army, Navy, Air Force,
or Marine Corps.
(4) Any reserve or National Guard member on active duty under
orders issued pursuant to title 10, United States Code.
(5) Any reserve or National Guard member performing official
duties, including while on inactive duty for training or while earning
retirement points, pursuant to title 10, United States Code, or while
engaged in any activity related to the performance of a Federal duty or
function.
(6) 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.
(7) 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.
(m) DoD supplement. Section 84.6 contains the cross-reference to
the DoD Supplement of 5 CFR part 2635.
(n) Employment. See 5 CFR 2635.603(a).
(o) 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 part. 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 serve
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 CFR 2635.102.(c).
(p) Ethics Oversight Committee (EOC). A working group composed of
the DoD component DAEO, or their representatives, and representatives
of the Chairman of the Joint Chiefs of Staff, and the Judge Advocates
General of the Military Departments.
(q) Former DoD employee. Any individual defined in Sec. 84.2(l),
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.
(r) Gratuity. Gifts as defined in 5 CFR 2635.203(b).
(s) He, his, him, himself. These pronouns include she, hers, her
and herself.
(t) 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.
(u) Major defense contractor. Any non-Federal entity which, during
the preceding fiscal year, received defense contracts in a total amount
equal to or greater than $10 million.
(v) Major defense system. For purposes of 10 U.S.C. 2397b, a
combination of elements that will function together to produce the
capability required to fulfill a mission need. Elements may include
hardware, equipment, software, or any combination thereof, but excludes
construction or other improvements to real property. A list is
published in the Federal Register. See 10 U.S.C. 2302. A system shall
be considered a major defense system if:
(1) DoD is responsible for the system and the total expenditures,
for research, development, test, and evaluation for the system, are
estimated to exceed $75 million (based on fiscal year 1980 constant
dollars) or the eventual total expenditure for procurement exceeds $300
million (based on fiscal year 1980 constant dollars); or
(2) The system is designated a ``major system'' by the Head of the
DoD agency responsible for the system.
(w) Majority of working days. More than 50% of days actually
worked, excluding holidays, weekends, sick days, and leave days of the
two-year period in question.
(x) Negotiation. For purposes of 10 U.S.C. 2397b only, the exchange
of views between Federal Government and defense contractor
representatives regarding respective entitlements, liabilities and
responsibilities on a particular defense contract, modification, or
claim over $10 million, including deliberations regarding contract
specifications, terms of delivery, allowability of costs, and pricing
of change orders. Other statutes using this term may define it
differently.
(y) 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. See 32 CFR part 212.
(z) 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. The term ``non-public information''
includes ``inside information,'' ``proprietary information,'' and
``source selection information.'' See 5 CFR 2635.703, 32 CFR part 285,
and 48 CFR 3.104-4(j) and (k) and 3.104-5.
(aa) 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 CFR
part 2638.
(bb) Personal and substantial. See 5 CFR 2635.402(b)(4).
(cc) 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 32
CFR part 43.
(dd) Primary Government representative. For purposes of 10 U.S.C.
2397b, acting as a ``representative'' requires personal and substantial
participation in the matter by personal presence, telephone
conversation, or similar involvement with representatives of a defense
contractor. At any time, more than one individual may act as a primary
representative for a single matter.
(ee) Procurement official. See 48 CFR 3.104-4(h).
(ff) Procurement function. For purposes of 10 U.S.C. 2397b, any
function relating to:
(1) The negotiation, award, administration, or approval of a
contract;
(2) The selection of a defense contractor;
(3) The approval of a change in a contract;
(4) The performance of quality assurance, operational and
developmental testing, the approval of payment, or auditing under a
contract; or
(5) The management of a procurement program.
(gg) Prohibited source. See 5 CFR 2635.203(d).
(hh) Qualified individual. See 5 CFR 2638.702(a)(2).
(ii) 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.
(jj) Retired military officer. Any military officer entitled to
receive military retired pay, even though such pay may be waived or
pending.
(kk) Senior DoD official. For purposes of 18 U.S.C. 207, a DoD
employee is defined as stated in 10 U.S.C. 207(c)(2).
(ll) Special Government employee. An individual who is retained,
designated, appointed, or employed to perform, with or without
compensation, for a period not to exceed 130 days during any period of
365 consecutive days, temporary duties either on a full-time or
intermittent basis. The term also includes a reserve military officer
who is serving on active duty involuntarily or for training for any
length of time, and one who is serving voluntarily on active duty for
training for 130 days or less. It does not include enlisted members;
however, for the purposes of this part, enlisted members shall be
considered special Government employees to the same extent that
military officers are included in the meaning of the term.
(mm) Travel benefits. Travel related gifts, including in kind
subsistence and accommodations and payments or reimbursements of
expenses, from non-Federal sources.

Sec. 84.3. General policy.

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, cross-referenced in this part, do not
apply to enlisted members of DoD, the provisions of 5 CFR parts 2634,
2635, 2638, 2639, 2640, and 2641, are determined to be appropriate for
enlisted members and are hereby made applicable to enlisted members as
if the terms ``employee,'' and ``special Government employee,'' as used
in those OGE regulations, include enlisted members to the same extent
that military officers are included within the meaning of those terms.
The following exception applies to certain criminal statutes, 18 U.S.C.
203, 205, 207, 208, 209 and 218, and related provisions of OGE
regulations, do not apply to enlisted members. Provisions similar to
those of 18 U.S.C. 208 and 209 apply to enlisted members as follows:
(1) Except as approved by the DoD component DAEO or designee, an
enlisted member, 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;
(2) An enlisted member, 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 Executive Order 12674, 54 FR 15159,
3 CFR, 1989 Comp., p. 215-218, 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 matter 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.

Sec. 84.4 General responsibilities.

(a) The Head of each DoD component shall:
(1) Exercise personal leadership and take personal responsibility
through the DoD component DAEO 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 part, including
the ethics and procurement integrity training requirements;
(2) 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);
(3) When authorized, appoint a DoD component Atlernate DAEO who
shall serve in the absence of the DoD component DAEO;
(4) Provide sufficient resources (including funding and
investigative, audit, legal, training and administrative staff) to
enable the DoD component DAEO to implement and administer the DoD
component's ethics programs in a positive and effective manner.
(b) Each DoD component Designated Agency Ethics Official (DAEO)
shall:
(1) 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 part.
(2) Appoint DoD component Deputy DAEOs and Ethics Counselors and
delegate to them written authority to act on behalf of the DoD
component DAEO;
(3) Ensure that ethics advice (and facts relied upon for such
advice) is in writing, when practicable;
(4) Ensure that written opinions regarding the applicability of 10
U.S.C. 2397b and 41 U.S.C. 423 are provided within 30 days of request
by any DoD employee provided that the requests is accompanied by
complete and full information necessary to render an opinion;
(5) Ensure that proper collection, review, and handling of the DoD
component's financial and employment disclosure reports, including
those submitted by Presidential appointees for confirmation purposes;
(6) Be responsible for the implementation and administration of
ethics and procurement integrity training and ensure that necessary
resources are available to accomplish such training;
(7) Provide periodic ethics and procurement integrity training for
Ethics Counselors;
(8) Certify Qualified Individuals to conduct ethics training;
(9) 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 subpart J of this part;
(10) Provide advice and assistance to DoD employees of the DoD
component not otherwise served by a local Ethics Counselor;
(11) 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;
(12) Maintain liaison with the DoD EOC, OGE, and the DoD Standards
of Condut Office (SOCO), and provide to SOCO and OGE all information
required by law or regulation;
(13) Represent the DoD component to OGE, Congress, the Executive
Branch and the public on matters relating to ethics and standards of
conduct.
(c) 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 part
indicates may be taken only by the DoD component DAEO.
(d) 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.
(e) The head of each DoD component command or organization shall:
(1) 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;
(2) 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 part;
(3) Provide sufficient resources to enable the command's
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;
(4) Ensure the prompt resolution of any actual or apparent conflict
of interest involving a DoD employee of the command or organization;
(5) 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 (or equivalent) on DoD
employees of the command or organization;
(6) 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;
(7) Ensure that DoD employees of the command or organization who
are in positions requiring the filing of SF 450,\2\ ``Confidential
Financial Disclosure Report,'' July 1992, do so in a timely manner;
---------------------------------------------------------------------------

\2\Copies are available from U.S. Office of Government Ethics,
1201 New York Avenue, NW., suite 500, Washington, DC 20005-3917.
---------------------------------------------------------------------------

(8) Ensure that DoD employees of the command or organization attend
required ethics and procurement integrity training.
(f) The General Counsel of each DoD component shall:
(1) Serve as the DAEO for the DoD component unless otherwise
delegated;
(2) Support all aspects of the ethics program of the DoD component;
(3) Provide legal guidance and assistance to the DoD component DAEO
or designee.
(g) The Judge Advocate General of each Military Department shall:
(1) Provide legal guidance and assistance to Ethics Counselors
under his supervision;
(2) Support all aspects of the ethics program of the Military
Department.
(h) The General Counsel, DoD (GC, DoD) shall:
(1) 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;
(2) 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;
(3) Have the authority to incorporate changes to Government-wide
regulations that are reprinted in this part without formal
coordination.
(i) Each agency designee shall:
(1) In accordance with Sec. 84.10(g), provide prior approval or
disapproval of outside activities by DoD employees under his
responsibility;
(2) Receive and appropriately process reports of suspected
violations of ethics statutes or regulations and possible conflicts of
interest;
(3) Receive and appropriately process reports of non-compliance
with the filing requirements of subpart G of this part;
(4) Perform all the other duties of an agency designee established
in this part and in 5 CFR part 2635;
(5) Annually determine those positions under his responsibility
that require the filing of SF 450s, and annual ethics and procurement
integrity training.
(j) The DoD Standards of Conduct Office (SOCO) shall:
(1) Manage the DoD EOC and call periodic meetings to consider
current issues in ethics and standards of conduct;
(2) Coordinate DoD component ethics programs, including providing
uniform guidance and training material;
(3) Collect and publish important written opinions from DoD
components, when practicable, to promote uniformity of ethics opinion
throughout DoD;
(4) 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 part;
(5) Certify Qualified Individuals to conduct ethics training who
may be used by DoD components;
(6) 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;
(7) Distribute ethics and procurement integrity training material
to all DoD component DAEOs for use in all types of ethics and
procurement integrity training;
(8) 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.
(k) The DoD Ethics Oversight Committee (EOC) shall:
(1) Meet periodically, as necessary;
(2) Consider general ethics issues or current issues and make
recommendations to promote uniformity of ethics opinions throughout
DoD;
(3) Provide recommendations to DoD component DAEOs on particular
ethics matters in accordance with this part;
(4) Provide recommendations for DoD input on proposed ethics
legislation and regulations.
(l) The Director, Washington Headquarters Services shall:
(1) Prepare an annual report listing all the defense contractors
that have been awarded $10 million or more in defense contracts during
the fiscal year and publish the report in the Federal Register not
later than December 15 following the end of the fiscal year;
(2) Prepare an annual report listing all the defense contractors
that have been awarded $25,000 or more in defense contracts during the
fiscal year and distribute to the DoD component DAEOs not later than
December 31 following the end of the fiscal year.
(m) The Under Secretary of Defense for Acquisition shall prepare an
annual report listing all the major defense systems as defined by 10
U.S.C. 2302(5), and the prime defense contractors responsible for each,
that were in progress during the fiscal year and provide the report to
the DoD SOCO for publication in the Federal Register not later than
December 31 following the end of the fiscal year;
(n) Each Ethics Counselor shall:
(1) 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 part and related statutes and
regulations;
(2) Request assistance, through appropriate channels, from the DoD
component DAEO or designee on any matter than cannot be resolved
locally;
(3) Maintain a current copy of this part, and all changes, for
review by any DoD employee;
(4) 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;
(5) Promptly provide a copy to the DoD component DAEO of
precedental written decisions to assist uniformity throughout the DoD
components;
(6) Perform other duties as assigned by written delegation from the
DoD component DAEO;
(7) Review financial disclosure reports in accordance with subpart
G of this part.
(o) The Inspector General of each DoD component shall:
(1) 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;
(2) 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 OGE
annual ethics survey;
(3) Ensure inspectors and agents are educated in ethics matters to
ensure appropriate handling of ethics related cases and calls;
(p) The director of each DoD component personnel office (or
equivalent) shall:
(1) 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;
(2) Assign personnel action officers the responsibility of
providing the required information at local levels;
(3) 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;
(4) 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;
(5) 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.
(q) The administrative officer (or equivalent) of each DoD
component command and organization shall:
(1) Ensure that each position description of the DoD component
command or organization indicates if an SF 278,\3\ ``Public Financial
Disclosure Report,'' January 1991, or SF 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;
---------------------------------------------------------------------------

\3\Copies are available from U.S. Office of Government Ethics,
1201 New York Avenue, NW., suite 500, Washington, DC 20005-3917.
---------------------------------------------------------------------------

(2) 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;
(3) 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;
(4) 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;
(5) Annotate such list to indicate when required training was
accomplished and retain annotated list for three years.
(r) Each DoD employee shall:
(1) Abide by the ethical principles established by Executive Order
12674, ethics statutes, and the ethics regulations promulgated by OGE
and the DoD thereunder;
(2) Set a personal example for fellow DoD employees in performing
official duties within the highest ethical standards;
(3) Report suspected violations of ethics regulations in accordance
with Sec. 84.38(a);
(4) Perform all official duties so as to facilitate Federal
Government efficiency and economy;
(5) Attend ethics and procurement integrity training as required;
(6) File financial and employment disclosure reports as required.

Subpart B--Standards of Ethical Conduct

Sec. 84.5 Office of Government Ethics regulation.

See 5 CFR part 2635, ``Standards of Ethical Conduct for Employees
of the Executive Branch.'' The following sections of 5 CFR part 2635
are military general orders: Sec. 2635.202(a);
Sec. 2635.202(c)(1),(2),(3),(4), and (5) (excluding example and
paragraphs (c)(4) (i) through (iii)); Sec. 2635.302; Sec. 2635.402(a)
(excluding note); Sec. 2635.502(a) (excluding paragraphs (a)(1)
and(2)); Sec. 2635.503(a) (excluding examples); Sec. 2635.604(a)
(excluding the last sentence and examples); Sec. 2635.606(a) (excluding
the last sentence and example); the first sentence of Sec. 2635.702;
Sec. 2635.702(a) (excluding examples); Sec. 2635.702(b) (excluding
examples); Sec. 2635.702(c) (excluding examples); Sec. 2635.703(a);
Sec. 2635.704(a); Sec. 2635.705(b) (excluding examples); the first
paragraph of Sec. 2635.802; Sec. 2635.802(a); Sec. 2635.802(b)
(excluding sentence beginning ``Employees are cautioned * * *'' and
excluding examples); Sec. 2635.805(a); Sec. 2635.807(a) (excluding
paragraphs (a)(1) and (2)); the first sentence of Sec. 2635.808;
Sec. 2635.808(b) (excluding example); and Sec. 2635.808(c) (excluding
paragraph (c)(3) and examples).

Sec. 84.6 DoD supplement to 5 CFR part 2635.

See 5 CFR 3601.101-3601.108, ``Supplemental Standards of Conduct
for Employees of the Department of Defense.'' The following sections of
5 CFR 3601.101-3601.108 are military general orders: Sec. 3601.104(a)
(excluding paragraphs (a)(1) and (2)); Sec. 3601.104(b);
Sec. 3601.105(a); Sec. 3601.105(b); Sec. 3601.105(c); Sec. 3601.106;
and Sec. 3601.108 (excluding paragraphs (a) through (c)).

Sec. 84.7 DoD guidance.

(a) Gifts--(1) Procurement officials. In addition to the
restrictions on gifts in 5 CFR part 2635, subpart B, procurement
officials are subject to the gift acceptance restrictions of the
procurement integrity statute. See 41 U.S.C. 423 and 48 CFR 3.104.
(2) Gifts from foreign governments. There are special DoD rules
governing gifts from foreign governments. See 5 U.S.C. 7342 and 32 CFR
part 95.
(3) Ship launch and similar ceremonies. A DoD employee may not
accept gifts in connection with a ceremony to mark the completion of a
milestone in shipbuilding, aircraft completion, or similar vehicle
launch or roll-out unless attendance is official and is approved by the
head of the DoD component command or organization and the gifts are
limited to the following (see 5 U.S.C. 7301 note):
(i) Attendance at appropriate functions incident to the ceremony,
such as a dinner preceding the ceremony and reception following it, and
related food, hospitality and entertainment, as long as the function
and related benefits are not lavish, excessive, or extravagant;
(ii) Tangible gifts or mementos in connection with the ceremony to
DoD employees, their spouses, and their dependent children, who are
official participants in the ceremony, as long as the aggregate retail
value does not exceed $100 per family and the cost is not borne by the
Federal Government. When such gifts exceed the $100 limit, the
recipient shall pursue one of the following alternatives:
(A) Return the gift to the donor;
(B) Retain the gift after reimbursing the donor the full value of
the gift; or
(C) Forward the gift to the appropriate DoD component official for
disposition as a gift to the Federal Government in accordance with
statute. See 10 U.S.C. 2601.
(b) Use of Federal Goverment telephone systems. See GSA regulation
41 CFR part 201-21, subpart 201-21.6, on manangement of Federal
Government telecommunications resources.
(1) The use of Federal Government telephone systems (including
calls over commercial systems which will be paid for by the Federal
Government), except as provided in paragraph (b)(2) of this section
shall be limited to the conduct of official business. Such official
business calls may include emergency calls and calls that the DoD
components determine are necessary in the interest of the Federal
Government.
(2) Personal calls (such as calls to speak to spouse/minor children
or to arrange for emergency repairs to residence or automobile) that
must be made during working hours over the commercial local/long
distance network may properly be authorized as being in the best
interest of the Federal Government if the call is consistent with the
following criteria:
(i) It does not adversely affect the performance of official duties
by the DoD employee or the DoD employee's organization;
(ii) It is of reasonable duration and frequency; and
(iii) It could not reasonably have been made at another time;
(iv) And, in the case of long distance calls, is:
(A) Charged to the employee's home telephone number or other non-
Federal Government number (third number call);
(B) Made to an 800 toll-free number;
(C) Charged to the called party if a non-Federal Government number
(collect call);
(D) Charged to a personal telephone credit card; or
(E) When traveling for more than one night on Federal Government
business in the United States, a brief call to his residence to notify
family of a schedule change.
(c) Gambling. (1) [The following is a General Order] A DoD employee
shall not participate while on Federally-owned or leased property or
while on duty (for military members, this means, in this context,
present for duty) for the Federal Government in any gambling activity
prohibited by 5 CFR 735.208 except:
(i) Activities necessitated by a DoD employee's law enforcement
duties;
(ii) Activities by organizations composed of DoD employees or their
dependents when transacted entirely among their own members and
approved by the Head of the DoD component or designee; or
(iii) Private wagers among DoD employees if based on a personal
relationship and transacted entirely within assigned Federal Government
living quarters and within the limitations of local laws [end of
General Order].
(2) Gambling with a subordinate may be a violation of Articles 133
and 134 of the Uniform Code of Military Justice (UCMJ) (10 U.S.C. 801-
940).
(3) Gambling may be prohibited by Federal Government building and
grounds regulations, such as 32 CFR part 406 which prohibits gambling
in the Pentagon.
(d) Outside employment and activity. In addition to 5 CFR 3601.107
except to the extent that when procedures have been established by
higher authority for any class of DoD employees (e.g., DoD Directive
6025.7\4\), agency designees may require DoD employees under their
jurisdiction to report any outside employment or activity prior to
engaging in the employment or activity. See Sec. 84.10(g).
---------------------------------------------------------------------------

\4\Copies may be obtained, at cost, from the National Technical
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

(1) The commander, head of the organization, or supervisor may
prohibit the employment or activity if he believes that the proposed
outside activity will detract from readiness or pose a security risk.
(2) If action is not taken to prohibit the employment or activity,
the DoD employee is free to engage in the employment or activity in
keeping with other restrictions of this part.
(e) Use of military title by retirees or reserves. Retired military
members and members of reserve components, not on active duty, may use
military titles in connection with commercial enterprises, provided
they clearly indicate their retired or inactive reserve status.
However, any use of military titles is prohibited if it in any way
casts discredit on DoD or gives the appearance of sponsorship,
sanction, endorsement, or approval by DoD. In addition, in overseas
areas, commanders may further restrict the use of titles by retired
military members and members of reserve components.

Subpart C--Activities With Non-Federal Entities

Sec. 84.8 Office of Government Ethics regulation.

See 5 CFR part 2636, ``Limitations on Outside Employment and
Prohibition of Honoraria; Confidential Reporting of Payments of
Charities in Lieu of Honoraria.''

Sec. 84.9 Official participation in non-Federal entities.

(a) Attendance. (1) Agency designees may permit their DoD employees
to attend meetings, conferences, seminars or similar events sponsored
by non-Federal entities in their official DoD capacities at Federal
Government expense if there is a legitimate Federal Government purpose
in accordance with 5 U.S.C. 4101 et seq. and 37 U.S.C. 412, such as
training a DoD employee beyond maintaining professional credentials or
gathering information of value to the DoD.
(2) DoD employees are prohibited from attending events in their
official DoD capacities at Federal Government expense in order to
acquire or maintain professional credentials that are a minimum
requirement to hold the DoD position. See 5 U.S.C. 5946 and 31 U.S.C.
1345.
(b) Membership. DoD employees may serve as DoD liaisons to non-
Federal entities where there is a significant and continuing DoD
interest to be served by such representation. Liaisons serve as part of
their official DoD duties and under DoD component memberships. DoD
employees may not accept DoD component membership in a non-Federal
entity on behalf of DoD except as provided by statute or regulation.
DoD may pay for DoD component memberships in accordance with opinions
of the Comptroller General, such as 24 Comp. Gen. 814 (which may be
purchased from the U.S. Government Printing Office, Washington, DC
20402). DoD is prohibited from paying for individual memberships by 5
U.S.C. 5946. See also 10 U.S.C. 2601.
(c) Management. DoD employees may not participate in their official
DoD capacities in the management of non-Federal entities without
authorization from the Head of the DoD component. However, authorized
DoD employees may officially represent DoD in discussions of matters of
mutual interest with non-Federal entities, may participate in the
determinations and conclusions of non-Federal entities, and may cast a
vote on issues within the scope of the DoD employees' official
responsibilities.
(d) Impartiality of agency designee and travel-approving Authority.
When a DoD employee requests permission to travel to or participate in
activities of a non-Federal entity and the agency designee or travel
approving authority is an active participant in the non-Federal entity,
that agency designee or travel approving authority may not act on the
DoD employee's request but shall defer such action to the next higher
superior or another independent DoD authority. See 5 CFR 2635.402 and
2635.502 and 18 U.S.C. 208.
(e) Impartiality of DoD employees. DoD employees are generally
prohibited from engaging in any official activities in which a non-
Federal entity is a party or has a financial interest if the DoD
employee is an active participant in the non-Federal entity or has been
an officer in the non-Federal entity within the last year. See 5 CFR
2635.402 and 2635.502 and 18 U.S.C. 208.
(f) Endorsement. [The following is a General Order] Endorsement of
a non-Federal entity may be neither stated nor implied by DoD or DoD
employees and DoD employees may not use their titles or positions to
suggest official endorsement or preferential treatment of any non-
Federal entity except those listed in Sec. 84.9(k) [end of General
Order]. Use of military grade as part of an individual's name in
relationship to membership in private organizations is permissible. See
5 CFR 2635.702(c).
(g) Distributing information. In accordance with public affairs
regulations, official channels may be used to notify DoD employees of
events sponsored by non-Federal entities.
(h) Remuneration. DoD employees may not receive any salary or
salary supplement from a non-Federal entity for performance of DoD
duties.
(i) Co-sponsorship. A DoD component is a sponsor or co-sponsor of
an event when that DoD component is one of the organizations holding
the event or in whose name the event is held. Co-sponsorship of events
with a non-Federal entity is prohibited except as follows:
(1) A DoD component may co-sponsor a civic or community activity
where the head of the DoD component command or organization determines
that the activity is unrelated to the purpose or business of the co-
sponsoring, non-Federal entity or the purpose or business of any of its
members. See DoD Instruction 5410.20\5\;
---------------------------------------------------------------------------

\5\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(2) A DoD component may co-sponsor a conference, seminar, or
similar event with a non-Federal entity when all of the following
requirements are met:
(i) The head of the DoD component command or organization finds
that the subject matter of the conference (or co-sponsored portion) is
scientific, technical or professional issues that are relevant to the
DoD component's mission;
(ii) The head of the DoD component command or organization finds
that the purpose of co-sponsorship is to transfer federally developed
technology or to stimulate wider interest and inquiry into the
scientific, technical or professional issues previously identified;
(iii) The non-Federal entity is a recognized scientific, technical
or professional organization approved by the DoD component DAEO for
this purpose; and
(iv) The DoD component accomplishes the co-sponsorship through a
contract, grant or cooperative agreement as identified in 31 U.S.C.
6303 through 6306; or a Cooperative Research and Development Agreement
(CRDA) as defined in 15 U.S.C. 3710a; or a cooperative agreement or
other transaction identified in 10 U.S.C. 2371.
(3) If the DoD component desires to sponsor an event, but requires
assistance in making the arrangements, the DoD component may arrange,
through normal acquisition procedures, to have a non-Federal entity
provide whatever assistance is necessary. If the event is open to
individuals outside the Federal Government, attendance may not be
limited to members of the supporting non-Federal entity. The supporting
non-Federal entity may be permitted to mention its support in
conference materials, but not in terms which imply that it is
sponsoring or co-sponsoring the event.
(j) Participation in conferences and similar events. Subject to the
provisions of paragraph (l) of this section and in accordance with
public affairs regulations and 31 U.S.C. 1345, DoD employees may
participate in their official DoD capacities as speakers or panel
members at conferences, seminars, or similar events sponsored by non-
Federal entities.
(k) Fundraising and membership drives. (1) [The following is a
General Order] Except as provided in paragraph (l) of this section, DoD
components shall not officially support and DoD employees shall not
officially endorse or officially participate in membership drives or
fundraising for any non-Federal entity except the following
organizations which are not subject to the provisions of paragraph (l)
of this section:
(i) The Combined Federal Campaign (CFC);
(ii) Emergency and disaster appeals approved by the Office of
Personnel Management (OPM);
(iii) Army Emergency Relief;
(iv) Navy-Marine Corps Relief Society;
(v) Air Force Assistance Fund, including:
(A) Air Force Enlisted Men's Widows and Dependents Home Foundation,
Inc.;
(B) Air Force Village;
(C) Air Force Aid Society;
(D) General and Mrs. Curtis E. LeMay Foundation.
(vi) Other organizations composed of DoD employees or their
dependents when fundraising among their own members for the benefit of
welfare funds for their own members when approved by the head of the
DoD component command or organization [end of General Order].
(2) Fundraising by DoD employees is strictly regulated by Executive
Order 12353, 47 FR 12785, 3 CFR, 1982 Comp., p. 139, 5 CFR part 950,
DoD Directive 5035.1\6\, DoD Instruction 5035.5\7\, DoD Directive
5410.18\8\, 5 CFR 2635.808 and by the prohibition against preferential
treatment established in paragraph (d) of this section.
---------------------------------------------------------------------------

\6\See footnote 4 to Sec. 84.7(d).
\7\See footnote 4 to Sec. 84.7(d).
\8\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(1) Support of non-Federal entity events. (1) The head of a DoD
component command or organization may provide DoD employees in their
official capacities as speakers, panel members or other participants,
or, on a limited basis, the use of DoD equipment (and the services of
DoD employees necessary to make proper use of the equipment), in
support of an event sponsored by a non-Federal entity when the head of
the DoD command or organization determines all of the following:
(i) The support does not interfere with the performance of official
duties and would in no way detract from readiness;
(ii) The sponsoring, non-Federal entity is not affiliated with the
CFC (including local CFC) or, if affiliated with the CFC, the Director,
OPM or designee has no objection to DoD support of the event;
(iii) The community relations with the immediate community and/or
other legitimate DoD interests are served by the support;
(iv) It is appropriate to associate DoD, including the concerned
Military Department, with the event;
(v) The event is of interest and benefit to the local civilian or
military community as a whole;
(vi) The DoD component command or organization is able and willing
to provide similar support to similar events that meet the criteria
sponsored by other non-Federal entities;
(vii) The use is not restricted by other statutes or regulations;
and
(viii) Except for a fundraising event that meets all other criteria
for DoD participation, no admission fee beyond reasonable costs is
charged for the event, no admission fee beyond reasonable costs is
charged for the portion of the event supported by DoD, or DoD support
to the event is incidental to the entire event in accordance with
public affairs guidance.
(2) Involvement of DoD resources in air shows sponsored by non-
Federal entities is approved or disapproved by the Office of the
Assistant Secretary of Defense (Public Affairs).
(3) Speeches by DoD employees at events sponsored by non-Federal
entities are not precluded when the speech expresses an official DoD
position in a public forum in accordance with public affairs guidance.
(m) Relationships governed by other authorities. The provisions of
this Chapter do not restrict activities involving certain organizations
which have a special relationship with DoD or its employees
specifically recognized by law or by other directives. Other
restrictions may apply. These organizations include:
(1) Certain banks and credit unions (32 CFR part 231);
(2) United Service Organization (DoD Directive 1330.12\9\);
---------------------------------------------------------------------------

\9\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(3) Labor organizations (5 U.S.C. Chapter 71; DoD 1400.25-M\10\,
Chapter 711);
---------------------------------------------------------------------------

\10\Written request should be forwarded to: OASD(P&R)/CPP/EEO,
room 3D269, Pentagon, Washington, DC 20301.
---------------------------------------------------------------------------

(4) Combined Federal Campaign (Executive Order 10927, 26 FR 2383, 3
CFR, 1959-1963 Comp., p. 508) DoD Directive 5035.1;
(5) Association of Management Officials and Supervisors (DoD
Instruction 5010.30\11\);
---------------------------------------------------------------------------

\11\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(6) American Registry of Pathology (10 U.S.C. 177); Henry M.
Jackson Foundation for the Advancement of Military Medicine (10 U.S.C.
178); American National Red Cross (10 U.S.C. 2542); Boy Scouts
Jamborees (10 U.S.C. 2544); Girl Scouts International Events (10 U.S.C.
2545); Shelter for Homeless (10 U.S.C. 2546); National Military
Associations; Assistance at National Conventions (10 U.S.C. 2548);
Assistance from American National Red Cross (10 U.S.C. 2602); United
Seaman's Service Organization (10 U.S.C. 2604); Scouting: Cooperation
and Assistance in Foreign Areas (10 U.S.C. 2606); and Civil Air Patrol
(10 U.S.C. 9441-9442).

Sec. 84.10 Personal participation in non-Federal entities.

(a) Participation--(1) Fundraising and other activities. Subject to
other provisions of this part, DoD employees may voluntarily
participate in activities of non-Federal entities as individuals in
their personal capacities provided they act exclusively outside the
scope of their official position. Purely personal, unofficial,
volunteer efforts to support fundraising are not prohibited where the
efforts do not imply DoD endorsement. The head of the DoD component
command or organization may authorize such activities outside the
Federal Government workplace, such as at public entrances, in community
support facilities and in personal quarters. See 5 CFR part 950 and
Executive Order 12353. These activities may be further limited by
Federal Government building and grounds regulations.
(2) Professional associations and learned societies. Agency
designees may permit their DoD employees to voluntarily participate in
the activities of non-profit professional associations and learned
societies without being charged leave and to use Federal Government
equipment or administrative support services to prepare papers to be
presented at such association or society events or to be published in
professional journals, in accordance with FPM 252 and 630\12\ and
related DoD regulations, when:
---------------------------------------------------------------------------

\12\For sale by Superintendent of Documents, Congressional Sales
Office, U.S. Government Printing Office, Washington, DC 20402.
---------------------------------------------------------------------------

(i) The participation or paper is related to the DoD employee's
official position or to DoD functions, management or mission; and
(ii) The participation or preparation of the paper does not
interfere with the performance of official DoD duties.
(3) Community support activities. Agency designees may permit their
DoD employees to voluntarily participate in community support
activities that promote civic awareness and uncompensated public
service such as disaster relief events, without being charged leave in
accordance with FPM 630 and related DoD regulations.
(4) Impartiality of agency designee and travel approving authority.
When a DoD employee requests permission to travel to or participate in
activities of a non-Federal entity and the agency designee or travel
approving authority is an active participant in the non-Federal entity,
that agency designee or travel approving authority may not act on the
DoD employee's request but shall defer such action to the next higher
superior or another independent DoD authority. See 5 CFR 2635.402 and
2635.502 and 18 U.S.C. 208.
(b) Membership and management. DoD employees may become members and
may participate in the management of non-Federal entities as
individuals in a personal capacity provided they act exclusively
outside the scope of their official position. A DoD employee may not
serve in a personal capacity as an officer, member of the Board of
Directors, or in any other similar position in any non-Federal entity
offered because of their DoD assignment or position.
(c) Impartiality of DoD Employees. DoD employees are generally
prohibited from engaging in any official activities in which a non-
Federal entity is a party or has a financial interest if the DoD
employee is an active participant in the non-Federal entity or has been
an officer in the non-Federal entity within the last year. See 5 CFR
2635.402 and 2635.502 and 18 U.S.C. 208.
(d) Interference with employment of local civilians. Enlisted
members on active duty may not be ordered or authorized to leave their
post to engage in a civilian pursuit, business, or professional
activity if it interferes with the customary or regular employment of
local civilians in their art, trade, or profession. See 10 U.S.C. 974.
(e) Competition with civilian musicians. Members of military bands
are very restricted in the degree to which they may compete off base
with civilian musicians. See 10 U.S.C. 3634, 6223 and 8634.
(f) Use of Federal Government resources--(1) Authorized uses. Other
than Federal Government time authorized in paragraphs (a)(2) and (a)(3)
of this section, Federal Government assets, employees, or property may
not be used in support of personal participation in non-Federal
entities, except as follows:
(i) Agency designees may permit occasional use of Federal
Government telephone systems in keeping with GSA rules on personal
calls, provided that such use does not interfere with the performance
of official duties. See Sec. 84.7(b) and 41 CFR 201-21.6;
(ii) Because the cost to the Federal Government is minimal, the use
of office telecommunications equipment for local calls, word processing
equipment, libraries and similar resources and facilities whose use
would not affect Federal Government costs significantly, may be
permitted by the agency designee if:
(A) The non-Federal entity is not a prohibited source;
(B) The agency designee determines that:
(1) A legitimate public interest is served by the use; or
(2) The use would enhance the professional development or skills of
the DoD employee in his current position.
(C) The use of such resources is made only during personal time,
such as excused absence, lunch period, or after duty hours; and
(D) The use does not interfere with the performance of official
duties.
(2) Prohibited uses. (i) [The following is a General Order] Because
of the potential for significant cost to the Federal Government, and
the potential for abuse, DoD employees, such as secretaries, clerks,
and military aides, may not be used to support the unofficial activity
of another DoD employee in support of non-Federal entities except as
provided in paragraph (a)(1) of this section [end of General Order].
(ii) [The following is a General Order] For the same reasons,
copiers and other duplicating equipment may not be used for unofficial
activity in support of non-Federal entities [end of General Order].
(g) Prior approval of outside employment and business activities.
(1) A DoD employee, other than a special Government employee, who is
required to file a financial disclosure report, SF 450 or SF 278, shall
obtain written approval from the agency designee before engaging in a
business activity or compensated outside employment with a prohibited
source, unless general approval has been given in accordance with
paragraph (g)(2) of this section. Approval shall be granted unless a
determination is made that the business activity or compensated outside
employment is expected to involve conduct prohibited by statute or
regulation.
(i) Business activity means any business, contractual or other
financial relationship not involving the provision of personal services
by the DoD employee. It does not include a routine commercial
transaction or the purchase of an asset or interest, such as common
stock, that is available to the general public.
(ii) Employment means any form of non-Federal Government employment
or business relationship involving the provision of personal services
by the DoD employee. It includes, but is not limited to, personal
services as an officer, director, employee, agent, attorney,
consultant, contractor, general partner or trustee.
(iii) Prohibited source has the meaning set forth in 5 CFR
2635.203(d), as modified by the separate agency designations in 5 CFR
3601.102.
(2) The DoD component DAEO or designee may, by a written notice,
exempt categories of business activities or employment from the
requirement of paragraph (g)(1) of this section for prior approval
based on a determination that business activities or employment within
those categories would generally be approved and are not likely to
involve conduct prohibited by statute or regulation.
(3) A copy of the request for prior approval and the written
approval shall be kept with the filed copy of the DoD employee's
financial disclosure report, SF 450 or SF 278, or with the local Ethics
Counselor.
(4) Such DoD employees who have not obtained prior approval and who
are, on the effective date of this supplemental rule, already engaged
in an outside activity that requires prior approval shall have 90 days
from that date to obtain such approval.
(5) Except to the extent that when procedures have been established
by higher authority for any class of DoD employee (e.g., DoD Directive
6025.7\13\, agency designees may require DoD employees under their
jurisdiction to report any outside employment or activity prior to
engaging in the employment or activity.
---------------------------------------------------------------------------

\13\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(i) The commander, head of the organization, or supervisor may
prohibit the employment or activity if he believes that the proposed
outside activity will detract from readiness or pose a security risk.
(ii) If action is not taken to prohibit the employment or activity,
the DoD employee is free to engage in the employment or activity in
keeping with other restrictions of this part.
(h) Teaching, speaking and writing--(1) Disclaimer for speeches and
writings devoted to agency matters. [The following is a General Order]
A DoD employee who uses or permits the use of his military grade or who
includes or permits the inclusion of his title or position as one of
several biographical details given to identify himself in connection
with teaching, speaking or writing, in accordance with 5 CFR
2635.807(b)(1), shall make a disclaimer if the subject of the teaching,
speaking or writing deals in significant part with any ongoing or
announced policy, program or operation of the DoD employee's agency, as
defined in 5 CFR 3601.102(a), and the DoD employee has not been
authorized by appropriate agency authority to present that material as
the agency's position.
(i) The required disclaimer shall expressly state that the views
presented are those of the speaker or author and do not necessarily
represent the views of DoD or its components.
(ii) Where a disclaimer is required for an article, book or other
writing, the disclaimer shall be printed in a reasonably prominent
position in the writing itself. Where a disclaimer is required for a
speech or other oral presentation, the disclaimer may be given orally
provided it is given at the beginning of the oral presentation [end of
General Order].
(2) Security clearance. A lecture, speech, or writing that pertains
to military matters, national security issues, or subjects of
significant concern to DoD shall be reviewed for clearance by
appropriate security and public affairs offices prior to delivery or
publication.
(3) Honoraria. Compensation for a lecture, speech or writing may be
restricted by the honoraria prohibition of the Ethics in Government Act
(5 U.S.C. App.), 5 CFR part 2636, and by 5 CFR 2635.807.
Subpart D--Travel Benefits
Sec. 84.11 Acceptance of official travel benefits in kind or payment
for official travel expenses.
(a) Acceptance from non-Federal sources--(1) Official travel.
Official travel by DoD employees shall be funded by the Federal
Government except that DoD components may accept official travel
benefits, including in kind subsistence and accommodations and payments
or reimbursements of expenses, from non-Federal sources as provided in
this subpart of this part.
(2) Personal travel. This subpart does not apply to travel benefits
provided to DoD employees in their personal capacities. However, DoD
employees must report such travel expenses when appropriate in
accordance with subpart G of this part. There may be limitations on
acceptance of travel benefits in a personal capacity, including
limitations on acceptance from prohibited sources, because of official
position, and under 41 U.S.C. 423.
(3) Acceptance procedures. Any official travel benefits from non-
Federal sources accepted by the travel approving authority must be:
(i) Approved in writing by the travel approving authority with the
advice of the DoD employee's Ethics Counselor;
(ii) If accepted under the authority granted by 31 U.S.C. 1353,
approved in advance of travel.
(4) Spousal travel. The travel approving authorities for travel of
a spouse accompanying a DoD employee on official travel that is paid
for or provided in kind by a non-Federal source are as follows:
(i) For DoD employees of OSD, Defense Agencies and OSD Field
Activities, the Executive Secretary, OSD;
(ii) For DoD employees of Military Departments, the Secretaries
concerned or their designees;
(iii) For DoD employees of the Chairman of the Joint Chiefs of
Staff and the Joint Staff, the United or Specified Commands, and the
Combined Commands and agencies, the Chairman of the Joint Chiefs of
Staff, or his designee.
(b) Acceptance of travel and related expenses by a DoD component
from non-Federal sources--(1) Attendance at a meeting or similar
function (31 U.S.C. 1353).
(i) In accordance with 31 U.S.C. 1353 and GSA travel regulations,
41 CFR 301-1.2 and part 304, Heads of DoD components may accept travel
benefits from a non-Federal source incurred by DoD employees in
connection with their attendance in an official capacity at a meeting
or similar function. The Joint Federal Travel Regulations\14\ (JFTR),
Chapter 7, part W, Paragraphs U7900-7908 (DoD Uniformed Services) and
Joint Travel Regulations\15\ (JTR), Chapter 4, part Q, Paragraphs
C4900-4908 (DoD Civilian Personnel) implement 41 CFR 301-1.2 and part
304. For detailed guidance as to the applicability and application of
specific authority, these regulations should be consulted directly.
---------------------------------------------------------------------------

\14\For sale by Superintendent of Documents, Congressional Sales
Office, U.S. Government Printing Office, Washington, DC 20402
\15\See footnote 14 to Sec. 84.11(b)
---------------------------------------------------------------------------

(ii) Where the GSA travel regulations, 41 CFR 301-1.2 and part 304,
are inconsistent with the JFTR and JTR, 41 CFR 301-1.2 and part 304 are
the controlling authorities.
(iii) A DoD component may not accept travel benefits from non-
Federal sources under any other gift acceptance authority if 31 U.S.C.
1353 applies.
(iv) Payment guidelines. DoD employees (or their spouses) shall not
accept cash payments on behalf of the Federal Government.
(A) When travel benefits are paid for rather than provided in kind,
payments from the non-Federal source will be by check or similar
instrument made payable to the United States Treasury. Any such payment
received by the DoD employee (or spouse) shall be submitted with his
travel voucher as soon as practicable.
(B) The DoD employee shall exclude from his travel voucher any
request for reimbursement for travel benefits furnished in kind by a
non-Federal source on the travel voucher to ensure that appropriate
deductions are made in the travel, per diem, or other allowances
payable by the United States.
(v) Reporting. Each travel-approving authority designated by the
DoD component Head to accept travel benefits from non-Federal sources
shall submit a report to the DoD component DAEO or designee
semiannually on April 30 and October 31 to accommodate the required
reporting to OGE on May 31 and November 30 each year. See JFTR,
Paragraph U7908 and JTR, Paragraph C4908 for details on what to report.
(2) DoD component gift acceptance statutes. In accordance with
procedures established by those DoD components with gift acceptance
authority under 10 U.S.C. 2601, travel benefits may be accepted by such
DoD component Heads or their designees.
(i) This authority may not be used to accept travel benefits
covered by 31 U.S.C. 1353.
(ii) This authority may be used to accept, for example,
reimbursement for travel benefits of flight crew members that accompany
Federal Government aircraft to international air shows or the expenses
incurred by the attendance of DoD employees at ceremonial events in
order to enhance a DoD component's public relations. This authority may
also be used to accept travel benefits offered after travel has begun
or has been completed.
(3) DoD component DAEO or designee approval. Acceptance of official
travel benefits from non-Federal sources described in Sec. 84.11(b)(1)
and (2) requires the concurrence of the DoD component DAEO or designee.
(c) Acceptance of contributions, awards and other payments by DoD
employees from tax-exempt organizations (5 U.S.C. 4111)--(1)
Applicability. Military members are permitted to accept contributions,
awards and other payments the same as civilian DoD employees in
accordance with the requirements of this section.
(2) Conditions for acceptance. Except when acceptance is permitted
under 5 CFR 2635.204(d), DoD employees are permitted to accept
contributions, awards and other payments directly from non-Federal
sources only when all of the following conditions are met:
(i) The source is tax-exempt organization described by 26 U.S.C.
501(c)(3) or a State or local government (see 5 CFR part 410, subpart
G);
(ii) The contribution, award, or payment of travel benefits is
incidental to training in non-Federal Government facilities or
attendance at a meeting;
(iii) An appropriate deduction is made from any payment by the
Federal Government to the DoD employee for their official travel
entitlement;
(iv) The contribution, award, or payment is not a reward for
services to the non-Federal source;
(v) Acceptance of the contribution, award or payment would not
reflect unfavorably on the DoD employee's ability to perform his duties
in a fair and objective manner, nor otherwise compromise the integrity
of any Federal Government action; and
(vi) The travel approving authority approves the acceptance of the
contribution, award or payment in writing.
(3) Payments from multiple sources. When more than one organization
participates in making a single contribution, award, or payment, only
the organization that selects the recipient and administers the funds
from which the contribution, award, or payment is made will be
considered the source.
(4) Reporting. (i) Financial disclosure reporting individuals must
report acceptance of these travel benefits if the fair market value of
those benefits reaches the reportable amount.
(ii) Travel benefits accepted under 5 U.S.C. 4111 shall be reported
by the travel-approving authority directly to the DoD component DAEO or
designee within 30 days after completion of travel. These reports shall
include, at a minimum, the information required for the semiannual
reports by the JFTR, Paragraph U7908 and JTR, Paragraph C4908.
(d) Receipt and disposition of foreign gifts and decorations (5
U.S.C. 7342). DoD employees may accept travel and travel-related
expenses from a foreign government in accordance with 32 CFR part 95.

Sec. 84.12 DoD guidance.

(a) Acceptance of incidental benefits. There are two basic
principles DoD employees must consider in determining whether they may
accept benefits offered incident to their official travel. See DoD
travel rules (e.g., DoD Directive 4500.9\16\).
---------------------------------------------------------------------------

\16\See footnote 4 to Sec. 84.7(d).
---------------------------------------------------------------------------

(1) Federal Government property. Anything that does not fall within
a gift exception or exclusion under 5 CFR part 2635, subpart B, or 5
CFR 3601.101-3601.108, which is received by a DoD employee as a result
of official travel, belongs to the Federal Government, regardless of
the source of the funding.
(i) Travel coupons, tickets, promotional items of more than nominal
value, frequent flyer mileage credits, and most other benefits received
by DoD employees from non-Federal sources (e.g., airlines, rental car
companies, hotels) incident to their official travel belong to the
Federal Government. They may not be used for personal purposes.
(ii) If possible, such benefits will be turned over to the
appropriate official. See JFTR, Paragraph U2010B, JTR, Paragraph C1200,
41 CFR part 301 and 41 CFR 101-25.103.
(2) Gifts from outside sources. Benefits offered to a DoD employee
from a non-Federal source incident to official travel that cannot be
used for official purposes must be treated as gifts to the DoD
employee. DoD employees may not accept such gifts if acceptance would
violate 5 CFR part 2635, subpart B.
(b) Examples of benefits considered Federal Government property--
(1) Frequent flying mileage credits. Frequent flyer mileage credits
earned as a result of official travel are the property of the Federal
Government. They shall not be used except in connection with official
travel. Credits are used in connection with official travel either by
redeeming them for airline tickets which are used for official travel
or by using them for travel upgrades while on official travel (e.g.,
airline seat upgrades, rental car upgrades, hotel upgrades). First
consideration should be given to the former. When mileage credits for
official and personal travel have been commingled in the same account,
only those credits or points that clearly can be shown to have been
derived from personal travel may be used for future personal travel.
All other points in the account belong to the Federal Government.
(2) Other awards to users of travel services. Travel companies
sometimes give away merchandise, or award points toward merchandise or
other prizes, to users of their services. If the travel services used
are paid for by the Federal Government, any resulting award belongs to
the Federal Government (e.g., if a DoD employee renting a car for
official business is offered either a calculator or points toward a
larger prize, both would belong to the Federal Government).
(c) Examples of benefits treated as gifts to an individual--(1)
Travel upgrades. Travel upgrades are commonly offered for such travel
accommodations as airline seats, rental cars, and hotel rooms. Some
travel upgrades are given on the spot without any prearranged
entitlement. Others are provided pursuant to some prearranged
entitlement, such as a coupon. DoD employees on official travel may
accept benefits such as an airline seat upgrade to first class, a
luxury rental car in place of a compact, or a hotel room with a view
instead of an interior room, for official use as long as there is no
extra charge to the Federal Government to obtain the upgrade (see 5 CFR
2635.204(c)), subject to the following:
(i) On the spot upgrades. DoD employees may accept an upgrade
offered on the spot under circumstances in which such upgrades are
generally available to the public or at least to all Federal Government
employees or all military members. For example, a travel company may
provide upgrades to remedy overbooking or overcrowding, due to a
shortage of smaller cars, or simply for customer relation purposes; or
upgrades may be offered to all military members in uniform. No upgrade
may be accepted, however, if it is provided on the basis of the DoD
employee's grade or position. Upgrades resulting from involuntary
``bumping'' while on official travel may not be used for personal
travel. See 5 CFR 2635.202(a)(2);
(ii) Use of upgrade certificates (other than those obtained for
frequent flyer miles). Some travel companies distribute coupons for
free travel upgrades as a promotional offer. DoD employees may accept
and use such coupons if they are realistically available to the general
public (e.g., widely available coupons usable by bearer) or to all
Federal Government employees or all military members (e.g., coupons
available to any Federal Government employee for official travel). DoD
employees may not use coupons provided on the basis of their grade or
position.
(2) ``Gold card'' and similar memberships. Certain airlines offer
special benefits, including free upgrades, to members of their traveler
incentive programs (e.g., Gold card, Key Club, etc.). Membership in
these programs ordinarily is earned by accumulating a large number of
travel miles during the current calendar year, or in some cases,
memberships may be purchased. DoD employees who obtain eligibility
under these circumstances (i.e., by purchasing a membership with their
personal funds or by accumulating the necessary miles, even by official
travel) may accept the membership and resulting benefits, including
travel upgrades. If membership in the program is offered to DoD
employees who have not met the usual requirements for membership,
however, primarily because of the DoD employee's grade or position,
neither the membership nor its benefits may be accepted.
(3) Prizes in ``open'' and ``closed'' contest. When travel
companies and related organizations offer prizes in a competition that
is open to the general public, so that no one must perform official
travel to win, a DoD employee may keep any prize he wins, even if he
happened to enter the contest only because of official travel (e.g., a
DoD employee flying on official business receives the winning entry
blank in an airline's contest while on the flight, but individuals not
using the airline will be given the entry blank on request). Some
travel companies and related organizations offer prizes in connection
with official travel. The prize usually is given as a result of a
drawing or some kind of contest. If competition for a prize is limited
to individuals using a certain kind of travel accommodation, which in
the case of the DoD employee is paid for by the Federal Government, any
prize won belongs to the Federal Government (e.g., an airline provides
contest entry blanks only to passengers on its planes, and the DoD
employee receives the winning entry blank while flying on official
travel).
(4) Incentives for voluntary surrender of flight reservations. DoD
employees may keep payments or free tickets received from a carrier for
voluntarily giving up a seat on an overbooked flight. DoD employees on
official travel may not voluntarily surrender their seats if the
resulting delay would interfere with the performance of duties. The
delay may not increase the cost to the Federal Government. Therefore,
travel vouchers should disclose the voluntary surrender and resulting
delays and leave must be taken as appropriate.

Sec. 84.13 Procedures and responsibilities.

(a) The travel-approving authority shall:
(1) Approve or disapprove acceptance of travel benefits in kind or
payments of travel expenses from non-Federal sources in accordance with
Sec. 84.11 (c) and (d);
(2) Acquire the concurrence of the DoD component DAEO or designee
when approving travel benefits in accordance with the conflict of
interest analysis required by 41 CFR 304-1.5;
(3) Prepare and submit a report to the DoD component DAEO or
designee reporting all travel benefits over $250 accepted in accordance
with the authority granted under 31 U.S.C. 1353 as implemented in
Sec. 84.11(b);
(4) Prepare and submit a report to the DoD component DAEO or
designee within 30 days after completion of travel during which travel
benefits have been paid by non-Federal sources under 5 U.S.C. 4111. See
Sec. 84.11(c)(3).
(b) Each DoD component DAEO or designee shall:
(1) Prepare and submit semiannual reports to OGE on acceptance of
payments under 31 U.S.C. 1353 due May 31 and November 30 each year. See
Sec. 84.11(b)(1)(v);
(2) Retain reports from the travel-approving authority under 5
U.S.C. 4111 for two years. See Sec. 84.11(c)(4);
(3) Provide written concurrence for the approval of travel benefits
in accordance with the conflict of interest analysis required by 41 CFR
304-1.5.
(c) Each traveling DoD employee shall:
(1) Provide all necessary information to the travel approving
authority for a semiannual report to the DoD component DAEO;
(2) Turn in any merchandise, frequent flyer miles or other benefits
as required under Sec. 84.12(a).

Subpart E--Conflicts of Interest

Sec. 84.14 Office of Government Ethics Regulation.

(a) See 5 CFR part 2639, ``Interpretation of 18 U.S.C. 209''
(b) See 5 CFR part 2640, ``Interpretation of 18 U.S.C. 208''

Sec. 84.15 Guidance on 18 U.S.C. 208.

(a) Conflicts and appearance of conflicts under 18 U.S.C. 208. See
5 CFR part 2635, subpart D and subpart E, OGE opinions (which are
available for purchase from the U.S. Office of Government Ethics, 1201
New York Avenue, NW., suite 500, Washington, DC 20005-3917), and 5 CFR
3601.105 for provisions on conflicts of interest under 18 U.S.C. 208.
(b) Applicability to enlistees. The provisions of 18 U.S.C. 208 and
related provisions of OGE regulations do not apply to enlisted members.
However, provisions similar to 18 U.S.C. 208 do apply to enlisted
members as follows: [The following is a General Order] except as
approved by the DoD component DAEO or designee, an enlisted member,
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 [end of General Order].
(c) Waiver of 18 U.S.C. 208(a). Pursuant to 18 U.S.C. 208(b),
application of 18 U.S.C. 208(a) may be waived.
(1) The regulatory waivers for DoD under 18 U.S.C. 208(b)(2) have
been preserved and are reprinted as follows (see 5 CFR 2635.402(d));
(i) For civilian DoD components, such waivers appear in Appendix B
to this part;
(ii) For the Department of the Army, such waivers appear in
Appendix B to this part;
(iii) For the Department of the Air Force, such waivers appear in
Appendix B to this part;
(iv) For the Department of the Navy, such waivers appear in
Appendix B to this part.
(2) Application of 18 U.S.C. 208(a) may be waived for individuals
when a financial interest is not so substantial as to be likely to
affect the integrity of the services that the Federal Government may
expect from the DoD employee. Considerations in determining whether the
interest is not so substantial as to be deemed likely to affect the
integrity of the services that the Federal Government may expect from
the DoD employee include:
(i) The extent to which the DoD employee's exercise of authority
and responsibility can affect his interest;
(ii) The relative importance of the interest in the DoD employee's
life or finances;
(iii) The potential for harm to the Federal Government and to the
DoD employee if the DoD employee's interests influence his decision-
making;
(iv) How the situation would appear to an informed public;
(v) The nature of the relationship between the DoD employee and the
individual who has the interest concerned.
(3) In order to pursue an individual waiver under 18 U.S.C.
208(b)(1) the following steps are mandatory:
(i) Before a waiver is requested, consideration should first be
given to alternative resolutions, such as disqualification,
divestiture, reassignment, or rearrangement of duties. Individual
waivers are to be considered only when all alternatives have been
exhausted. The supervisor should also consider, with the advice of the
Ethics Counselor, whether a potential violation of 18 U.S.C. 208(a)
exists. See paragraph (d) of this section. Even if the interests are
insubstantial, consideration should be given to whether the particular
matter will have a direct and predictable effect on the financial
interest. See 5 CFR 2635.402(b)(1);
(ii) A request for a waiver shall be forwarded through the chain of
command or supervision to the DoD component DAEO. The DoD component
DAEO shall consult, if practicable, on the action with OGE;
(iii) Pending the approval of the waiver, the DoD employee shall be
disqualified from participation in the particular matter that will have
an effect on the financial interest;
(iv) The waiver request shall include the Ethics Counselor's
findings of fact on the following:
(A) The manner in which the financial interest was acquired;
(B) The purpose behind the DoD employee's acquisition of the
interest;
(C) The dollar value of the interest;
(D) The potential amount by which the DoD employee's official
actions may affect the financial interest;
(E) The degree to which the DoD employee has control over official
actions which may affect the non-Federal entity;
(F) The size of the non-Federal entity and the degree to which
official actions may affect the non-Federal entity;
(G) The value of the financial interest in relation to the DoD
employee's net worth and income from other sources;
(H) The degree to which the DoD employee has control over the
financial interest, and whether it is capable of being divested.
(4) By statute, authority to grant 18 U.S.C. 208(b)(1) waivers
rests with the DoD official responsible for the DoD employee's
appointment. By Executive Order 12674, that authority shall not be
exercised without prior consultation, if practicable, with OGE. The DoD
component DAEO shall consult with OGE regarding the waiver on behalf of
the DoD official responsible for the DoD employee's appointment.
(d) Resolution of conflicts. Resolution of actual or apparent
conflicts of interest is the responsibility of the head of the DoD
component command or organization. An Ethics Counselor should be
consulted about alternatives for resolution. See subpart J of this part
for enforcement information.

Sec. 84.16 Other conflict of interest laws.

(a) Bribery and graft. (1) [The following is a General Order] All
DoD employees are prohibited from, directly or indirectly, giving,
offering, promising, demanding, seeking, receiving, accepting, or
agreeing to receive anything of value to influence any official act, to
influence commission of fraud on the United States, to induce
committing or omitting any act in violation of a lawful duty, or to
influence testimony given before an individual or non-Federal entity
authorized to hear evidence or take testimony [end of General Order].
See 18 U.S.C. 201(b).
(2) [The following is a General Order] DoD employees are also
prohibited, except as provided by law for the proper discharge of
official duties, from, directly or indirectly, giving, offering,
promising, demanding, seeking, receiving, accepting, or agreeing to
accept anything of value for or because of any official act performed
or to be performed, or for or because of any testimony given or to be
given before an individual or non-Federal entity authorized to hear
evidence or take testimony [end of General Order]. See 18 U.S.C.
201(c).
(3) These prohibitions do not apply to the payment or receipt of
witness fees authorized by law, certain travel and subsistence expenses
to appear as a witness and value of time lost in attendance at a trial,
hearing, or proceeding. Other prohibitions may apply. See 18 U.S.C.
201(d); 5 U.S.C. 5515 and 5751 and paragraph 66 of part IV, MCM, 1984
(10 U.S.C. 801-940).
(b) Compensation related to matters pending Government decision.
OGE interpretation of prohibitions under 18 U.S.C. 203 appear in 5 CFR
2635.801(d)(3). These prohibitions do not apply to enlisted members. A
DoD employee whose salary is not tied to the profitability of the non-
Federal entity's Federal Government contracts does not violate this
statute. See OGE opinion 86x9\17\ (informal). This statute prohibits
receiving compensation for any representation, including those where
there is no intent to be corrupted or to provide preferential
treatment. Representations can be either oral or written.
---------------------------------------------------------------------------

\17\Copies are available from Office of Government Ethics, 1201
New York Avenue, NW., suite 500, Washington, DC 20005-3917
---------------------------------------------------------------------------

(1) The prohibition does not apply to a DoD employee's
representation of himself, but this exception does not extend to the
representation of a distinct, legal, non-Federal entity as a
corporation, a partnership, or even a sole proprietorship. 18 U.S.C.
203(a)(2) prohibits an offer or payment of compensation, the
solicitation or receipt of which is otherwise barred.
(2) The prohibitions apply to special Government employees but only
in relation to a particular matter involving a specific party or
parties in which the special Government employee participated
personally and substantially or, absent such participation, if he
served more than a total of 60 days in the preceding 365 days, in
relation to any particular matter pending in the DoD agency.
(3) 18 U.S.C. 203 does not prohibit giving testimony under oath or
making statements required to be made under penalty of perjury.
(4) 18 U.S.C. 203 does not prohibit representation, with or without
compensation, of one's parents, spouse, child, or any person or estate
the DoD employee serves as administrator, guardian or other personal
fiduciary. This exemption is permitted only if approved by the DoD
official responsible for appointing the DoD employee to his DoD
position. The exemption may not be extended to the DoD employee's
representation of any such person in matters in which the DoD employee
has officially participated personally and substantially or in matters
which, even absent such participation, are the subject of his official
responsibility.
(5) The head of a department or agency may authorize a special
Government employee to represent his regular employer or other outside
organization in the performance of work under a Federal Government
grant or contract if the department or agency head certifies and
publishes the certification in the Federal Register that the national
interest requires such representation.
(c) Contracts with DoD employees. Contracts for the procurement of
goods and services between the Federal Government and its employees are
prohibited unless the needs of the Federal Government cannot otherwise
be met. See 48 CFR 3.601 and 3.602.
(d) Representation of others--(1) Prohibition under 18 U.S.C. 205.
18 U.S.C. 205 prohibits DoD employees, other than enlisted members,
whether or not they are employed for compensation, from personally
acting as an agent or attorney for anyone else before a department,
agency, or court in connection with any covered matter in which the
United States is a party or has a direct and substantial interest or
from prosecuting any claim against the Federal Government or receiving
any gratuity or interest in such claim for assistance in prosecuting
the claim. Covered matter means any judicial or other proceeding,
application, request for a ruling or other determination, contract,
claim, controversy, investigation, charge, accusation, arrest, or other
particular matter.
(2) Exceptions. The following are excluded from the scope of 18
U.S.C. 205:
(i) Giving testimony under oath or making statements required to be
made under penalty of perjury or representing another person, with or
without compensation, in a disciplinary, loyalty, or other personnel
administration proceeding;
(ii) Representing, with or without compensation, one's parents,
spouse, child, or a person estate the DoD employee serves as a
fiduciary, but only if approved by the DoD official responsible for
appointing the DoD employee to this DoD position. This exception does
not apply to matters in which the DoD employee has participated
personally and substantially or which, in the absence of such
participation, are the subject of his official DoD responsibility;
(iii) The head of a department or agency may allow a special
Governmental employee to represent his regular employer or other
outside organization in the performance of work under a Federal
Government grant or contract if the department or agency head certifies
and publishes the certification in the Federal Register that the
national interest requires such representation;
(iv) For special Government employees, the prohibitions apply only
to covered matters in which they participated personally and
substantially as a special Government employee. Absent such
participation, the prohibitions apply only if he served more than a
total of 60 days during the preceding 365 days and the covered matter
was pending in the DoD agency during that period.
(e) Compensation from other sources. (1) The provisions of 18
U.S.C. 209 and related provisions of OGE regulations do not apply to
enlisted members. However, provisions similar to 18 U.S.C. 209 do apply
to enlisted members as follows: [The following is a General Order] an
enlisted member, 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 [end of General Order].
(2) 18 U.S.C. 209 prohibits DoD employees from receiving pay or
allowances or supplements of pay or benefits from any source other than
the United States for the performance of official service or duties
unless specifically authorized by law. Note that a task or job that is
performed outside normal working hours does not necessarily allow
acceptance of payment for performing it. If the undertaking is part of
one's official duties, pay for its performance may not be accepted from
any source other than the United States regardless of when it was
performed.
(3) A DoD employee may continue to participate in bona fide
pension, retirement, insurance, bonus, or other employee welfare or
benefit plan maintained by his former employer. See 18 U.S.C. 209(b).
(4) Reserve military officers and certain temporarily commissioned
military officers who are ordered to active duty may continue to
receive compensation from individuals who furnished compensation to
them prior to being ordered to active duty. See 10 U.S.C. 1033 and 50
U.S.C. App. 454(f).
(f) Additional pay or allowances. [The following is a General
Order] DoD employees may not receive additional pay or allowances for
disbursement of public money or for the performance of any other
service or duty unless specifically authorized by law. See 5 U.S.C.
5536 [end of General Order].
(1) 5 U.S.C. 5536 precludes extra pay from the Federal Government
for the performance of official duties. Subject to certain limitations,
civilian DoD employees may hold two distinctly different Federal
Government positions and receive the salaries of both if the duties of
each are performed. Absent specific authority, however, military member
may not do so because any arrangement by a military member for
rendering services to the Federal Government in another position is
incompatible with the military member's actual or potential military
duties. That a military member may have leisure hours during which no
official duty is performed does not alter the result. See 52 Comp. Gen.
471 and 22 Comp. Gen. 127, 149.
(2) 5 U.S.C. 5536 applies to enlisted members and precludes
enlisted members from supplementing their official salaries from
outside sources for performing their official duties.
(g) Interference with military duties. Military officers on active
duty (except while on terminal leave) may not accept employment if it
requires separation from their organization, branch, or unit, or
interferes with the performance of military duties. See 10 U.S.C.
973(a).
(h) Civil office prohibition. Regular military officers on the
active duty list and retired regular military officers on active duty
from more than 180 days may not hold civil office, unless expressly
authorized by law. See 10 U.S.C. 973(b).
(i) Assignment of reserves for training. (1) Personnel who assign
reserves for training shall not assign them to duties in which they
will obtain information that they or their private employers may use to
gain unfair advantage over competitors. Reservists must disclose to
superiors and assignment personnel information necessary to ensure that
no conflict exists between their duty assignment and their private
interests.
(2) Commanders, or their designees, shall screen Reservists
performing training to ensure that no actual or apparent conflict
exists between their private interests and their duty assignment. While
Reservists have an affirmative obligation under this rule to disclose
material facts in this regard, receiving commands cannot assume
compliance and shall independently screen incoming personnel to avoid
conflicts of interests.
(j) Commercial dealings involving DoD employees. [The following is
a General Order] A DoD employee shall not knowingly solicit or make
solicited sales to DoD personnel who are junior in rank, grade or
position, or to the family members of such personnel, on or off duty.
In the absence of coercion or intimidation, this does not prohibit the
sale or lease of a DoD employee's non-commercial personal or real
property or commercial sales solicited and made in a retail
establishment during off-duty employment. The posting of an
advertisement in accordance with Federal Government building management
policies does not constitute solicitation for purposes of this section
[end of General Order].
(1) [The following is a General Order] In the absence of coercion
or intimidation, this does not prohibit the sale or lease by an
individual of one's non-commercial personal property or real estate,
and commercial sales made in a retail establishment during off-duty
employment. Solicitation does not include advertisements posted in
accordance with Federal Government building management policies [end of
General Order].
(2) [The following is a General Order] This prohibition includes
the solicited sale of insurance, stocks, mutual funds, real estate,
cosmetics, household supplies, vitamins, and other goods or services
[end of General Order].
(3) [The following is a General Order] Both the act of soliciting
and the act of selling as a result of soliciting are prohibited. In
both cases, however, a solicitation is necessary for a violation to
occur. While the standard prohibits a senior from making a solicited
sale to a junior or to the junior's family, sales made because a junior
approaches the senior and requests the sale to be made are not
prohibited, absent coercion or intimidation by the senior [end of
General Order].
(4) Personal commercial solicitations by the spouse or other
household member of a DoD employee to those who are junior in rank,
grade, or position to the DoD employee, may give rise to the appearance
that the DoD employee himself is using his public office for personal
gain. When a spouse or household member of a DoD employee engages in
such activity, the supervisor of the DoD employee must consult an
Ethics Counselor, and counsel the DoD employee that such activity
should be avoided where it may:
(i) Cause actual or perceived partiality or unfairness;
(ii) Involve the actual or apparent use of rank or position for
personal gain; or
(iii) Otherwise undermine discipline, morale, or authority.
(k) Related rules. (1) There is a prohibition on holding
conflicting financial interests. See 5 CFR 2635.403, 18 U.S.C. 208, and
5 CFR part 2640.
(2) There are requirements regarding seeking outside employment.
See 5 CFR 2635.601-2635.606 and subpart H of this part.
(3) There is a prohibition on engaging in outside employment or
activities that conflict with official duties. See 5 CFR 2635.802.
(4) There are limitations on certain outside activities such as
receipt of outside earned income by certain DoD Presidential appointees
or non-career DoD employees, service as an expert witness,
participation in professional associations, teaching, writing,
speaking, or fundraising. See 5 CFR 2635.804-2635.808.
(5) There is a prohibition on the receipt of honoraria. See 5 CFR
part 2636.
(6) There are prohibitions on the misuse of official position such
as improper endorsements or improper use of non-public information. See
5 CFR 2635.701-2635.705.
(7) There are prohibitions on certain post-Government service
employment. See subpart I of this part.

Subpart F--Political Activities

Sec. 84.17 Office of Personnel Management regulation.

See 5 CFR part 733, ``Political Activities of Federal Employees.''

Sec. 84.18 Political activities of civilian DoD employees.

(a) Policy. (1) The policy governing the political activities of
civilian DoD employees is derived from the Hatch Act, 5 U.S.C. 7321
through 7327, and 5 CFR part 733.
(2) Primary enforcement responsibility under the Hatch Act lies
with the Office of Special Counsel; however, DoD components have
responsibility to investigate allegations of prohibited political
activity by excepted service employees of the DoD component.
(3) It is DoD policy to encourage civilian DoD employees and
members of the Armed Forces to carry out the obligations of citizenship
to the maximum extent possible consistent with the restrictions imposed
by law and by this part.
(b) Applicability--(1) Covered DoD employees. Sections 84.17 and
84.18 apply to DoD employees who are:
(i) Competitive service employees;
(ii) Excepted service employees;
(iii) Non-appropriated fund employees as specified in the FPM,
Chapter 334, and DoD 1401.1-M.\18\
---------------------------------------------------------------------------

\18\See footnote 4 to Sec. 84.7(d)
---------------------------------------------------------------------------

(2) DoD Employees not covered. The provisions of the Hatch Act and
of this subpart of this part do not apply to civilian DoD employees
appointed to their office by the President, by and with the advice and
consent of the Senate (e.g., Secretary of Defense, Secretaries of the
Military Departments, etc.). Nevertheless, as a matter of longstanding
DoD policy, such DoD employees may not engage in activities that could
be interpreted as associating DoD with any partisan political cause or
issue. Military members are covered by Sec. 84.19.
(c) Permissible activities. Subject to paragraphs (d) and (e) of
this section, civilian DoD employees are free to:
(1) Register and vote in any election;
(2) Express an opinion as an individual privately and publicly on
political subjects and candidates;
(3) Display a political picture, sticker, badge, or button;
(4) Participate in a personal capacity in the non-partisan
activities of civic, community, social, labor, professional, or similar
organizations except as proscribed in Sec. 84.10 (a) through (g);
(5) Be a member of a political party or other political
organization and participate in its activities to the extent consistent
with law;
(6) Attend, in an individual capacity, a political convention,
rally, fundraising function or other political gathering;
(7) Sign a political petition as an individual;
(8) Make a financial contribution to a political party or
organization, except as proscribed in Sec. 84.18(e)(3);
(9) Take an active part, as an independent candidate or in support
of an independent candidate, in a partisan election covered by 5 CFR
733.124;
(10) Take an active part, as a candidate or in support of a
candidate, in a non-partisan election;
(11) Participate in an individual capacity in connection with a
question which is not specifically identified with a political party,
such as a constitutional amendment, referendum, approval of a municipal
ordinance or any other question or issue of similar character;
(12) Serve as an election judge or clerk, or in a similar position
to perform non-partisan duties as prescribed by State or local law;
(13) Otherwise participate fully in public affairs, except as
prohibited by law, in a manner which does not materially compromise the
efficiency or integrity as a DoD employee or the neutrality,
efficiency, or integrity of DoD or other Federal Government agency; and
(14) Participate in non-partisan voter registration drives.
(d) Limitations. Paragraph (e) of this section does not authorize a
DoD employee to engage in political activities in violation of law,
while on duty, or while wearing anything that identifies him as a DoD
employee. The Head of a DoD component may, in appropriate cases,
prohibit or limit participation in the permitted activity of a DoD
employee or class of DoD employees if participation in the activity
would interfere with the efficient performance of official duties, or
create a conflict or apparent conflict of interest.
(e) Prohibited activities. Civilian DoD employees may not:
(1) Use official authority or influence for the purpose of
interfering with or affecting the result of an election; or
(2) Except as specified in 5 CFR 733.124, take an active part in
political management or in a political campaign, including but not
limited to:
(i) Serving as an officer of a political party, a member of a
national, State, or local committee of a political party, an officer or
member of a committee of a partisan political club, or being a
candidate for any of these positions;
(ii) Organizing or reorganizing a political party organization or
political club;
(iii) Directly or indirectly soliciting, receiving, collecting,
handling, disbursing, or accounting for assessments, contributions, or
other funds for a partisan political purpose;
(iv) Organizing, publicizing, selling tickets to, promoting, or
actively participating in a fundraising activity of a candidate in a
partisan election or of a political party, or political club;
(v) Taking an active part in managing the political campaign of a
candidate for public office in a partisan election or a candidate for
political party office;
(vi) Becoming a candidate for, or campaigning for, an elective
public office in a partisan election;
(vii) Soliciting votes in support of, or in opposition to, a
candidate for public office in a partisan election or a candidate for
political party office;
(viii) Acting as recorder, watcher, challenger, or similar officer
at the polls on behalf of a political party or a candidate in a
partisan election;
(ix) Driving voters to the polls on behalf of a political party or
a candidate in a partisan election;
(x) Endorsing or opposing a candidate for public office in a
partisan election or a candidate for political party office in a
political advertisement, broadcast, campaign, literature, or similar
material;
(xi) Serving as a delegate, alternate, or proxy to a political
party convention;
(xii) Addressing a convention, caucus, rally, or similar gathering
of a political party in support of, or in opposition to, a partisan
candidate for public office or political party office;
(xiii) Initiating or circulating a partisan nominating petition;
(xiv) Soliciting, paying, collecting, or receiving a contribution
in the Federal Government workplace for any political party, political
fund, or other partisan recipient;
(xv) Paying a contribution in the Federal Government workplace to
any political party, political fund, or other partisan recipient.
(3) Contribute to the political campaign of another Federal
Government employee who is in his chain of command or supervision or
who is his employing authority, including the political campaign to re-
elect the President or Vice President.
(f) Exemptions. (1) The Hatch Act does not prohibit all activities
associated with a partisan election. The restrictions only apply where
the DoD employee's activity involves active participation in organized
activities where the organizing group is partisan. For example, writing
letters in support of a particular candidate for publication or
contributing to a newsletter with editorials or columns opposing one
candidate and supporting another does not violate the Act. See Blaylock
v. MSPB, 851 F.2d 1348. The activities must be in coordination with the
partisan activity. Even fundraising for political action does not
violate the activity if the fundraising organization is not associated
with a partisan group. See Biller v. MSPB, 863 F.2d 1079.
(2) DoD employees who reside in municipalities or other political
subdivisions designated by OPM in 5 CFR 733.124 are partially exempt
from the above restrictions.
(3) DoD employees in some areas of high Federal Government
employment are excepted from certain aspects of the Hatch Act as to
local elections. OPM regulations, 5 CFR part 733 should be consulted
for a list of the areas for which these exceptions apply. However, the
District Court for the District of Columbia has ruled that the
exception granted by the regulations for the District of Columbia is
incorrect and the Office of Special Counsel has chosen to support this
ruling. See Ward Three Democratic Committee v. U.S., 609 F.2d 10 and
Memorandum Opinion No. 78-853. Therefore, District of Columbia
residents are subject to the provisions of the Hatch Act without
exception.
(4) A DoD employee who works on an irregular or occasional basis is
exempt from the above restrictions on the days that he performs no
services.

Sec. 84.19 Political activities of military members.

See DoD Directive 1344.10\19\, ``Political Activities by Members of
the Armed Forces on Active Duty,'' June 15, 1990.
---------------------------------------------------------------------------

\19\See footnote 4 to Sec. 84.7(d)
---------------------------------------------------------------------------

Subpart G--Financial and Employment Disclosure

Sec. 84.20 Office of Government Ethics regulation.

See 5 CFR part 2634, ``Financial Disclosures, Qualified Trusts, and
Certificates of Divestiture for Executive Branch Employees''.

Sec. 84.21 Public financial disclosure report (SF-278).

(a) Individuals required to file--(1) Covered positions. For
purposes of this section, the following individuals are in ``covered
positions'' and are required by the Ethics in Government Act of 1978,
Public Law 95-521 (5 U.S.C. App.) to file an SF 278, with their DoD
component DAEO or designee as set out in paragraph (f) of this section:
(i) Civilian Presidential appointees;
(ii) Regular and reserve military officers whose pay grade is 0-7
or above;
(iii) Members of the Senior Executive Service;
(iv) Other civilian DoD employees, including special Government
employees, whose positions are classified above GS/GM-15 prescribed by
5 U.S.C. 5332 or whose rate of basic pay is fixed at or above 120% of
the minimum rate of basic pay for a GS/GM-15;
(v) DoD employees in the excepted service in positions that are of
a confidential or policy-making character unless they have been
excluded by the Director, OGE. See paragraph (a)(4) of this section;
(vi) Individuals serving by appointment under the Intergovernmental
Personnel Act, from State or local governments, institutions of higher
education or other eligible organizations. See 5 U.S.C. 3371-3376;
(vii) Civilian individuals who are detailed to positions described
in paragraphs (a)(1)(iii) through (a)(1)(v) of this section;
(viii) DoD component DAEOs.
(2) Waiver. An individual otherwise required to file an SF 278 but
who now is expected to perform the duties of a covered position for
less than 130 days in a calendar year, may request a waiver of any or
all reporting requirements from the Director, OGE, in accordance with 5
CFR part 2634.
(3) Exception. An individual who is nominated to or assumes a
covered position is not required to file an SF 278 if the Secretary
concerned or the DoD component DAEO determines that the individual is
not reasonably expected to perform the duties of the position for more
than 60 days in a calendar year. If such individual performs the duties
of the position for more than 60 days in a calendar year, an SF 278
shall be filed within 15 days after the 61st day of duty.
(4) Exclusion. The Director, OGE, may exclude an individual who is
in a covered position under paragraph (a)(1)(v) of this section from
the requirement to file an SF 278 in accordance with 5 CFR 2634.203.
(b) Information on covered positions. The directors of DoD
component personnel offices are responsible for providing the following
information to their DoD component DAEOs or designees:
(1) The name, position, grade, organization and entrance-on duty or
termination date of each individual assigned to the DoD component who
is required to file a new entrant or termination SF 278 immediately
upon the appointment of the individual to a position requiring filing,
or upon receipt of an SF 52, ``Request for Personnel Action,'' August
1988, requesting approval of the retirement, resignation, or removal of
the individual from such a position;
(2) By January 10 of each year, the name, position, grade, and
organization of each individual assigned to the DoD component who is
required to file an annual SF 278.
(c) Notification of requirement to file. Each DoD component DAEO or
designee shall provide appropriate notices and instructions to all
reporting individuals to ensure the timely preparation of the reports
and submission to supervisors and Ethics Counselors for review and
filing.
(d) Time of filing--(1) Nomination reports. (i) Any time after
public announcement but within five days after transmittal by the
President to the Senate of the nomination of an individual to a

[Text truncated at 120,000 characters. The full text is on the page linked above.]

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A94-5975. Public record. Not legal advice.