Justice
Management Division
Serving Justice - Securing Results
Printer-friendly Ethics Handbook *
FOREWORD
April 2007
This is the seventh edition of the Ethics Handbook which summarizes
the various laws and regulations governing the conduct of Department
of Justice employees. The purpose of this handbook is to increase your
awareness of the ethics rules. We have included citations after each
rule and we suggest that you consult the full text of the law or regulation
when you have a specific question.
The ethics rules condensed here include the conflict of interest statutes
found at 18 U.S.C. §§ 202 to 209, Executive Order 12674 on Principles
of Ethical Conduct as amended by EO 12731, the uniform Standards of
Ethical Conduct for Employees of the Executive Branch at 5 CFR Part
2635, Department of Justice regulations at 5 CFR Part 3801 that supplement
the uniform standards and additional Department regulations at 28 CFR
Part 45.
The Designated Agency Ethics Official (DAEO) for the Department is
the Assistant Attorney General for Administration. The Departmental
Ethics Office is responsible for the overall direction of the ethics
program in the Department. Each Bureau, Office, Board and Division has
a Deputy DAEO who should be your first contact for advice.
Within 90 days of entering on duty, each new employee of the Department
should be given this handbook and must be allowed at least one hour
of official duty time to review the Standards of Ethical Conduct for
Employees of the Executive Branch and the supplemental Justice Department
regulations referred to above. These regulations may be found on the
Department's ethics web site at www.usdoj.gov/jmd/ethics.
If you do not have access to the Internet, contact your Deputy DAEO
to obtain a paper copy of the regulations. If you do not know who your
ethics official is, call the Departmental Ethics Office on (202) 514-8196
or consult the web site for the list of Deputy DAEOs.
Some of these rules are complex and require analysis when applying
them to specific situations. You should use this handbook as a means
of keeping yourself apprised of the general prohibitions, but you should
always seek advice from an ethics official if you are contemplating
an action that you think might be covered by the rules.
Generally, an employee who provides all the facts to an ethics official
and follows the advice given will not be disciplined for violating the
standards of conduct. Heads of components in consultation with the appropriate
Deputy DAEO grant most formal determinations on ethics questions, including
waivers and approvals.
We hope you will find the handbook useful.
The Departmental Ethics Office
CONFLICTS OF INTEREST
|
| General Rule |
You should avoid situations where your official actions affect
or appear to affect your private interests, financial or non-financial. |
| Statutory Prohibition |
You may not participate personally and substantially in a matter
in which you, your spouse, minor child or general partner has a
financial interest. This prohibition also applies if an organization
in which you serve as an officer, director, trustee, or employee
has a financial interest; or if a person or organization with which
you are negotiating for future employment has a financial interest.
18 U.S.C. § 208 |
| Impartiality Standard |
Generally, you should seek advice before participating in any
matter in which your impartiality could be questioned. You may not
participate without authorization in a particular matter having
specific parties that could affect the financial interests of members
of your household or where one of the following is a party or represents
a party: someone with whom you have or are seeking employment, or
a business, contractual or other financial relationship; a member
of your household or a relative with whom you have a close relationship;
a present or prospective employer of a spouse, parent or child;
or an organization which you now serve actively or have served,
as an employee or in another capacity, within the past year.
5 CFR 2635.502 |
| Purchase of Forfeited Property |
Without written approval, you may not purchase or use property
that has been forfeited to the Government and offered for sale by
the Justice Department.
5 CFR 3801.104 |
| Extraordinary Payments |
If you received a payment in excess of $10,000 from a former employer
that was not pursuant to an employee benefit plan, you must disqualify
yourself from matters affecting that former employer for two years
unless you receive a waiver.
5 CFR 2635.503 |
| Remedies for Conflicts |
If you have a financial conflict of interest or believe your impartiality
might be questioned, you must either disqualify yourself from taking
action that could affect your interest, or see your Deputy DAEO
about the following alternatives:
In the case of a financial interest, you may seek a waiver of the
prohibition under 18 U.S.C. § 208(b), or divest yourself of the
interest. (If you are directed to divest an interest, you may be
eligible to defer the tax consequences of divestiture.) Your component
head may grant you a waiver if your financial interest is found
to be not so substantial as to affect the integrity of your services
to the Government.
18 U.S.C. § 208(b)(1)
5 CFR 2634.1001-.1004
In a case where your impartiality might be questioned, you may obtain
a formal determination from your component head that the Department's
interest in your participation outweighs the concern that the integrity
of the Department's operations would be questioned.
5 CFR 2635.502(d)
When participating in a matter affecting your financial interests,
you have an unlimited exemption for holdings in a diversified mutual
fund and for certain employee benefit plans where the holdings may
be affected by the matter. In addition, you have an exemption of
$50,000 for aggregated interests in sector mutual funds that may
be affected by a matter in which you participate. You also have
an exemption for interests in publicly-traded securities not to
exceed $15,000 in parties to a matter and $25,000 in non-parties
affected by the matter. And, you have an exemption of $25,000 per
asset when participating in a matter of general applicability, such
as regulations and most legislation, with a combined limit of $50,000
in all entities affected by the general matter.
5 CFR 2640.201-.202 |
| Nepotism |
You may not appoint, employ, or promote a relative to a position
in the Department, or advocate a relative for appointment, employment,
promotion or advancement.
5 U.S.C. § 3110 |
| Financial Disclosure |
You may be required to file a financial disclosure report which
will be used to identify potential or actual conflicts of interest.
Check with your Deputy DAEO if you are uncertain of your filing
status.
5 CFR 2634 |
OUTSIDE ACTIVITIES
|
| General Rule |
You should not engage in any outside employment or other outside
activity that conflicts with your official duties. Employees are
prohibited from engaging in outside employment that involves criminal
matters, the paid practice of law or matters in which the Department
is or represents a party. Only the Deputy Attorney General may waive
these prohibitions.
5 CFR 2635.802
5 CFR 3801.106 |
| Approval for Certain Outside Activities |
You are required to obtain written approval for certain outside
employment including the practice of law that is not otherwise prohibited
or any outside employment involving a subject matter related to
the responsibilities of your component.
5 CFR 3801.106 |
| Representing Others |
You may not receive compensation for the representation of anyone
before an agency or court of the Federal Government on a matter
in which the U.S. is a party or has a substantial interest. This
prohibition applies whether or not you render the representation
yourself.
18 U.S.C. § 203
You also may not represent someone before an agency or court of
the Federal Government, with or without compensation, on a matter
in which the U.S. is a party or has a substantial interest.
18 U.S.C. § 205
There are exceptions to the above statutes for representing your
immediate family, testifying under oath, representing another employee
in personnel administration proceedings, and representing employee
organizations in certain matters. |
| Fundraising |
You may engage in fundraising in your personal capacity as long
as you do not solicit your subordinates or persons having business
with the Department. There is an exception for mass mailings that
do not target the above persons. You may not engage in fundraising
in your official capacity unless authorized by statute, executive
order or regulation. There is an exception for giving an official
speech at a fundraiser.
5 CFR 2635.808 |
| Service as an Expert Witness |
You may not serve as an expert witness in your private capacity
in any proceeding before the United States in which the U.S. is
a party or has an interest unless specifically authorized.
5 CFR 2635.805 |
| Official Speaking and Writing |
You may not be paid by anyone but the Government for speaking
or writing undertaken as part of your official duties.
18 U.S.C. § 209 |
| Outside Teaching, Speaking and Writing |
When you are teaching, speaking or writing in your private capacity,
you may not use nonpublic information, nor should there be any use
of your official title except as a biographical detail or where
there is a disclaimer. Generally, you may not be compensated for
teaching, speaking, or writing that relates to your official duties.
However, there is an exception for teaching in certain educational
settings. If you are a career employee, or a non-career employee
classified at GS-15 and below, what relates to your duties is a
present assignment or one assigned during the past year, or a policy,
program or operation of your component. If you are a noncareer employee
above GS-15, what relates to your duties is broader. You may not
use your official time or that of a subordinate to prepare materials.
Some components require advance review and clearance for certain
written work and speeches.
5 CFR 2635.703, .705 & .807
If you are in a non-career position above GS-15 you must have advance
authorization from the DAEO before engaging in teaching for compensation.
5 CFR 2636.307 |
| Outside Earned Income |
If you are a full-time Presidential appointee, you may not receive
earned income for any outside activity performed during that appointment.
If you are a noncareer official in a position classified above GS-15,
your outside earned income is limited to 15% of the salary for Executive
Level II. Also, if you are a political appointee classified above
GS-15, you are subject to other restrictions related to providing
fiduciary services for compensation.
5 CFR 2636.302 -.306 |
ACCEPTING THINGS OF VALUE
|
| Gifts, Entertainment and Favors from
Outside Sources |
You may not solicit or accept a gift given because of your official
position or from a prohibited source to include anyone who:
- Has or seeks official action or business with the Department;
- Is regulated by the Department;
- Has interests that may be substantially affected by the performance
of your official duties; or
- Is an organization composed mainly of persons described above.
A gift does not include items such as publicly available discounts
and prizes, commercial loans, food not part of a meal such as coffee
and donuts, and items of little value such as plaques and greeting
cards.
Unless the frequency of the acceptance of gifts would appear to
be improper, you may accept:
- Gifts based on a personal relationship when it is clear that
the motivation is not your official position.
- Gifts of $20 or less per occasion not to exceed $50 in a year
from one person.
- Discounts and similar benefits offered to a broad class, including
a broad class of government employees.
- Most genuine awards and honorary degrees although in some
cases you will need prior approval.
- Free attendance, food, refreshments and materials provided
at a conference or widely attended gathering or certain other
social events which you attend in your official capacity, with
prior approval. If you are invited to an event by someone other
than the sponsor, the cost must not exceed $335 and at least
100 people must be expected to attend.
- Gifts based on an outside business relationship such as travel
expenses related to a job interview.
5 CFR 2635.202 -.204
You should return gifts not meeting the exceptions or contact your
Deputy DAEO on how to dispose of them. Perishable items may be given
to charity or shared by your office, with approval.
5 CFR 2635.205 |
| Supplementation of Salary |
You may not receive any supplementation of your government salary
from any source except the Government for performing your official
duties.
18 U.S.C. § 209 |
| Foreign Gifts |
You are allowed to accept certain gifts from foreign governments
if they do not exceed a minimal value presently set at $335. See
your Deputy DAEO for information on how to report the acceptance
of a foreign gift.
5 U.S.C. § 7342 |
| Gifts to Superiors |
You may not give, or solicit a contribution for, a gift to an
official superior, and you may not accept a gift from an employee
receiving less pay than you if the employee is a subordinate. There
is an exception for voluntary gifts of nominal value made on a special
occasion such as marriage, illness or retirement. You also may give
an individual gift to a superior costing $10 or less, and contribute
to shared food and refreshments on other less significant occasions.
5 CFR 2635.302 & .304 |
| Travel |
Generally, you may not accept reimbursement for travel and related
expenses from any source other than the Government when you are
traveling on official duty. However, with prior written approval,
you may accept travel expenses incidental to attendance at meetings
or similar functions related to your duties from non-Federal sources
pursuant to the GSA regulations cited here. You may not accept travel
expenses for a spouse accompanying you on official travel. Consult
your Deputy DAEO on obtaining approval for yourself.
41 CFR 304
You may retain for personal use benefits from commercial sources,
including bonus flights, that result from your official travel.
You may keep a bonus offered when you volunteer to take a later
flight as long as the delay does not interfere with the conduct
of your duties and you do not charge the Government for additional
costs but you may not keep such a bonus if you are bumped from a
flight. In most cases, you may not fly first class when on official
business.
41 CFR 301 |
POLITICAL ACTIVITIES
|
| Most Employees May: |
- Register and vote as they choose.
- Assist in voter registration drives.
- Express opinions on candidates and issues.
- Be a candidate for public office in nonpartisan elections.
- Contribute money to political organizations, in general.
- Attend and be active at political rallies and meetings.
- Attend political fundraisers.
- Join and be an active member of a political party or club.
- Circulate and sign nominating petitions.
- Campaign for or against referendum questions, constitutional
amendments and municipal ordinances.
- Distribute campaign literature in partisan elections.
- Make campaign speeches for candidates in partisan elections.
- Campaign for or against candidates in partisan elections.
- Hold office in political clubs and parties.
|
| No Employees May: |
- Be a candidate in a partisan election.
- Engage in political activity while on duty, in a government
office, while wearing an official uniform or using a government
vehicle.
- Solicit political contributions from the general public or
collect contributions except from a fellow member of a Federal
labor or employee organization who is not a subordinate.
- Solicit or discourage the political activity of anyone who
has business with the Department.
- Use official authority or influence to interfere with an election.
- Wear political buttons while on duty.
5 U.S.C. §§ 7321-26
5 CFR 734
Under the statute, members of the Career Senior Executive Service,
employees of the Criminal Division, the FBI, the National Security
Division, criminal and explosive investigators in ATF, and administrative
law judges are subject to stricter rules under the pre-1994 law
whereby they are prohibited from participating actively in political
management or political campaigns. These stricter rules apply to
all DOJ political appointees under Department policy.
In certain communities, including the suburbs of Washington, D.C.
(but not Washington, D.C. itself), an employee may run as an independent
candidate in a local partisan election and solicit and receive contributions.
An election is partisan if any candidate for an elected public office
is running as a representative of a political party whose candidates
for presidential elector received votes in the last presidential
election.
5 CFR 733 |
MISUSE OF OFFICIAL POSITION
|
| General Rule |
You may not use your public office for your own private gain or
for that of persons or organizations with which you are associated
personally. Your position or title should not be used to coerce;
to endorse any product or service; or to give the appearance of
governmental sanction. For example, you may use your official title
and stationery only in response to a request for a reference or
recommendation for someone you have dealt with in Federal employment
or someone you are recommending for Federal employment.
5 CFR 2635.702 |
| Use of Government Property and Time |
Generally, you should be mindful of your responsibility to make
an honest effort to use government property and official time, including
the time of a subordinate, for official business only. However,
as a Justice Department employee, you are generally authorized to
make minimal personal use of most office equipment and library facilities
where the cost to the Government is negligible.
5 CFR 2635.704
28 CFR 45.4 |
| Government Vehicles |
Generally, an official purpose does not include your transportation
to and from the workplace; however, there are some statutorily authorized
exceptions to this rule.
31 U.S.C. §§ 1344 & 1349(b) |
| Use of Nonpublic Information |
You may not engage in a financial transaction using nonpublic
information or allow the use of such information to further your
private interests or those of another. Nonpublic information is
information you gain on the job and which has not been made available
to the general public and is not authorized to be made available
on request. (There are also statutory prohibitions on the misuse
of information involving national security, trade secrets, private
individuals and government procurement.)
5 CFR 2635.703 |
POST-EMPLOYMENT RESTRICTIONS
|
| Negotiating for Future Employment |
You may not take official action on a matter affecting the financial
interests of an organization with which you are negotiating or have
an arrangement for a job. Generally, you would disqualify yourself
from a matter in order to negotiate for a job, and employees participating
in a procurement have to report to certain officials in writing
before negotiating with a contractor competing for that procurement.
You may also have to disqualify yourself when you are merely seeking
employment, which includes sending a resume. You should get advice
from your Deputy DAEO about seeking and negotiating for employment
before you begin a job search.
18 U.S.C. § 208, 41 U.S.C. § 423, 5 CFR 2635.602 |
| Restrictions for After You Leave Government |
There are statutory prohibitions on former government employees
that generally prevent you from "switching sides" after leaving
the Government. The following are the main restrictions, but see
your Deputy DAEO for others:
Lifetime Ban
You are prohibited from communicating to or appearing before an
employee of an agency or court of the Federal Government on behalf
of another person, with the intent to influence, on a particular
matter involving specific parties in which you participated personally
and substantially while with the Government and in which the United
States is a party or has an interest.
18 U.S.C. § 207(a)(1)
Two-year Ban
You are prohibited for two years from communicating to or appearing
before an employee of a Federal court or agency on behalf of another
person, with the intent to influence, on a particular matter involving
specific parties which you know was pending under your responsibility
during your last year of government service and in which the United
States is a party or has an interest.
18 U.S.C. § 207(a)(2)
One-year Ban
If you are a "senior official" you are subject to an additional
restriction that generally prohibits you from communicating to or
appearing before an employee of the Justice Department or your component
on a matter on which you seek official action on behalf of another
person. Senior officials are Executive Level officials and SES officials
compensated above $148,953 as of January, 2008.
The threshold salary to determine which SES officials are senior
officials will increase when the salary for Executive Level positions
increases.
18 U.S.C. § 207(c)
One-year Ban for Certain Procurement and Contracting Officials
If you served in a certain critical position or made certain critical
decisions on a procurement or a contract in excess of $10 million,
you may not receive compensation from that contractor for one year.
41 U.S.C. § 423 |
SPECIAL APPLICATIONS
|
| Entering Employees |
In certain circumstances, you may not be able to maintain a financial
relationship with a former employer or accept a severance payment
or moving expenses from a private source. Consult your Deputy DAEO
for advice.
If you are an attorney, you will have to disqualify yourself in
cases you handled before entering the Government, and from other
matters involving your former law firm or clients for a certain
period, usually several years.
Generally, you will not be allowed to remain on leave of absence
from a law firm or another business entity while with the Department.
See your Deputy DAEO about any repayment of your capital contributions
over time or about retaining an interest in a contingent fee.
18 U.S.C. §§ 203,208 & 209
5 CFR 2635.502
Professional Codes |
| Post Employment Compensation |
There are restrictions on your receiving compensation, even after
you leave, based on another's representations before the Federal
government that took place while you were still a government employee.
18 U.S.C. 203 |
| Special Government Employees |
If you are a special government employee, that is, you expect
to serve for no more than 130 days in a 365-day period, you are
subject to most of the rules in this booklet. However, in some cases,
they are applied less stringently. Consult your Deputy DAEO. |
| Attorneys |
If you are an attorney with the Department, you are expected to
comply not only with the rules in this booklet, but also with relevant
professional codes of conduct. Consult your Deputy DAEO or the Professional
Responsibility Advisory Office for advice on which codes apply and
what they require. |
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