Background Information for
DOJ Order 1200.1, Part 11, Ethics

Chapter 1.  Procedures For Complying With Ethics Requirements
Aug. 25, 1998
Revised Sep. 12, 2003

Order canceled by this chapter:  DOJ 1735.1, Procedures for Complying with the Uniform Standards and other Ethics Requirements, Sept. 17, 1992. (See paragraph 6 of the Foreword.)

Changes in Department policy:

This chapter reflects the establishment of the Deparmental Ethics Office as a separate staff office within the Justice Management Division. We have included Deputy Designated Agency Ethics Officials in the review of financial disclosure reports.

Discussion of comments

We specifically requested comments on the location of definitions of key terms in the chapter instead of the dictionary. Two of the seven comments received addressed this issue. Both commenters favored including the definitions in the chapter. Although the comments do not support incorporating the definitions into every chapter, we have kept them in this chapter at the request of the program office, since there were no objections to keeping the definitions in the chapter and most of them are specific to the ethics program. We have also included them in the dictionary.

A division suggested that we include the criteria for determining who files public and confidential reports and who certifies to no conflict of interest. We did not include these criteria in the chapter because they are found in regulations (5 CFR Part 2634) cited in the reference chart at the beginning of the chapter. The division also suggested that we include the statutory citations for paragraph C.1.a. We did not adopt this suggestion because the citations are covered in the reference chart. The division suggested we insert "Confidential Disclosure" between the words "all" and "Reports" in the final bullet in paragraph D.2.i. Because the title of this section refers to confidential reports, we do not believe this is necessary. We have, as suggested, clarified in paragraph C.1. that the Agency Designee is identified below that paragraph and made other editorial changes.

Two bureaus suggested we include language in the chapter referencing other restrictions placed on employees of the law enforcement components regarding outside employment. Because the chapter sets down only the procedures for administering ethics laws and regulations, we found no logical place in the chapter to insert this information.

A bureau suggested that we note in paragraph C.3., on redelegations, that the Agency Designee may delegate his authority to the Deputy Designated Agency Ethics Official for that component. We did not adopt this suggestion because our ethics procedures are designed to involve both a management official and an ethics official in making any determinations required by the ethics rules. In most cases when such a redelegation is made, we do not object, but do not want to encourage this practice in the bifurcated decision-making process we have established.

An executive office suggested that we move the identification of the "Agency Designee" from paragraph C.2. to the section on Definitions. We did not adopt this suggestion because we are actually naming the Agency Designee for each particular group of employees, not defining the meaning of the term. Paragraph C.1. describes the functions of the Agency Designees, and we believe that the description of who they are properly belongs in this section. The executive office also suggested that we clarify that the director of the office meets the definition of component head for purposes of the order. We have adopted this suggestion.

A division commented that reviewing officials of confidential disclosure reports should be able to grant extensions to filers. The Agency Designees have the authority, in paragraph C.3., to delegate all of their responsibilities and authority under the chapter which includes the authority to grant filing extensions. The division also commented that the chapter transferred the authority to authorize paid outside law practice and criminal practice from the Deputy Attorney General to the Agency Designee. This is not true. Only the Deputy Attorney General may approve the paid outside practice of law and employee involvement in a criminal matter as set down in paragraph C.2.

Sep. 12, 2003: This chanage adds the Bureau of Alcohol, Tobacco, Firearms, and Explosives as a Bureau of the Department of Justice, pursuant to the Homeland Security Act of 2002, Pub. L. No. 107-296, 116 Stat. 2135 (2002). (The Bureau has been added to the definition of "notification and retention office in paragraph B.6.) (See paragraph 1 of Change 16.)