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CHAPTER 1 GENERAL INFORMATION SECTION 1 PURPOSE 1 1-100 Single

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CHAPTER 1 GENERAL INFORMATION SECTION 1 PURPOSE 1 1-100 Single ...

     DoD 5500.7-R

     CHAPTER 1

     GENERAL INFORMATION

    SECTION 1. PURPOSE .......................................................................................................... 1 1-100. Single Source of Guidance.......................................................................................................... 1 1-101. Disclaimer…… .......................................................................................................................... 1

SECTION 2. DEFINITIONS .................................................................................................... 1

    1-200. Administrative Officer ................................................................................................................ 1 1-201. Agency ………........................................................................................................................... 1

    1-202. Agency Designee ....................................................................................................................... 1 1-203. Alternate Designated Agency Ethics Official ............................................................................. 1 1-204. Competing Defense Contractor .................................................................................................. 2 1-205. Conduct of a Procurement ......................................................................................................... 2 1-206. DAEO or Designee .................................................................................................................... 2 1-207. Defense Contractor .................................................................................................................... 2 1-208. Deputy Designated Agency Ethics Official (Deputy DAEO) ..................................................... 2

    1-209. Designated Agency Ethics Official ............................................................................................. 2 1-210. DoD Component ........................................................................................................................ 2 1-211. DoD Employee .......................................................................................................................... 2 1-212. DoD Supplement ....................................................................................................................... 3 1-213. Employment 3

    1-214. Ethics Counselor ........................................................................................................................ 3 1-215. Ethics Oversight Committee (EOC) ........................................................................................... 4

    1-216. Former DoD Employee ....................................................................................... 4

    1-217. Gratuity 4

    1-218. He, His, Him, Himself ............................................................................................................... 4 1-219. Head of DoD Component Command or Organization ................................................................ 4

    1-220. Major Defense Contractor .......................................................................................................... 4 1-221. Non-Federal Entity .................................................................................................................... 4 1-222. Non-Public Information ............................................................................................................. 4 1-223. Office of Government Ethics ..................................................................................................... 5 1-224. Personal and Substantial ............................................................................................................ 5 1-225. Personal Commercial Solicitation .............................................................................................. 5 1-226. Procurement Official ................................................................................................................. 5 1-227. Prohibited Source ...................................................................................................................... 5

    1-228. Qualified Individual ........................................................................................... 5

    1-229. Reserve Military Officer ............................................................................................................ 5

# Second Amendment (Ch 2, 3/25/96) iii

    1-230. Retired Military Officer ............................................................................................................ 5 1-231. Senior DoD Official ................................................................................................................... 5 1-232. Special Government Employee .................................................................................................. 6 1-233. Travel Benefits .......................................................................................................................... 6

SECTION 3. GENERAL POLICY .......................................................................................... 6

    1-300. DoD Policy 6

SECTION 4. GENERAL RESPONSIBILITIES ...................................................................... 8

    1-400. Head of each DoD Component .......................................................................... 8

    1-401. DoD Component Designated Agency Ethics Official ................................................................. 8

    1-402. DoD Component Alternate Designated Agency Ethics Official ............................................... 10

    1-403. DoD Component Deputy Designated Agency Ethics Official ................................................... 10

    1-404. Head of each DoD Component command or organization ................................ 10

    1-405. General Counsel of each DoD Component ............................................................................... 11 1-406. Judge Advocate General of each Military Department ............................................................. 11

    1-407. General Counsel, DoD ............................................................................................................. 11

    1-408. Agency Designee ............................................................................................. 11

    1-409. DoD Standards of Conduct Office ........................................................................................... 12 1-410. DoD Ethics Oversight Committee ............................................................................................ 13 1-411. Director, Washington Headquarters Services ........................................................................... 13

    1-412. Ethics Counselors ............................................................................................. 13

    1-413. Inspector General of each DoD Component ............................................................................. 14 1-414. Director of each DoD Component Personnel Office ................................................................. 14

    1-415. Administrative Officer ............................................................................................................. 15

    1-416. DoD Employee .................................................................................................. 15

SECTION 5. REFERENCES ................................................................................................ 16

    1-500. References 16

     CHAPTER 2

     STANDARDS OF ETHICAL CONDUCT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION .................................. 19

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

    of the Executive Branch" .................................................................................. 19

SECTION 2. DoD SUPPLEMENT TO 5 C.F.R. PART 2635................................................ 21

    2-200. Purpose 21

    2-201. Designation of Separate Agency Components ........................................................................... 21

# Second Amendment (Ch 2, 3/25/96) iv

     DoD 5500.7-R

2-202. Additional Exceptions for Gifts from Outside Sources .............................................................. 22

    2-203. Additional Limitations on Gifts Between DoD Employees ....................................................... 23

    2-204. Standard for Accomplishing Disqualification ............................................................................ 24

    2-205. Limitation on Solicited Sales .................................................................................................... 24

    2-206. Prior Approval for Outside Employment and Business Activities .............................................. 25

    2-207. Disclaimer for Speeches and Writings Devoted to Agency Matters ........................................... 25

SECTION 3. DoD GUIDANCE ............................................................................................. 26

    2-300. Gifts 26

    2-301. Use of Federal Government Resources .............................................................. 27

    2-302. Gambling 29

    2-303. Outside Employment and Activity. ......................................................................................... 29

    2-304. Use of Military Title by Retirees or Reserves ........................................................................... 30

SECTION 4. REFERENCES ................................................................................................. 30

    2-400. References 30

     CHAPTER 3

     ACTIVITIES WITH NON-FEDERAL ENTITIES

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION................................... 31

    3-100. 5 C.F.R. 2636, "Limitations on Outside Employment and

    Prohibition of Honoraria; Confidential Reporting of Payments

    to Charities in Lieu of Honoraria" ..................................................................... 31 SECTION 2. OFFICIAL PARTICIPATION IN NON-FEDERAL ENTITIES ……………….33

    3-200. Attendance ........................................................................................................ 33

    3-201. Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    33

    3-202.

     Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33

    3-203. Impartiality of Agency Designee and Travel-Approving

    Authority . . . . . . . . . . .34

    3-204. Impartiality of DoD

    Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35

    3-205. Remuneration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    35

    3-206. Co-Sponsorship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    35

    3-207. Participation in Conferences and Similar Events . . . . . . . . . . . . . . . . . . . . . . . .

    36

    3-208. Distributing Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    36

    3-209. Endorsement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    36

# Second Amendment (Ch 2, 3/25/96) v

    3-210. Fundraising and Membership Drives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    36

    3-211. Logistical Support of Non-Federal Entity Events. . . . . . . . . . . . . . . . . . . . . . . . .

    37

# Second Amendment (Ch 2, 3/25/96) vi

     DoD 5500.7-R

    3-212. Relationships Governed by Other

    Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . .38

SECTION 3. PERSONAL PARTICIPATION IN NON-FEDERAL

    ENTITIES . . . . . . . . . . . .39

    3-300. Participation...................................................................................................... 39

    3-301. Membership and Management .................................................................................................. 40 3-302. Impartiality of DoD Employees................................................................................................. 41 3-303. Interference with Employment of Local Civilians. ................................................................... 41 3-304 Competition with Civilian Musicians ........................................................................................ 41 3-305. Use of Federal Government Resources ...................................................................................... 41 3-306. Prior Approval of Outside Employment and Business Activities ............................................... 41

    3-307. Teaching, Speaking and Writing ............................................................................................... 42

SECTION 4. REFERENCES ................................................................................................. 43

    3-400. References 43

     CHAPTER 4

     TRAVEL BENEFITS

SECTION 1. ACCEPTANCE OF OFFICIAL TRAVEL BENEFITS IN KIND

    OR PAYMENT FOR OFFICIAL TRAVEL EXPENSES.................................. 45

    4-100. Acceptance from Non-Federal Sources ..................................................................................... 45 4-101. Acceptance of Travel and Related Expenses by a DoD Component

    From Non-Federal Sources ................................................................................ 46

    4-102. Acceptance of Contributions, Awards and Other Payments by DoD Employees from Tax-Exempt

    Organizations (5 U.S.C. 4111) .............................................................................................................. 47 4-103. Receipt and Disposition of Foreign Gifts and Decorations

    (5 U.S.C. 7342)................................................................................................. 48

SECTION 2. DoD GUIDANCE ............................................................................................. 48

    4-200. Acceptance of Incidental Benefits ............................................................................................ 48 4-201. Examples of Benefits Considered Federal Government Property .............................................. 49

    4-202. Examples of Benefits Treated as Gifts to an Individual ............................................................. 50

SECTION 3. PROCEDURES AND RESPONSIBILITIES ..................................................... 51

    4-300. The travel-approving authority .................................................................................................. 51 4-301. Each DoD Component DAEO or Designee ............................................................................... 52

    4-302. Each traveling DoD employee .................................................................................................. 52

SECTION 4. REFERENCES ................................................................................................. 52

    4-400. References 52

# Second Amendment (Ch 2, 3/25/96) vii

     CHAPTER 5

     CONFLICTS OF INTEREST

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION................................... 55

    5-100. 5 C.F.R. 2639, "Interpretation of 18 U.S.C. 209" ..................................................................... 55

SECTION 2. OFFICE OF GOVERNMENT ETHICS REGULATION................................... 57

    5-200. 5 C.F.R. 2640, "Interpretation of 18 U.S.C. 208" ..................................................................... 59

SECTION 3. GUIDANCE ON 18 U.S.C. 208 ........................................................................ 59

    5-300. Conflicts and Appearance of Conflicts Under 18 U.S.C. 208.................................................... 59

    5-301. Applicability to Enlistees .......................................................................................................... 59 5-302. Waiver of 18 U.S.C. 208(a) ...................................................................................................... 59 5-303. Resolution of Conflicts ............................................................................................................. 61 61SE61CTION 4. OTHER CONFLICT OF INTEREST LAWS .................................................... 61

    5-400. Bribery and Graft .................................................................................................................... 61 5-401. Compensation Related to Matters Pending Government Decision. ............................................ 62

    5-402. Contracts with DoD Employees ................................................................................................ 63 5-403. Representation of Others ........................................................................................................... 63 5-404. Compensation From Other Sources ........................................................................................... 64 5-405. Additional Pay or Allowances .................................................................................................. 65 5-406. Interference with Military Duties .............................................................................................. 65 5-407. Civil Office Prohibition ............................................................................................................ 65 5-408. Assignment of Reserves for Training......................................................................................... 66 5-409. Commercial Dealings Involving DoD Employees...................................................................... 66

    5-410. Related Rules 67

SECTION 5. REFERENCES ................................................................................................. 67

    5-500. References…… ........................................................................................................................ 67

# Second Amendment (Ch 2, 3/25/96) viii

     DoD 5500.7-R

     CHAPTER 6

     POLITICAL ACTIVITIES

SECTION 1. OFFICE OF PERSONNEL MANAGEMENT

    REGULATION. . . . . . . . . . . . . .69

    6-100. 5 C.F.R. 734, "Political Activities of Federal

    Employees" . . . . . . . . . . . . . . . . . .69

    SECTION 2. POLITICAL ACTIVITIES OF CIVILIAN DoD EMPLOYEES ........................ 71

    6-200. Policy................................................................................................................ 71 6-201. Permissible Activities ............................................................................................................... 71

    6-202. Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    72

    6-203. Prohibited Activities ................................................................................................................. 72

    6-204 DoD Employees Residing in Designated Localities . . . . . . . . . . . . . . . . . . . . . . .

    73

    6-205 Political Recommendations. .............................................................................. 74

SECTION 3. POLITICAL ACTIVITIES OF MILITARY MEMBERS . . . . . . . . . . . . . . . . . .

    75

    6-300. DoD Directive 1344.10, "Political Activities by Members of

    the Armed Forces on Active Duty," June 15, 1990 ............................................ 75

SECTION 4. REFERENCES ................................................................................................. 77

    6-400. References 77

     CHAPTER 7

     FINANCIAL AND EMPLOYMENT DISCLOSURE

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION................................... 79

    7-100. 5 C.F.R. 2634, "Financial Disclosures, Qualified Trusts, and

    Certificates of Divestiture for Executive Branch Employees" ............................ 79

SECTION 2. PUBLIC FINANCIAL DISCLOSURE REPORT (SF-

    278) . . . . . . . . . . . . . . . . .81

    7-200. Individuals Required to File. ............................................................................. 81

    7-201. Information on Covered Positions ............................................................................................. 82 7-202. Notification of Requirement to File .......................................................................................... 82 7-203. Time of Filing 82

    7-204. Content of Report ..................................................................................................................... 84 7-205. Chain of Submission ................................................................................................................. 85 7-206. Review 86

    7-207. Disposition 91

    7-208. Public Availability of Reports .................................................................................................. 91 7-209. Penalties 91

# Second Amendment (Ch 2, 3/25/96) ix

# Second Amendment (Ch 2, 3/25/96) x

     DoD 5500.7-R

SECTION 3. CONFIDENTIAL FINANCIAL DISCLOSURE REPORT

    (SF 450) ............................................................................................................ 92

    7-300. Individuals Required to File ..................................................................................................... 92 7-301. Information on Covered Positions ............................................................................................. 94 7-302. Notification of Requirement to File .......................................................................................... 95 7-303. Time of Filing 95

    7-304. Content of Report ..................................................................................................................... 96 7-305. Chain of Submission ................................................................................................................. 96 7-306. Review……… .............................................................................................................................. 96 7-307. Disposition ........................................................................................................................ 100 7-308. Privacy Act ........................................................................................................................ 100 7-309. Status Reports ........................................................................................................................ 101 7-310. Penalties ........................................................................................................................ 101

SECTION 4. REFERENCES ............................................................................................... 102

    7-400. References ........................................................................................................................ 102

     CHAPTER 8

     SEEKING OTHER EMPLOYMENT

SECTION 1. GENERAL RULES ........................................................................................ 103

    8-100. Office of Government Ethics Regulation ................................................................................ 103

SECTION 2. CONFLICT OF INTEREST - (18 U.S.C. 208)................................................ 103

    8-200. Negotiating for Employment ................................................................................................... 103 8-201. Penalties 104

SECTION 3. PROCUREMENT INTEGRITY - (41 U.S.C. 423(b)) ..................................... 104

    8-300. Soliciting, Accepting, or Discussing Employment ................................................................... 104

    8-301. Penalties 107

SECTION 4. DoD GUIDANCE ........................................................................................... 107

    8-400. Appearances 107

    8-401. Written Guidance ................................................................................................................... 108

SECTION 5. REFERENCES ............................................................................................... 108

    8-500. References ........................................................................................................................ 108

# Second Amendment (Ch 2, 3/25/96) xi

     CHAPTER 9

     POST-GOVERNMENT SERVICE EMPLOYMENT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION................................. 111

    9-100. 5 C.F.R. 2637, "Regulations Concerning Post-Employment

    Conflict of Interest" ......................................................................................... 111

SECTION 2. OFFICE OF GOVERNMENT ETHICS REGULATION................................. 113

    9-200. 5 C.F.R. 2641, "Post-Employment Conflict of Interest

    Restrictions". ................................................................................................... 113

SECTION 3. OGE GUIDANCE ON 18 U.S.C. 207 ............................................................. 115

    9-300. Office of Government Ethics Memorandum, "Revised Materials Relating to 1815.S.C. 207,"

    November 5, 1992 115

SECTION 4. DoD GUIDANCE ON 18 U.S.C. 207 (reference (c)) ...................................... 117

    9-400. Exceptions to Restrictions of 18 U.S.C. 207 ........................................................................... 117

SECTION 5. POST-EMPLOYMENT COUNSELING AND ADVICE ................................ 118

    9-500. Written Advice ....................................................................................................................... 118

    9-501. Delegation of Authority .......................................................................................................... 119

SECTION 6. RESTRICTIONS RESULTING FROM PROCUREMENT ACTIVITIES....... 119

    9-600. 41 U.S.C. 423 119

SECTION 7. RESTRICTIONS ON RETIRED MILITARY MEMBERS ............................. 121

    9-700. Restrictions on Federal Government

    Employment . . . . . . . . . . . . . . . . . . . . . . .121

    9-701. Foreign Employment Restrictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

    126

SECTION 8. RESTRICTIONS ON FORMER SENIOR APPOINTEES . . . . . . . . . . . . . . . .

    127

    9-800. Executive Order 12834........................................................................................................... 127

SECTION 9. RESTRICTIONS ON DEALING WITH CURRENT OR

    FORMER DoD EMPLOYEES ....................................................................... 128

    9-900. General Rule 128

    # Second Amendment (Ch 2, 3/25/96) xii

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