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# 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
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# 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
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# 1-229. Reserve Military Officer 5
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# 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
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# 1-300. DoD Policy 6

SECTION 4. GENERAL RESPONSIBILITIES 8

1-400. Head of each DoD Component 8
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# 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
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# 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
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# 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
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# 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
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# SECTION 5. REFERENCES 16

1-500. References 16

CHAPTER 2

STANDARDS OF ETHICAL CONDUCT
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# 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
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# SECTION 2. DoD SUPPLEMENT TO 5 C.F.R. PART 2635 21

2-200. Purpose 21

2-201. Designation of Separate Agency Components 21
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# 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
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# 2-300. Gifts 26

2-301. Use of Federal Government Resources 27
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# 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
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# 2-400. References 30

CHAPTER 3

ACTIVITIES WITH NON-FEDERAL ENTITIES

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION 31
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# 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
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# 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

3-210. Fundraising and Membership Drives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

3-211. Logistical Support of Non-Federal Entity Events. . . . . . . . . . . . . . . . . . . . . . . . . 37

3-212. Relationships Governed by Other Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . .38

SECTION 3. PERSONAL PARTICIPATION IN NON-FEDERAL ENTITIES . . . . . . . . . . . .39

3-300. Participation 39
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# 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
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# 3-400. References 43

CHAPTER 4

TRAVEL BENEFITS
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# SECTION 1. ACCEPTANCE OF OFFICIAL TRAVEL BENEFITS IN KIND

OR PAYMENT FOR OFFICIAL TRAVEL EXPENSES 45
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# 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
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# 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
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# SECTION 2. DoD GUIDANCE 48
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# 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
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# 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
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# 4-400. References 52
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# CHAPTER 5

CONFLICTS OF INTEREST
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# 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
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# 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
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# 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
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# 5-500. References 67

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
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# 6-201. Permissible Activities 71

6-202. Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
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# 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
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# 6-300. DoD Directive 1344.10, "Political Activities by Members of

the Armed Forces on Active Duty," June 15, 1990 75
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# SECTION 4. REFERENCES 77

6-400. References 77

CHAPTER 7

FINANCIAL AND EMPLOYMENT DISCLOSURE
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# 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
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# SECTION 2. PUBLIC FINANCIAL DISCLOSURE REPORT (SF-278) . . . . . . . . . . . . . . . . .81

7-200. Individuals Required to File. 81
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# 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
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# SECTION 3. CONFIDENTIAL FINANCIAL DISCLOSURE REPORT

(SF 450) 92
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# 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
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# 8-100. Office of Government Ethics Regulation 103

SECTION 2. CONFLICT OF INTEREST - (18 U.S.C. 208) 103
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# 8-200. Negotiating for Employment 103

8-201. Penalties 104

SECTION 3. PROCUREMENT INTEGRITY - (41 U.S.C. 423(b)) 104
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# 8-300. Soliciting, Accepting, or Discussing Employment 104

8-301. Penalties 107

SECTION 4. DoD GUIDANCE 107
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# 8-400. Appearances 107

8-401. Written Guidance 108

SECTION 5. REFERENCES 108
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# 8-500. References 108
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# CHAPTER 9

POST-GOVERNMENT SERVICE EMPLOYMENT
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# SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION 111

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

Conflict of Interest" 111
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# SECTION 2. OFFICE OF GOVERNMENT ETHICS REGULATION 113

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

Restrictions". 113
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# SECTION 3. OGE GUIDANCE ON 18 U.S.C. 207 115
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# 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
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# 9-800. Executive Order 12834 127

SECTION 9. RESTRICTIONS ON DEALING WITH CURRENT OR

FORMER DoD EMPLOYEES 128
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# 9-900. General Rule 128
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# 9-901. Terminal Leave 127

SECTION 10. REFERENCES 128

9-1000. References 129

CHAPTER 10

ENFORCEMENT
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# SECTION 1. ENFORCEMENT OF THE PROVISIONS OF THE JOINT

ETHICS REGULATION 131
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# 10-100. Penalties 131

SECTION 2. REPORTING PROCEDURES 131
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# 10-200. Reporting Suspected Violations 131

10-201. Receipt of Report 132

10-202. Violations of 41 U.S.C. 423 136

SECTION 3. REFERENCES 136
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CHAPTER 11

TRAINING
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# SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION 139
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# 11-100. 5 C.F.R. Part 2638, "Office of Government Ethics and

Executive Agency Ethics Program Responsibilities" 139
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# SECTION 2. DoD GUIDANCE 141
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# 11-200. Initial and Annual Ethics Training 141

11-201. Procurement Integrity Training 141

SECTION 3. PROCEDURES 142
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# 11-300. Combined Initial and Annual Ethics Training (CIAET) for

Calendar Year 1993 142

11-301. Initial Ethics Training (IET) for New DoD Employees . . . . . . . . . . . . . . . . . . .143
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# 11-302. Annual Ethics Training (AET) 144

11-303. Annual Ethics Training Plans 144
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# 11-304. Ethics Training Assistance 145

SECTION 4. RESPONSIBILITIES 145
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# 11-400. The Head of Each DoD Component 145

11-401. Each DoD Component DAEO 146

11-402. The head of each DoD Component command or organization 146

11-403. The DoD SOCO 146

11-404. The Director of each DoD Component Personnel Office 146

11-405. The Administrative Officer (or equivalent) of each DoD

Component command and organization 147
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# 11-406. The DoD Employees 147

SECTION 5. REFERENCES 147
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CHAPTER 12

ETHICAL CONDUCT
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# SECTION 1. EXECUTIVE ORDER 12674 149
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# 12-100. E.O. 12674 149

SECTION 2. EXECUTIVE ORDER 12834 151

12-200. E.O. 12834 151

SECTION 3. CODE OF ETHICS FOR GOVERNMENT SERVICE 153
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# 12-300. Display of Code 153

SECTION 4. DoD HUMAN GOALS 154
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# 12-400. DoD Human Goals 154

SECTION 5. ETHICAL VALUES 155
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# 12-500. General 155

12-501. Primary Ethical Values 155

SECTION 6. ETHICAL DECISION-MAKING 157
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# 12-600. General 157

12-601. Ethical Decision-Making Plan 157
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APPENDIX A

DIGEST OF LAWS
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# SECTION 1. DoD-SPECIFIC STATUTES 161
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# A-100. Synopsis of Laws 161

A-101. 10 U.S.C. 2397a, "Requirements Relating to Private

Employment Contacts Between Certain DoD Procurement

Officials and Defense Contractors" 161
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# A-102. 10 U.S.C. 2397, "Employees or Former Employees of Defense Contractors: Reports." 161

A-103. 10 U.S.C. 2397b, "Certain Former DoD Procurement Officials: Limitations on ployment by Contractors" 162

A-104. 18 U.S.C. 281, "Restriction on Retired Military Officers Regarding Certain Matters Affecting the Government" 162

A-105. 37 U.S.C. 801, "Restriction on Payment to Certain Officers 162

SECTION 2. OTHER LAWS RELATED TO STANDARDS OF ETHICAL CONDUCT 163

A-200. OGE Digest 163

A-201. Related Statutes 163

APPENDIX B

PROCUREMENT INTEGRITY
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# SECTION 1. PROCUREMENT INTEGRITY 165
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# B-100. FAR 3.104, "Procurement Integrity" 165

APPENDIX C

FORMS
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# SECTION 1. PUBLIC FINANCIAL DISCLOSURE REPORT 167
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# C-100. Standard Form 278 167
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# SECTION 2. CONFIDENTIAL FINANCIAL DISCLOSURE REPORT 169
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# C-200. Standard Form 450 169

SECTION 3. REQUEST TO INSPECT OR RECEIVE COPIES OF SF 278, FINANCIAL DISCLOSURE REPORT 171

C-300. Office of Government Ethics Form 201 171

SECTION 4. NOTIFICATION OF CONFLICT OF INTEREST REFERRAL 173

C-400. Office of Government Ethics Form 202 173

SECTION 5. SENIOR APPOINTEE PLEDGE 175

C-500. Office of Government Ethics Form 203 175

SECTION 6. TRADE NEGOTIATOR PLEDGE 177

C-600. Office of Government Ethics Form 204 177

SECTION 7. PROCUREMENT INTEGRITY TRAINING CERTIFICATE

FOR PROCUREMENT OFFICIALS 179
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# C-700. Optional Form 333 179

SECTION 8. RESERVED 181
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# C-800. Reserved 181

APPENDIX D

18 U.S.C. 208 WAIVERS
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# SECTION 1. DEPARTMENT OF DEFENSE 18 U.S.C. 208(b) WAIVER 183

D-100. 32 C.F.R. 40.1 183

SECTION 2. DEPARTMENT OF THE ARMY 18 U.S.C. 208(b) WAIVER 183

D-200. AR 600-50 183

SECTION 3. DEPARTMENT OF THE NAVY 18 U.S.C. 208(b) WAIVER 183

D-300. SECNAVINST 5370.2J 183
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# SECTION 4. DEPARTMENT OF THE AIR FORCE 18 U.S.C. 208(b)

WAIVER 185
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# D-400. AFR 30-30 185

CHAPTER 1

GENERAL INFORMATION

SECTION 1. PURPOSE

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

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

SECTION 2. DEFINITIONS

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

1-201. Agency. A 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.

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

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

in the absence of the DoD Component Designated Agency Ethics Official (DAEO).

1-204. Competing Defense Contractor. See Federal Acquisition Regulation (FAR) 3.104-4(b) (reference (a)) in Appendix B of this Regulation or 41 U.S.C. 423(p)(2) (reference (b)).

1-205. Conduct of a Procurement. See FAR 3.104-4(c) (reference (a)) in Appendix B of this Regulation or 41 U.S.C. 423(p)(1) (reference (b)).

1-206. DAEO or Designee. This phrase refers to the Designated Agency Ethics Official, or to the Alternate Designated Agency Ethics Official, Deputy Designated Agency Ethics Official, or Ethics Counselor who has been delegated specific written authority by the DoD Component DAEO to perform specific functions on behalf of the DoD Component DAEO.

1-207. Defense Contractor. Any individual, firm, corporation, partnership, association, or other legal non-Federal entity that enters into a contract directly with DoD or a DoD Component to furnish services, supplies, or both, including construction. Subcontractors are excluded 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.

1-208. Deputy Designated Agency Ethics Official (Deputy DAEO). An employee of a DoD Agency who has been appointed, in writing, by the DoD Component DAEO and who has been delegated written authority by that DoD Component DAEO to act on his behalf.

1-209. Designated Agency Ethics Official (DAEO). A DoD employee appointed, in writing, by the Head of the DoD Agency to administer the provisions of Pub. L. 95-521 (reference (c)) and this Regulation.

1-210. 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 subsection 1-201 of this Regulation, above, for those DoD Components that are Agencies.

1-211. DoD Employee

a. Any DoD civilian officer or employee (including special

Government employees) of any DoD Component (including any non-appropriated fund activity).

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

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

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

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

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

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

1-212. DoD Supplement. Subsections 2-200 through 2-207 of this Regulation contain the DoD Supplement of 5 C.F.R. 2635 (reference (d)), which is reproduced in subsection 2-100 of this Regulation.

1-213. Employment. See 5 C.F.R. 2635.603(a) (reference (d)) in subsection 2-100 of this Regulation.

1-214. Ethics Counselor. The DoD Component DAEO, Alternate DAEO, Deputy DAEO, or a DoD employee appointed in writing by the DoD Component DAEO or designee to generally assist in implementing and administering the DoD Component command's or organization's ethics program and to provide ethics advice to DoD employees of the DoD Component command or organization in accordance with this Regulation. Except for a DoD Component DAEO, Alternate DAEO, or Deputy DAEO, a DoD employee appointed as an Ethics Counselor shall only serve as a "DAEO or designee" when he has been delegated

specific written authority by the DoD Component DAEO to perform specific functions on behalf of the DoD Component DAEO. Except for a DoD Component DAEO, Alternate DAEO, or Deputy DAEO, a DoD employee appointed as an Ethics Counselor shall be an attorney. Legal assistance officers (or equivalent) who also 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 C.F.R. 2635.102.(c) (reference (d)) in subsection 2-100 of this Regulation.

1-215. Ethics Oversight Committee (EOC). A working group composed of the DoD Component DAEOs, or their representatives, and representatives of the CJCS, and the Judge Advocates General of the Military Departments.

1-216. Former DoD Employee. Any individual defined in subsection 1-211 of this Regulation, above, after termination of active duty or termination of on DoD service, including Reserve military officers who served on active duty for more than 130 days and who are no longer on active duty, or who are in an inactive or retired status.

1-217. Gratuity. Gifts as defined in 5 C.F.R. 2635.203(b) (reference (d)) in subsection 2-100 of this Regulation.

1-218. He, His, Him, Himself. These pronouns include she, hers, her and herself. (This section will be deleted in future reissuance of this Regulation.)

1-219. Head of DoD Component Command or Organization. A commander, commanding officer, or other military or civilian DoD employee who exercises command authority within a DoD Component. For the purposes of subsections 3-210.a.(6), 3-210.a.(7), and 3-211., below, the Adjutant General of each State and territory is the AHead of a DoD Component command or organization@ regarding National Guard facilities, resources, and personnel of that State or territory.

1-220. 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.

1-221. Non-Federal Entity. A non-Federal entity is generally a self-sustaining, non-Federal person or organization, established, operated and controlled by any individual(s) acting outside the scope of any official capacity as officers, employees or agents of the Federal Government. A non-Federal entity may operate on DoD installations if approved by the installation commander or higher authority under applicable regulations.

1-222. Non-Public Information. Information generally not available to the public, obtained in the course of one's official DoD duties or position, which would normally

not be releasable under the Freedom of Information Act, 5 U.S.C. 552 (reference (e)). The term "non-public information" includes "inside information," "proprietary information," and "source selection information." See 5 C.F.R. 2635.703 (reference (d)) in subsection 2-100 of this Regulation, DoD Directive 5400.7 (reference (f)), and FAR 3.104-4(j) and (k) and 3.104-5 (reference (a)) in Appendix B of this Regulation.

1-223. Office of Government Ethics. The Federal Government agency responsible for overall direction and leadership concerning Executive Branch policies related to ethics in the Federal Government. See 5 C.F.R. 2638 (reference (g)) in subsection 11-100 of this Regulation.

1-224. Personal and Substantial. See 5 C.F.R. 2635.402(b)(4) (reference (d)) in subsection 2-100 of this Regulation.

1-225. Personal Commercial Solicitation. Any effort to contact an individual to conduct or transact matters involving unofficial business, finance, or commerce. This does not include off-duty employment of DoD employees employed in retail establishments. See DoD Directive 1344.7 (reference (h)).

1-226. Procurement Official. See FAR 3.104-4(h) (reference (a)) in Appendix B of this Regulation.

1-227. Prohibited Source. See 5 C.F.R. 2635.203(d) (reference (d)) in subsection 2-100 of this Regulation.

1-228. Qualified Individual. See 5 C.F.R. 2638.702(a)(2) (reference (g)) in subsection 11-100 of this Regulation.

1-229. Reserve Military Officer. An individual who currently holds an appointment in the Reserve of a Military Department, or is a military officer of the National Guard with Federal Government recognition.

1-230. Retired Military Officer. Any military officer entitled to receive military retired pay, even though such pay may be waived or pending.

1-231. Senior DoD Official. For purposes of 18 U.S.C. 207 (reference (i)), a DoD employee:
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# (i) [E]mployed at a rate of pay specified in or fixed according to subchapter 11 of chapter 53 of [United States Code,] title 5

[(reference (e))];
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# (ii) [E]mployed in a position which is not referred to in clause a. and for which the basic rate of pay, exclusive of any locality-based pay adjustment under section 5305 of [United States Code,] title 5 [(reference (e))] (or any comparable adjustment pursuant to interim authority of the President), is equal to or greater than the rate of basic pay payable for level V of the Executive Schedule;

(iii) [A]ppointed by the President to a position under section 105(a)(2)(B) of [United States Code,] title 3 [(reference (j))] or by the Vice President to a position under section 106(a)(1)(B) of [United States Code,] title 3 [(reference (j))]; or

(iv) [E]mployed in a position which is held by an active duty commissioned officer of the uniformed services who is serving in a grade or rank for which the pay grade (as specified in section 201 of [United States Code,] title 37 [(reference (k))] is pay grade 0-7 or above.

See 18 U.S.C. 207(c)(2) (reference (i)).

1-232. 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 Regulation, enlisted members shall be considered special Government employees to the same extent that military officers are included in the meaning of the term.

1-233. Title 32 National Guard Member. National Guard members performing military training or other duties under title 32, United States Code, reference (l).

1-234. Travel Benefits. Travel related gifts, including in kind subsistence and accommodations and payments or reimbursements of expenses, from non-Federal sources.

SECTION 3. GENERAL POLICY

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

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

guidance;

b. Although OGE regulations, reprinted in this Regulation, do not apply to enlisted members of the Uniformed Services or ATitle 32 National Guard Members,@ the provisions of 5 C.F.R. 2634 (reference (m)) in subsection 7-100., below, 5 C.F.R. 2635 (reference (d)) in subsection 2-100., below, 5 C.F.R. 2638 (reference (g)) in subsection 11-100., below, 5 C.F.R. 2639 (reference (n)) in subsection 5-100., below, 5 C.F.R. 2640 (reference (o)) in subsection 5-200., below, and 5 C.F.R. 2641 (reference (p)) in subsection 9-200., below, are hereby determined to be appropriate for, and are made applicable to, enlisted members of the Uniformed Services and ATitle 32 National Guard Members@ to the same extent that these regulations apply to officers of the Uniformed Services. The following exception applies:

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

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

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

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

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

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

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

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

SECTION 4. GENERAL RESPONSIBILITIES

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

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

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

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

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

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

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

b. Appoint DoD Component Deputy DAEOs and Ethics

Counselors and delegate to them written authority to act on behalf of the DoD Component DAEO;

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

d. Ensure that written opinions regarding the applicability of 41 U.S.C. 423 (reference (b)) are provided within 30 days of request by any DoD employee provided that the request is accompanied by complete and full information necessary to render an opinion;

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

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

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

h. Certify Qualified Individuals to conduct ethics training;

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1-408. Each Agency Designee shall:

a. In accordance with subsection 3-306 of this Regulation, provide prior approval or disapproval of outside activities by DoD employees under his responsibility;

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

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

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

e. Annually determine those positions under his responsibility that require the filing of SF 450, Appendix C of this Regulation, and annual ethics and procurement integrity training.

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

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

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

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

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

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

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

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

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

1-410. The DoD Ethics Oversight Committee (EOC) shall:

a. Meet periodically, as necessary;

b. Consider general ethics issues or current issues and make recommendations to promote uniformity of ethics opinions throughout DoD;

c. Provide recommendations to DoD Component DAEOs on particular ethics matters in accordance with this Regulation;

d. Provide recommendations for DoD input on proposed ethics legislation and regulations.

1-411. The Director, Washington Headquarters Services shall:

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

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

1-412. Each Ethics Counselor shall:

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

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

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

d. Maintain a thorough understanding of current DoD ethics policy through contact with the DoD Component DAEO, attendance at periodic ethics training

courses, and other appropriate methods;

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

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

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

1-413. The Inspector General of each DoD Component shall:

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

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

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

1-414. The Director of each DoD Component Personnel Office (or equivalent) shall:

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

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

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

d. In coordination with the DoD Component DAEO or designee, establish out-processing procedures and records to advise DoD employees of available counseling

regarding post-employment and procurement integrity restrictions prior to departure from DoD;

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

1-415. The Administrative Officer (or equivalent) of each DoD Component command and organization shall:

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

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

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

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

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

1-416. Each DoD Employee shall:

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

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

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

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

e. Attend ethics and procurement integrity training as required;

f. File financial and employment disclosure reports as required.

SECTION 5. REFERENCES

1-500. References
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# (a) Federal Acquisition Regulation, Part 3.104, current edition

(b) Title 41, United States Code, Section 423

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

(d) Title 5, Code of Federal Regulations, Part 2635, "Standards of Ethical Conduct for Employees of the Executive Branch," current edition

(e) Title 5, United States Code, Chapter 53, Subchapter 11, and Sections 552 and 5305

(f) DoD Directive 5400.7, "DoD Freedom of Information Act Program," May 13, 1988

(g) Title 5, Code of Federal Regulations, Part 2638, "Office of Government Ethics and Executive Agency Ethics Program Responsibilities," current edition

(h) DoD Directive 1344.7, "Personal Commercial Solicitation on DoD Installations," February 13, 1986

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

(j) Title 3, United States Code, Sections 105 and 106
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(l) Title 32, United States Code

(m) Title 5, Code of Federal Regulations, Part 2634, "Financial Disclosures, Qualified Trusts, and Certificates of Divestiture for Executive Branch Employees," current edition

(n) Title 5, Code of Federal Regulations, Part 2639, "Interpretation of 18 U.S.C. 209," current edition

(o) Title 5, Code of Federal Regulations, Part 2640, "Interpretation of 18 U.S.C. 208," current edition

(p) Title 5, Code of Federal Regulations, Part 2641, "Post-Employment Conflict of Interest Restrictions," current edition

(q) Executive Order 12674, "Principles of Ethical Conduct for

Government Officers and Employees," April 12, 1989, as amended

CHAPTER 2

STANDARDS OF ETHICAL CONDUCT

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

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

2-201. Designation of Separate Agency Components

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

(1) Department of the Army;

(2) Department of the Navy;

(3) Department of the Air Force;

(4) Defense Commissary Agency;

(5) Defense Contract Audit Agency;

(6) Defense Finance and Accounting Service;

(7) Defense Information Systems Agency;

(8) Defense Intelligence Agency;

(9) Defense Investigative Service;

(10) Defense Logistics Agency;

(11) Defense Mapping Agency;

(12) Defense Nuclear Agency;

(13) National Security Agency;

(14) Office of the Inspector General;
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(16) Armed Services Board of Contract Appeals

b. Employees of DoD Components not designated as separate Agencies, including employees of OSD, will be treated as employees of DoD which shall be treated as a single Agency that is separate from the above listed agencies for purposes of determining whether the donor of a gift is a prohibited source under 5 C.F.R. 2635.203(d) (reference (a)) in subsection 2-100 of this Regulation, and for identifying the DoD employee's Agency under 5 C.F.R. 2635.807 (reference (a)) in subsection 2-100 of this Regulation, governing teaching, speaking and writing.

2-202. Additional Exceptions for Gifts from Outside Sources. In addition to the gifts which come within the exceptions set forth in 5 C.F.R. 2635.204 (reference (a)) in subsection 2-100 of this Regulation, and subject to all provisions of 5 C.F.R. 2635.201 through 2635.205 (reference (a)) in subsection 2-100 of this Regulation, a DoD employee may accept gifts from outside sources otherwise prohibited by 5 C.F.R. 2635.202(a) (reference (a)) in subsection 2-100 of this Regulation, as follows:

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

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

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

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

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

members with such interests, if the DoD Component DAEO or designee determines that:

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

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

2-203. Additional Limitations on Gifts Between DoD Employees. The following limitations shall apply to gifts from groups of DoD employees that include a subordinate and to voluntary contributions to gifts for superiors permitted under 5 C.F.R. 2635.304(c)(1) (reference (a)) in subsection 2-100 of this Regulation:

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

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

(2) The value of a gift or gifts from two or more donating groups shall be aggregated and shall be considered to be from a single donating group if the DoD employee offered the gift knows or has reason to know that an individual who is his subordinate is a member of more than one of the donating groups.

b. Voluntary Contribution. For purposes of 5 C.F.R. 2635.304(c)(1), (reference (a)) in subsection 2-100 of this Regulation, the nominal amount of a voluntary contribution that a DoD employee may solicit from another DoD employee for a group gift to the contributing DoD employee's

superior for any special, infrequent occasion shall not exceed $10. A voluntary contribution of a nominal amount for food, refreshments and entertainment for the superior, the personal guests of the superior and other attendees at an event to mark the occasion for which a group gift is given may be solicited as a separate, voluntary contribution not subject to the $10 limit.

2-204. Standard for Accomplishing Disqualification

a. Disqualifying Financial Interests. A DoD employee who is required, in accordance with 5 C.F.R. 2635.402(c) (reference (a)) in subsection 2-100 of this Regulation, to disqualify himself from participation in a particular matter to which he has been assigned shall, notwithstanding the guidance in 5 C.F.R. 2635.402(c)(1) and (2) (reference (a)) in subsection 2-100 of this Regulation, provide written notice of disqualification to his supervisor upon determining that he will not participate in the matter.

b. Disqualification to Ensure Impartiality. A DoD employee who is required, in accordance with 5 C.F.R. 2635.502(e) (reference (a)) in subsection 2-100 of this Regulation, to disqualify himself from participation in a particular matter involving specific parties to which he has been assigned shall, notwithstanding the guidance in 5 C.F.R. 2635.502(e)(1) and (2) (reference (a)) in subsection 2-100 of this Regulation, provide written notice of disqualification to his supervisor upon determining that he will not participate in the matter.

c. Disqualification From Matter Effecting Prospective Employers. A DoD employee who is required, in accordance with 5 C.F.R. 2635.604(a) (reference (a)) in subsection 2-100 of this Regulation, to disqualify himself from participation in a particular matter to which he has been assigned shall, notwithstanding the guidance in 5 C.F.R. 2635.604(b) and (c) (reference (a)) in subsection 2-100 of this Regulation, provide written notice of disqualification to his supervisor upon determining that he will not participate in the matter.

d. Withdrawal of Notification. A DoD employee may withdraw written notice under subsections 2-204(a), (b) or (c) of this Regulation, above, upon deciding that disqualification from participation in the matter is no longer required.

2-205. Limitation on Solicited Sales. 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.

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

a. A DoD employee, other than a special Government employee, who is required to file a financial disclosure report, SF 450 or SF 278, Appendix C of this Regulation, 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 subsection 2-206(b) of this Regulation, below. 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. Also see subsection 2-303 of this Regulation, below.

(1) 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.

(2) Employment means any form of non-Federal 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.

(3) Prohibited source has the meaning set forth in 5 C.F.R. 2635.203(d) (reference (a)) in subsection 2-100 of this Regulation, as modified by the separate DoD Component Agency designations in subsection 2-201 of this Regulation, above.

b. The DoD Component DAEO or designee may, by a written notice, exempt categories of business activities or employment from the requirement of subsection 2-206(a) of this Regulation, above, 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.

2-207. Disclaimer for Speeches and Writings Devoted to Agency Matters. 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 C.F.R. 2635.807(b) (reference (a)) in subsection 2-100 of this Regulation, 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 subsection 2-201 of this Regulation, above, and the DoD employee has not been authorized by appropriate Agency authority to present that material as the Agency's position. The disclaimer shall be made as follows:

a. 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;

b. 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;

c. 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.

SECTION 3. DoD GUIDANCE

2-300. Gifts

a. Procurement Officials. In addition to the restrictions on gifts in 5 C.F.R. 2635, Subpart B (reference (a)) in subsections 2-100 and 2-202 of this Regulation, procurement officials are subject to the gift acceptance restrictions of the procurement integrity statute. See 41 U.S.C. 423 (reference (c)) and FAR 3.104 (reference (d)) in Appendix B of this Regulation.

b. Gifts from Foreign Governments. There are special DoD rules governing gifts from foreign governments. See 5 U.S.C. 7342 (reference (e)) and DoD Directive 1005.13 (reference (f)). For the purposes of gifts from foreign governments, the following interpretations apply:

(1) The values of gifts from different officials of the same foreign government during the same presentation shall be aggregated and such gifts are considered to be from that foreign government. A gift from the spouse of a representative or official of a foreign government is deemed a gift from the representative or official. A gift given to the spouse of the DoD employee is deemed a gift to the DoD employee. Conditions and exceptions regarding gifts to and from spouses in 5 U.S.C. 7342 (reference (e)) may apply.

(2) Gifts received at separate presentations, even on the same day or from the same official, are separate gifts and their values are not aggregated. When more than one gift is included in a single presentation, only those gifts with an aggregate of less than the minimum allowed may be retained by the DoD employee, the remainder to be disposed of in accordance with enclosure 2 of DoD Directive 1005.13 (reference (f)).

c. Ship Launch and Similar Ceremonies. Unless the gift is otherwise acceptable under an exception in 5 C.F.R. 2635, Subpart B (reference (a)) in subsection 2-100 of this Regulation, 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 (reference (e))):

(1) 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;

(2) 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:
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(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
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2-301. Use of Federal Government Resources.

a. Communication Systems. See GSA regulation 41 C.F.R. Subpart 201-21.6 (reference (h)) on use of Federal Government telephone systems. Federal Government communication systems and equipment (including Government owned telephones, facsimile machines, electronic mail, internet systems, and commercial systems when use is paid for by the Federal Government) shall be for official use and authorized purposes only.

(1) Official use includes emergency communications and communications that the DoD Component determines are necessary in the interest of the Federal Government. Official use may include, when approved by theater commanders in the interest of morale and welfare, communications by military members and other DoD employees who are deployed for extended periods away from home on official DoD business.

(2) Authorized purposes include brief communications made by DoD employees while they are traveling on Government business to notify family members of official transportation or schedule changes. They also include personal communications from the DoD employee's usual work place that are most reasonably made while at the work place (such as checking in with spouse or minor children; scheduling doctor and auto or home repair appointments; brief internet searches; e-mailing directions to visiting relatives) when the Agency Designee permits categories of communications, determining that such communications:

(a) Do not adversely affect the performance of official duties by the DoD employee or the DoD employee's organization;

(b) Are of reasonable duration and frequency, and whenever possible, made during the DoD employee's personal time such as after duty hours or lunch periods;

(c) Serve a legitimate public interest (such as keeping DoD employees at their desks rather than requiring the use of commercial systems; educating the DoD employee on the use of the communications system; improving the morale of DoD employees stationed for extended periods away from home; enhancing the professional skills of the DoD employee; job-searching in response to Federal Government downsizing);

(d) Do not put Federal Government communications systems to uses that would reflect adversely on DoD or the DoD Component (such as uses involving pornography; chain letters; unofficial advertising, soliciting or selling except on authorized bulletin boards established for such use; violations of statute or regulation; inappropriately handled classified information; and other uses that are incompatible with public service); and

(e) Do not overburden the communication system (such as may be the case with broadcasts and group mailings), create no significant additional cost to DoD or the DoD Component, and in the case of long distance communications, charges are:
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number or other non-Federal Government number (third number call);

2 Made to a toll-free number;
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4 Charged to a personal telephone credit card; or

5 Otherwise reimbursed to DoD or the DoD Component in accordance with established collection procedures;

(3) In accordance with applicable laws and regulations, use of Federal Government communications systems may be monitored. See DoD Directives 4640.1 (reference (i)) and 4640.6 (reference (j)). DoD employees shall use Federal Government communications systems with the understanding that such use serves as consent to monitoring of any type of use, including incidental and personal uses, whether authorized or unauthorized. In addition, use of such systems is not anonymous. For example, for each use of the internet over Federal Government systems, the name and computer address of the DoD employee user is recorded by the Government and also by the locations searched.

(4) Most Federal Government communications systems are not secure. DoD employees shall not transmit classified information over any communication system unless it is transmitted using approved security procedures and practices (e.g., encryption, secure networks, secure workstations). In addition, DoD employees shall not release access information, such as passwords, to anyone unless specifically authorized to do so by the Agency Designee. See DoD Directives 5200.28 (reference (k)) and C-5200.5 (reference (l)). DoD employees should exercise extreme care when transmitting any sensitive information, or other valued data. Information transmitted over an open network (such as through unsecure e-mail, the internet, or telephone) may be accessible to anyone else on the network. Information transmitted through the internet or by e-mail, for example, is accessible to anyone in the chain of delivery. Internet information and e-mail messages may be re-sent to others by anyone in the chain.

b. Other Federal Government Resources. Other than the use of Federal Government communications systems authorized in accordance with subsection 2-301.a. of this Regulation, above; the use of Federal Government resources as logistical support to non-Federal entity events in accordance with subsection 3-211 of this Regulation, below; and the use of Federal Government time authorized in accordance with subsection 3-300 of this Regulation, below; Federal Government resources, including personnel, equipment, and property, shall be used by DoD employees for official purposes only, except as follows:

(1) Agency Designees may permit their DoD employees to make limited personal use of Federal Government resources other than personnel, such as typewriters, calculators, libraries, and other similar resources and facilities, if the Agency Designee determines the following:

(a) The use does not adversely affect the performance of official duties by the DoD employee or the DoD employee's organization;

(b) The use is of reasonable duration and frequency, and made only during the DoD employee's personal time such after duty hours or lunch periods;

(c) The use serves a legitimate public interest (such as supporting local charities or volunteer services to the community; enhancing the professional skills of the DoD employee; job-searching in response to Federal Government downsizing);

(d) The use does not put Federal Government resources to uses that would reflect adversely on DoD or the DoD Component (such as involving commercial activities; unofficial advertising, soliciting or selling; violation of statute or regulation; and other uses that are incompatible with public service); and

(e) The use creates no significant additional cost to DoD or the DoD Component.

(2) The use of personnel for non-Federal purposes is regulated by subsections 3-211 and 3-305 of this Regulation, below.

2-302. Gambling

a. 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 C.F.R. 735.201 (reference (m)) except:

(1) Activities necessitated by a DoD employee's law enforcement duties;

(2) Activities by organizations composed primarily of DoD employees or their dependents for the benefit of welfare funds for their own members or for the benefit of other DoD employees or their dependents, subject to the limitations of local law and subsections 3-210 and 3-211 of this Regulation, below, when approved by the Head of the DoD Component or designee;

(3) 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; or

(4) Purchases of lottery tickets authorized by any State from blind vendors licensed to operate vending facilities in accordance with 20 U.S.C. 107a(5) (reference (n)).

b. Gambling with a subordinate may be a violation of Articles 133 and 134 of the Uniform Code of Military Justice (UCMJ) (reference (g)).

c. Gambling may be prohibited by Federal Government building and grounds regulations, such as 32 C.F.R. Part 40b (reference (o)) which prohibits gambling in the Pentagon.

2-303. Outside Employment and Activity. In addition to subsection 2-206 of this Regulation, above, 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 (reference (p))), 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 subsection 3-306 of this Regulation, below.

a. 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.

b. 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 Regulation.

2-304. 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.

SECTION 4. REFERENCES

2-400. References
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(b) Title 26, United States Code, Section 501

(c) Title 41, United States Code, Section 423

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

(e) Title 5, United States Code, Sections 7301 and 7342

(f) DoD Directive 1005.13, "Gifts from Foreign Governments," October 13, 1988

(g) Title 10, United States Code, Sections 801 through 940 (Uniform Code of Military Justice), and 2601

(h) Title 41, Code of Federal Regulations, 201-21.6, "Use of Government Telephone Systems," current edition

(i) DoD Directive 4640.1, "Telephone Monitoring and Recording," January 15, 1980

(j) DoD Directive 4640.6, "Communications Security Telephone Monitoring and Recording," June 26, 1981

(k) DoD Directive 5200.28, "Security Requirements for Automated Information Systems," March 21, 1988

(l) DoD Directive C-5200.5, "Communications Security," April 21, 1990

(m) Title 5, Code of Federal Regulations, 735.201, "Gambling,@ current edition

(n) Title 20, United States Code, Section 107a

(o) Title 32, Code of Federal Regulations, Part 40b, "Conduct on the Pentagon Reservation," current edition

(p) DoD Directive 6025.7, "Off-Duty Employment by DoD Health Care Providers," October 21, 1985

CHAPTER 3

ACTIVITIES WITH NON-FEDERAL ENTITIES

SECTION 1. OFFICE OF GOVERNMENT ETHICS REGULATION

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" (reference (a))
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3-200. Attendance

a. 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. (reference (b)) and 37 U.S.C. 412 (reference (c)), such as training a DoD employee beyond maintaining professional credentials or gathering information of value to the DoD.

b. DoD employees are prohibited from attending events sponsored by non-Federal entities in their official DoD capacities at Federal Government expense solely to acquire or maintain professional credentials that are a minimum requirement to hold the DoD position. See 5 U.S.C. 5946 (reference (b)) and 31 U.S.C. 1345 (reference (d)).

3-201. Membership

a. DoD employees may serve as DoD liaisons to non-Federal entities when appointed by the head of the DoD Component command or organization who determines there is a significant and continuing DoD interest to be served by such representation. Liaisons serve as part of their official DoD duties, under DoD Component memberships, and represent only DoD interests to the non-Federal entity in an advisory capacity. Liaisons may not be involved in matters of management or control of the non-Federal entity. Liaisons may officially represent DoD in discussions of matters of mutual interest with non-Federal entities providing it is made clear to the non-Federal entities that the opinions expressed by liaisons do not bind DoD or any DoD Component to any action.

b. 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 memberships in accordance with opinions of the Comptroller General, such as 24 Comp. Gen. 814 (reference (e)). DoD is prohibited from paying for individual memberships by 5 U.S.C. 5946 (reference (b)). See also 10 U.S.C. 2601 (reference (f)). See subsection 3-301 of this Regulation, below, regarding allotments for payment of individual memberships held in a personal capacity.

* 3-202. Management. DoD employees may not participate in their official DoD capacities in the management of non-Federal entities without authorization from the DoD General Counsel, except as set out below.

a. The Secretary concerned, with the concurrence of the DoD General Counsel, may authorize, on a case-by-case basis, an employee under the Secretary=s jurisdiction to serve without compensation as a director, officer, or trustee, or otherwise to participate in the management of an entity designated by the DoD General Counsel in accordance with section 3-

* 202.b., below. Any such authorization shall be in writing, and shall identify the particular

* employee to participate, specify the capacity in which that employee shall participate, and identify the entity. Such authorization may be made only for the purpose of providing oversight and advice to, and coordination with, the designated entity. Such authorization may not extend to participation in the day-to-day operations of the entity, nor involve the expenditure of appropriated funds except in the direct support of the employee. Such expenditures may not include travel and transportation allowances incurred by the employee while in a travel status. Participation in the management of the non-Federal entity may not constitute the employee's primary duty.

b. Designated Entities:

(1) In accordance with 10 U.S.C. 1033(b) and 1589(b) (reference (g)), the following entities are eligible for authorization under section 3-202.a., above:

(a) Army Emergency Relief.

(b) Air Force Aid Society, Inc.

(c) Navy-Marine Corps Relief Society.

(d) Coast Guard Mutual Assistance.

(2) The DoD General Counsel may designate, no more frequently than semiannually, entities that are not operated for profit and are any of the following:

(a) An entity that regulates and supports the athletic programs of the service academies (including athletic conferences).

(b) An entity that regulates international athletic competitions.

(c) An entity that accredits service academies and other schools of the armed forces (including regional accrediting agencies).

(d) An entity that (i) regulates the performance, standards, and policies of military health care (including health care associations and professional societies), and (ii) has designated the position or capacity in that entity in which a member of the Armed Forces may serve if authorized under section 3-202.a., above.

c. Requests for designation under this section shall be submitted in writing to the DoD General Counsel.

d. The DoD General Counsel shall ensure that designations of entities are published in the Federal Register. The Secretary concerned shall ensure that employee authorizations under this section are published in the Federal Register, and shall provide a copy of such publications to the DoD General Counsel.

3-203. 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 C.F.R. 2635.402 and 2635.502 (reference (h)) in subsection 2-100 of this Regulation and 18 U.S.C. 208 (reference (i)).

3-204. 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 C.F.R. 2635.402 and 2635.502 (reference (h)) in subsection 2-100 of this Regulation and 18 U.S.C. 208 (reference (i)).

3-205. Remuneration. DoD employees may not receive any salary or salary supplement from a non-Federal entity for performance of DoD duties. See 18 U.S.C. 209 (reference (i)).

3-206. Co-sponsorship. A DoD Component command or organization is a co-sponsor of an event when that DoD Component command or organization is one of the organizations that develops the substantive aspects of the event or provides substantial logistical support for the event. Co-sponsorship of events with a non-Federal entity is prohibited except as follows:

a. A DoD Component command or organization may co-sponsor a civic or community activity, except for fundraising or membership drives, 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 (reference (j));

b. A DoD Component command or organization may co-sponsor a conference, seminar or similar event with a non-Federal entity when all of the following requirements are met:

(1) The head of the DoD Component command or organization finds that the subject matter of the event (or co-sponsored discrete portion) is scientific, technical or professional issues that are relevant to the mission of the DoD Component command or organization;

(2) 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 identified above, and that the event is open to interested parties;

(3) The non-Federal entity is a recognized scientific, technical, educational, or professional organization approved for this purpose by the DoD Component DAEO, giving due consideration to the prohibition against giving preferential treatment to non-Federal entity in 5 C.F.R. 2635.101(b)(8) in subsection 2-100 of this Regulation (reference (h));

(4) The DoD Component command or organization accomplishes the co-sponsorship through a written agreement that includes the nature and purpose of the event; the undertakings and liabilities of the parties; funding responsibilities and costs (including admission fees);

a disclaimer of Government liability if the DoD Component command or organization reduces the level of its participation or completely withdraws; and a statement that the non-Federal entity will not use the fact of co-sponsorship of the event to imply DoD endorsement of the organization or its other events. If applicable, the DoD Component command or organization should execute the agreement pursuant to specific statutory authority, such as a contract, grant, or cooperative agreement as identified in 31 U.S.C. 6303 through 6306 (reference (d)); a Cooperative Research and Development Agreement (CRDA) as defined in 15 U.S.C. 3710a (reference (k)); a cooperative agreement or other transaction identified in 10 U.S.C. 2371 (reference (f)).

(5) No admission fee (beyond what will cover the reasonable costs of sponsoring the event) may be charged for a co-sponsored event, or no admission fee (beyond what will cover the reasonable costs of sponsoring the event) may be charged for the discrete portions of the event co-sponsored by the DoD Component.

c. 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.

3-207. Participation in Conferences and Similar Events. Subject to the provisions of subsection 3-211 of this Regulation, below, and in accordance with public affairs regulations and 31 U.S.C. 1345 (reference (d)), 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.

3-208. Distributing Information. In accordance with public affairs regulations, official channels may be used to notify DoD employees of events of common interest sponsored by non-Federal entities.

3-209. Endorsement. Endorsement of a non-Federal entity, event, product, service, or enterprise may be neither stated nor implied by DoD or DoD employees in their official capacities and titles, positions, or organization names may not be used to suggest official endorsement or preferential treatment of any non-Federal entity except those listed in subsection 3-210., below. DoD employees may use or allow the use of their titles, positions, or organization names in conjunction with their own names only to identify themselves in the performance of their official duties. Use of titles, positions, and organization names when acting in a personal capacity is covered by subsection 3-300., below. Offering group life insurance programs sponsored by the State Military Department, to the same extent and similar manner as offering of the Servicemen=s Group Life Insurance (SGLI) program, is not an endorsement of a non-Federal entity in violation of this Regulation.

3-210. Fundraising and Membership Drives

a. DoD employees shall not officially endorse or appear to endorse membership drives or fundraising for any non-Federal entity except the following organizations

which are not subject to the provisions of subsection 3-211 of this Regulation, below:

(1) The Combined Federal Campaign (CFC);
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(b) Air Force Village;

(c) Air Force Aid Society;

(d) General and Mrs. Curtis E. LeMay Foundation.

(6) Other organizations composed primarily of DoD employees or their dependents when fundraising among their own members for the benefit of welfare funds for their own members or their dependents when approved by the head of the DoD Component command or organization after consultation with the DAEO or designee. (This includes most morale, welfare and recreation programs, regardless of funding sources).

(7) For National Guard Members who are ADoD employees@ as defined in subsection 1-211., above, charitable, community, or civic organizations, as identified in 32 U.S.C. 508 and DoD Directive 1100.20 (references (l) and (m)), when approved by the head of the DoD Component command or organization after consultation with the DAEO, or designee; provided, however, that no member of the National Guard may be ordered, coerced, or compelled to participate in or contribute to any fundraising or membership drives.

b. Fundraising by DoD employees is strictly regulated by E.O.

12353 (reference (l)), 5 C.F.R. 950 (reference (m)), DoD Directive 5035.1 (reference (n)), DoD Instruction 5035.5 (reference (o)), DoD Directive 5410.18 (reference (p)), 5 C.F.R. 2635.808 (reference (h)) in subsection 1-200 of this Regulation, and by the prohibitions against preferential treatment established in subsection 3-209 of this Regulation, above.

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

a. The head of a DoD Component command or organization may provide DoD employees in their official capacities to express DoD policies as speakers, panel members or other participants, or, on a limited basis, the use of DoD facilities and equipment (and the services of DoD employees necessary to make proper use of the equipment), as logistical support of an event sponsored by a non-Federal entity, except for fundraising and membership drive events, when the head of the DoD command or organization determines all of the following:

(1) The support does not interfere with the performance of official duties and would in no way detract from readiness;

(2) DoD community relations with the immediate community and/or other legitimate DoD public affairs or military training interests are served by the support;

(3) It is appropriate to associate DoD, including the concerned Military Department, with the event;

(4) The event is of interest and benefit to the local civilian community, the DoD Component command or organization providing the support, or any other part of DoD;

(5) The DoD Component command or organization is able and willing to provide the same support to comparable events that meet the criteria of this subsection and are sponsored by other similar non-Federal entities;

(6) The use is not restricted by other statutes (see 10 U.S.C. 2012 (reference (f)) which limits support that is not based on customary community relations or public affairs activities) or regulations; and

(7) No admission fee (beyond what will cover the reasonable costs of sponsoring the event) is charged for the event, no admission fee (beyond what will cover the reasonable costs of sponsoring the event) 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.

b. The head of a DoD Component command or organization may provide, on a limited basis, the use of DoD facilities and equipment (and the services of DoD employees necessary to make proper use of the equipment), as logistical support of a charitable fundraising event sponsored by a non-Federal entity when the head of the DoD Component command or organization determines (1) through (6) of subsection 3-211.a. of this Regulation, above, and 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. OPM has no objection to support of events that

* do not fundraise on the Federal Government workplace (which is determined by the head of the DoD

* Component command or organization.)

c. 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.

d. 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).

3-212. Relationships Governed by Other Authorities. In addition to the provisions of this Chapter, certain organizations have special relationships with DoD or its employees specifically recognized by law or by other directives. These organizations include:
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# a. Certain banks and credit unions (DoD Directive 1000.11 (reference (q)));

b. United Service Organization (DoD Directive 1330.12 (reference (r)));
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# c. Labor organizations (5 U.S.C. Chapter 71 (reference (b)); DoD 1400.25-M, Chapter 711 (reference (s)));

d. Combined Federal Campaign (E.O. 10927 (reference (t)), DoD Directive 5035.1 (reference (n)));

e. Association of Management Officials and Supervisors (DoD Instruction 5010.30 (reference (u)));

f. 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 fromAmerican 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); Civil Air Patrol (10 U.S.C. 9441-9442) (reference (f)); and Assistance for certain youth and charitable organizations (32 U.S.C. 508) (reference (l));

g. The Military Department of each State and territory (section 101 of reference (l)).

SECTION 3. PERSONAL PARTICIPATION IN NON-FEDERAL ENTITIES

3-300. Participation

a. Fundraising and Other Activities. Subject to other provisions of this Regulation, 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 positions.

(1) Except as provided in 5 CFR 2635.807(b) (reference (h)) in subsection 2-100 of this Regulation, DoD employees may not use or allow the use of their official titles, positions or organization names in connection with activities performed in their personal capacities as this tends to suggest official endorsement or preferential treatment by DoD of any non-Federal entity involved. Military grade and military department as part of an individual's name (e.g., Captain Smith, U.S. Navy) may be used, the same as other conventional titles such as Mr., Ms., or Honorable, in relationship to personal activities.

(2) Purely personal, unofficial volunteer efforts to support fundraising outside the Federal Government workplace are not prohibited where the efforts do not im