U.S.

Department of Justice

Washington, D.C. 20530

JAN Z9 Z016

MEMORANDUM FOR ALL DEPARTMENT EMPLOYEES

FROM: Lee J. Lofthus

Assistant Attorney General for Administration and
Designated Agency Ethics Official

SUBJECT: Off-Duty Conduct

The recent participation of some Federal employees in a range of activities that have brought
discredit on the government raises concern about the level of awareness on the part of Department
employees regarding every employee' s obligation to refrain from off-duty conduct that may
negatively impact their ability to perform their jobs or distract from the Department's mission. The
following sets forth the basis for the expectation that Department employees will comport
themselves appropriately on and off the job; explains the legal foundation for the principle that
off-duty conduct may be grounds for discipline; and gives examples of off-duty activities that have
resulted in employee discipline.

BACKGROUND

Executive Order 12674 as modified by Executive Order 12731 provides that "Public Service is a
public trust, requiring employees to place loyalty to the Constitution, the laws, and ethical
principles above private gain." Relevant to activities outside of the workplace, the Executive
Order states that

Employees shall [1] satisfy in good faith their obligations to citizens, including all
just financial obligations ... that are imposed by law... [2] adhere to all laws and
regulations that provide equal opportunity for all Americans regardless of race,
color, religion, sex, national origin, age, or handicap . .. [and 3] avoid any actions
creating the appearance that they are violating the law or the ethical standards
promulgated pursuant to this order. 1

It is important to note that Executive Order 12731 , which is implemented at and forms the basis for much of the
Standards of Ethical Conduct for Employees of the Executive Branch at 5 CFR Part 2635, has not been amended to
reflect other advances in the Nation's equal opportunity policy affecting federal employees, particularly with respect to
gay, lesbian, bisexual and transgender employees. Nevertheless, the Department is also bound by more recent
Executive Orders (see, e.g. , Executive Orders 13087 and 13672) and the Department's current EEO Policy, all of
which prohibit discrimination on the basis of gender identity or sexual orientation,
Memorandum for All Department Employees Page 2
Subject: Off-Duty Conduct

Office of Personal Management Regulations provide at 5 CFR 735.203 that

[a]n employee shall not engage in criminal, infamous, dishonest, immoral, or

notoriously disgraceful conduct, or other conduct prejudicial to the Government.

Additional specific provisions of relevant statutes and regulations require federal employees to
pay our just financial obligations, prohibit gambling on federal property, and bar illegal drug use at
all times.

NEXUS TO OFFICIAL DUTIES

Employees may be disciplined for off-duty conduct if there is a nexus (connection) between the
offending conduct and the employee' s job-related responsibilities such that the proposed
discipline would "promote the efficiency of the Service." See 5 U.S.C. § 7513(a).

An agency may show nexus between off-duty misconduct and the efficiency ofthe service by three
means: (1) a rebuttable presumption in certain egregious circumstances; (2) preponderant evidence
that the misconduct adversely affects the appellant' s or co-workers' job performance or the
agency' s trust and confidence in the appellant's job performance; or (3) preponderant evidence
that the misconduct interfered with or adversely affected the agency' s mission. Hoofman v.
Department of the Army, 112 M.S.P.R. 532, ~ 16 (2012). This most often applies where the
employee engages in the very type of behavior which the agency and/or the employee is charged
with preventing or addressing. Brown v. Department of the Navy, 229 F.3d 1356, 1361 (Fed. Cir.
2000); Prather v. Department of Justice, 117 M.S.P.R 137, ~ 32 (2011).

Some off-duty conduct is considered to be so egregious that the nexus between the conduct and
federal employment "speaks for itself' and raises a rebuttable presumption of nexus to the
efficiency of the service. Graham v. U.S Postal Service, 49 MSPR 364, 367 (1991). For
example, there is an automatic presumption that a federal employee' s commission of a violent
crime adversely affects the efficiency of the service and is so grievous as to raise a rebuttable
presumption that discipline is appropriate. Hayes v. Department of the Navy, 727 F.2d 1535,
1539 (Fed. Cir. 1984). Similarly, sexual misconduct with minors is regularly held to provide a
presumption of nexus warranting removal. Graham, 49 M.S.P.R. at 367.

Higher-level employees and those entrusted with sensitive responsibilities, including attorneys
and law enforcement officers, are subject to closer scrutiny and greater potential discipline for
off-duty misconduct reflecting on honesty and integrity than those employees with less
responsibilities. For example, law enforcement officers are entrusted with responsibilities (such
as conducting arrests, searches and seizures, and providing testimony in criminal proceedings)
which, if abused, could severely impact the lives of innocent people. Therefore, law enforcement
officers may be more severely punished than other federal employees for many types of off-duty
misconduct that reflect negatively on their ability to perform their official duties, and/or may be
punished for some conduct for which other employees would not be punished at all. Prather, 117
MSPR 137, ~ 36.
Memorandum for All Department Employees Page 3
Subject: Off-Duty Conduct

One of law enforcement officers' most important responsibilities is to provide objective and
unbiased testimony during criminal and related proceedings. Federal Rule of Evidence 608(b)
allows defense counsel to impeach an officer during cross examination by asking about specific
instances of past conduct which are probative of veracity or bias. Giglio v. United States, 405
U.S. 150, 154 (1972); Brady v. Maryland, 373 U.S. 83 (1971). Accordingly, while the most
serious misconduct -- e.g., the commission of a violent crime or illegal drug use -- may well be the
basis for criminal prosecution, any off-duty conduct on the part of a law enforcement officer that
would undermine his or her credibility or demonstrate bias could adversely affect the ability of
such officer to perform his or her official duties, and could reasonably be a basis for management' s
loss of confidence in the employee' s ability to adequately perform his or her job, can therefore be
a basis for discipline. Nguyen v. Department of Homeland Security, 737 F.3d 711, 715-17 (Fed.
Cir. 2013).

Specific off-duty conduct which has resulted in federal employees being disciplined, and in some
cases removed from federal service, includes:

• sexual misconduct;

• racist or sexist remarks or conduct;

• threats against coworkers or supervisors;

• fraud

• falsification to obtain employment, employment benefits, workers compensation,

disability, or sick leave;

• failure to pay just debts, including taxes;

• misuse of a government credit card; and

• conflicts of interest (improper use of one' s official position for private gain).

The Attorney General previously reminded all employees that they are prohibited from soliciting,
procuring, or accepting commercial sex. This rule applies at all times during an individual's
employment, including while off-duty or on leave, and applies regardless of whether the activity is
legal or tolerated in a particular jurisdiction, foreign or domestic. Department personnel are also
reminded that marijuana is still a controlled substance under Schedule I of the Controlled
Substance Act and knowing and intentional possession is illegal, regardless of whether individual
states have decriminalized the use of marijuana and allowed its use in certain circumstances. All
federal employees are required to refrain from the use of illegal drugs, whether on or off duty.
Executive Order 12564, Drug-Free Federal Workplace.
Memorandum for All Department Employees Page 4
Subject: Off-Duty Conduct

Attached to this memorandum is a summary of the ethics and related rules that apply to our
conduct and activities, on- and off-duty, or on personal leave. Individual components may issue
additional guidance on applying the rules to specific circumstances, including conduct while
overseas. Employees who have questions about these rules or the Department's policies should
consult their supervisors, Human Resources or their Deputy Designated Agency Ethics Official.

Attachment
Ethics Handbook for
On and Off-Duty
Conduct
U.S. Department of Justice
January 2016
 INTRODUCTION

This Ethics Handbook for On and Off-Duty Conduct summarizes the principal ethics laws and
regulations governing the conduct of Department of Justice employees. The purpose of this
handbook is to increase your awareness of the ethics rules and their applications, including when
you are not in a duty status or are on leave. We have included citations after each rule and we
suggest that you consult the full text of the law or regulation when you have specific questions.

The ethics rules condensed here include the conflict of interest statutes found at 18 USC §§ 202 to
209, Executive Order 12674 on Principles of Ethical Conduct as amended by EO 12731 , the
Uniform Standards of Ethical Conduct for Employees of the Executive Branch at 5 CFR Part
2635, Department of Justice regulations at 5 CFR Part 3801 that supplement the uniform
standards, and additional Department regulations at 28 CFR Part 45, and Executive branch-wide
standards of conduct at 5 USC § 73 5.

The Designated Agency Ethics Official (DAEO) for the Department is the Assistant Attorney
General for Administration. The Departmental Ethics Office is responsible for the overall
direction for the ethics program in the Department. Each Bureau, Office, Board and Division has
a Deputy DAEO who should be your first contact for advice. Your component may have
additional guidance that addresses specific circumstances, in particular with off-duty conduct and
employees serving in foreign countries. Employees are responsible for knowing and adhering to
any component specific guidance.

The ethics statutes and regulations may be found on the website of the Departmental Ethics Office.
If you do not have access to the internet, contact your Deputy DAEO to obtain a paper copy of the
regulations. If you do not know who your ethics official is, call the Departmental Ethics Office on
(202) 514-8196 or consult the website for a list of ethics officials within the Depaitment.

Some of these rules require analysis when applying them to specific situations. You should use
this handbook as a means of keeping yourself apprised of the general prohibitions, but you should
always seek advice from an ethics official if you are contemplating an action that you think might
be covered by the rules, especially where it may be necessary to obtain a waiver or approval in
advance.

Generally, an employee who provides all the facts to an ethics official and follows the advice
given will not later be disciplined for violating the standards of conduct if subsequent inquiry
reveals a possible violation consistent with the facts provided. Heads of components in
consultation with the appropriate Deputy DAEO grant most formal determinations on ethics
questions, including waivers and approvals.

We hope you will find this handbook useful

The Departmental Ethics Office

Page 1
 14 General Principles of Ethical Conduct
The following general principles apply to every employee and may form the basis for the
standards contained in this part. Where a situation is not covered by the standards set forth in
this part, employees shall apply the principles set forth in this section in determining whether
their conduct is proper.

1. Public service is a public trust, requiring employees to place loyalty to the

Constitution, the laws and ethical principles above private gain.
2. Employees shall not hold financial interests that conflict with the
conscientious performance of duty.
3. Employees shall not engage in financial transactions using nonpublic Government
information or allow the improper use of such information to further any private
interest.
4. An employee shall not, except as permitted by [these standards of conduct] , solicit
or accept any gift or other item of monetary value from any person or entity
seeking official action from, doing business with, or conducting activities
regulated by the employee' s agency, or whose interests may be substantially
affected by the performance or nonperformance of the employee' s duties.
5. Employees shall put forth honest effort in the performance of their duties.
6. Employees shall not knowingly make unauthorized commitments or promises of
any kind purporting to bind the Government.
7. Employees shall not use public office for private gain.
8. Employees shall act impartially and not give preferential treatment to any
private organization or individual.
9. Employees shall protect and conserve Federal property and shall not use it for
other than authorized activities.
10. Employees shall not engage in outside employment or activities, including
seeking or negotiating for employment, that conflict with their official
Government duties and responsibilities.
11. Employees shall disclose waste, fraud , abuse, and corruption to the
appropriate authorities.
12. Employees shall satisfy in good faith their obligations as citizens, including all
just financial obligations, especially those-such as Federal, State, or local
taxes-that are imposed by law.

Page 2
 14 General Principles of Ethical Conduct, continued

13. Employees shall adhere to all laws and regulations that provide equal
opportunity for all Americans regardless of race, color, religion, sex, national
origin, age, or handicap.
14. Employees shall endeavor to avoid any actions creating the appearance t~at they
are violating the law or the ethical standards set forth in this part. Whether
particular circumstances create an appearance that the law or these standards
have been violated shall be determined from the perspective of a reasonable
person with knowledge of the relevant facts
5 CFR 2635.101 (b)

Page 3
 Ethics Handbook
Conduct An employee shall not engage in criminal , infamous, dishonest, immoral or
Prejudicial to the disgraceful conduct, or other conduct prejudicial to the government. In connection
Government with overseas service, the State Department has defined notoriously disgraceful
conduct as conduct which, were it to become widely known, would embarrass,
discredit, or subject to opprobrium the perpetrator and the United States.

5 CFR 735.203, 3 FAM 4139.14

Gambling An employee is prohibited from participating in any gambling activity while on­
duty or on government property, although there is an exception for activity
necessitated by the employee's official duties. Employees must seek and adhere to
their component' s guidance on such gambling activity.

5 CFR 735.201

Commercial An employee is at all times prohibited from soliciting, procuring, or

Sex accepting commercial sex, whether on or off-duty or on personal leave, and

regardless whether the activity is legal or tolerated in a particular jurisdiction,

foreign or domestic.

Attorney General Memorandum, April 2015

Intoxicants An employee is prohibited from habitually using alcohol or other intoxicants to

excess. Components may have more specific guidance and limitations, including
for off-duty alcohol use. Employees must know and adhere to the specific
limitations that apply to the employee.

5 USC 7352

Just Financial An employee shall satisfy in good faith the obligations as a citizen, including
Obligations all just financial obligations, especially those - such as Federal, state and local
taxes- that are imposed by law.

5 CFR 2635.809

Page 4
Equal An employee shall adhere to all laws and regulations that provide equal
Opportunity opportunity for all Americans regardless of race, color, religion, sex, sexual
orientation, gender identity, national origin, age or handicap.

5 CFR 2635.101 (b)(13), 5 USC 2302

EO 13087, EO 13672

Appearance of An employee shall endeavor to avoid any actions creating the appearance that the
Impropriety employee is violating the law or the ethical standards set forth in this part.

5 CFR 2635.101 (b)(14)

Nepotism An employee may not appoint, employ, or promote a relative to a position in the
Department, or advocate a relative for appointment, employment, promotion or
advancement. Employees should be cautious when assisting in any way relatives
who are seeking employment, appointment, or advancement in Department
positions.

5 USC 3110
Security As a reminder for employees for whom a security clearance is required for

Clearances performance of their official duties, any above - noted prohibited conduct, and more,

may be grounds for suspension or revocation of a clearance. This could also result in

adverse disciplinary action, including suspension or removal.

Consult your security program manager for more guidance.

Page 5
 Misuse of Official Position

General Rule You may not use your public office for your own private gain or for the gain of
persons or organizations with which you are associated personally. Your position
or title shall not be used: to coerce or induce another person, including a
subordinate, to provide any benefit, financial or otherwise, to you or to friends,
relatives, or persons with whom you are affiliated in a nongovernmental capacity;
to endorse any product or service; or to give the appearance of governmental
sanction. For example, you may use your official title and stationery only in
response to a request for a reference or recommendation for someone you have
dealt with in Federal employment or someone you are recommending for Federal
employment.

5 CFR 2635. 702

Use of Generally, you should be mindful of your responsibilities to make an honest

Government effort to use government property and official time, including the time of a
Property and subordinate, for official business only, and to protect and conserve government
Time property. However, as a Justice Department employee, you are generally
authorized to make minimal personal use of most office equipment and library
facilities where the cost to the government is negligible and where it does not
interfere with official business, where permitted by security rules, and on your
own time. This limited personal use is a privilege, not a right, and employee use
must conform to all restrictions. Employees may not use government property
including computer systems and individual electronic devices for commercial
purposes; to send solicitations, lobby, or engage in prohibited political activity;
for activities that are illegal, inappropriate or offensive to fellow employees or the
public; or to create, download, view, or store, copy or transmit sexually explicit
or sexually oriented materials or materials related to illegal gambling, illegal
weapons, terrorist activities or other illegal activities; or any other prohibited uses
as set forth in Department and component orders or guidance. Employees may
not use Government equipment as a substitute for personally-owned equipment.
Personal activities should be conducted on personal equipment, except to the
minimal degree that personal use on Government equipment is permitted by
Department policy.
You may not use your DOJ contact information including email address for non­
official matters except as emergency contact information and for persons such as
close family and friends, children's school, and in similar limited circumstances,
where it is clear your communication is not on behalf of the Department and you
·are not attempting to exert official influence.
5 CFR 2635. 704, DOJ Order 2740.JA
28 CFR45.4

Page 6
 Misuse of Official Position, continued
Government Use of government vehicles is governed by statute, including penalties for misuse.
Vehicles Employees should consult their components' guidance for authorized use of
government vehicles

31 USC 1344 & 1349 (b)

Use of You may not engage in a financial transaction using nonpublic information or
Nonpublic allow the use of such information to further your private interests or those of
Information another. Nonpublic information is information you gain on the job, which has not
been made available to the general public, and is not authorized to be made
available on request such as through the FOlA. (There are also statutory
prohibitions on the misuse of information involving national security, trade secrets,
individuals and government procurement.)

5 CFR 2635. 703, 5 USC 522 & 522a

18 USC 798, 50 USC 783 (a)
18 USC 1905, 41 USC 423 (a) & (b)

Political Activities
The Hatch Act All federal employees may vote, express opinions and make political contributions.
Under the Hatch Act, active participation in partisan political activities by federal
employees is restricted, and employees serving in certain positions are more restricted
than others. All federal employees are barred from using their official authority or
influence to interfere with an election, from engaging in political activity while on duty,
in a government office, wearing an official uniform or using a government vehicle, and
from soliciting or discouraging the political activity of anyone who does business with
the Department. The rules are specific and may be complex. Any employee seeking to
actively engage in partisan political activity should consult the guidance available on the
Department's website, and the guidance issued by his or her component.

5 USC 7321-21
5 CFR 733 & 734
Employees May Not:

- Use official authority or influence to interfere with or affect the result of an election.
- Participate in political activities (to include wearing political buttons) while on duty;
while wearing a uniform, badge or insignia of office; while in a government occupied
office or building; or while using a government owned or leased vehicle.
- Solicit, accept or receive a political contribution from a member of the public.
- Solicit political contributions in a speech given at a fundraiser.
- Sponsor a fundraiser.
- Allow official title to be used in fundraising or other political activities.
- Solicit, accept or receive uncompensated volunteer services from a subordinate.
Page 7
- Be a candidate for partisan political office except as an independent candidate in certain
communities.
- Solicit or discourage the political activity of anyone who is a participant in any
matter before the Department.

Most Employees May:*

- Express opinions on political subjects and candidates.
Campaign for or against a referendum, constitutional amendment or ordinance.
Participate in civic, professional and other similar activities.
Sign a political petition.
Display signs, stickers, badges or buttons for candidates for partisan political office
except when on duty.
Register and vote.
Run as a candidate or support a candidate in a non-partisan election.
Contribute to a political party, or a candidate in a partisan election.
Join, organize and serve as an officer of a political party or group.
Address a convention, caucus, rally or similar gathering of a political party for or
against a partisan political candidate.
Participate in a nominating caucus, convention, rally or other political gathering.
Initiate and circulate a nominating petition for a partisan candidate.
Canvass for votes for or against a candidate for partisan political office.
Endorse or oppose a partisan political candidate.
Participate in and manage the campaign of a partisan political candidate.
Serve as a poll watcher, election judge or clerk for a partisan candidate or party.
Drive voters to polls on behalf of a partisan political candidate or party.
Attend, address, but not solicit funds , at a political fundraiser.
Solicit, accept or receive volunteer services except from a subordinate.
Solicit, accept or receive certain contributions from a fellow member of a federal
labor organization or other employee organization who is not a subordinate.
Run as an independent candidate in a partisan election in certain communities and
accept and receive but not solicit contributions from the public.

*In DOJ, political appointees, career SES, ALJs, explosives enforcement officers in
the ATF, and employees of the Criminal Division, the FBI, and the National Security
Division are FURTHER RESTRICTED with regard to political activities, and may NOT
engage in many of these actions. These employees should seek specific guidance from their
ethics official before engaging in any partisan political activity.

Page 8
 Outside Employment and Activities

General Rule You should not engage in any outside employment or other activity that conflicts
with your official duties and responsibilities. Employees are prohibited from
engaging in outside employment that involves criminal matters, the paid practice
of law or matters in which the Department is a party or represents a party. Only the
Deputy Attorney General may waive these prohibitions.

5 CFR 2635.802
5 CFR 3801.106
Approval for You are required to obtain written approval for certain employment including the
Certain Outside practice of law that is not otherwise prohibited, and any outside employment
Activities involving a subject matter related to the responsibilities of your component.

5 CFR 3801.106

Representing You may not receive compensation for the representation of anyone before a
Others federal agency or official, or before any court in a matter in which the U.S. is a
party or has a substantial interest. This prohibition applies whether or not you
render the representation yourself.

18 USC 203

You also may not represent someone in connection with a claim against the United
States or before a federal agency or official, or before any court, with or without
compensation, in a matter in which the U.S . is a party or has a substantial interest.

18 USC 205

There are exceptions to the above statutes for representing your immediate family,
testifying under oath, representing another employee in personnel administration
proceedings, and representing employee organizations, in certain matters.

Page 9
Fund raising You may engage in fundraising in your personal capacity, off-duty, as long as you
do not solicit your subordinates or persons having business with the Department.
There is an exception for mass mailings that do not target the above persons. You
may not engage in fundraising in your official capacity unless authorized by
statute, executive order or regulation (e.g., the Combined Federal Campaign).
There is an exception for giving an official speech at a fundraiser, when
specifically authorized in advance after disclosure of all facts and circumstances
regarding the event.

5 CFR 2635.808

Service as an You may not serve as an expert witness in your private capacity in any proceeding
Expert before the United States in which the U.S. is a party or has an interest unless
Witness specifically authorized.

5 CFR 2635.805

Honoraria You may not be paid by anyone but the Government for speaking or writing
undertaken as part of your official duties.

18 USC 209
Outside When you are teaching, speaking or writing in your private capacity, you may not
Teaching, use nonpublic information, nor should there be any use of your official title except
Speaking and as a biographical detail or where there is a disclaimer. Generally, you may not be
Writing compensated for teaching, speaking, or writing that relates to your official duties.
However, there is an exception for teaching in certain educational settings. If you
are a career employee, or non-career employee classified at GS-15 and below, what
relates to your duties is a present or recent assignment, or a policy, program or
operation of your component. If you are a non-career employee above GS-15 , what
relates to your duties is broader, and you must have advance authorization from the
DAEO before engaging in teaching for compensation. You may not use your
official time or that of a subordinate to prepare materials. Some components
require advance review and clearance for certain written work and speeches.

5 CFR 2635. 703, .705 &.807

5 CFR 2636.307

Page 10
 ACCEPTING GIFTS AND THINGS OF VALUE

Gifts, You may not solicit or accept a gift 1) given because of your official position, or
Entertainment 2) from a prohibited source, which includes anyone who:
And Favors From
• Has or seeks official action or business with the Department;
Outside

Sources • Is regulated by the Department;

• Has interests that may be substantially affected by the performance of your

official duties; or
• Is an organization composed mainly of persons described above.

The definition of a gift is broad. It includes any gratuity, favor, discount,

entertainment, hospitality, loan, forbearance, or other item having monetary value.
It includes services as well as gifts of training, transportation, local travel, lodgings
and meals, whether provided in-kind, by purchase of a ticket, payment in advance,
or reimbursement after the expense has been incurred.

If you are offered a gift and you do not know the source, in circumstances
where you cannot be certain it is a permissible gift, you should decline.

A gift does not include items such as publicly available discounts and prizes,
commercial loans, food not part of a meal such as coffee and donuts, and items of
little value such as plaques and greeting cards.

Unless the frequency of the acceptance of gifts would appear to be improper, you
may accept:

• Gifts based on a personal relationship when it is clear that the motivation

is not your official position.

• Gifts of $20 or less per occasion not to exceed $50 in a year from the same
source.

• Discounts and similar benefits offered to a broad class, including a broad

class of government employees.

• Most genuine awards and honorary degrees related to public service

although in many cases you will need prior approval.

Page 11
 ACCEPTING GIFTS , continued

• Free attendance, food, refreshments and materials provided at a conference

or widely attended gathering or certain other social events which you attend
in your official capacity, with prior written approval. If you are invited to
an event by someone other than the sponsor, the cost must not exceed $375
and at least I 00 people must be expected to attend.

• Gifts based on an outside business relationship such as travel expenses

related to a job interview, as long as you are recused from matters affecting
the donor.
5 USC 7353, 5 CFR 2635.202-204

You should return gifts not meeting the exceptions or contact your Deputy DAEO
on how to dispose of them. Perishable items may be given to charity or shared by
your office, with approval.

5 CFR 2635.205

Supplementation You may not receive any payment, or supplementation, of your government salary
from any source except the Government for performing your duties.

Foreign Gifts You are allowed to accept certain gifts from foreign governments and their
representatives if they do not exceed a minimal value presently set at $375. In
addition, if approved in advance, employees may accept travel expenses from a
foreign government for travel taking place entirely outside of the United States.
Gifts whose value exceeds the minimal value are deemed to be accepted on behalf
of the United States and may not be kept by the employee. In addition, an
employee may accept meals and refreshments while in a foreign country provided
by non-government persons in the course of a meeting when the employee is
performing official duties, and where the event includes non- U.S. citizens or
representatives of a foreign government or other entities. Employees are
responsible for knowing and adhering to their component's procedures for
approval and reporting of gifts from foreign governments or accepted while in
a foreign country, and any component specific restrictions.

Page 12
 ACCEPTING GIFTS, continued

Gifts to You may not give, or solicit a contribution for, a gift to an official superior, and you
Superiors may not accept a gift from an employee receiving less pay than you if employee is a
subordinate. There is an exception for voluntary gifts of nominal value made on
special occasions such as marriage, illness or retirement. You also may give an
individual gift to a superior costing $10 or less, and contribute to shared food and
refreshments in the office.

5 USC 7351, 5 CFR 2635.302 &.304

Travel Generally, you may not accept reimbursement for travel and related expenses
from any source other than the Government when you are traveling on official
duty. However, with prior written approval, DOJ may accept travel expenses
incidental to your attendance at conferences or similar functions related to your
duties from non-Federal sources pursuant to the GSA regulations cited here.
Travel expenses for a spouse accompanying you on official travel may not be
accepted .

Consult your Deputy DAEO on obtaining approval for yourself.

You may retain for personal use benefits from commercial sources, including bonus
flights, that result from official travel. You may keep a bonus offered when you
volunteer to take a later flight as long as the delay does not interfere with the
conduct of your duties and you do not charge the Government for additional costs,
but you many not keep such a bonus if you are bumped from a flight. In most cases,
you may not travel other than coach class when on official business.

41CFR301
41CFR304

Page 13
 CONFLICTS OF INTEREST
Your nonfederal financial holdings and your outside activities and relationships can
trigger the application of the conflict of interest statutes and regulations. Below are
summaries and examples of how the conflict of interest rules may become applicable
to you.

General Rule You should avoid situations where your official actions affect or appear to affect
your private interests, financial or non-financial.

Statutory You may not participate personally and substantially in a matter in which you, your
Prohibition spouse, minor child or general partner has a financial interest. This prohibition also
applies if an organization in which you serve as officer, director, trustee, or employee
has a financial interest or if a person or organization with which you are negotiating
for future employment has a financial interest.

18 USC 208

Impartiality Generally, you should seek advice before participating in any matter in which your
Standard impartiality could be questioned. You may not participate without authorization in a
particular matter having specific parties that could affect the financial interests of
members of your household or where one of the following is a party or represents a
party: someone with whom you have or are seeking employment, or .a business,
contractual or other financial relationship; a member of your household or a relative
with whom you have a close relationship; a current or prospective employer of a
spouse, parent or child; or an organization which you now serve actively or have
served, as an employee or in another capacity, within the past year.

5 CFR 2635.502

Purchase of Without written approval, you may not purchase or use property that has been
Forfeited forfeited to the Government and offered for sale by the Justice Department.
Property
5 CFR 3801.104

Negotiating for Generally, you may not take official action on a matter affecting the financial
Future interests of an organization with which you are negotiating or have an arrangement
Employment for a job. Generally, you must disqualify yourself from a matter in order to
negotiate for a job, and employees participating in a procurement have to report to
certain officials in writing before negotiating with a contractor competing for that
procurement.

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 You may also have to disqualify yourself when you are merely seeking
employment, which includes sending a resume. You should get advice from your
Deputy DAEO about seeking and negotiating for employment before you begin a
job search.

18 USC 208, 41 USC 423

5 CFR 2635. 602

Remedies For If you have a financial conflict of interest or believe your impartiality might be
Conflicts questioned, you must either disqualify yourself from taking action that could affect
your interest, or see your Deputy DAEO about the following alternatives:

In the case of a financial interest, you either may seek a waiver of the prohibition
under 18 USC§ 208 (b), or must divest yourself of the interest. (If you are directed
to divest an interest, you may be eligible to defer the tax consequences of
divestiture.) Your component head may grant you a waiver if your financial interest
is found to be not so substantial as to affect the integrity of your services to the
Government.

18 USC. 208(b)(l)
5 CFR 2634.1001-.1004

In a case where your impartiality might be questioned, you may obtain a formal
determination from your component head that the Department' s interest in your
participation outweighs the concern that the integrity of the Department' s operations
would be questioned.

5 CFR 2635.502(d)

When participating in matters affecting your financial interests, you have an

unlimited exemption for holdings in a diversified mutual fund and for certain
employee benefit plans where the holdings may be affected by the matter. In
addition, you have an exemption of $50,000 for aggregated interests in sector
mutual funds that may be affected by a matter in which you participate. You also
have an exemption for interests in publicly-traded securities not to exceed $15 ,000
in parties to a matter, and $25 ,000 per asset when participating in a matter of general
applicability, such as rulemaking and drafting of most legislation, with a combined
limit of $50,000 in all entities affected by the general matter.

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Nepotism You may not appoint, employ, or promote a relative to a position in the Department,
or advocate a relative for appointment, employment, promotion or advancement.
You should be cautious when assisting in any way relatives who are seeking
employment, appointment, or advancement in Department positions.

5 USC 3110

POST-EMPLOYMENT RESTRICTIONS
Negotiating for You may not take official action on a matter affecting the financial interests of an
Future organization with which you are negotiating or have an arrangement for a job.
Employment Generally, you would disqualify yourself from a matter in order to negotiate for a
job, and employees participating in a procurement have to report to certain officials
in writing before negotiating with a contractor competing for that procurement. You
may also have to disqualify yourself when you are merely seeking employment,
which includes sending a resume. You should get advice from your Deputy DAEO
about seeking and negotiating employment before you begin a job search.

18 USC 208
41 USC 423
5 CFR 2635.602

Restrictions for There are statutory prohibitions on former government employees that generally
After you Leave prevent you from "switching sides" or representing someone other than the United
Government states after leaving the Government. The following are the main restrictions, but see
your Deputy DAEO for others:

Lifetime Ban
You are prohibited from communicating to or appearing before an employee of an
agency or court of the Federal Government on behalf of another person, with the
intent to influence, on a particular matter involving specific parties in which you
participated personally and substantially while with the Government and in which the
United States is a party or has interest.
18 USC 207(a)(1)
Two-year Ban
You are prohibited for two years from communicating to or appearing before an
employee of a Federal court or agency on behalf of another person, with the intent to
influence, on a particular matter involving specific parties ~hich you know was
pending under your official responsibility during your last year of government
service and in which the United States is a party or has an interest.
18 USC 207(a)(2)

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 One-year Ban
If you are a "senior employee" you are subject to an additional restriction that
generally prohibits you from communicating to or appearing before an employee of
the Justice Department or your component on a matter on which you seek official
action on behalf of another person. Senior employees are Executive Level officials
and SES, SL and ST officials compensated above $160,111.50 as of January, 2016.
The threshold salary to determine which SES officials are senior officials will
increase when the salary for the Executive Level II position increases.
18 USC 207(c)
One Year Ban for Certain Procurement and Contracting Officials
If you are serving in a certain critical position or made certain critical decisions on a
procurement or a contract in excess of $10 million, you may not receive compensation
from the successful contractor for one year.

41USC423

ADDITIONAL CONSIDERATIONS

Supervisors Supervisors are responsible for demonstrating integrity in their own conduct and
adherence to the letter and spirit of the ethics rules; for ensuring that employees seek
advice under the ethics rules when necessary or appropriate; and for taking
appropriate action to report or refer employees when misconduct has occurred or
appears to have occurred.

Special If you are a special government employee, that is, you expect to serve for no more
Government than 130 days in a 365 day period, you are subject to most of the rules in this
Employees handbook. However, in some cases, they are applied less stringently. Consult your
Deputy DAEO.

Attorneys lf you are an attorney with the Department, you are expected to comply not only with
the rules in this Handbook but also with relevant professional codes of conduct. You
will have to disqualify yourself in cases you handled before entering Government,
and from other matters involving your former law firm or clients for a certain period
of time.

Generally, you will not be allowed to remain on leave of absence from a law firm or
another business entity while with the Department. In certain circumstances you
may not be able to maintain a financial relationship with a former employer or accept
a severance payment or other benefit. Also, there are specific rules on repayment of
your capital contributions over time or about retaining an interest in a contingent fee.

Consult your Deputy DAEO or the Professional Responsibility Advisory Office

regarding these issues.

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Post There are restrictions on you receiving compensation, even after you leave, based on
Employment another's representations before the Federal government that took place while you
Compensation were still a government employee.
18 USC 203

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