Ethics Regulations and Statutes

Basic Obligations of Public Service

The Principles of Ethical Conduct were established by Executive Order 12674, modified by Executive Order 12731, as basic principles regarding the conduct of federal employees. It is important that Federal employees observe these principles in order to promote confidence in the integrity of the federal government.

• The 14 General Principles of Ethical Conduct

Criminal Ethics Statutes

United States Code, Title 18 contains the criminal conflict of interest statutes applicable to employees in the executive branch of the government. 

• 18 U.S.C. 201 – Bribery of Public Officials Prohibited
• 18 U.S.C. 203 – Restrictions on Compensated Represented Activities
• 18 U.S.C. 205 – Restrictions on Acting as an Agent or Attorney
• 18 U.S.C. 207 – Post-Government Employment Restrictions
• 18 U.S.C. 208 – Conflicts of Interest
• 18 U.S.C. 209 – Supplementation of Federal Salary Prohibited

Government Ethics Regulations

• 5 C.F.R 2634 – Executive Branch Financial Disclosure, Qualified Trusts, and Certificates of Divestiture
• 5 C.F.R 2635 - Standards of Ethical Conduct for Employees of the Executive Branch
  • Subpart A – General Provisions
  • Subpart B – Gifts from Outside Sources
  • Subpart C – Gifts Between Employees
  • Subpart D – Conflicting Financial Interests
  • Subpart E – Impartiality in Performing Official Duties
  • Subpart F – Seeking Other Employment
  • Subpart G – Misuse of Position
  • Subpart H – Outside Activities
• 5 C.F.R 2638 – Executive Branch Ethics Program
  • Subpart A – Mission and Responsibilities
  • Subpart B – Procedures for Executive Branch Ethics Program
  • Subpart C – Government Ethics Education
• 5 C.F.R 2640 – Interpretation, Exemptions, and Waiver Guidance Concerning 18 U.S.C. 208 (Acts Affecting A Personal Financial Interest)
• 5 C.F.R 2641 – Post-employment Conflict of Interest Restrictions

DOI Specific Regulations

• 5 C.F.R. 3501 – Supplemental Standards of Ethical Conduct for Employees of the Department of the Interior
  • 3501.101 - General
  • 3501.102 – Designation of Separate Agency Components
  • 3501.103 – Prohibited Interests in Federal Lands
  • 3501.104 – Prohibited Interests in Mining
  • 3501.105 – Outside Employment and Activities
• 43 C.F.R. 20 – Public Lands: Interior, Employee Responsibilities and Conduct
  • Subpart A – General Provisions
  • Subpart B – Department Ethics Program
  • Subpart C – Acceptance and Payment of Travel and Related Expenses
  • Subpart D – Special Provisions Governing Financial and Other Outside Interests of Certain Employees of the Department
  • Subpart E – Other Employee Conduct Provisions
  • Subpart F – Disciplinary and Remedial Action

Other Laws and Regulations

• Appropriations - The Red Book, Principles of Federal Appropriations Law
• U.S. Constitution, Article 1, Section 9, Clause 8 - Emoluments Clause
  • 5 U.S.C. 7342 – Foreign Gifts and Decorations Act
  • 41 C.F.R. 102-42 – Utilization, Donation, and Disposal of Foreign Gifts and Decorations
• Travel 
  • 31 U.S.C. 1353 – Acceptance of Travel and Related Expenses from non-Federal Sources
    • 41 C.F.R. 304 – Payment of Travel Expenses from a non-Federal Source
  • 5 U.S.C. 7342 – Foreign Gifts and Decorations Act
  • 5 U.S.C 3343 – Details; to international organization
  • 5 U.S.C. 3373 – Assignment of Employees to State or local governments
  • 4 CFR 301-10.116  – Airline compensation for involuntary denial of seat for employee on plane. 
  • 4 CFR 301-10.117 – Airline compensation for employee voluntarily vacating seat on plane.
  • 41 CFR 301-53 – "Frequent Traveler Programs;" Federal travel regulations allow you to retain, for personal use, the frequent flyer miles that you earn on official travel.
• Political Activities – The Office of Special Counsel is an independent agency in charge of upholding the Hatch Act.
  • 5 U.S.C. 7321 to 7326 - Hatch Act
  • 5 C.F.R. 734 – Political Activities of Federal Employees
  • 5 C.F.R. 733 – Political Activity – Federal Employees Residing in Designated Localities
• Procurement Integrity
  • Federal Acquisition Regulation – https://www.acquisition.gov/far/3.104
  • 48 C.F.R. 3.1 – Improper Business Practices and Personal Conflicts of Interest - Safeguards
• Gambling
  • 41 C.F.R. 102-74.395 – Conduct on Federal Property – What is the policy concerning gambling?
  • 5 C.F.R. 735.201 – What are the restrictions on gambling?
• Nepotism
  • 5 U.S.C. 3110 – Employment of Relatives; Restrictions
  • 5 C.F.R. 310 – Employment of Relatives

Legal Interpretations

Judicial opinions, opinions from the Office of Legal Counsel at the Department of Justice, and other guidance interpreting the conflict of interest laws.

Executive Orders

Executive Orders that are of current or historical significance to the executive branch ethics program.