There are several statutes and regulations which outline the requirements of Federal Government employees. It is important to know that these exist and to use them as resources, rather than to memorize numbers or wording.
NIH Manual Chapters web site (NIH/OMA web site)
NIH Ethics Manual (Manual Chapter 2400)
Protocol Review Guide (COI Guide)
Senior Status at the NIH (4/25/06, pdf)
Supervisor Responsibilities (2/16/04, pdf)
- HHS Supplemental Standards
- On February 3, 2005, HHS published revised Supplemental Standards of Ethical Conduct (5 CFR 5501) and a new Supplemental Financial Disclosure Requirements section (5 CFR 5502), both effective on that date. On August 31, 2005, HHS published the Final Rule for both sections.
- 5 CFR 5501 -- Official Published format (links to table of contents on GPO website)
- 5 CFR 5502 -- Official Published format (lnks to table of contents on GPO website)
- 5 CFR 5501 -- "Unofficial Compilation" (full text, incorporating the changes) (pdf)
- 5 CFR 5502 -- "Unofficial Compilation" (full text, includes revision of 10/26/05) (pdf)
- 5 CFR 5501-5502 -- "Unofficial Compilation" of both parts in one document (full text, includes revision of 10/26/05) (pdf)
- Federal Register Notice, August 31, 2005, Volume 70, No. 168, pages 51559-51574. Includes the preamble (description and rationale for the changes) and text of the changed sections. (pdf)
- Federal Register Notice of Corrections, October 26, 2005, Volume 70, No. 206, page 61713. Corrects wording in 5502 sections 106 and 107. (pdf)
NIH Conflict of Interest Web Page
- HHS Residual Standards of Conduct (45 CFR § 73)
- The regulations at 5501 supercede most of the sections of the original HHS standards of conduct. The remaining sections are the "Residual Standards", for activities not covered by ethics regulations.
- United States Constitution
- See especially Article I, Section 9, Clause 8 regarding the "Emoluments Clause"
- Conflict of Interest Statutes (United States Code) (Note: § means Section)
- The above links to the OGE web site, table of contents for all the statutes below, and links to other US Code resources. The links below go to each individual statute.)
- 18 USC § 201, Bribery of public officials and witnesses
- 18 USC § 202, Definitions
- 18 USC § 203, Compensation in matters affecting the Government (representation issues)
- 18 USC § 204, Practice in US Claims Course or US Court of Appeals by Members of Congress
- 18 USC § 205, Activities in claims against and other matters affecting the Government (representation issues)
- 18 USC § 206, Exemption for retired officers of the uniformed services
- 18 USC § 207, Post-employment
- 18 USC § 208, Personal Financial Interest (Conflicts of Interest)
- 18 USC § 209, Salary payable only by the United States (supplementation of Federal salary)
- 18 USC § 216, Penalties for violating the above statutes
- Regulations promulgated by the Office of Government Ethics (Government-wide)
- Regulations to implement the above laws. These first two links go to the full documents, ready to print. (All links go to OGE web site.)
- Standards of Ethical Conduct for Employees of the Executive Branch (5 CFR 2635, pdf)
- Spanish Version, Standards of Conduct for Employees of the Executive Branch (5 CFR 2635, pdf)
The following link to the OGE web site table of contents for each regulation:
- 5 CFR § 2634, Financial Disclosure guidance (public, confidential, certificates of divestiture)
- 5 CFR § 2635, Standards of Ethical Conduct for Employees of the Executive Branch
- 5 CFR § 2636, Outside Employment Limitations
- 5 CFR § 2637, Post-Employment Conflict of Interest
- 5 CFR § 2638, Ethics Responsibilities, especially for ethics staff
- 5 CFR § 2640, Guidance for 18 USC § 208, Exemptions to conflicts (e.g., de minimis)
- 5 CFR § 2641, Post-Employment Conflict (agency designations, exemptions)
- Executive Order 12674 (4/12/89) as modified by Executive Order 12731 (10/17/90)
- The original Executive Order outlining the Principles of Ethical Conduct for Federal Employees. The modifications of the 1990 amendment are included in this document.
HHS Travel Manual (HHS web site, 200 pages, Word format)
For additional information, contact your IC's Deputy Ethics Counselor or Ethics Coordinator.
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