[Federal Register Volume 59, Number 54 (Monday, March 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5978]


[[Page Unknown]]

[Federal Register: March 21, 1994]


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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Parts 83 and 91

[DoD Directive 5500.7]

 

Standards of Conduct

AGENCY: Office of the Secretary of Defense, DoD.

ACTION: Final rule and request for comments.

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SUMMARY: This part authorizes the publication of the Joint Ethics 
Regulation, 32 CFR part 84, which shall be the single source of 
standards of ethical conduct and ethics guidance for all personnel of 
the Department of Defense. A single source of rules is necessary to 
implement and augment standards promulgated by the U.S. Office of 
Government Ethics for the entire Executive Branch. A single source of 
rules will simplify application of ethics standards and guidance to the 
performance of official duties by DoD personnel. This document also 
removes 32 CFR part 91.

DATES: This part is effective August 30, 1993. Comments must be 
received by May 20, 1994.

ADDRESSES: Forward comments to DoD Standards of Conduct Office, Office 
of General Counsel, 1600 Defense Pentagon, Washington, DC 20301-1600.

FOR FURTHER INFORMATION CONTACT:
Randi Elizabeth DuFresne, DoD Standards of Conduct Office, (703) 697-
5305, FAX (703) 697-1640.

SUPPLEMENTARY INFORMATION: On August 7, 1992, the U.S. Office of 
Government Ethics (OGE) published a final rule entitled ``Standards of 
Ethical Conduct for Employees of the Executive Branch'' (Standards). 
See 57 35006-35067, as corrected at 57 FR 48557 and 52583. The 
Standards, codified at 5 CFR part 2635, establish uniform standards of 
ethical conduct that are applicable to all executive branch personnel. 
With the concurrence of OGE, DoD published an interim rule entitled 
``Supplemental Standards of Ethical Conduct for Employees of the 
Department of Defense'' (Supplement). See 58 FR 47619-47624. The DoD 
Supplement appears at 5 CFR chapter XXVI. In addition to the Standards 
and the Supplement, there are ethics statutes applicable only to DoD 
employees and former employees, matters such as political activities, 
activities with non-Federal entities, enforcement, and ethical conduct 
which are not addressed by the Standards or the Supplement, and 
procedural concerns that require publication of a uniform, 
comprehensive DoD regulation. The ``18 U.S.C. 208(b) Waiver'' section 
of 32 CFR part 40 has been retained at 32 CFR 40.1 and cross-referenced 
in Appendix B of 32 CFR part 84. Other Standards of Conduct rules are 
replaced by this part.

Executive Order 12866

    It has been determined that this is not a significant rule as 
defined under sections 3(f)(1) through 3(f)(4) of Executive Order 
12866.

Regulatory Flexibility Act

    It has been determined under the Regulatory Flexibility Act (5 
U.S.C. chapter 6) that this rule will not have a significant economic 
impact on a substantial number of small entities because it affects 
only DoD employees and certain former DoD employees.

Paperwork Reduction Act

    It has been determined that the Paperwork Reduction Act (44 U.S.C. 
chapter 35) does not apply because this rule does not contain any 
information collection requirements that require the approval of the 
Office of Management and Budget.

List of Subjects

32 CFR Part 83

    Conflict of interests, Government procurement.

32 CFR Part 91

    Armed Forces, Conflict of interests, Government employees.

    Accordingly under authority of 10 U.S.C. 301, Title 32, Chapter I, 
Subchapter A of the Code of Federal Regulations is amended by removing 
part 91 and adding part 83 to read as follows:

PART 83--STANDARDS OF CONDUCT

Sec.
83.1  Purpose.
83.2  Applicability and scope.
83.3  Definitions.
83.4  Policy.
83.5  Responsibilities.
83.6  Procedures.

    Authority: 5 U.S.C. 301, 7301, 7351, 7353; 5 U.S.C. App. (Ethics 
in Government Act of 1978); E.O. 12674, 54 FR 15159, 3 CFR, 1989 
Comp., p. 215 as modified by E.O. 12731, 55 FR 42547, 3 CFR, 1990 
Comp., p. 306; 5 CFR part 2635.


Sec. 83.1  Purposes.

    This part:
    (a) Replaces DoD Directive 5120.47\1\ and implements E.O. 12674, 54 
FR 15159, 3 CFR, 1989 Comp., p. 215; 5 U.S.C. App. (Ethics in 
Government Act of 1978); 5 U.S.C. 4111; 10 U.S.C. 801-940, 2397, 2397a, 
and 2397b; 18 U.S.C. 203, 205, 207, 208, 209 and 218; 31 U.S.C. 1353; 
41 U.S.C. 423; 48 CFR 3.104-6; 5 CFR parts 733, 2634, 2635, 2636, 2637, 
2638, and 2641. The ``18 U.S.C. 208(b) Waiver'' section of 32 CFR part 
40 has been retained at 32 CFR 40.1 and cross-referenced in Appendix B 
of 32 CFR part 84.
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    \1\Copies of the replaced directive are available from the 
Directives Division, room 2A286, Washington Headquarters Services, 
1155 Defense Pentagon, Washington, DC 20301-1155.
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    (b) Cancels DD Form 1357, ``Statement of Employment--Regular 
Retired Officers,'' March 1987, and DD Form 1555, ``Confidential 
Statement of Affiliations and Financial Interests,'' March 1987. The 
Office of Government Ethics' (OGE) SF 450, ``Confidential Financial 
Disclosure Report,'' July 1992, replaces DD Form 1555.
    (c) Authorizes the publication of DoD 5500.7-R\2\ in accordance 
with DoD 5025.1-M\3\ which prescribes standards of conduct required of 
all DoD employees; establishes criteria and procedures for filing DD 
Form 1787, ``Report of DoD and Defense Related Employment,'' August 
1989, SF 450, and SF 278, ``Public Financial Disclosure Report,'' 
January 1991, required of certain present and former DoD employees; 
provides ethics training guidance; and sets general responsibilities 
and enforcement procedures.
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    \2\Copies of the publication are available, at cost, from the 
National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.
    \3\See footnote 2 to Sec. 83.1(c).
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Sec. 83.2  Applicability and scope.

    (a) This part and 32 CFR part 84 apply to the Office of the 
Secretary of Defense; the Military Departments; the Chairman of the 
Joint Chiefs of Staff and the Joint Staff; the Unified and Specified 
Commands; the Office of the Inspector General of the Department of 
Defense; 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 (hereafter referred to collectively as the ``DoD 
Components''). The sections of 32 CFR part 84 entitled ``Financial and 
Employment Disclosure,'' ``Post-Government Service Employment,'' and 
``Seeking Other Employment'' also apply, as specified, to certain 
former employees of DoD Components in accordance with specified 
statutes. The section of 32 CFR part 84 entitled ``Financial and 
Employment Disclosure'' has provisions that apply to individuals who 
are not DoD employees such as detailees and nominees to DoD positions.
    (1) Although OGE regulations, cross-referenced in 32 CFR part 84, 
do not apply to enlisted members of the Department of Defense, the 
provisions of 5 CFR parts 2634, 2635, 2638, and 2641 are determined to 
be appropriate for enlisted members and are hereby made applicable to 
enlisted members as if the terms ``employee'' and ``special Government 
employee,'' as used in those OGE regulations, include enlisted members 
to the same extent that military officers are included within the 
meaning of those terms.
    (2) Certain criminal statutes referenced in 32 CFR part 84 and 18 
U.S.C. 203, 205, 207, 208, 209, and 218 do not apply to enlisted 
members; however, provisions similar to those of 18 U.S.C. 208 and 209 
apply to enlisted members. See Sec. 84.3(a)(1)(i) of 32 CFR part 84.
    (b) Penalties for violation of the standards and rules of conduct 
prescribed in 32 CFR part 84 include the full range of statutory and 
regulatory sanctions for DoD employees.
    (1) The prohibitions and requirements printed in 32 CFR part 84 
that are marked as general orders apply to all military members without 
further implementation. Violations may result in prosecution under the 
Uniform Code of Military Justice (UCMJ) (10 U.S.C. 801-940), as well as 
adverse administrative action and other adverse action authorized by 
the United States Code or Federal regulations.
    (2) DoD employees on assignment to another Executive Agency for 
more than 30 days are subject to 5 CFR part 2635 and the regulations of 
that agency that supplement 5 CFR part 2635 and have been approved by 
OGE.
    (3) In addition to details within the Federal Government, details 
of civilian DoD employees (except temporary or non-career employees who 
may not be so detailed) may be made to State and local governments, 
institutions of higher education, and certain other agencies. Civilian 
DoD employees detailed outside the Federal Government remain subject to 
32 CFR part 84.
    (4) In matters of ethics and standards of conduct, any 
inconsistencies among applicable regulations shall be resolved by the 
DoD Component Designated Agency Ethics Official (DAEO).


Sec. 83.3  Definitions.

    Terms used in this part are defined in 32 CFR part 84.


Sec. 83.4  Policy.

    (a) The Department of Defense shall have 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 embodied in 32 CFR part 84.
    (b) A violation of this part and 32 CFR part 84 does not create any 
right or benefit, substantive or procedural, enforceable at law by any 
person against the United States, its agencies, its officers or 
employees, or any other person.


Sec. 83.5  Responsibilities.

    (a) The General Counsel of the Department of Defense shall:
    (1) Ensure that appropriate updates, modifications, additions and 
deletions are made to 32 CFR part 84.
    (2) Have approval authority for DoD Component documents 
supplementing or implementing 32 CFR part 84.
    (b) The Heads of the DoD Components shall ensure that:
    (1) 32 CFR part 84 is followed within their DoD Components.
    (2) No DoD Component documents supplementing or implementing 32 CFR 
part 84 are issued without the approval of the General Counsel of the 
Department of Defense.
    (3) The DoD Component DAEO or designee distributes copies of 32 CFR 
part 84 throughout the DoD Component and makes such copies available 
for review by DoD employees in the offices of each local Ethics 
Counselor.
    (4) The DoD Component DAEO or designee distributes updates, 
modifications, additions, and deletions for insertion in copies of 32 
CFR part 84 throughout the DoD Component.
    (5) The DoD Component DAEO resolves inconsistencies among the 
regulations of applicable Executive Agencies, as appropriate, for DoD 
employees of the DoD Component.
    (6) The DoD Component representative to the Ethics Oversight 
Committee assists in the development and upkeep of 32 CFR part 84, as 
needed, through the operation of that committee as a working group.


Sec. 83.6  Procedures.

    32 CFR part 84 shall be a product of a coordinated effort by the 
General Counsel of the Department of Defense and the DoD Component 
DAEOs and designees through the Ethics Oversight Committee.

    Dated: March 10, 1994.
Patricia L. Toppings,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 94-5978 Filed 3-18-94; 8:45 am]
BILLING CODE 5000-04-M