SMITHSONIAN DIRECTIVE 103,

August 10, 2016,

Date Last Declared Current: March 30, 2023

SMITHSONIAN INSTITUTION STANDARDS OF CONDUCT

1. Introduction 2

2. Loyalty and Conflicts of Interest 4

3. Compliance, Clearance, Interpretation

and Advice 4

4. Remedial Action and Discipline 4

5. Federal Laws Relating to Employee Conduct 5

6. Gifts from Outside Sources 5

7. Solicitations and Gifts by Employees 8

8. Outside Activities 9

9. Publications 15

10. Political Activities 15

11. Activities Related to Collections 16

12. Restrictions on Activities after Leaving

Smithsonian Employment 17

13. Personal Conflicts of Interest 19

14. Sponsored Travel 23

15. Use of Smithsonian Property 27

16. Restrictions on the Disclosure of Information 27

17. Financial Responsibility 28

18. Gambling, Betting, Lotteries, and Money 28

19. Borrowing Money from Subordinates 28

20. Disclosure of Personal Relationships

in the Workplace 28

21. Appeals from Determinations and Waivers

of Provisions of these Standards 29

Appendix 1: Fourteen Principles of Ethical 

Conduct for Smithsonian Employees

Appendix 2: List of Federal Laws Related to

Employee Conduct
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1. INTRODUCTION

(a) Purpose

This directive provides standards of conduct applicable to all Smithsonian Institution 

(“Smithsonian”) trust and federal employees, and serves as guidance to ensure that 

Smithsonian employees conduct their activities in accordance with accepted principles of ethics 

and in the best interests of the Smithsonian.

(b) Background

This directive supersedes the version of SD 103, Standards of Conduct, issued on March 7, 

2016. It incorporates the basic principles and guidelines of the 2012 standards of conduct, 

clarifies some of the procedures to be followed in implementing these principles, and provides 

further guidance in areas that raise substantial ethical concerns.

(c) Applicability of Standards

These standards establish the primary code of conduct at the Institution that governs the acts of 

individual employees. Other standards of conduct govern the acts of individuals who are not 

Smithsonian employees (see, e.g., SD 208, Standards of Conduct Regarding Smithsonian 

Volunteers), establish principles of institutional ethics (see, e.g., Statement of Values and Code 

of Ethics), and pertain to other aspects of employee conduct (see, e.g., Chapter 310, 

Employment of Relatives, in SDs 212 and 213, the Federal and Trust Personnel Handbooks).

It is the responsibility of each Smithsonian employee to be familiar with all of these standards 

and directives.

The Smithsonian standards of conduct are based on federal laws and regulations, principles 

applicable to public trusts and nonprofit organizations, and accepted professional codes of 

ethics. They incorporate and expand upon the Fourteen Principles of Ethical Conduct for 

Smithsonian Employees, which are found in Appendix 1. 

In addition to the ethics guidance provided in this directive, Smithsonian employees can access 

the Office of General Counsel (OGC) webpage on Prism for general ethics information and to 

find links to Smithsonian ethics forms.
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(d) Responsibility and Key Definitions

Covered Executives. “Covered Executives,” for purposes of this directive, includes but is not 

limited to the Secretary of the Smithsonian, all direct reports to the Secretary, and all Unit 

Directors with broad decision-making authority within the Institution. All individuals whose

positions are designated as Covered Executive are notified of such at the time they either 

receive their offer of employment or transfer to a new position within the Smithsonian that is 

designated as a Covered Executive. All Covered Executives must contact the General Counsel 

to be briefed on their responsibilities under these Standards of Conduct within thirty (30) days of 

hire or assumption of a Covered Executive position. A list of current Covered Executives is 

updated annually and available on the OGC Prism website.

Employee Responsibility. Primary and ultimate responsibility rests with the individual 

employee to become familiar with these standards, to act in accordance with them, and to seek 

guidance before engaging in any activity that might not be consistent with the principles or 

specific provisions set forth in these standards. Employees may seek guidance on these 

standards from Ethics Counselors who are available through OGCEthics@si.edu. 

Ethics Counselors. The General Counsel may designate other Smithsonian employees as 

ethics counselors to consult with employees in advance regarding the propriety of activities 

covered by these standards (“Ethics Counselors”). Ethics Counselors are responsible for the 

interpretation of these standards, and for advising supervisors and employees regarding the 

application of the standards on a case-by-case basis. Ethics counselors can be reached 

through email at OGCEthics@si.edu or by calling the OGC main office number.

Office of the General Counsel (OGC). The General Counsel is the Ethics Officer for the 

Smithsonian and is responsible for overseeing these standards of conduct and conflict of 

interest matters.

Office of Human Resources (OHR). OHR is responsible for (a) providing each employee with 

a copy of these Standards of Conduct during orientation, (b) notifying each employee at the time 

of hire, or at the time he or she assumes a new position within the Smithsonian, whether he or 

she is a designated Covered Executive, Unit Director, and/or mandatory annual Financial 

Disclosure Report filer, and (c) coordinating with OGC to maintain and update on an annual 

basis a current list of Unit Directors.

Office of the Secretary (OS). The Secretary, in consultation with OGC, is responsible for 

identifying all Covered Executives.

Unit Directors. Unit Directors are museum directors, research center directors, and individuals 

who lead primary Smithsonian departments. Unit Directors are responsible for ensuring that 

their staff members are aware of the standards of conduct. All new Unit Directors must contact 

the General Counsel to schedule an appointment to be briefed on their responsibilities under 
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these Standards of Conduct within thirty (30) days of hire or assumption of a position that bears 

Unit Director responsibility. OGC and OHR share responsibility for maintaining, updating and 

making available on an annual basis a current list of Unit Directors, and that list can be found on 

the OGC Prism website.

2. LOYALTY AND CONFLICTS OF INTEREST

Smithsonian employees must ensure that their conduct does not compromise the integrity of, or 

public confidence in, the Smithsonian. Employees must maintain high standards of honesty, 

integrity, and loyalty to the Smithsonian. Employees must not engage in private or personal 

activities that might conflict, or appear to conflict, with Smithsonian interests, such as:

• Using Smithsonian employment for private gain;

• Giving preferential treatment to any person or company for any reason; or

• Failing to make impartial decisions on the Smithsonian’s behalf.

Employees must also be aware of and guided by the generally accepted professional standards 

and codes of ethics applicable in their respective professional fields, except to the extent that 

such standards may conflict with Smithsonian policies.

3. COMPLIANCE, CLEARANCE, INTERPRETATION AND ADVICE

Employees must ensure that they comply with the general principles and specific provisions of 

these standards. If any doubt exists as to whether an activity or planned activity violates these 

standards, employees are obligated to seek advice immediately from an Ethics Counselor.

Certain activities identified in these standards require prior clearance and/or approval by the 

appropriate supervisory officials and/or from an Ethics Counselor. Employees are responsible 

for providing full disclosure of all relevant facts when seeking clearance or approval to conduct 

such activities. 

4. REMEDIAL ACTION AND DISCIPLINE

An employee’s failure to comply with these standards is cause for remedial or disciplinary 

action. Such action may include but is not limited to:

• A letter of reprimand;

• Change in assigned duties;
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• Divestment of any conflicting interest;

• Disqualification from a particular assignment; and

• Appropriate discipline, up to and including dismissal.

5. FEDERAL LAWS RELATING TO EMPLOYEE CONDUCT

Apart from disciplinary or remedial action by the Smithsonian arising from a violation of these 

standards, civil and criminal penalties may be imposed for violation of federal statutes, to the 

extent that such statutes are applicable to federal or trust fund employees.

It is the responsibility of Smithsonian employees to be aware of applicable statutes and to 

ensure that their conduct does not violate federal laws, including those referenced in Appendix 

2. Ethics Counselors are available to advise employees about how their conduct, or planned 

activities, might violate federal statutes.

6. GIFTS FROM OUTSIDE SOURCES

(a) General Policy Irrespective of Source

Employees shall not solicit or accept any gift from any source that is or appears to be offered 

because the employee holds a Smithsonian position or may have influence within the 

Smithsonian.

(b) Definitions

• Gift: An object, financial interest, money, entertainment, favor, discount, travel, lodging, 

meal, or other arrangements that benefit the employee.

• Prohibited Source: Any organization that or person who: (1) is seeking official action by 

the Smithsonian; (2) does business or seeks to do business with the Smithsonian; or (3) 

has interests that may be substantially affected by performance or nonperformance of 

the employee’s official duties.

• Gift “to” an Employee: Gifts to an employee’s family member, or to any other person 

because of the recipient’s relationship to the employee, or to any person or organization 

at the request or recommendation of the employee, are subject to the same restrictions 

as personal gifts to the employee.
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• Gift “to” the Smithsonian: Gifts to the employee but accepted by or on behalf of the 

Smithsonian, such as reimbursement of an employee’s official travel expenses, or other 

in-kind gifts for official Smithsonian use are not treated as personal gifts for purposes of 

applying the prohibitions described in this section. See Section 14 for rules on 

reimbursements for travel on Smithsonian business.

(c) Gifts Offered by Prohibited Sources

An employee may not solicit or accept a gift from a “prohibited source” unless one or more of 

the following applies:

• Circumstances make it clear that the gift is motivated by a family relationship or personal 

friendship rather than by the position of the employee.

• The gift is food or refreshments of modest value, given on infrequent occasions, and in 

the ordinary course of business, such as a luncheon or dinner meeting.

• The gift is a loan from a bank or other financial institution on terms generally available to 

the public.

• The gift qualifies as an award or honorary degree and meets the requirements set forth 

in subsection (d) below.

• The gift is unsolicited and has an aggregate market value of $50 or less per occasion, 

provided that the aggregate market value of individual gifts received from any one 

person or organization under the authority of this exception does not exceed $100 in a

calendar year. This exception only applies to tangible goods and does not apply to gifts 

of cash or of financial interests such as stocks, bonds, or certificates of deposit.

• The gift is unsolicited and the employee pays the source of the unsolicited gift the fairmarket value of the item and reports the transaction to an Ethics Counselor for clearance 

within thirty (30) days of receipt.

Notwithstanding these exceptions, an employee shall not: (1) accept a gift in return for being 

influenced in the performance of an official act; (2) solicit or coerce the offering of a gift; or (3) 

accept a gift in violation of any statute.

Even where the acceptance of a gift may be technically permitted by one of the exceptions, 

there may be additional considerations that require an employee to decline a gift. An employee

should consult an Ethics Counselor for guidance when he or she wishes to keep a gift offered to 

him or her under an abovementioned exception.
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(d) Honorary Degree or Award with Monetary Value

Clearance by an Ethics Counselor is required before an employee accepts either (1) an 

honorary degree that may or may not have a monetary value, or (2) an award with monetary 

value from an external organization. Awards that do not fall into either of these categories do not 

require OGC clearance. For a degree or award that does require clearance, the employee must 

demonstrate that it is given as part of an established program that makes the award (i) on a 

regular basis, or pursuant to funding that ensures the award will continue to be given on a 

regular basis, and (ii) pursuant to written standards. When an employee receives notification of 

the honorary degree or award, the employee must document that the two criteria above have 

been met by: (i) filling out a clearance request for approval by the General Counsel through the 

Unit Director or Under Secretary (if the employee is a Unit Director), using OGC Form 3, 

Clearance Request for Honorary Degree or Monetary Award, and (ii) attaching a copy of the 

award notification from the granting organization. OGC Form 3 is available on the OGC Prism 

website.

(e) Gifts and Decorations from Foreign Governments

An employee is prohibited from accepting a gift or decoration from a foreign government except 

as provided in this section.

(1) Gifts.

Below Foreign Gifts and Decorations Act (FGDA) Threshold. An employee may 

accept a gift from a foreign government where the gift (i) is tendered and received as a 

souvenir or mark of courtesy; and (ii) does not exceed the monetary threshold 

established in the FGDA regulations.

Above the FGDA Threshold. An employee may accept a gift from a foreign 

government that exceeds the threshold only when the refusal of the gift would likely 

cause offense or embarrassment to the donor or would otherwise adversely affect the 

interests of the Smithsonian. Gifts accepted under these circumstances are deemed to 

have been accepted on behalf of the Smithsonian. Within 30 days of acceptance of such 

gifts or the employee’s return to a regular duty station, the employee must report the gift 

to the Unit Director and the General Counsel, and must deposit the gift with the Unit 

Director. If the Unit Director determines that the gift cannot be used for official purposes, 

it shall be disposed of in accordance with Smithsonian property management regulations

(see SD 315, Personal Property Management, and the Personal Property Management 

Manual).

For gifts from foreign governments that involve the payment of travel costs, please see 

Section 14, Sponsored Travel.
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(2) Decorations. Decorations awarded by a foreign government to an employee in 

recognition of outstanding or unusually meritorious performance may be accepted, 

retained, and worn by the employee, subject to the approval of the Secretary of the 

Smithsonian. Upon receipt or tender of the decoration, the employee must contact the 

General Counsel to commence the approval process.

In the event that the Secretary does not approve the retention of the decoration by the 

employee, the decoration is deemed to have been accepted on behalf of the 

Smithsonian and must be deposited with the Office of the Secretary.

(3) Employment or Positions with Foreign Governments. Smithsonian employees may 

not become employees of or accept positions with any foreign government. Employees 

must consult with an Ethics Counselor prior to making any commitment to perform 

services for a foreign government or any of its instrumentalities.

7. SOLICITATIONS AND GIFTS BY EMPLOYEES

(a) Individual Solicitations and Sales by Employees

Unless in connection with official Smithsonian activities, employees shall not solicit or promote 

the sale of any goods or services on Smithsonian premises or using Smithsonian resources or 

facilities, including email. This restriction includes fund raising of any kind for outside 

organizations.

Note: This restriction does not apply to the placement of advertisements or notices on bulletin

boards or in publications explicitly provided by the Smithsonian for these purposes.

(b) Gifts to Supervisors

Supervisors cannot accept gifts from an employee receiving less pay. Employees shall not give 

a gift to supervisor, make a donation as a gift to a supervisor, or solicit contributions from other 

employees for a gift to a supervisor. There are exceptions to this prohibition. They are as 

follows: an employee may give a voluntary gift of a nominal value to a supervisor on a special 

occasion such as marriage, illness, or retirement, or through an anonymous office gift 

exchange.

Employees are not similarly prohibited from receiving gifts from supervisors.

Employees and supervisors are advised to contact an Ethics Counselor regarding specific gift 

inquiries.
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8. OUTSIDE ACTIVITIES

Employees are entitled to independence in their personal or outside activities, subject to their 

duty of loyalty to the Smithsonian. In conducting any outside activity, employees must ensure 

that the activity:

• is compatible with the full and proper discharge of their Smithsonian employment;

• cannot reasonably be construed by the public as an official action of the Smithsonian;

• will not impair the employee’s mental or physical capacity to perform assigned 

Smithsonian duties in an acceptable manner; and

• will not create a conflict of interest or the appearance of a conflict of interest for the 

employee.

In addition to satisfying these general requirements, all “outside” activities as defined by this 

section must:

• receive OGC clearance to the extent required. Note: Separate clearance requirements 

apply to outside activity participation for Covered Executives versus general employees;

• be carried out on an employee’s personal time (including annual or unpaid leave), apart 

from his or her Smithsonian duty hours; and

• be arranged (travel logistics and otherwise) independently of the Smithsonian.

For purposes of all the requirements set forth in this section, an employee is required as 

appropriate to seek the advice of his or her supervisor and an Ethics Counselor to 

determine whether a particular activity, including board service, is related or unrelated to 

his or her Smithsonian position. An employee’s supervisor and Ethics Counselor are 

jointly empowered to ultimately determine whether any particular activity is ultimately 

related to an employee’s Smithsonian position. The Ethics Counselor, in determining 

whether an activity is related to an employee’s Smithsonian position, will consider the following 

non-exhaustive factors:

• whether the activity is undertaken as part of the employee’s official duties. Note: this 

determination is often made in consultation with the employee’s supervisor;

• whether the circumstances indicate that the invitation to engage in the activity was 

extended to the employee primarily because of his or her official position rather than the 

employee’s independent expertise on the particular subject matter;
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• whether the invitation to engage in the activity or the offer of compensation for the 

activity was extended to the employee, directly or indirectly, by a person who has 

interests that may be affected substantially by the performance or nonperformance of 

the employee’s official duties; and

• whether the information conveyed through the activity draws substantially on ideas or 

official data that involve information not available to the public.

(a) Definitions

For purposes of these standards, the following definitions apply:

• Compensated: for purposes of this directive, the term “compensated” refers to all forms 

of monetary remuneration, including but not limited to honoraria, fees, salaries, and 

royalties. This term does not include reimbursements for travel expenses.

• Outside Activity: any activity an employee engages in, whether for compensation or on 

a volunteer basis, which is not an official duty or assignment of the employee’s 

Smithsonian position.

Note: Work performed by an employee for another Smithsonian unit, apart from his or 

her regular duties, is only considered an outside activity for the purpose of these 

standards if the work is unrelated to the employee’s areas of expertise. 

• Related Outside Activity: an outside activity that is similar or related to the employee’s 

Smithsonian responsibilities or area of expertise.

Note: Related activities performed on official time where compensation is paid directly to 

the Smithsonian are not considered “outside activities” for purposes of this policy and 

require only unit approval. No OGC clearance is required for such activities.

• Unrelated Outside Activity: an outside activity that is not similar or related to an 

employee’s Smithsonian responsibilities or areas of expertise.

(b) Related Outside Activities, Compensated or Uncompensated

(1) Related, Compensated Outside Activities. OGC Clearance Required. OGC 

Form 1, Clearance Request for Paid Outside Activities, is available on the OGC 

Prism website. All employees must seek clearance from their supervisor, Unit 

Director, and an Ethics Counselor for all compensated outside activities which are 

or may be similar or related to their Smithsonian employment (including but not 
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limited to consulting, teaching, lecturing, or writing about the Smithsonian, its 

scholarship and research, programs, and collections). Receiving additional 

compensation from any outside source for work within the scope of an employee’s 

Smithsonian duties and responsibilities may violate Smithsonian policy and federal 

law. See e.g., 18 United States Code (U.S.C.) § 209.

(2) Related, Uncompensated Outside Activities. OGC Clearance Required Only in 

Limited Circumstances. Employees may be encouraged to participate on a 

voluntary or uncompensated basis in the activities of organizations that are related 

to or support the employee’s Smithsonian position or areas of expertise. 

Participation in such outside professional activities may be permitted on official 

time with unit approval if such activities relate to an employee’s Smithsonian 

duties, are an appropriate use of the employee’s time, and are determined to be in 

the substantial interest of the Smithsonian. Employees do not need to seek 

approval from an Ethics Counselor to participate in such uncompensated, related 

outside activities approved by their supervisor and Unit Director unless the activity 

involves certain types of Board Service. See subsection (d) below. 

(c) Unrelated Outside Activities, Compensated or Uncompensated

(1) Employees. Employees who are not Covered Executives do not need Smithsonian 

approval to participate during off-duty hours in the affairs of charitable, educational, 

religious, public service, and other voluntary organizations, or engage in unrelated 

outside activities for free or for pay, provided that employees do not:

• solicit for or promote such organizations during Smithsonian duty hours;

• attempt to use in any way the name, reputation, property, or facilities of the 

Smithsonian for the benefit of such activities or organizations; or

• use their official title or Smithsonian affiliation unless separately authorized 

pursuant to subsection (e) below.

(2) Covered Executives. Covered Executives may participate during off-duty hours in 

the affairs of charitable, educational, religious, public service, and other voluntary 

organizations, or engage in unrelated outside activities without Smithsonian 

approval, unless the activities involve the following, in which case General Counsel 

approval is required:

a. Receiving compensation OR 

b. Using their Smithsonian titles OR
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c. Engaging in an outside activity that involves any type of board service.

Covered Executives may not under any circumstances engage in such activities, 

solicit for, or promote such organizations during Smithsonian duty hours, or attempt 

to use in any way the name, reputation, property, or facilities of the Smithsonian for 

the benefit of such activities or organizations.

(d) Board Service (Related or Unrelated to Smithsonian Position)

OGC Form 4, Clearance Request for Board Membership, is available on the OGC Prism 

website.

(1) Non-Profit Boards (Governing/Fiduciary)

a. Related Governing Board Service. All employees (including Covered Executives) 

may only serve on a governing/fiduciary board of an outside organization related 

to their Smithsonian position if either (1) they are appointed by the Secretary of 

the Smithsonian, or designee; or (2) they receive supervisor approval, Unit 

Director approval, and a determination by the General Counsel that, based on 

the official duties of the employee, there is no likelihood of a conflict of interest or 

impairment of the duty or loyalty to the Smithsonian. These requirements apply 

whether the employee is seeking to serve on a governing/fiduciary board of an 

outside organization as part of the employee’s Smithsonian duties or in the 

employee’s personal capacity. An employee approved to serve on a 

governing/fiduciary board as part of his or her Smithsonian duties may use his or 

her Smithsonian title in connection with that activity whereas an employee 

approved to serve on a governing/fiduciary board only in his or her personal 

capacity may not do so under his or her Smithsonian affiliation.

Notes:

• To the extent the Smithsonian is mandated by federal statute to designate a 

board member to represent the Institution, such designation may only be 

accomplished by Secretarial appointment.

• Only an employee designated as an official representative of the Smithsonian 

to an outside governing/fiduciary board pursuant to Secretarial appointment 

will be eligible for indemnification pursuant to the Board of Regents’ 

indemnification resolution and guidelines.
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b. Unrelated Governing Board Service.

• Employees. An employee who is not designated by the Secretary as a 

Covered Executive does not need Smithsonian approval to serve on a 

governing board if such service is uncompensated and unrelated to his or her 

Smithsonian position.

• Covered Executives. A Covered Executive employee is required to seek 

supervisor, Unit Director and General Counsel approval to serve on a 

governing board even if the service is uncompensated and unrelated to his or 

her Smithsonian position.

(2) Non-Profit Boards (Advisory)

a. Related Advisory Board Service. All employees (including Covered Executives) 

may serve on an advisory board of an outside organization in a manner that is 

related to their Smithsonian position, with supervisor and Unit Director approval.

General Counsel approval is not required for employee advisory board service 

but employees are reminded of (1) their duty of loyalty vis-à-vis the Smithsonian 

and their inability to represent the interests of the Smithsonian and the outside 

entity vis-à-vis the other and (2) their duty to consult with an Ethics Counselor to 

discuss any potential conflicts of interest that may arise in connection with their 

outside board service.

b. Unrelated Advisory Board Service.

• Employees. Employees who are not designated by the Secretary as a 

Covered Executive do not need any Smithsonian approval to serve on an 

advisory board if such service is unrelated to their Smithsonian position and 

is uncompensated.

• Covered Executives. Covered Executive employees must receive

supervisor and Unit Director approval to serve in uncompensated capacities 

on advisory boards unrelated to their Smithsonian positions.

General Counsel approval is not required for Covered Executive unrelated 

advisory board service, but Covered Executives are reminded of (1) their 

duty of loyalty vis-à-vis the Smithsonian and their inability to represent the 

interests of the Smithsonian and the outside entity vis-à-vis the other and 

(2) their duty to consult with an Ethics Counselor to discuss any potential
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conflicts of interest that may arise in connection with their outside board 

service.

(3) For Profit Boards. Covered Executives are prohibited from serving on for profit 

boards. All other Smithsonian employees must treat for profit board service as a 

compensated outside activity whether the position is paid or unpaid and seek the 

requisite approvals.

(e) Use of Smithsonian Name or Official Title

(1) Unpaid Nonprofit Activities. With two exceptions, employees may generally use, or 

permit the use of, their official Smithsonian title or allow reference to their association 

with the Smithsonian for the limited purpose of professional identification in 

connection with their unpaid outside professional activities on behalf of or in 

association with a nonprofit entity. Exceptions are: 

a. Any use of an employee's official title or association with the Smithsonian beyond 

mere professional identification, that is, in a manner that uses the title in other 

than resume form or that gives the impression the individual is acting in his or her 

Smithsonian capacity (e.g., use in a byline). Such use requires advance 

clearance by the employee's supervisor, Unit Director, and an Ethics Counselor.

This limitation on use of title applies to all forms of board service performed as an 

outside activity in one’s personal capacity.

b. Use of a Covered Executive’s title (even for mere professional identification) in 

connection with an event or activity that involves fund raising for a third party. 

Such use requires advance clearance by the Covered Executive’s supervisor, 

Unit Director (if applicable), and an Ethics Counselor.

(2) Paid and For Profit Activities. Clearance from an employee’s supervisor, Unit 

Director, and an Ethics Counselor is required in advance of an employee’s use of his 

or her official Smithsonian title in connection with paid or for profit activities. “Paid or 

for profit activities” includes:

a. Outside professional activities on behalf of or in association with a nonprofit 

organization for which the employee will receive compensation; and 

b. Outside professional activities on behalf of or in association with a for-profit or 

commercial entity, whether or not the employee will receive compensation for the 

activity. 
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No uses of a Smithsonian title in connection with paid or for profit activities will be 

cleared if they give the appearance that an employee’s outside activities are 

endorsed by the Smithsonian or conducted under the auspices of the Smithsonian, 

or that the employee’s Smithsonian position is being used for private gain.

9. PUBLICATIONS

(a) Author Credits. Clearance for use of any employee’s official title is not required for 

standard author credits in connection with articles to be published in scholarly journals 

or other publications to which the employee contributed on official time. Uses of an 

employee’s official title in connection with activities undertaken in a non-official 

capacity, such as drafting forewords or endorsements for third parties, or drafting or 

contributing to articles or manuscripts in one’s personal capacity, require advance 

clearance by the employee’s supervisor, Unit Director, and an Ethics Counselor. 

(b) Disclosure of Funding Sources. Smithsonian staff publishing research findings 

under their Smithsonian title must identify and disclose to all publishers, Smithsonian 

and non-Smithsonian alike, each source of funding above $10,000 for any scholarly 

research that they conducted and relied upon in drafting the manuscript, whether or 

not any disclosure requirement is separately imposed by the manuscript’s publisher, 

and whether or not the publisher will actually include the disclosed sources in the 

printed or digital/online publication. Smithsonian staff are responsible for the disclosure 

of their funding sources, but not those of others in co-authored works. Smithsonian 

staff are not required to disclose new sources for publications that are reprinted or 

reproduced from the original publication, unless the work is updated or revised. To the 

extent that a publisher imposes a separate disclosure requirement, Smithsonian staff 

are obligated to further comply with the requirement as a matter of Smithsonian policy.

Note: Employees should seek the advice of an Ethics Counselor before agreeing to 

author as a private individual any publication that substantially draws on materials 

prepared in the course of carrying out their Smithsonian responsibilities.

10. POLITICAL ACTIVITIES

(a) Federal Hatch Act Restrictions. Employees may participate, as private citizens, in 

the activities of political groups. However, certain forms of participation in partisan 

political campaigns, particularly to the extent such participation is undertaken in an 

official employment capacity, is restricted by Smithsonian policy. See the OGC Prism 

website for further guidance on these rules.
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(b) Advocacy-Oriented Policy Positions. Employees may take positions, as private 

citizens, on matters of public policy but in doing so may not purport to speak in their 

official Smithsonian capacity, or in a manner, through the use of their titles, which may 

be reasonably construed to represent that of the Smithsonian. See subsection 8(e) for 

further guidance regarding “Use of Smithsonian Name or Official Title.”

11. ACTIVITIES RELATED TO COLLECTIONS

(a) Personal Acquisition of Collection Items

(1) General Policy. Employees may not acquire collection items in direct competition 

with the collecting activities of any of the collecting units of the Smithsonian. Direct 

competition with the Smithsonian may occur if an employee purchases a collection 

item that the employee knows, or would have reason to believe, that a Smithsonian 

collecting unit would be interested in acquiring if it were aware of the opportunity. In 

case of uncertainty regarding the Smithsonian’s interest in the collection item, the 

employee must consult with the appropriate curator or collecting Unit Director.

(2) Clearance Requirements.

Potential or Actual Conflict of Interest (Applicable to All Employees). In cases 

of a conflict of interest, or the appearance thereof, clearance must be obtained from 

an Ethics Counselor. In cases where the conflict cannot be resolved in other ways,

clearance may require providing the Smithsonian with the opportunity to purchase or 

otherwise acquire the collection item or, if already acquired by the employee, a 

reasonable time for the Smithsonian to decide whether to obtain the collection item 

from the employee upon payment of the employee’s costs of acquisition.

Acquisition by Employee Responsible for Acquiring Collection Items. There is 

by definition an appearance of a conflict of interest when a Smithsonian employee 

who is responsible for acquiring collection items for Smithsonian collections wishes 

to personally acquire any collection item that may be within the scope of collections 

for which the employee is responsible. In that circumstance, the employee must 

obtain prior clearance from the employee’s Unit Director and from an Ethics 

Counselor before acquiring such a collection item. Employees of Smithsonian 

collecting units must further comply with specific policies on personal collecting that 

may be established in unit collections management policies. 

Note. Clearance is not required for collection items received by employees as 

bequests, or for gifts which can be accepted pursuant to Section 6 of these 

standards.
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(b) Dealing in Collection Items 

Smithsonian employees directly responsible for acquiring collection items for Smithsonian 

collection shall not deal (i.e., buy and sell for profit or maintain an interest in any dealership) in 

collection items similar to those collected by the unit in which they are employed. Any other 

dealing by Smithsonian employees in collection items of the type collected by the Smithsonian 

requires prior clearance by the employee’s Unit Director and an Ethics Counselor.

(c) Appraisals of Collection Items

Employees may not make estimates of monetary value (i.e., “appraisals”) of collection items of 

the types collected by Smithsonian collecting units. Appraisals may be made solely for internal 

Smithsonian use, such as insurance valuations for loans.

(d) Authentication of Collection Items for Third Parties

Smithsonian staff may be asked by members of the public to exercise their expertise in 

examining collection items or images of collection items in order to ascertain their identity, age, 

quality, condition, or to give general information about the collection item’s origin. All such 

authentications will be given only to the owner of the collection item or the owner’s authorized 

agent, only for non-commercial purposes, and as consistent with the employee’s collecting unit 

policies regarding authentications. All assistance or opinions, whether written or oral, shall be 

provided free of monetary or other compensation. A disclaimer statement approved by OGC 

must accompany all written statements.

12. RESTRICTIONS ON ACTIVITIES AFTER LEAVING SMITHSONIAN 

EMPLOYMENT

Smithsonian employees should be aware that conflicts of interest and the appearance of such 

conflicts may arise if they are involved with matters as employees that may benefit them 

financially after their Smithsonian service has ended. Such questions should be discussed with 

the employee’s Unit Director and an Ethics Counselor. In particular, Covered Executives and 

those employees that meet OHR’s definition of “senior level” should consult with an Ethics 

Counselor prior to leaving Smithsonian employment. The OHR definition of “senior level” 

includes the following employees:

• Federal: All employees in pay plans ST and SL, and non-graded employees in pay plan 

GG.

• Trust: All employees in pay plans SA, SZ, SY, and IL, and SB employees as designated 

by OHR.
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(a) Lifetime Restriction on Certain Activities

A person shall not, at any time after ending employment at the Smithsonian, represent anyone 

other than the Smithsonian or the United States in connection with a particular matter (i) in 

which the Smithsonian is a party or has a direct interest; (ii) in which the person participated

personally and substantially while employed by the Smithsonian; and (iii) which involved a 

specific party or specific parties at the time of such participation. See 18 U.S.C. § 207 (a)(1).

(b) One-Year Restriction on Certain Activities by Senior-Level Employees

A senior-level employee shall not, for one year after his or her Smithsonian employment has 

ended, knowingly make any communication to or appear before a Smithsonian employee on 

behalf of anyone other than the United States in connection with any matter in which he or she 

seeks official action by that Smithsonian employee. See 18 U.S.C. § 207 (c).

A senior-level employee shall not, for one year after his or her Smithsonian employment has 

ended, represent, aid, or advise a foreign entity with the intent to influence any U.S. 

Government official or employee. Certain exemptions may apply. See 18 U.S.C. § 207 (f).

(c) Two-Year Restriction on Other Activities

A person shall not, for two years after his or her Smithsonian employment has ended, knowingly 

make any communication to or appear before a Smithsonian employee on behalf of anyone 

other than the United States, in connection with a particular matter (i) in which the Smithsonian 

or the United States is a party or has a direct and substantial interest, (ii) which was under the 

person’s official responsibilities (but in which that person did not participate personally and 

substantially) during the last year of his or her Smithsonian employment, and (iii) which involved 

a specific party or specific parties at the time it was so pending. See 18 U.S.C. § 207 (a)(2).

(d) Buyout Restrictions

Any employee who receives a buyout under the Voluntary Separation Incentive Payments

(“VSIP”) authority under the Smithsonian Facilities Authorization Act of 2003 may not be reemployed by the federal Government or the Smithsonian for five (5) years after separation 

unless the employee repays the entire payment or the federal Government or the Smithsonian 

waives the repayment due to exceptional recruiting difficulties. (This also applies to Smithsonian 

federal employees being re-employed in trust fund positions.) The employee also may not enter 

into a personal services contract with the Smithsonian on either a trust or federal basis for five 

(5) years after separation.
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In order to perform work for the Smithsonian or another part of the federal Government on a 

contract basis within five (5) years after a VSIP separation, the employee must receive 

confirmation from the Office of Human Resources (OHR), the Office of Contracting and 

Personal Property Management (OCon&PPM), and an Ethics Counselor that the contract is not 

a “personal services contract” as contemplated by the rule. These units will evaluate whether 

the contract involves work that an employee would otherwise perform and consider several 

factors, including but not limited to whether: (1) the contract involves routine contractor work, 

i.e., the Smithsonian has contracted for the work in the past; (2) the work would be done on site 

using SI facilities and resources; and (3) the work would be supervised by Smithsonian 

employees. Note: the contract may still involve personal services even if the contract is between 

the Smithsonian and an outside third party or company for whom the former employee works. 

13. PERSONAL CONFLICTS OF INTEREST

(a) Prohibition on Allowing Personal Outside Financial Interests to Affect Official 

Actions

(1) General Principle. An employee shall not participate in an official capacity in any 

matter in which, to the employee’s knowledge, the employee or the employee’s 

spouse, minor child, business partner, or a person or organization with which the 

employee is connected has a financial interest. See 18 U.S.C. § 208.

• An employee is considered to have a connection to a person or organization 

with whom the employee is negotiating or has any arrangement concerning 

prospective employment, or with an organization (for profit or nonprofit) in 

which the employee is serving as officer, director, trustee or board member, 

general partner, or employee.

• An employee is not considered to have a disqualifying financial interest by 

virtue of an ownership of shares of a widely diversified mutual fund, or of an 

ownership of an insignificant number of shares in a corporation.

(2) Smithsonian Contracts. A contract action in which an employee participates that 

involves any of the following parties may implicate the conflict of interest principle set 

forth above:

• Another Smithsonian employee;

• A relative of a Smithsonian employee;
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• An outside business partner of a Smithsonian employee;

• An employee of a federal agency; and/or

• A member of any Smithsonian board. 

Any contract action involving a Smithsonian employee and these parties must be 

referred to OCon&PPM for review and signature through the use of the OCON 100 

Form. In consultation with an Ethics Counselor, OCon&PPM may recommend that 

the contract action be terminated, that the employee recuse him or herself from 

participating in the contract, or consider (at the request of the employee) a conflict

waiver allowing the employee to carry out his or her duties with respect to the 

contract.

Waivers under this section require the approval of the employee’s supervisor, the 

Unit Director, the General Counsel, and the Under Secretary for Finance and 

Administration (USF&A).

(b) Overall Duty of Loyalty

Employees are reminded that they owe an overall duty of loyalty to the Smithsonian as detailed 

in Section 1. Even where a Smithsonian employee does not have a financial interest in an 

outside entity with which the Smithsonian does business, the Smithsonian employee must not 

use his or her employment for private gain, give preferential treatment to any person or 

company for any reason irrespective of personal financial interest, or fail to make impartial 

decisions on the Smithsonian’s behalf.

(c) Financial Disclosure Requirements

(1) Annual “Confidential Financial Disclosure Report” (Form SI-1085) (hereafter the 

“Report”) requires an employee to provide information that may reveal a potential or 

actual conflict of interest. The criteria for determining who must file the Report are 

based on an employee’s position with the Smithsonian or on the employee’s 

authority to act on behalf of the Smithsonian.

(2) Mandatory Filers. This Report must be completed by persons with significant 

authority to approve or review commitments of Smithsonian resources which may 

benefit individuals, businesses, or other organizations outside the Smithsonian. The 

categories of mandatory filers are as follows:

• All Covered Executives.
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• Any employees classified under certain senior-level pay scales.

• Employees identified by OCon&PPM with the authority to approve contracts, 

purchases, grants or the commitment of resources valued at $100,000 or 

greater.

• All Principal Investigators (PIs) and Co-Principal Investigators (Co-PIs) 

identified by the Office of Sponsored Projects (OSP) that have active awards 

during the calendar year for each annual filing. (Note: the thresholds set forth 

in the Report may differ from what is otherwise required for PIs and Co-PIs 

receiving Public Health Service [PHS] and/or National Science Foundation 

[NSF] funding); and

• Any other individual identified by his or her Unit Director in consultation with 

OGC, who has official responsibilities of a nature that authorizes him or her to 

commit or oversee significant Smithsonian resources, facilitate business 

relationships, and/or handle confidential or sensitive information.

(3) Timing of Filing.

• Annually. All mandatory filers must file Reports annually with OGC.

• New Covered Executives. New Smithsonian Covered Executives must file 

Reports within 30 days of assuming their positions and provide information 

for the prior 12-month period regardless of whether that period aligns with the 

most recent calendar year.

• At Time of Proposal. PIs and Co-PIs may be required to file additional 

Reports during the calendar year to reflect any changes to their most recent 

filings at the time they submit proposals to PHS.

• Upon Termination of Employment. Annual filers who terminate their 

employment with the Smithsonian must submit updated Reports covering the 

period of time between their most recent filings and their separation dates.

(4) Process. OGC and OHR, with input from Unit Directors as requested, will coordinate 

to flag and notify required filers through the Institution’s automated systems.

(5) Sanctions. Employees may be subject to disciplinary action for failure to file Reports 

on time or for failing to accurately disclose required information. Sanctions may
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range from a formal letter of reprimand placed in an employee’s file up to and 

including dismissal.

(6) Protests with Respect to Filing Reports. An employee who believes that he or she 

has been improperly designated as a mandatory filer is encouraged to discuss the

matter with an Ethics Counselor, and, if not satisfied, may request that the 

designation be reconsidered by his or her Unit Director in consultation with the 

General Counsel. If still unsatisfied, the employee may appeal his or her designation 

to the COO/USF&A or designee for a final decision.

(7) Effect of Filing a Financial Report. The filing of a required Report and the 

disclosure of certain financial or other interests do not in any way exempt the 

employee from full compliance with these standards, or from any disciplinary action

as a result of noncompliance. For example, the listing of outside employment does 

not relieve the employee of the obligation to seek consultation, and clearance if 

necessary, to ensure that the employment does not involve a conflict of interest or 

the appearance of a conflict of interest. 

(8) Review of Financial Reports. Ethics Counselors shall review all Reports filed 

annually. When this review indicates a conflict between the employee’s financial 

interests and the employee’s duties for the Institution, the Ethics Counselor will bring 

the conflict to the attention of the employee and attempt to resolve the situation. It is 

the duty of the employee to cooperate with the Ethics Counselor and to provide such 

additional information that the Ethics Counselor deems necessary to resolve an 

issue that poses a potential conflict. If the conflict cannot be resolved after discussing 

it with the employee, the Ethics Counselor shall forward a written report on the 

conflict to the employee’s supervisor or Unit Director, and, if necessary, the USF&A. 

The USF&A, or designee, shall decide what measures are required to resolve the 

conflict or appearance of conflict, including any remedial or disciplinary action.

(d) Conflict of Interest Declarations

All Smithsonian employees who are not required to fill out a Confidential Financial Disclosure 

Report will be required to sign a Conflict of Interest Declaration (“Declaration”), unless they are 

designated by OGC as exempt from this requirement. OGC may designate as exempt 

employees whose authority and duties are such that there is little to no risk that any outside, 

personal interests of the employees will conflict with their Institutional responsibilities. To 

illustrate, facilities personnel whose outside interests are unlikely to present a conflict with their 

responsibilities and who are without computer or network access may qualify as exempt from 

this requirement. OGC will annually publish categories of exempt personnel on its website. The

Declaration asks an employee to certify that he or she has read this policy, has had the
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opportunity to discuss any potential conflicts of interest with an Ethics Counselor, and to the 

best of his or her personal knowledge has complied with his or her obligations under these 

standards of conduct.

14. SPONSORED TRAVEL

The Smithsonian may accept travel benefits (e.g., transportation, lodging, meals, and related 

expenses), as in-kind or by reimbursement to the Smithsonian, from non-federal sources (such 

as for profit and nonprofit entities, or state, local, and foreign governments and governmental 

entities) for Smithsonian employees to travel in their official capacities to attend meetings, 

conferences, seminars, symposia, and other similar functions. These reimbursements are often 

referred to as “sponsored travel.”

(a) Procedures for Approval of Reimbursements by Non-federal Sources

(1) General Sponsorship Rule. Smithsonian employees shall obtain clearance from an 

Ethics Counselor prior to accepting such support from:

• An Individual (under limited circumstances). Note: OGC clearance is not

required if the sponsoring individual is (a) a family member or friend with no 

association (or contemplated association) with the Smithsonian, or (b) a donor 

who is underwriting travel expenses for a development event. In these 

circumstances, clearance must still be secured through supervisory channels, 

and any travel expenses that may be considered excessive or “lavish,” e.g.,

private plane travel, must be separately submitted to OGC for approval.

• A For Profit Entity. This includes, without limitation, all for profit entities 

without limitation.

• A Foreign Government or Governmental Entity. “Foreign governmental 

entities” include foreign universities, museums and research organizations that 

are largely funded by their governments, and multi-lateral or multi-national 

organizations such as the United Nations.

Written approval of an Ethics Counselor must be obtained prior to completion of the 

travel authorization process, and should be requested at least two (2) weeks in 

advance of the travel. Clearance requests that are received late or ex post facto will 

not be approved but OGC may elect to evaluate for audit purposes or otherwise

determine whether there is a conflict with the Smithsonian having accepted the

sponsorship. OGC Form 2, Clearance Request for Sponsored Travel, is available on 

the OGC Prism website.
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Reimbursements for travel expenses by individuals, for profit entities and foreign 

government and foreign entity sources as described above must be made payable 

directly to the Smithsonian. Employees may accept in-kind benefits such as an 

airline ticket acquired by the outside source in the name of the Smithsonian 

employee, subject to prior clearance by an Ethics Counselor, but Smithsonian

employees are not permitted to accept cash, checks, or similar reimbursements 

given directly to the employee from these sources unless they receive separate 

authorization pursuant to the Direct Reimbursement Policy set forth below in 

subsection (2). 

Note: sponsored travel that is expressly identified and authorized in an underlying 

agreement, e.g., a gift agreement, grant, or contract, does not require additional 

OGC clearance.

(2) Additional Authorization Required for Direct Reimbursements. Travel expenses 

may be paid directly to the employee only in accordance with the following 

processes:

a. Reimbursements paid by checks made out to the individual from sponsors 

that are U.S. state and local governments and nonprofit entities, i.e., United 

States charitable organizations under Internal Revenue Code section 501(c)(3)b, 

require the following:

i. Complete an OGC Form 5, Clearance Request for Direct Reimbursement,

which is available on the OGC Prism website, and which includes securing 

signatures from a supervisor, Unit Director, and Ethics Counselor; and

ii. Attach a copy of the form to the travel authorization documents.

b. Reimbursements paid by checks made out to the individual from sponsors 

that are foreign sponsors (including foreign governments, foreign entities, 

and foreign nonprofits) OR cash reimbursements from any type of sponsor 

must qualify for an exceptional waiver, and require the following:

i. Written confirmation from the sponsor that it cannot under any circumstances 

reimburse the Smithsonian versus the individual employee, and in the case of 

a cash reimbursement, demonstrate why the sponsor cannot pay the 

individual through a check reimbursement.

ii. [For foreign sponsors (governments, entities, and nonprofits) only] 

Demonstrate that the reimbursement falls into one of the following two 

categories:
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1. The reimbursement value is less than the FGDA threshold. The current 

threshold is located on the OGC Prism website. 

2. The reimbursement is more than the FGDA threshold, and covers only 

expenses for travel that takes place entirely outside of the United States, 

i.e., a gift cannot cover the cost of a flight that either departs from or 

terminates in the United States.

i. Complete a Direct Reimbursement Special Authorization Form, available on 

the OGC Prism website as Attachment A to OGC Form 5, Clearance Request 

for Direct Reimbursement, which includes securing signatures from a 

supervisor, Unit Director, an Ethics Counselor, and the USF&A.

ii. Attach a copy of the form to the travel authorization documents.

NOTES:

• If cash is unexpectedly received at the beginning or end of a trip, it must be 

handled in the manner prescribed by the Smithsonian Travel Handbook, and the 

Direct Reimbursement Waiver must be completed ex post facto.

• Direct Reimbursements are 100 percent audited.

(b) Limitations on Reimbursements for Travel on Smithsonian Business

(1) General Limitation on Excessive or Lavish Benefits. Employees may not be 

reimbursed, nor may payments be made on their behalf, for personal living 

expenses, gifts, entertainment, or other personal benefits that could be considered 

excessive or lavish, meaning costs that exceed what is a reasonable amount under 

the facts and circumstances.

Spousal Travel. Spousal or dependent family member travel must be approved by 

the General Counsel, and it is approvable only in extraordinary cases upon 

demonstration that the travel meets a bona fide business purpose of the 

Smithsonian. Exceptions will only be granted in those instances where the spouse or 

dependent family member conducts official and substantive business-related 

functions on behalf of the Smithsonian. Considerations, including but not limited to 

the following, may help determine whether or not certain spousal or dependent family 

member travel is approvable:
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• Whether the duties and responsibilities performed by the spouse or 

dependent family member would be performed by an additional Smithsonian 

employee, not already included in the travel activity, if the spouse or 

dependent family member does not attend the event.

• If the spousal or dependent family member’s travel costs are underwritten by 

a sponsor, whether the Smithsonian would pay for that individual’s travel 

costs absent the sponsorship.

• Whether the spouse or dependent family member will attend business-related 

meetings or events, or is asked to independently participate at businessrelated meetings or events to advance the Smithsonian’s mission. 

A memorandum must be prepared for Ethics Counselor approval demonstrating that 

these standards have been met. OGC Form 6, Clearance Request for Special 

Circumstances Sponsored Travel, is available on the OGC Prism website, and 

includes a template memorandum.

Note: Spouses or dependent family members may accept food and incidental 

benefits of a nominal value.

Note: Overseas Tour Renewal Agreement Travel (OTRAT) is separately addressed 

by Chapter 591, Allowances and Differentials, in SDs 212 and 213, and in the 

Allowances and Differentials Handbook. 

(2) Private Plane or Chartered Air Travel. Private or chartered plane travel is 

approvable in limited and exceptional cases. Private or chartered plane travel will 

only be approved in those instances where the travel is not excessive or lavish, 

meaning that the costs do not exceed a reasonable amount under the facts and 

circumstances, and does not raise a conflict of interest or an appearance of a conflict 

of interest. Considerations including but not limited to the following may assist in 

determining whether or not private or chartered plane travel is approvable:

• The trip is serving a bona fide business purpose and advancing the mission 

of the Smithsonian.

• The plane/flight is already scheduled to make the anticipated trip regardless 

of whether the Smithsonian employee(s) are passengers.

• The availability of reasonable commercially available alternative flights.

A memorandum must be prepared for Ethics Counselor approval that demonstrates 

that these standards have been met. OGC Form 6, Clearance Request for Special
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Circumstances Sponsored Travel, is available on the OGC Prism website, and 

includes a template memorandum.

15. USE OF SMITHSONIAN PROPERTY

(a) Prohibition on Private Uses

Employees shall not directly or indirectly make use of or permit the use of Smithsonian property 

of any kind for other than officially approved activities. Smithsonian property includes all 

Smithsonian assets, tangible and intangible, such as funds, facilities, equipment, supplies, staff 

time and services, intellectual property rights, and information that is unavailable to the general 

public.

Incidental and occasional personal use of Smithsonian computer and communications systems 

is permitted, provided that such use does not interfere with the conduct of Smithsonian business 

and is consistent with Smithsonian policies on the use of such systems. See SD 931, Use of 

Computers. Telecommunications Devices and Networks, which is available on Prism, for more 

information on this policy.

(b) Ownership of Data and Materials Prepared by the Institution

All work products, including manuscripts, lectures, photographs, and all other materials 

prepared by employees within the scope of their employment, are the property of the 

Smithsonian. See 17 U.S.C. §§ 101, 105, and 201. Employees should seek the advice of an 

Ethics Counselor before engaging in any outside activity, including agreeing to author as a 

private individual any publication that substantially draws on materials prepared in the course of 

carrying out their Smithsonian responsibilities. See also Section 8, Outside Activities, of this 

directive.

16. RESTRICTIONS ON THE DISCLOSURE OF INFORMATION

Unless specifically authorized to do so, employees may not disclose any Smithsonian 

information which is of a confidential or privileged nature or any other information of such 

character that its disclosure might be contrary to the best interests of the Smithsonian. Such 

information may include private, personal, or business-related information furnished to the 

Smithsonian in confidence. Security and investigative data for official use only shall not be 

divulged to unauthorized persons or agencies.
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17. FINANCIAL RESPONSIBILITY

An employee shall pay debts properly and in a timely manner, especially those imposed by law, 

such as federal, state, or local taxes. A debt is a just financial obligation acknowledged by the 

employee or reduced to judgment by a court. If there is a dispute between an employee and a 

creditor, the Smithsonian will not determine the validity or amount of the disputed debt. 

All employees should be aware that the Smithsonian may be required by law under certain 

circumstances to attach employee wages or salary for enforcement and collection of consumer 

debts, child support, and alimony obligations. See SD 116, Claims Against Employee Wages, 

which is available on Prism.

18. GAMBLING, BETTING, LOTTERIES, AND MONEY

(a) Gambling, Betting, and Lotteries

No employee shall participate, while on Smithsonian premises or while on duty for the 

Smithsonian, in any gambling activity, including, but not limited to, the operation of a gambling 

device, conducting or participating in a lottery or pool, involvement in a game for money or 

property, or selling or purchasing a numbers slip or ticket.

(b) Lending Money for Gain

While on duty, or while on Smithsonian premises, employees are forbidden to lend money to 

anyone under any arrangements for the purpose of monetary profit or other gain. This 

prohibition is not applicable to operations of a recognized employee credit union or employee 

welfare plan.

19. BORROWING MONEY FROM SUBORDINATES

No supervisor may borrow money from subordinates, nor request or require any subordinate to 

co-sign or endorse a personal note. 

20. DISCLOSURE OF PERSONAL RELATIONSHIPS IN THE WORKPLACE

Close personal relationships in the workplace between supervisors and those they supervise 

increase the potential for apparent or actual conflicts of interest, perceptions of favoritism, and 

claims of sexual harassment. An employee engaged in a romantic, intimate, or sexual 
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relationship with either another employee whom he or she supervises (either directly or through 

others) or a person associated with the Smithsonian whom he or she supervises (either directly 

or through others) must promptly disclose the relationship to his or her supervisor. The 

supervisor will determine what changes or actions may be necessary to resolve the apparent or

actual conflict in the best interests of the Smithsonian, including but not limited to adjusting 

reporting or working relationships.

21. APPEALS FROM DETERMINATIONS AND WAIVERS OF PROVISIONS OF 

THESE STANDARDS

(a) Request for Waiver

Employees may request that an Ethics Counselor waive application of these standards on the 

grounds that their enforcement would be contrary to the best interests of the Smithsonian or 

would cause undue hardship to an individual and would not violate applicable law. A request for 

a waiver, with a full description of the relevant facts, should be made to an Ethics Counselor.

(b) Appeal of Denial of a Waiver

An employee may appeal to the USF&A, or designee, a decision by an Ethics Counselor 

declining to waive these standards.

(c) Appeals from Ethics Counselor Rulings

Employees may appeal to the USF&A, or designee, rulings made by OGC interpreting these 

standards of conduct. 

(d) Procedures for Appeals

An appeal, with full disclosure of the relevant facts, should be forwarded to the USF&A through 

OGC. To assist the Under Secretary’s consideration of appeals from rulings of the Ethics 

Counselor, the USF&A may designate an individual to act on his or her behalf, or convene a 

committee to advise on the matter under consideration.

The employee may appear before the committee or the USF&A’s designee, or make a written 

submission to the committee, the designee, or the Under Secretary. The determination by the 

USF&A, or designee, shall be final.

SUPERSEDES: SD 103, March 7, 2016

INQUIRIES: Office of General Counsel (OGC)

RETENTION: Indefinite. Subject to review for currency 36 months from date of issue.