ETHICS OFFICE

OFFICE OF THE GENERAL COUNSEL

UNITED STATES DEPARTMENT OF COMMERCE

202-482-5384 – ethicsdivision@doc.gov – www.commerce.gov/ethics

UNITED STATES

DEPARTMENT OF COMMERCE

SUMMARY OF ETHICS RULES

FOR SPECIAL GOVERNMENT EMPLOYEES 

2021
2021 Summary of Ethics Rules for Special Government Employees – page 1

PUBLIC SERVICE IS A PUBLIC TRUST

The role of consultants and advisors and other limited-service employees is vital to the effective 

functioning of the Federal Government. All employees are held to a high standard of conduct. 

As an employee who serves less than 130 days per year, you are considered a “special 

Government employee” and are subject to many, but not all, of the ethics rules applicable to 

Government employees who serve for longer periods of time. This document is intended to 

help familiarize you with those rules. 

If you have a question regarding an ethics issue, contact a Commerce ethics official in the Ethics 

Office of the Office of General Counsel, U.S. Department of Commerce at 202-482-5384 or 

ethicsdivision@doc.gov.

Designated Agency Ethics Official for the U.S. Department of Commerce: 

 David Maggi 

Chief, Ethics Law and Programs Division 

Alternate Designated Agency Ethics Official: 

 Michelle O. McClelland 

Assistant General Counsel for Administration and Transactions 

Office of Inspector General (OIG) – Employees have an obligation to report waste, fraud, 

abuse, or other violations of the law. The OIG maintains a Hotline for receiving allegations of 

fraud, waste, abuse, and other violations of law in U.S. Department of Commerce programs or 

operations. To file a complaint, please visit www.oig.doc.gov, click on “Hotline & 

Whistleblower Protection” on the top right and then scroll down to the “Online Complaint 

Form.” 

The Ethics Office does not investigate allegations of violations of law. 

Prepared by the Ethics Office, Office of the General Counsel, U.S. Department of Commerce 

202-482-5384 – ethicsdivision@doc.gov – January 6, 2021
2021 Summary of Ethics Rules for Special Government Employees – page 2

GENERAL ETHICAL PRINCIPLES

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 in ethics regulations, 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 non-performance 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 official Government duties and 

responsibilities. 

11. Employees shall disclose waste, fraud, abuse, and corruption to 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. 

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 that they are 

violating the law or the ethical standards set forth in ethics regulations. Whether particular 

situations 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. 
2021 Summary of Ethics Rules for Special Government Employees – page 3

A conflict of interest statute requires your disqualification from participating in a matter—

including by giving advice or making a recommendation—in which you or your spouse, minor 

child, partner, household member, or employer has a financial interest. However, there are 

some exceptions to this general rule, including if a waiver has been granted, which is often the 

case for members of Federal advisory committees. 

General Rule. You cannot participate as a Government official in a matter that will have a 

direct and predictable effect on your financial interests (such as a company in which you own 

stock); on the financial interests of your spouse, minor children, household members, general 

partners, outside employers, or prospective employers; or on the financial interests of an 

organization in which you serve as a trustee, officer, or board member. 

Exceptions to the General Rule. There are some exceptions to the general rule, however; you 

may participate in matters affecting a financial interest if the financial interest is: 

• covered by a conflict of interest waiver, which is available for members of Federal advisory 

committees in most cases (and other employees in limited circumstances); 

• a holding in a publicly-traded diversified mutual fund; 

• a holding of less than $50,000 in a publicly-traded “sector-specific mutual fund” (a fund that 

focuses on a specific industry sector or state or foreign country); 

• a publicly-traded stock or bond holding of $15,000 or less in a company; 

• a publicly-traded stock or bond holding of $25,000 or less in a company regarding

participation in broad policy matters affecting the company as a member of a group or 

industry sector (if total investments in the group/industry sector are $50,000 or less) (but 

not participation in matters affecting the company individually); or 

• if you are a member of a Federal advisory committee, an interest in your non-Federal 

employer if the matter at issue concerns general policy. 

Use of Insider Information and Investing in IPOs. You are barred from using insider 

information to make investment decisions. In addition, if you file a public financial disclosure 

report (which is required for political appointees, SES members, and employees at a similar pay 

level) you are barred from investing in Initial Public Offerings (IPOs) except in the same manner 

as is available to members of the public generally. 

Special Rule for U.S. Patent and Trademark Office Employees and Employees Overseas. 

USPTO employees are barred from applying for a patent or acquiring, directly or indirectly, 

except by inheritance or bequest, any right or interest in a patent issued by USPTO. 

Applicable Law: 15 United States Code (U.S.C.) § 78u-1; 18 U.S.C. § 208; 35 U.S.C. § 4; 5 Code of 

Federal Regulations (C.F.R.) §§ 2635.401-2635.403 and 2640.201-2640.202 

FINANCIAL CONFLICTS OF INTEREST
2021 Summary of Ethics Rules for Special Government Employees – page 4

It is important to avoid not only financial conflicts of interest but also any appearance of loss of 

impartiality, including an appearance of a conflict based on personal relationships. An 

appearance of bias is most likely when a matter concerns a person or organization with which 

you have a close relationship outside of the Government. 

General Rule. You cannot participate in a matter in which a person with whom you have a 

“covered relationship” is before the Government as a party (or to represent a party) and your 

participation would cause a reasonable person to question your impartiality. 

Persons with whom you have a “covered relationship” include: 

• persons with whom you have or are seeking business or financial relationships; 

• household members; 

• close relatives; 

• employers and clients of your spouse, parents, or dependent children (and their prospective 

employers and clients); 

• recent former non-Federal employers and clients, (which includes anyone who was an 

employer or client within the past year and, if you are a political appointee, anyone (other 

than a state or local government) that was an employer or client within the two years prior 

to your appointment (in which case the restriction will last for two years after your 

appointment)); and 

• organizations (other than political parties) in which you are an active participant. 

If you are a political appointee who served as a registered lobbyist or a registered foreign agent 

in the two years prior to your appointment, you also cannot participate in any matter on which 

you lobbied or engaged in activities as a foreign agent for two years after your appointment or 

specific issue areas in which such matter falls. 

Exception to the General Rule. If the Government’s need for your participation in a matter 

outweighs appearance concerns, a waiver of the disqualification requirement may be available. 

Contact an ethics official for more guidance on this exception. 

Perception Concerns. Note that if you are assigned to a task that does not involve someone 

with whom you have a “covered relationship,” but which still may raise a question regarding 

favoritism, such as a matter concerning a personal friend, you should discuss the concern with 

your supervisor, who can decide whether to reassign the matter to someone else based on 

management considerations, even though there is no legal requirement for your 

disqualification. You can also discuss such perception concerns with an ethics official. 

Applicable Law: 5 C.F.R. §§ 2635.501-2635.503; Executive Order 13989 (January 20, 2021) 

CONFLICTS OF INTEREST

BASED ON PERSONAL RELATIONSHIPS
2021 Summary of Ethics Rules for Special Government Employees – page 5

General Rule on Outside Activities. As a special Government employee, you are likely to have 

employment other than your U.S. Government position. It is important that you consider 

whether such non-Federal employment, or other personal activities, conflict with your 

Government duties. You are required to disqualify yourself from participating on matters in 

which an outside employer, or an organization in which you serve as an officer or board 

member, has a financial interest (except that you are permitted to participate in general policy 

matters affecting a non-Federal employer if you serve on a Federal advisory committee). If you 

think that this disqualification requirement will prevent you from performing important 

Government duties, please contact an ethics attorney at 202-482-5384 or 

ethicsdivision@doc.gov. 

Restrictions on Non-Federal Activities. While serving as a special Government employee, you 

cannot: 

• be a registered lobbyist; 

• be a registered foreign agent; 

• represent someone, or receive compensation due to someone else’s representational 

activities (such as a partner’s), before a Federal agency or Federal court regarding: 

- a matter involving specific parties on which you participated as a special Government 

employee or 

- if you serve for 61-130 days, a matter involving specific parties that was before the 

Commerce Department during your period of service; 

• be paid for teaching or writing about programs, policies, and operations of Commerce or, if 

you are a political appointee in the Senior Executive Service (SES), about any subject areas 

under the responsibility of Commerce; 

• be employed by a foreign government, unless your only Federal service is as a member of a 

Federal advisory committee; and 

• engage in political activities during days of Federal service, which includes; 

- fundraising for a candidate in a partisan election (an election in which candidates are 

identified by party affiliation) or for a political party or Political Action Committee; 

- actively campaigning for elective office if you are running for office in a partisan 

election. 

Applicable Law: 18 U.S.C. §§ 203, 205, 208, and 219; 5 C.F.R. §§ 2635.801–2635.809 

NON-FEDERAL EMPLOYMENT

AND OTHER OUTSIDE ACTIVITIES
2021 Summary of Ethics Rules for Special Government Employees – page 6

The United States Government, like all governments, recognizes that the acceptance of bribes is 

the most basic form of corruption. Similarly, acceptance of gifts or payments may create an 

appearance of undue influence on Government workers. 

Bribes. A bribe is any payment or benefit that is offered for you to take action, or fail to take 

action, as a Government employee. Bribes are always prohibited. 

General Rule concerning Personal Gifts from Non-Federal Sources. Generally, you cannot 

accept a personal gift from anyone who has or is seeking business with or action from the 

Department of Commerce, is regulated by Commerce, or has interests that can be affected by 

performance of your Federal duties or a gift that was offered to you because of your 

Government position. Gifts to family members because of their relationship to you are 

considered gifts to you. Note that because of the broad range of Commerce Department 

responsibilities, almost all gifts to you would be barred under this general rule, but the 

exceptions listed below allow acceptance of most gifts if not related to your Federal service. 

Exceptions to the General Rule concerning Personal Gifts. You can accept: 

• meals, lodging and travel if based on an outside business relationship* or a spouse’s 

employment; 

• gifts of $20 or less (other than cash/cash card) (up to $50 per year from the same donor);* 

• gifts from a relative or friend (if based on your personal relationship); 

• invitations to “widely-attended gatherings” (if your supervisor approves);*†

• business meals overseas (if a foreign person is present, in most cases);* 

• discounts generally available to the public; 

• awards and honorary degrees (in some cases);* 

• items of little intrinsic value (greeting cards, plaques, trophies); and 

• gifts from a foreign government of $415 or less–a gift of over $415 can be accepted on 

behalf of the United States Government. 

* If you are a political appointee, you cannot use this exception for a gift or invitation from a 

registered lobbyist or lobbying organization unless: (1) it is an invitation to an event at which 

you are speaking on behalf of the Government or (2) the gift or invitation is from a lobbying 

organization that is a 501(c)(3) organization or a media company (and the invitation was not 

extended by a person who is a lobbyist). 

† An event is a “widely-attended gathering” (WAG) if a large and diverse number of people from 

outside the U.S. Government are expected to attend and the event is not primarily 

entertainment; if the invitation is from someone other than the host of the event, more than 

100 persons must be attending and the value must be $415 or less to use this exception. An 

ethics official can advise you whether an event is a WAG and can provide an approval form. 

GIFTS
2021 Summary of Ethics Rules for Special Government Employees – page 7

General Rule concerning Gifts between Employees. You cannot offer a gift to a supervisor or 

accept a gift from a subordinate unless one of the exceptions below applies. 

Exceptions to the General Rule concerning Gifts between Employees. You can offer a gift to a 

supervisor or accept a gift from a subordinate if it is: 

• for a special, infrequent major event (such as the birth or adoption of a child, recovery from 

a serious illness, retirement, or a wedding); 

• worth $10 or less, given occasionally; 

• food shared in the office; 

• personal hospitality at one’s home; or 

• a gift to a host or hostess (such as wine or flowers). 

Gifts to an Agency for Official Travel. Payments of travel expenses may be offered in 

connection with your Government travel. You cannot ask anyone to pay for your travel but 

offers may be accepted if acceptance would not cause a reasonable person to question the 

integrity of agency programs or operations. This generally means that travel payments may be 

accepted if they are not from an agency contractor or grantee or from someone regulated by 

your agency. However, you cannot accept: (1) first-class airline tickets or (2) an honorarium or 

speaking fee in connection with Government travel. 

Forms Relating to Gifts. Forms for reporting gifts and for obtaining a supervisor’s approval to 

accept an invitation are available at the Commerce Ethics website: www.commerce.gov/ethics. 

 

Applicable Law: 5 U.S.C. §§ 7342, 7351, and 7353; 15 U.S.C. § 1522; 16 U.S.C. § 1442; 18 U.S.C. 

§§ 201 and 209; 5 C.F.R. §§ 2635.201-2635.205 and 2635.301-2635.304; 41 C.F.R. § 304-1;

Executive Order 13989 (January 20, 2021); Department Administrative Order 203-9 
2021 Summary of Ethics Rules for Special Government Employees – page 8

 

The most common violation of ethics standards concerns the misuse of Government resources. 

Appropriated funds, agency gift funds, and other Commerce resources are provided to support 

Government activities and may be used only for authorized purposes. 

General Rules. You can only use Government resources, including Government equipment, 

supplies, services, and duty time, for authorized purposes. You cannot use your Government 

title in connection with your personal activities. Furthermore, nonpublic information you learn 

through your Federal job cannot be used for personal purposes, including nonpublic trade data, 

economic analyses, census data, private personnel information, and other nonpublic 

information, unless the information is readily available to the public. You also cannot use your 

Government authority, including business contacts obtained through Federal employment, for 

your personal benefit or the benefit of friends and relatives. 

Exceptions to the General Rules regarding Use of Your Title, Frequent Flier Benefits, and 

Access to the Internet and Email. You can use your Government title for personal activities as 

part of general biographical data and, if you include a disclaimer, when writing for a scientific or 

technical publication. You can use frequent flier miles and other benefits obtained from 

Government travel for personal purposes, including personal travel or upgrades on official 

travel. Access to the internet and email can be used for some personal purposes, but there are 

restrictions, as explained below. 

Use of the Internet and Email. You can use Government access to email and the internet, as 

well as Government devices, for personal activities if your use does not interfere with office 

operations, is not prohibited by your agency, and you do not use such access for: 

• business activities or profit-making ventures; 

• political activities; 

• lobbying activities; 

• uses that result in additional charges to the Government; 

• engaging in prohibited discriminatory conduct; 

• obtaining or viewing sexually explicit material; 

• any activity that would bring discredit on the Department; or 

• any violation of a statute or regulation. 

You can use office printers for personal purposes if such use does not consume excessive 

resources. 

Applicable Law: 18 U.S.C. § 641; 5 C.F.R. §§ 2635.701–2635.705; Department of Commerce 

Internet Use Policy; United States Patent and Trademark Office (USPTO) Internet Use Policy 

MISUSE OF GOVERNMENT RESOURCES
2021 Summary of Ethics Rules for Special Government Employees – page 9

Seeking Employment. Once you begin a job search, you must disqualify yourself from working

as a Government official on any matter, including a policy matter, affecting a prospective 

employer until either you or the prospective employer ends employment discussions (or until 

two months have passed with no response after submitting a résumé), except that if you 

contact a prospective employer only by sending an unsolicited résumé or application the 

disqualification applies only to matters involving the employer individually, until you receive a 

response. (Note that if you are a political appointee who served as a registered lobbyist or 

registered foreign agent in the 2 years prior to your appointment, you may not seek or accept 

employment with a Federal agency that you lobbied or engaged in activities as a foreign agent.) 

Reporting Employment Contacts and Discussions. There are four circumstances in which you 

must report contacts or discussions about future employment. 

(1) If you are a member of the Senior Executive Service (SES), a political appointee, or 

otherwise required to file a public financial disclosure report (OGE Form 278e), including 

some Senior Foreign Service members, SL/ST employees, and NOAA Corps officers, you are 

required to report the employment discussions or an agreement regarding future 

employment to an ethics official within three business days of the beginning of the 

discussions or the agreement, including a statement that you are disqualifying yourself from 

participating in matters in which the prospective employer has an interest. A form to report 

such employment discussions is available on the Commerce Ethics website at 

www.commerce.gov/ethics; it should be downloaded, signed, and provided by email to 

ethicsdivision@doc.gov or an ethics official or sent to the Ethics Office, 1401 Constitution 

Avenue, NW, Room 5898C, Washington, D.C. 20230; alternatively, you can send an email to 

ethicsdivision@doc.gov identifying the prospective employer and the date negotiations 

began, and stating that you are aware of and will comply with disqualification requirements. 

(2) If you are participating in a procurement of greater than $250,000 in value and you contact, 

or are contacted by, competing contractors in the procurement, you must provide written 

notification to both an ethics official (which can be by email to ethicsdivision@doc.gov) and 

your supervisor, even if you do not pursue discussions after the initial contact. 

(3) If you accept travel payments from a prospective employer, you must notify either an ethics 

official (at ethicsdivision@doc.gov) or your supervisor in writing that you are disqualifying 

yourself from participating in matters in which the prospective employer has an interest. 

(4) If you are assigned a matter concerning a prospective employer, you should notify the 

person who gave you the assignment that you cannot work on it and that it needs to be 

reassigned. This notice does not need to be in writing and you do not necessarily need to 

explain the reason for your disqualification. 

 

Applicable Law: 5 U.S.C. app. 4 § 101 note [Pub. L. No. 112-105, § 17(a), 126 Stat. 291, 303]; 

18 U.S.C. § 208; 41 U.S.C. § 423; 5 C.F.R. Part 2635.601-2635.606; Executive Order 13989 

(January 20, 2021) 

SEEKING EMPLOYMENT
2021 Summary of Ethics Rules for Special Government Employees – page 10

Post-Employment Restrictions. After you leave Federal service you cannot: 

• contact a Federal agency or court on behalf of someone else to influence Government 

action concerning a matter involving specific parties (a matter with identified and named 

parties, such as a contract or grant) on which you worked as a Government official; 

• for 2 years, contact a Federal agency or court on behalf of someone else to influence 

Government action concerning a matter involving specific parties that was under your 

responsibility (such as a matter on which a subordinate worked) during your last year of 

Government service; or 

• disclose or use protected nonpublic Federal information, such as treaty negotiation 

information, personnel information, trade secrets, or national security information. 

Senior Employees (employees whose base pay is $172,395 or more) – If you are a senior 

employee, in addition to the restrictions on all employees, you cannot: 

• for 1 year, contact your former agency on behalf of someone else to influence Government 

action or 

• for 1 year, represent before any branch of the United States Government a foreign 

government or foreign political party, or advise or assist a foreign government or party in its 

dealings with the U.S. Government. 

Procurement Officials and Program Managers – If you are a procurement official or program 

manager of a procurement of $10,000,000 or more, you cannot: 

• for 1 year, accept compensation from the bidder or contractor of the procurement. 

Exceptions and Additional Post-Employment Restrictions. Exceptions to these rules apply 

concerning providing testimony or representing state and local governments, international 

organizations, and educational and medical institutions, in some cases. Additional restrictions 

apply to attorneys under bar rules, USPTO employees (regarding obtaining patent rights within 

one year of leaving USPTO), and EDA employees (regarding working for a firm receiving 

financial assistance within two years of leaving EDA). You may contact an ethics official for 

advice on these rules, even after leaving Federal service. 

Applicable Law: 5 U.S.C. § 3524; 18 U.S.C. § 208; 41 U.S.C. § 2103; 42 U.S.C. § 3216; 5 C.F.R. 

Part 2641; 15 C.F.R. §§ 15.11–15.18 

POST-EMPLOYMENT RESTRICTIONS
2021 Summary of Ethics Rules for Special Government Employees – page 11

As a special Government employee, you will be required to file a financial disclosure report. 

Please keep in mind that the information you disclose is used to provide advice to you to help 

ensure that you do not inadvertently engage in prohibited activities. 

For ethics officials to be able to provide advice (and to certify that the report includes all 

necessary information) it is important that the information you provide be as complete as 

possible. Specifically, please be sure to include the following information: 

• specific holdings in any IRA, 401(k) account, trust, or investment account; 

• a short description of the activities or industry sector of any privately-held company or 

limited partnership; and 

• assets and sources of income of your spouse. 

If you serve on a Federal advisory committee, your financial disclosure report is used to prepare 

a waiver of disqualification requirements that would otherwise apply regarding entities in 

which you have financial or employment interests. Therefore, it is particularly important to 

provide a report as soon as possible and before attending a committee meeting. 

If you need assistance filling out your report, contact an Ethics official at 202-482-5384 or 

ethicsdivision@doc.gov. 

Applicable Law: 5 U.S.C. App. 4 §§ 101-111; 5 C.F.R. Part 2634 

FINANCIAL DISCLOSURE

For more information about any of these rules and guidance on their application to a 

specific situation, contact the Ethics Office of the Office of General Counsel at

202-482-5384 or ethicsdivision@doc.gov.

Additional information is also available at: 

www.commerce.gov/ethics.