CFR Subpart C

CFR Subpart C
in effect

5 C.F.R. § 2638.301 In general.

Every agency must carry out a government ethics education program to teach employees how to identify government ethics issues and obtain assistance in complying with government ethics laws and regulations. An agency's failure to comply with any of the education or notice requirements set forth in this subpart does not exempt an employee from applicable government ethics requirements.

5 C.F.R. § 2638.302 Definitions.

The following definitions apply to the format of the various types of training required in this subpart. The agency may deviate from these prescribed formats to the extent necessary to provide reasonable accommodations to participants under the Rehabilitation Act of 1973 (Pub. L. 93-112), as amended, or other applicable legal authority. (a) Live. A training presentation is considered live if the presenter personally communicates a substantial portion of the material at the same time as the employees being trained are receiving the material, even if part of the training is prerecorded or automated. The training may be delivered in person or through video or audio technology. The presenter must respond to questions posed during the training and provide instructions for participants to submit questions after the training. (b) Interactive. A training presentation is considered interactive if the employee being trained is required to take an action with regard to the subject of the training. The required action must involve the employee's use of knowledge gained through the training and may not be limited to merely advancing from one section of the training to another section. Training that satisfies the requirements of paragraph (a) of this section will also satisfy the requirements of this paragraph.

5 C.F.R. § 2638.303 Notice to prospective employees.

Written offers of employment for positions covered by the Standards of Conduct must include the information required in this section to provide prospective employees with notice of the ethical obligations associated with the positions. (a) Content. The written offer must include, in either the body of the offer or an attachment: (1) A statement regarding the agency's commitment to government ethics; (2) Notice that the individual will be subject to the Standards of Conduct and the criminal conflict of interest statutes as an employee; (3) Contact information for an appropriate agency ethics office or an explanation of how to obtain additional information on applicable ethics requirements; (4) Where applicable, notice of the time frame for completing initial ethics training; and (5) Where applicable, a statement regarding financial disclosure requirements and an explanation that new entrant reports must be filed within 30 days of appointment. (b) DAEO's authority. At the election of the DAEO, the DAEO may specify the language that the agency will use in the notice required under paragraph (a) of this section or may approve, disapprove, or revise language drafted by other agency officials. (c) Tracking. Each agency must establish written procedures, which the DAEO must review each year, for issuing the notice required in this section. In the case of an agency with 1,000 or more employees, the DAEO must review any submissions under § 2638.310 each year to confirm that the agency has implemented an appropriate process for meeting the requirements of this section.

5 C.F.R. § 2638.304 Initial ethics training.

Each new employee of the agency subject to the Standards of Conduct must complete initial ethics training that meets the requirements of this section. (a) Coverage. (1) This section applies to each employee appointed to a position in an agency who was not an employee of the agency immediately prior to that appointment. This section also permits Presidential nominees for Senate-confirmed positions to complete the initial ethics training prior to appointment. (2) The DAEO may exclude a non-supervisory position at or below the GS-8 grade level, or the equivalent, from the requirement to complete the training presentation described in paragraph (e)(1) of this section, provided that: (i) The DAEO signs a written determination that the duties of the position do not create a substantial likelihood that conflicts of interest will arise; (ii) The position does not meet the criteria set forth at § 2634.904 of this chapter; and (iii) The agency provides an employee described in paragraph (a)(1) of this section who is appointed to the position with the written materials required under paragraph (e)(2) of this section within 3 months of appointment. (b) Deadline. Except as provided in this paragraph, each new employee must complete initial ethics training within 3 months of appointment. (1) In the case of a Presidential nominee for a Senate-confirmed position, the nominee may complete the ethics training before or after appointment, but not later than 3 months after appointment. (2) In the case of a special Government employee who is reasonably expected to serve for no more than 60 days in a calendar year on a board, commission, or committee, the agency may provide the initial ethics training at any time before, or at the beginning of, the employee's first meeting of the board, commission, or committee. (c) Duration. The duration of the training must be sufficient for the agency to communicate the basic ethical obligations of federal service and to present the content described in paragraph (e) of this section. (d) Format. Employees covered by this section are required to complete interactive initial ethics training. (e) Content. The following content requirements apply to initial ethics training. (1) Training presentation. The training presentation must focus on government ethics laws and regulations that the DAEO deems appropriate for the employees participating in the training. The presentation must address concepts related to the following subjects: (i) Financial conflicts of interest; (ii) Impartiality; (iii) Misuse of position; and (iv) Gifts. (2) Written materials. In addition to the training presentation, the agency must provide the employee with either the following written materials or written instructions for accessing them: (i) The summary of the Standards of Conduct distributed by the Office of Government Ethics or an equivalent summary prepared by the agency; (ii) Provisions of any supplemental agency regulations that the DAEO determines to be relevant or a summary of those provisions; (iii) Such other written materials as the DAEO determines should be included; and (iv) Instructions for contacting the agency's ethics office. (f) Tracking. Each agency must establish written procedures, which the DAEO must review each year, for initial ethics training. In the case of an agency with 1,000 or more employees, the DAEO must review any submissions under § 2638.310 each year to confirm that the agency has implemented an appropriate process for meeting the requirements of this section.

5 C.F.R. § 2638.305 Additional ethics briefing for certain agency leaders.

In addition to other applicable requirements, each individual covered by this section must complete an ethics briefing to discuss the individual's immediate ethics obligations. Although the ethics briefing is separate from the initial ethics training, the agency may elect to combine the ethics briefing and the initial ethics training, provided that the requirements of both this section and § 2638.304 are met. (a) Coverage. This section applies to Senate-confirmed Presidential nominees and appointees, except for those in positions identified in § 2634.201(c)(2) of this chapter. (b) Deadline. The following deadlines apply to the ethics briefing. (1) Except as provided in paragraph (b)(2) of this section, each individual covered by this section must complete the ethics briefing after confirmation but not later than 15 days after appointment. The DAEO may grant an extension of the deadline not to exceed 30 days after appointment. (2)(i) In extraordinary circumstances, the DAEO may grant an additional extension to an individual by issuing a written determination that an extension is necessary. The determination must describe the extraordinary circumstances necessitating the extension, caution the individual to be vigilant for conflicts of interest created by any newly acquired financial interests, remind the individual to comply with any applicable ethics agreement, and be accompanied by a copy of the ethics agreement(s). The DAEO must send a copy of the determination to the individual before expiration of the time period established in paragraph (b)(1) of this section. The agency must conduct the briefing at the earliest practicable date thereafter. The written determination must be retained with the record of the individual's briefing. (ii) In the case of a special Government employee who is expected to serve for no more than 60 days in a calendar year on a board, commission, or committee, the agency must provide the ethics briefing before the first meeting of the board, commission, or committee. (c) Qualifications of presenter. The employee conducting the briefing must have knowledge of government ethics laws and regulations and must be qualified, as the DAEO deems appropriate, to answer the types of basic and advanced questions that are likely to arise regarding the required content. (d) Duration. The duration of the ethics briefing must be sufficient for the agency to communicate the required content. (e) Format. The ethics briefing must be conducted live. (f) Content. The ethics briefing must include the following activities. (1) If the individual acquired new financial interests reportable under section 102 of the Act after filing the nominee financial disclosure report, the agency ethics official must appropriately address the potential for conflicts of interest arising from those financial interests. (2) The agency ethics official must counsel the individual on the basic recusal obligation under 18 U.S.C. 208(a). (3) The agency ethics official must explain the recusal obligations and other commitments addressed in the individual's ethics agreement and ensure that the individual understands what is specifically required in order to comply with each of them, including any deadline for compliance. The ethics official and the individual must establish a process by which the recusals will be achieved, which may consist of a screening arrangement or, when the DAEO deems appropriate, vigilance on the part of the individual with regard to recusal obligations as they arise in particular matters. (4) The agency ethics official must provide the individual with instructions and the deadline for completing initial ethics training, unless the individual completes the initial ethics training either before or during the ethics briefing. (g) Tracking. The DAEO must maintain a record of the date of the ethics briefing for each current employee covered by this section.

5 C.F.R. § 2638.306 Notice to new supervisors.

The agency must provide each employee upon initial appointment to a supervisory position with the written information required under this section. (a) Coverage. This requirement applies to each civilian employee who is required to receive training pursuant to 5 CFR 412.202(b). (b) Deadline. The agency must provide the written materials required by this section within 1 year of the employee's initial appointment to the supervisory position. (c) Written materials. The written materials must include contact information for the agency's ethics office and the text of § 2638.103. In addition, a copy of, a hyperlink to, or the address of a Web site containing the Principles of Ethical Conduct must be included, as well as such other information as the DAEO deems necessary for new supervisors. (d) Tracking. Each agency must establish written procedures, which the DAEO must review each year, for supervisory ethics notices. In the case of an agency with 1,000 or more employees, the DAEO must review any submissions under § 2638.310 each year to confirm that the agency has implemented an appropriate process for meeting the requirements of this section.

5 C.F.R. § 2638.307 Annual ethics training for confidential filers and certain other employees.

Each calendar year, employees covered by this section must complete ethics training that meets the following requirements. (a) Coverage. In any calendar year, this section applies to the following employees, unless they are public filers: (1) Each employee who is required to file an annual confidential financial disclosure report pursuant to § 2634.904 of this chapter during that calendar year, except an employee who ceases to be a confidential filer before the end of the calendar year; (2) Employees appointed by the President and employees of the Executive Office of the President; (3) Contracting officers described in 41 U.S.C. 2101; and (4) Other employees designated by the head of the agency. (b) Deadline. The employee must complete required annual ethics training before the end of the calendar year. (c) Duration. Agencies must provide employees with 1 hour of duty time to complete interactive training and review any written materials. (d) Format. The following formatting requirements apply. (1) Except as provided in paragraph (d)(2) of this section, employees covered by this section are required to complete interactive training. (2) If the DAEO determines that it is impracticable to provide interactive training to a special Government employee covered by this section who is expected to work no more than 60 days in a calendar year, or to an employee who is an officer in the uniformed services serving on active duty for no more 30 consecutive days, only the requirement to provide the written materials required by this section will apply to that employee each year. The DAEO may make the determination as to individual employees or a group of employees. (e) Content. The following content requirements apply to annual ethics training for employees covered by this section. (1) Training presentation. The training presentation must focus on government ethics laws and regulations that the DAEO deems appropriate for the employees participating in the training. The presentation must address concepts related to the following subjects: (i) Financial conflicts of interest; (ii) Impartiality; (iii) Misuse of position; and (iv) Gifts. (2) Written materials. In addition to the training presentation, the agency must provide the employee with either the following written materials or written instructions for accessing them: (i) The summary of the Standards of Conduct distributed by the Office of Government Ethics or an equivalent summary prepared by the agency; (ii) Provisions of any supplemental agency regulations that the DAEO determines to be relevant or a summary of those provisions; (iii) Such other written materials as the DAEO determines should be included; and (iv) Instructions for contacting the agency's ethics office. (f) Tracking. The following tracking requirements apply to training conducted pursuant to this section. An employee covered by this section must confirm in writing the completion of annual ethics training and must comply with any procedures established by the DAEO for such confirmation. If the DAEO or other presenter has knowledge that an employee completed required training, that individual may record the employee's completion of the training, in lieu of requiring the employee to provide written confirmation. In the case of an automated system that delivers interactive training, the DAEO may deem the employee to have confirmed the completion of the training if the system tracks completion automatically.

5 C.F.R. § 2638.308 Annual ethics training for public filers.

Each calendar year, public filers and other employees specified in this section must complete ethics training that meets the following requirements. (a) Coverage. In any calendar year, this section applies to each employee who is required to file an annual public financial disclosure report pursuant to § 2634.201(a) of this chapter during that calendar year, except for an employee who ceases to be a public filer during that calendar year. (b) Deadline. A public filer must complete required annual ethics training before the end of the calendar year. (c) Qualifications of presenter. The employee conducting any live training presentation must have knowledge of government ethics laws and regulations and must be qualified, as the DAEO deems appropriate, to answer the types of basic and advanced questions that are likely to arise regarding the required content. (d) Duration. The duration of training must be sufficient for the agency to communicate the required content, but at least 1 hour. Agencies must provide employees with 1 hour of duty time to complete interactive training and review any written materials. (e) Format. The annual ethics training must meet the following formatting requirements. (1) Employees whose pay is set at Level I or Level II of the Executive Schedule must complete 1 hour of live training each year, unless a matter of vital national interest makes it necessary for an employee to complete interactive training in lieu of live training in a particular year. (2) Other civilian employees identified in section 103(c) of the Act who are stationed in the United States must complete live training once every 2 years and interactive training in alternate years. In extraordinary circumstances, the DAEO may grant written authorization for an employee who is required to complete live training in a particular year to complete interactive training. (3) All other employees covered by this section must complete interactive training. (f) Content. The following content requirements apply to annual ethics training for employees covered by this section. (1) Training presentation. The training presentation must focus on government ethics laws and regulations that the DAEO deems appropriate for the employees participating in the training. The presentation must address concepts related to the following subjects: (i) Financial conflicts of interest; (ii) Impartiality; (iii) Misuse of position; and (iv) Gifts. (2) Written materials. In addition to the training presentation, the agency must provide the employee with either the following written materials or written instructions for accessing them: (i) The summary of the Standards of Conduct distributed by the Office of Government Ethics or an equivalent summary prepared by the agency; (ii) Provisions of any supplemental agency regulations that the DAEO determines to be relevant or a summary of those provisions; (iii) Such other written materials as the DAEO determines should be included; and (iv) Instructions for contacting the agency's ethics office. (g) Tracking. The following tracking requirements apply to training conducted pursuant to this section. An employee covered by this section must confirm in writing the completion of annual ethics training and must comply with any procedures established by the DAEO for such confirmation. If the DAEO or other presenter has knowledge that an employee completed required training, that individual may record the employee's completion of the training, in lieu of requiring the employee to provide written confirmation. In the case of an automated system that delivers interactive training, the DAEO may deem the employee to have confirmed the completion of the training if the system tracks completion automatically.

5 C.F.R. § 2638.309 Agency-specific ethics education requirements.

The DAEO may establish additional requirements for the agency's ethics education program, with or without a supplemental agency regulation under § 2635.105 of this chapter. (a) Groups of employees. The DAEO may establish specific government ethics training requirements for groups of agency employees. (b) Employees performing ethics duties. The DAEO has an obligation to ensure that employees performing assigned ethics duties have the necessary expertise with regard to government ethics laws and regulations. If the DAEO determines that employees engaged in any activities described in §§ 2638.104 and 2638.105 require training, the DAEO may establish specific training requirements for them either as a group or individually. (c) Procedures. The DAEO may establish specific procedures for training that the DAEO requires under paragraph (a) or (b) of this section, including any certification procedures the DAEO deems necessary. Agency employees must comply with the requirements and procedures that the DAEO establishes under this section.

5 C.F.R. § 2638.310 Coordinating the agency's ethics education program.

In an agency with 1,000 or more employees, any office that is not under the supervision of the DAEO but has been delegated responsibility for issuing notices, pursuant to § 2638.303 or § 2638.306, or conducting training, pursuant to § 2638.304, must submit the following materials to the DAEO by January 15 each year: (a) A written summary of procedures that office has established to ensure compliance with this subpart; and (b) Written confirmation that there is a reasonable basis for concluding that the procedures have been implemented.

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