[Code of Federal Regulations]
[Title 5, Volume 3]
[Revised as of January 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR2635.807]

[Page 586-590]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER XVI--OFFICE OF GOVERNMENT ETHICS
 
PART 2635_STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES OF THE EXECUTIVE 
BRANCH--Table of Contents
 
                      Subpart H_Outside Activities
 
Sec. 2635.807  Teaching, speaking and writing.

    (a) Compensation for teaching, speaking or writing. Except as 
permitted by paragraph (a)(3) of this section, an employee, including a 
special Government employee, shall not receive compensation from any 
source other than the Government for teaching, speaking or writing that 
relates to the employee's official duties.
    (1) Relationship to other limitations on receipt of compensation. 
The compensation prohibition contained in this section is in addition to 
any other limitation on receipt of compensation set forth in this 
chapter, including:
    (i) The requirement contained in Sec. 2636.307 of this chapter that 
covered noncareer employees obtain advance authorization before engaging 
in teaching for compensation; and
    (ii) The prohibitions and limitations in Sec. 2635.804 and in Sec. 
2636.304 of this chapter on receipt of outside earned income applicable 
to certain Presidential appointees and to other covered noncareer 
employees.
    (2) Definitions. For purposes of this paragraph:
    (i) Teaching, speaking or writing relates to the employee's official 
duties if:
    (A) The activity is undertaken as part of the employee's official 
duties;
    (B) The circumstances indicate that the invitation to engage in the 
activity was extended to the employee primarily because of his official 
position rather than his expertise on the particular subject matter;
    (C) 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 performance or nonperformance of the employee's 
official duties;
    (D) The information conveyed through the activity draws 
substantially on ideas or official data that are nonpublic information 
as defined in Sec. 2635.703(b); or
    (E) Except as provided in paragraph (a)(2)(i)(E)(4) of this section, 
the subject of the activity deals in significant part with:
    (1) Any matter to which the employee presently is assigned or to 
which the employee had been assigned during the previous one-year 
period;
    (2) Any ongoing or announced policy, program or operation of the 
agency; or
    (3) In the case of a noncareer employee as defined in Sec. 
2636.303(a) of this chapter, the general subject matter area, industry, 
or economic sector primarily affected by the programs and operations of 
his agency.
    (4) The restrictions in paragraphs (a)(2)(i)(E) (2) and (3) of this 
section do not apply to a special Government employee. The restriction 
in paragraph (a)(2)(i)(E)(1) of this section applies only during the 
current appointment of a special Government employee; except that if the 
special Government employee has not served or is not expected to serve 
for more than 60 days during the first year or any subsequent one year 
period of that appointment, the restriction applies only to particular 
matters involving specific parties in which the special Government

[[Page 587]]

employee has participated or is participating personally and 
substantially.

    Note: Section 2635.807(a)(2)(i)(E) does not preclude an employee, 
other than a covered noncareer employee, from receiving compensation for 
teaching, speaking or writing on a subject within the employee's 
discipline or inherent area of expertise based on his educational 
background or experience even though the teaching, speaking or writing 
deals generally with a subject within the agency's areas of 
responsibility.
    Example 1: The Director of the Division of Enforcement at the 
Commodity Futures Trading Commission has a keen interest in stamp 
collecting and has spent years developing his own collection as well as 
studying the field generally. He is asked by an international society of 
philatelists to give a series of four lectures on how to assess the 
value of American stamps. Because the subject does not relate to his 
official duties, the Director may accept compensation for the lecture 
series. He could not, however, accept a similar invitation from a 
commodities broker.
    Example 2: A scientist at the National Institutes of Health, whose 
principal area of Government research is the molecular basis of the 
development of cancer, could not be compensated for writing a book which 
focuses specifically on the research she conducts in her position at 
NIH, and thus, relates to her official duties. However, the scientist 
could receive compensation for writing or editing a textbook on the 
treatment of all cancers, provided that the book does not focus on 
recent research at NIH, but rather conveys scientific knowledge gleaned 
from the scientific community as a whole. The book might include a 
chapter, among many other chapters, which discusses the molecular basis 
of cancer development. Additionally, the book could contain brief 
discussions of recent developments in cancer treatment, even though some 
of those developments are derived from NIH research, as long as it is 
available to the public.
    Example 3: On his own time, a National Highway Traffic Safety 
Administration employee prepared a consumer's guide to purchasing a safe 
automobile that focuses on automobile crash worthiness statistics 
gathered and made public by NHTSA. He may not receive royalties or any 
other form of compensation for the guide. The guide deals in significant 
part with the programs or operations of NHTSA and, therefore, relates to 
the employee's official duties. On the other hand, the employee could 
receive royalties from the sale of a consumer's guide to values in used 
automobiles even though it contains a brief, incidental discussion of 
automobile safety standards developed by NHTSA.
    Example 4: An employee of the Securities and Exchange Commission may 
not receive compensation for a book which focuses specifically on the 
regulation of the securities industry in the United States, since that 
subject concerns the regulatory programs or operations of the SEC. The 
employee may, however, write a book about the advantages of investing in 
various types of securities as long as the book contains only an 
incidental discussion of any program or operation of the SEC.
    Example 5: An employee of the Department of Commerce who works in 
the Department's employee relations office is an acknowledged expert in 
the field of Federal employee labor relations, and participates in 
Department negotiations with employee unions. The employee may receive 
compensation from a private training institute for a series of lectures 
which describe the decisions of the Federal Labor Relations Authority 
concerning unfair labor practices, provided that her lectures do not 
contain any significant discussion of labor relations cases handled at 
the Department of Commerce, or the Department's labor relations 
policies. Federal Labor Relations Authority decisions concerning Federal 
employee unfair labor practices are not a specific program or operation 
of the Department of Commerce and thus do not relate to the employee's 
official duties. However, an employee of the FLRA could not give the 
same presentations for compensation.
    Example 6: A program analyst employed at the Environmental 
Protection Agency may receive royalties and other compensation for a 
book about the history of the environmental movement in the United 
States even though it contains brief references to the creation and 
responsibilities of the EPA. A covered noncareer employee of the EPA, 
however, could not receive compensation for writing the same book 
because it deals with the general subject matter area affected by EPA 
programs and operations. Neither employee could receive compensation for 
writing a book that focuses on specific EPA regulations or otherwise on 
its programs and operations.
    Example 7: An attorney in private practice has been given a one year 
appointment as a special Government employee to serve on an advisory 
committee convened for the purpose of surveying and recommending 
modification of procurement regulations that deter small businesses from 
competing for Government contracts. Because his service under that 
appointment is not expected to exceed 60 days, the attorney may accept 
compensation for an article about the anticompetitive effects of certain 
regulatory certification requirements even though those regulations are 
being reviewed by the advisory committee. The regulations which are the 
focus of the advisory committee deliberations are not a particular 
matter involving specific parties. Because the information

[[Page 588]]

is nonpublic, he could not, however, accept compensation for an article 
which recounts advisory committee deliberations that took place in a 
meeting closed to the public in order to discuss proprietary information 
provided by a small business.
    Example 8: A biologist who is an expert in marine life is employed 
for more than 60 days in a year as a special Government employee by the 
National Science Foundation to assist in developing a program of grants 
by the Foundation for the study of coral reefs. The biologist may 
continue to receive compensation for speaking, teaching and writing 
about marine life generally and coral reefs specifically. However, 
during the term of her appointment as a special Government employee, she 
may not receive compensation for an article about the NSF program she is 
participating in developing. Only the latter would concern a matter to 
which the special Government employee is assigned.
    Example 9: An expert on international banking transactions has been 
given a one-year appointment as a special Government employee to assist 
in analyzing evidence in the Government's fraud prosecution of owners of 
a failed savings and loan association. It is anticipated that she will 
serve fewer than 60 days under that appointment. Nevertheless, during 
her appointment, the expert may not accept compensation for an article 
about the fraud prosecution, even though the article does not reveal 
nonpublic information. The prosecution is a particular matter that 
involves specific parties.

    (ii) Agency has the meaning set forth in Sec. 2635.102(a), except 
that any component of a department designated as a separate agency under 
Sec. 2635.203(a) shall be considered a separate agency.
    (iii) Compensation includes any form of consideration, remuneration 
or income, including royalties, given for or in connection with the 
employee's teaching, speaking or writing activities. Unless accepted 
under specific statutory authority, such as 31 U.S.C. 1353, 5 U.S.C. 
4111 or 7342, or an agency gift acceptance statute, it includes 
transportation, lodgings and meals, whether provided in kind, by 
purchase of a ticket, by payment in advance or by reimbursement after 
the expense has been incurred. It does not include:
    (A) Items offered by any source that could be accepted from a 
prohibited source under subpart B of this part;
    (B) Meals or other incidents of attendance such as waiver of 
attendance fees or course materials furnished as part of the event at 
which the teaching or speaking takes place;
    (C) Copies of books or of publications containing articles, reprints 
of articles, tapes of speeches, and similar items that provide a record 
of the teaching, speaking or writing activity; or
    (D) In the case of an employee other than a covered noncareer 
employee as defined in 5 CFR 2636.303(a), travel expenses, consisting of 
transportation, lodgings or meals, incurred in connection with the 
teaching, speaking or writing activity.

    Note to paragraph (a)(2)(iii): Independent of Sec. 2635.807(a), 
other authorities, such as 18 U.S.C. 209, in some circumstances may 
limit or entirely preclude an employee's acceptance of travel expenses. 
In addition, employees who file financial disclosure reports should be 
aware that, subject to applicable thresholds and exclusions, travel and 
travel reimbursements accepted from sources other than the United States 
Government must be reported on their financial disclosure reports.
    Example 1 to paragraph (a)(2)(iii): A GS-15 employee of the Forest 
Service has developed and marketed, in her private capacity, a speed 
reading technique for which popular demand is growing. She is invited to 
speak about the technique by a representative of an organization that 
will be substantially affected by a regulation on land management which 
the employee is in the process of drafting for the Forest Service. The 
representative offers to pay the employee a $200 speaker's fee and to 
reimburse all her travel expenses. She may accept the travel 
reimbursements, but not the speaker's fee. The speaking activity is 
related to her official duties under Sec. 2635.807(a)(2)(i)(C) and the 
fee is prohibited compensation for such speech; travel expenses incurred 
in connection with the speaking engagement, on the other hand, are not 
prohibited compensation for a GS-15 employee.
    Example 2 to paragraph (a)(2)(iii): Solely because of her recent 
appointment to a Cabinet-level position, a Government official is 
invited by the Chief Executive Officer of a major international 
corporation to attend firm meetings to be held in Aspen for the purpose 
of addressing senior corporate managers on the importance of 
recreational activities to a balanced lifestyle. The firm offers to 
reimburse the official's travel expenses. The official may not accept 
the offer. The speaking activity is related to official duties under 
Sec. 2635.807(a)(2)(i)(B) and, because she is a covered noncareer 
employee as defined in Sec. 2636.303(a) of this chapter, the travel 
expenses are prohibited compensation as to her.
    Example 3 to paragraph (a)(2)(iii): A GS-14 attorney at the Federal 
Trade Commission (FTC) who played a lead role in a recently

[[Page 589]]

concluded merger case is invited to speak about the case, in his private 
capacity, at a conference in New York. The attorney has no public 
speaking responsibilities on behalf of the FTC apart from the judicial 
and administrative proceedings to which he is assigned. The sponsors of 
the conference offer to reimburse the attorney for expenses incurred in 
connection with his travel to New York. They also offer him, as 
compensation for his time and effort, a free trip to San Francisco. The 
attorney may accept the travel expenses to New York, but not the 
expenses to San Francisco. The lecture relates to his official duties 
under paragraphs (a)(2)(i)(E)(1) and (a)(2)(i)(E)(2) of Sec. 2635.807, 
but because he is not a covered noncareer employee as defined in Sec. 
2636.303(a) of this chapter, the expenses associated with his travel to 
New York are not a prohibited form of compensation as to him. The travel 
expenses to San Francisco, on the other hand, not incurred in connection 
with the speaking activity, are a prohibited form of compensation. If 
the attorney were a covered noncareer employee he would be barred from 
accepting the travel expenses to New York as well as the travel expenses 
to San Francisco.
    Example 4 to paragraph (a)(2)(iii): An advocacy group dedicated to 
improving treatments for severe pain asks the National Institutes of 
Health (NIH) to provide a conference speaker who can discuss recent 
advances in the agency's research on pain. The group also offers to pay 
the employee's travel expenses to attend the conference. After 
performing the required conflict of interest analysis, NIH authorizes 
acceptance of the travel expenses under 31 U.S.C. 1353 and the 
implementing General Services Administration regulation, as codified 
under 41 CFR chapter 304, and authorizes an employee to undertake the 
travel. At the conference the advocacy group, as agreed, pays the 
employee's hotel bill and provides several of his meals. Subsequently 
the group reimburses the agency for the cost of the employee's airfare 
and some additional meals. All of the payments by the advocacy group are 
permissible. Since the employee is speaking officially and the expense 
payments are accepted under 31 U.S.C. 1353, they are not prohibited 
compensation under Sec. 2635.807(a)(2)(iii). The same result would 
obtain with respect to expense payments made by non-Government sources 
properly authorized under an agency gift acceptance statute, the 
Government Employees Training Act, 5 U.S.C. 4111, or the foreign gifts 
law, 5 U.S.C. 7342.

    (iv) Receive means that there is actual or constructive receipt of 
the compensation by the employee so that the employee has the right to 
exercise dominion and control over the compensation and to direct its 
subsequent use. Compensation received by an employee includes 
compensation which is:
    (A) Paid to another person, including a charitable organization, on 
the basis of designation, recommendation or other specification by the 
employee; or
    (B) Paid with the employee's knowledge and acquiescence to his 
parent, sibling, spouse, child, or dependent relative.
    (v) Particular matter involving specific parties has the meaning set 
forth in Sec. 2637.102(a)(7) of this chapter.
    (vi) Personal and substantial participation has the meaning set 
forth in Sec. 2635.402(b)(4).
    (3) Exception for teaching certain courses. Notwithstanding that the 
activity would relate to his official duties under paragraphs (a)(2)(i) 
(B) or (E) of this section, an employee may accept compensation for 
teaching a course requiring multiple presentations by the employee if 
the course is offered as part of:
    (i) The regularly established curriculum of:
    (A) An institution of higher education as defined at 20 U.S.C. 
1141(a);
    (B) An elementary school as defined at 20 U.S.C. 2891(8); or
    (C) A secondary school as defined at 20 U.S.C. 2891(21); or
    (ii) A program of education or training sponsored and funded by the 
Federal Government or by a State or local government which is not 
offered by an entity described in paragraph (a)(3)(i) of this section.

    Example 1: An employee of the Cost Accounting Standards Board who 
teaches an advanced accounting course as part of the regular business 
school curriculum of an accredited university may receive compensation 
for teaching the course even though a substantial portion of the course 
deals with cost accounting principles applicable to contracts with the 
Government.
    Example 2: An attorney employed by the Equal Employment Opportunity 
Commission may accept compensation for teaching a course at a state 
college on the subject of Federal employment discrimination law. The 
attorney could not accept compensation for teaching the same seminar as 
part of a continuing education program sponsored by her bar association 
because the subject of the course is focused on the operations or 
programs of the EEOC and the sponsor of the course is not an accredited 
educational institution.

[[Page 590]]

    Example 3: An employee of the National Endowment for the Humanities 
is invited by a private university to teach a course that is a survey of 
Government policies in support of artists, poets and writers. As part of 
his official duties, the employee administers a grant that the 
university has received from the NEH. The employee may not accept 
compensation for teaching the course because the university has 
interests that may be substantially affected by the performance or 
nonperformance of the employee's duties. Likewise, an employee may not 
receive compensation for any teaching that is undertaken as part of his 
official duties or that involves the use of nonpublic information.

    (b) Reference to official position. An employee who is engaged in 
teaching, speaking or writing as outside employment or as an outside 
activity shall not use or permit the use of his official title or 
position to identify him in connection with his teaching, speaking or 
writing activity or to promote any book, seminar, course, program or 
similar undertaking, except that:
    (1) An employee may include or permit the inclusion of his title or 
position as one of several biographical details when such information is 
given to identify him in connection with his teaching, speaking or 
writing, provided that his title or position is given no more prominence 
than other significant biographical details;
    (2) An employee may use, or permit the use of, his title or position 
in connection with an article published in a scientific or professional 
journal, provided that the title or position is accompanied by a 
reasonably prominent disclaimer satisfactory to the agency stating that 
the views expressed in the article do not necessarily represent the 
views of the agency or the United States; and
    (3) An employee who is ordinarily addressed using a general term of 
address, such as ``The Honorable,'' or a rank, such as a military or 
ambassadorial rank, may use or permit the use of that term of address or 
rank in connection with his teaching, speaking or writing.

    Note: Some agencies may have policies requiring advance agency 
review, clearance, or approval of certain speeches, books, articles or 
similar products to determine whether the product contains an 
appropriate disclaimer, discloses nonpublic information, or otherwise 
complies with this section.
    Example 1: A meteorologist employed with the National Oceanic and 
Atmospheric Administration is asked by a local university to teach a 
graduate course on hurricanes. The university may include the 
meteorologist's Government title and position together with other 
information about his education and previous employment in course 
materials setting forth biographical data on all teachers involved in 
the graduate program. However, his title or position may not be used to 
promote the course, for example, by featuring the meteorologist's 
Government title, Senior Meteorologist, NOAA, in bold type under his 
name. In contrast, his title may be used in this manner when the 
meteorologist is authorized by NOAA to speak in his official capacity.
    Example 2: A doctor just employed by the Centers for Disease Control 
has written a paper based on his earlier independent research into cell 
structures. Incident to the paper's publication in the Journal of the 
American Medical Association, the doctor may be given credit for the 
paper, as Dr. M. Wellbeing, Associate Director, Centers for Disease 
Control, provided that the article also contains a disclaimer, concurred 
in by the CDC, indicating that the paper is the result of the doctor's 
independent research and does not represent the findings of the CDC.
    Example 3: An employee of the Federal Deposit Insurance Corporation 
has been asked to give a speech in his private capacity, without 
compensation, to the annual meeting of a committee of the American 
Bankers Association on the need for banking reform. The employee may be 
described in his introduction at the meeting as an employee of the 
Federal Deposit Insurance Corporation provided that other pertinent 
biographical details are mentioned as well.

[57 FR 35042, Aug. 7, 1992; 57 FR 48557, Oct. 27, 1992, as amended at 62 
FR 48748, Sept. 17, 1997; 65 FR 53652, Sept. 5, 2000; 66 FR 59674, Nov. 
30, 2001]