DISQUALIFICATIONS AND RECUSALS What is disqualification or…

            DISQUALIFICATIONS AND RECUSALS
What is disqualification or recusal?            What personal relationships require
 P Disqualification or recusal is when an       disqualification?
employee does not work on a matter               P An employee may not participate in a
because of a conflict of interest.              matter if one of the parties is (or is
                                                represented by):
When does a Federal employee need to              R someone with whom the employee
disqualify himself or herself from working      has or seeks a financial or business
on a matter?                                    relationship;
 P Disqualification is necessary whenever         R a close relative;
an employee's financial interests or              R household members;
personal relationships will create a              R an employer or clients of the
conflict between the employee's personal        employee's parents, spouse, or
interests or relationships and Government       dependant children (or their prospective
duties.                                         employers or organizations in which they
                                                serve as officers or directors);
What financial interests require                  R a former employer or client (for a
disqualification?                               period of one or two years, depending on
 P An employee may not work on any              severance payments); and
matter affecting his or her own financial         R an organization in which the employee
interests or those of the employee's            is an active participant. However, special
spouse, minor children, household               authorization to participate may be
members, or general partners or of              available if in the agency's interest.
organizations in which the employee is an
officer, director, trustee, or employee or is   Must a disqualification or recusal be in
seeking employment. However,                    writing?
exceptions allow participation in matters        P No, unless it concerns a prospective
affecting holdings in broadly-diversified       employer from whom the employee has
mutual funds or in U.S. publicly-traded         received travel payments (i.e., for
stocks or bonds of $15,000 or less.             attending an interview) or is a bidder on a
                                                procurement of $100,000 or more.

  Ethics Law and Programs Division, Office of the Assistant General Counsel for
             Administration, United States Department of Commerce
              202-482-5384 ­ ethicsdivision@doc.gov ­ January 2, 2008

                        A WORD ABOUT ETHICS