1. Presenter’s Name June 17, 2003 FEMA ANNUAL ETHICS TRAINING 2013 Contact: FEMA-Ethics@fema.dhs.gov 202-646-3664 or your FEMA Adjunct Ethics Official

2. Presenter’s Name June 17, 2003 FEMA Program Office Don’t Follow This Advice…We’re Here to Help !!

3. Presenter’s Name June 17, 2003 Why Should You Get Advice from an Agency Ethics Attorney?  You can be sure you acted in an ethical manner in dealing with other FEMA employees, contractors, and the public  Acts done in good faith reliance upon Ethics Counselor advice will not result in administrative disciplinary action if the ethics advice is later determined to be incorrect, provided that—  You fully and accurately disclosed all the relevant facts known to you to the Ethics Attorney regarding your ethics problem

4. Presenter’s Name June 17, 2003 Why Should You Get Advice from an Agency Ethics Attorney? (Continued)  The Fine Print:  Ethics Attorneys always remain representatives of the Federal Government; ethics advice does not create an attorney-client relationship. Also if an employee intentionally misleads the Ethics Attorney as to the facts, they may be prosecuted under 18 USC § 1001 for a false official statement and do not receive safe harbor protection.  Don’t lie to the Ethics Guy (or Gal) !!

5. Presenter’s Name June 17, 2003 14 Principles of Ethical Conduct Executive Order 12674 1. Place public service above private gain 2. Financial interests cannot conflict with official duties 3. Do not use non-public information for private gain 4. No gifts from prohibited sources 5. Employees must put forth honest effort in performance of duties 6. No unauthorized promises purporting to bind the government 7. Do not use public office for private gain 8. Act impartially and no preferential treatment 9. Protect and conserve government property and only use it for authorized purposes 10. No outside employment or job hunting that conflicts with Federal job 11.Obligated to disclose waste, fraud, and abuse 12.Satisfy financial obligations in good faith 13.Uphold EEO laws and regulations 14. Avoid appearance of unethical conduct/violating the law or ethics regulations

6. Presenter’s Name June 17, 2003 Goals/Agenda  The 14 Principles of Ethical Conduct  Overview of Key Ethics Rules and Criminal Statutes  Conflicts of Interests  Gifts from Outside Sources  Outside Activities and Employment  Speaking, Teaching, and Writing

7. Presenter’s Name June 17, 2003 Review of Key Ethics Criminal Statutes

8. Presenter’s Name June 17, 2003 Bribery, Soliciting, and Receipt of Illegal Gratuities  18 U.S.C. § 201 – Prohibits Federal Employees from:  Seeking, Receiving or Agreeing To Accept Anything of Value  For themselves or others  ** in return for being influenced to aid in any fraud on the US, or  induced to do (or omit to do) any act in violation of their official duties  Maximum Penalty: Fine of $250,000 or not more than three times the monetary equivalent of the thing of value, whichever is greater, fifteen years in prison, and disqualification from holding any office of honor, trust, or profit under the United States government ** This “Quid pro Quo” element is only required for the Crime of Bribery

9. Presenter’s Name June 17, 2003 Bribery and Illegal Gratuity

10. Presenter’s Name June 17, 2003 18 U.S.C. §§ 203 and 205 “Representing Back to Uncle Sam”  18 U.S.C. § 203 Government employees may not accept outside compensation for services that include representing a third party before the Government 18 U.S.C. § 205 It is also unlawful to assist a third party in presenting claims to or against the Government whether compensated or not

11. Presenter’s Name June 17, 2003 18 U.S.C. §§ 203 and 205 “Representing Back to Uncle Sam” (Continued) Exceptions – an employee may represent: –Himself/Herself BUT NOT an employee owned business entity or corporation –Family members –An estate of a family member –Other employees in personnel actions, including EEO activities or FEMA Union member representation in personnel matters –Organizations composed primarily of employees or their dependents.

12. Presenter’s Name June 17, 2003 Representation Restrictions 18 U.S.C. §§ 203 and 205 “Representation” is 1.a communication 2.made on another’s behalf 3.with intent to influence a government employee acting in his official capacity 4.where the communication concerns a particular issue, contract, or controversy

13. Presenter’s Name June 17, 2003 Criminal Conflicts Of Interest 18 U.S.C. §208  Employees may not participate personally and substantially through decision, approval, recommendation, advice, investigation or otherwise  In a judicial proceeding, application, ruling, determination, contract, claim, controversy, charge, or other particular matter  In which the employee or their spouse, minor child, business partner, organization in which the employee is an officer, agent, or employee, or company with whom the employee is negotiating for employment  Has a financial interest

14. Presenter’s Name June 17, 2003 Criminal Conflicts Of Interest 18 U.S.C. §208 (Continued)  A particular matter is a matter that involves deliberation, decision or action that is focused on the interests of specific persons or a discrete and identifiable class of persons

15. Presenter’s Name June 17, 2003 Criminal Conflicts of Interest

16. Presenter’s Name June 17, 2003 Resolving Conflicts of Interest Disqualification  Stop working on actions relating to the matter  Submit a written disqualification statement to Supervisor Rejection of Job Prospect/Resignation  Decline a job prospect or resign from an outside position  Verbal or email rejection or resignation is sufficient  If the conflict is related to a federal government procurement contract action, written rejection of a job prospect may be required

17. Presenter’s Name June 17, 2003 Resolving Conflicts of Interest (Continued) Divest Conflicting Financial Interest  Sell the stock or other financial interest which caused the conflict  If you are directed to sell, contact the Ethics Office before the sale, as you may be eligible for a Certificate of Divestiture from the Office of Government Ethics. Waiver  Before granted, all other remedies should be examined and determined inadequate or inappropriate.  Requires DAEO recommendation and approval by the appointing official.

18. Presenter’s Name June 17, 2003 Criminal Conflict of Interest

19. Presenter’s Name June 17, 2003 Newport News Woman Pleads Guilty to Conflict of Interest at NASA FOR IMMEDIATE RELEASE June 2, 2010 NEWPORT NEWS, Va. – Patricia M. Biondolillo, 50, of Newport News, Va., pleaded guilty today to using her position as a NASA employee to gain employment for her husband at the Langley Research Center. Neil H. MacBride, United States Attorney for the Eastern District of Virginia, made the announcement after the plea was accepted by United States Magistrate Judge Tommy E. Miller. Biondolillo pled guilty to a one count criminal information charging her with using her official position with NASA Langley to secure and advance her husband’s employment at the Langley Research Center. Sentencing has been set for Sept. 23, 2010. Biondolillo faces a maximum penalty of one year in prison and a $100,000 fine. In a statement of facts filed with her plea agreement, Biondolillo admitted that she was employed by NASA as a Human Resources Specialist (HRS) and Co-op Program Coordinator (CPC) at the Langley Research Center, in Hampton, Va. As part of her job, she screened USAJOBS and inquired at Langley for possible employment for her husband, Elmar R. Koldert. Thereafter, she used non-public information concerning a job opening to introduce her husband’s resume to the selecting official for that position. She failed to disclose her relationship to the prospective employee and pressured university officials to expedite her husband’s admission and therefore, employment at Langley. Despite being directed to not involve herself in the employment process, she continued to be involved, specifically, regarding the issue of his pay grade. The defendant and her husband had a substantial financial interest in securing a position at Langley.

20. Presenter’s Name June 17, 2003 Impartiality – Appearance of a Conflict of Interest  5 C.F.R. § 2635.502 – (includes two tests) An employee is disqualified from participating a particular matter where the employee: 1.knows that a matter is likely to have a direct and predictable effect on the financial interest of a member of his household OR 2.knows that a person with whom the employee has a covered relationship is a party or represents a party to such matter and the circumstances would cause a reasonable person with knowledge of the relevant facts to question his or her impartiality Broader application and reach than the criminal conflict of interest statute

21. Presenter’s Name June 17, 2003  An employee has a covered relationship with:  A person, other than prospective employer, with whom the employee has or seeks a business, contractual or other financial relationship (other than routine consumer transaction);  Members of the household and relatives with whom the employee has a close personal relationship;  A person for whom the employee’s spouse, parent or dependent child serves as an officer, director, trustee, general partner, agent, attorney, consultant, contractor or employee;  Former business partners, clients, and employers (within last year or last two years if received extraordinary severance payment);  Organizations in which the employee is an active member.  When there is a covered relationship, there is a presumption that the employee’s impartiality will be questioned What is a “Covered Relationship”?

22. Presenter’s Name June 17, 2003 How to Fix the Appearance of Conflict of Interest  Talk to your Agency Ethics Official once you determine a possible appearance of conflict of interest and DISCUSS THE OPTIONS:  “Just Say No!” Disqualification of the employee from the matter.  Independent Determination by Agency Designee, “whether a reasonable person with knowledge of the relevant facts would be likely to question the employee’s impartiality in the matter.” If No…then no problem!

23. Presenter’s Name June 17, 2003  If Yes… then the Agency Designee may authorize the employee to act only if the interests of the Government in the employee’s participation outweighs the concern the a reasonable person may question the integrity of the agency’s programs and operations.  Screening Agreements and Gatekeepers How to Fix the Appearance of Conflict of Interest (Continued)

24. Presenter’s Name June 17, 2003 Gifts from Outside Sources Federal employees may not solicit or accept gifts from prohibited sources or given because of the employee’s official position, except as allowed by Federal statutes or regulations. Prohibited Sources: 1.Non-Federal entity/employee that is seeking official action from an agency as to grants, government contracts, or other federal funding provided by the agency (Stafford Act) 2.Non-Federal entity/employee that does business with your agency (DHS), or seeks do business with the agency 3.Non-Federal entity/employee that conducts activities regulated by the employee’s agency 4.Non-Federal entity/employee that has interests that may be substantially affected by performance or nonperformance of the Federal employee’s official duties 5.A non-Federal organization where the majority of its members are one or more of the above groups.

25. Presenter’s Name June 17, 2003 Gifts from Outside Sources (Continued) What are “gifts”? “Any gratuity, favor, discount, entertainment, hospitality, forbearance, loan or other item having monetary value” including:  Services as well as gifts of free training, transportation costs, local travel expenses, lodging and meals, whether provided in-kind, by purchase of a ticket or advanced payment, or reimbursement after the expense.

26. Presenter’s Name June 17, 2003 What are not “gifts” [exclusions] under the gift regulations in the ethics code?  Modest Refreshments (Knife & Fork vs. Toothpick Rule) – Shrimp Dinner vs. Shrimp Cocktail  Items of Little Intrinsic Value (Cheap & Useless Rule) – Trophies and Greeting Cards  Loans From Financial Institutions at terms available to the public  Discounts and Rate Reductions because of Federal government status-not just FEMA or DHS status  Rewards and Prizes won from competitive drawings or raffles open to the public  Services or Items Paid for by Government Contract or Agreement  Gifts Accepted by the Government Under Statutory Authority, e.g., Accepting travel expenses to attend meetings with agency constituents or accepting gifts subject to agency gift acceptance statutes, e.g., The Stafford Act. See FEMA DIR. 112-13.  Anything for Which Market Value is Paid by the Federal Employee Gifts from Outside Sources - Exclusions

27. Presenter’s Name June 17, 2003 Gifts from Outside Sources – Regulatory Exceptions Regulatory Exceptions to the Outside Gift Prohibitions  Gifts with an Aggregate Market Value of $20 or Less  Gifts Based upon Personal (Not-Work Related) Relationship  Discounts or Rate Reductions  Offered by Professional Organizations to all Government Employees if the only restrictions on membership relate only to professional qualifications  Group Discounts Unrelated to Government Employment  Offered by Government Employee Association or Credit Union if such discounts are normally offered by non-government employee associations or credit unions  Offered by entity that is NOT a Prohibited Source that does not discriminate among membership based upon position or pay rate  Awards and Honorary Degrees from a Non-Prohibited Source, other than cash or securities of $200 or less, or if more, upon based upon an established program of recognition

28. Presenter’s Name June 17, 2003 Gifts from Outside Sources – Regulatory Exceptions (Continued) Regulatory Exceptions to the Outside Gift Prohibitions  Gifts Based on Outside Business or Employment Relationship  Spouse’s Employer or Business  Employee’s Outside Business or Employment Activities  Job Hunting Expenses, including Travel, Lodging and Meals  Gifts Based upon Hatch Act Allowed Partisan Political Activity  Widely Attended Gatherings (WAGs) and Free Admission When Speaking or Panel Participant on Behalf of the Agency at a Non-Agency Conference or Other Such Event  Social Invitations to Social Events by Non-Prohibited Sources, excluding travel/lodging  Meals and Refreshments in Foreign Lands While on Official Travel on Official Duty from a Non-Government Source  Gifts Authorized by Supplemental Ethics Regulation  Gifts Accepted Under Specific Statutory Authority, e.g., federal employee training by non-profit groups under 5 U.S.C. § 4111, or gift from foreign governments or multinational organizations pursuant to the Foreign Gifts and Decorations Act, 5 U.S.C. § 7342.

29. Presenter’s Name June 17, 2003 Gifts from Outside Sources Very important caveat to accepting gifts from prohibited sources pursuant to the outside source gift regulation exceptions at 5 C.F.R. § 2635.204 preamble:  Even though you may accept a gift from a prohibited source pursuant to the outside source gift regulation exceptions, “it is never inappropriate and frequently prudent for an employee to decline a gift offered by a prohibited source or [offered] because of his position.” BLUF: If Accepting the Gift Would Look Bad to the Press, Congress, or the Public, Don’t Do It!

30. Presenter’s Name June 17, 2003 HATCH ACT Restrictions on Partisan Political Activities of Federal Employees

31. Presenter’s Name June 17, 2003 Federal employees may not do any of the following:  Use official authority or influence to interfere with an election  Run for partisan office (except as an independent candidate in limited areas of the country designated by OPM) or if they are a FEMA RESERVIST  Solicit or discourage political activity of anyone with business before their agency Hatch Act Restrictions for All Employees

32. Presenter’s Name June 17, 2003  Solicit or receive political contributions even when off- duty  Engage in partisan political activity while: On duty In a government office Wearing an official uniform Using a government vehicle, computer, Blackberry, cellphone, IPAD, or other government equipment Hatch Act Restrictions for All Employees (Continued)

33. Presenter’s Name June 17, 2003 All Federal employees may:  Register and vote  Make a financial contribution to a campaign  Be a candidate for non-partisan office  Join political clubs or parties  Express personal opinions about candidates and issues  Sign nominating petitions  Attend political rallies and conventions*  Participate in nonpartisan activities * Further Restricted FEMA employees may attend such events as OBSERVERS ONLY, and MAY NOT be involved in planning or execution of such events. DHS requires prior approval of the DHS Deputy Chief of Staff through the FEMA/DHS Ethics Office before they attend any political activity. Permissible Political Activities for all Federal Employees Under the Hatch Act

34. Presenter’s Name June 17, 2003 Now, a Quick Word on Political Fundraising by Federal Employees

35. Presenter’s Name June 17, 2003 Seek Ethics Guidance First… PLEASE!! Don’t Engage in Political Fundraising!

36. Presenter’s Name June 17, 2003 Seeking Employment and Post- Government Employment

37. Presenter’s Name June 17, 2003 Basic Rule: When seeking non-Federal employment while a federal employee, you MUST:  Disqualify yourself from official participation in any particular matter  That has a direct and predictable effect  On the financial interests of non-federal entities  With whom the employee is discussing future employment  FEMA Intranet Homepage Ethics Tab has Disqualification Forms you can download, sign and date, and give to your supervisor and the FEMA Ethics Office Seeking Post-Government Employment

38. Presenter’s Name June 17, 2003 The Procurement Integrity Act requires federal employees who are personally and substantially involved an acquisition over the simplified acquisition threshold (>$100,000) to report non- Federal employment contacts when job seeking involving Federal Contractor potential employers in certain circumstances:  Report employment contacts with federal contract or grant bidders or applicants  Contact = communication about prospective employment  Report must be in writing  Report to supervisor and agency ethics attorney Seeking Post-Government Employment (Continued) 38

39. Presenter’s Name June 17, 2003  The federal employee is disqualified from future participation in the acquisition matter, unless the contact is immediately rejected by the federal employee.  STOCK Act of 2012 requires OGE 278 financial disclosure form filers to provide written notice to their ethics attorney within 3 days of negotiating for employment with a non-federal entity, and if necessary, a written recusal, if their current federal duties would create the appearance of a conflict of interest when negotiating with their potential post-federal employer. Seeking Post-Government Employment (Continued)

40. Presenter’s Name June 17, 2003  Why is it a Federal crime for former Federal government employees to contact current Federal agency employees from their old agency regarding matters they may have worked on while a Federal employee, on behalf of their new non-Federal employer ?  Answer: To Stop “The Revolving Door”. Post-Government Employment Restrictions 18 U.S.C. § 207 40

41. Presenter’s Name June 17, 2003  Former Federal employees unfairly influencing current Federal government decision-makers by use of their contacts and influence with their former agency to unfairly benefit their new non-federal employers who are current FEMA grantees and contractors or who seek FEMA contracts and grants. The REVOLVING DOOR is unethical and often criminal conduct.  STOP THE REVOLVING DOOR – Unethical Conduct that often promotes waste of government funds, fraud, unfair grant and contract award preferential treatment and abuse of position by federal managers and contracting officials. What is this “Revolving Door” About?

42. Presenter’s Name June 17, 2003  Protecting “confidential government information and fairness” from allowing federal government contract bidders or grant applicants with insider contacts with former agency officials to gain any unfair advantage or preferential treatment to ensure fair contract and grant awards.  The higher ranking the former employee, generally the greater restrictions placed on post-government representation back to their old agency. What is this “Revolving Door” About? (Continued)

43. Presenter’s Name June 17, 2003 BARS former “Senior Employees” for one year after leaving a senior federal position from representing a non-federal entity before their former agency to seek official action of any sort.  “Senior employees” for purposes of this restriction are any senior federal employees with an annual rate of base pay for Level II of the Federal Executive Schedule, which is currently $155,440.50 for CY 2013 [generally SES employees or political appointees].  One-Year Bar on Foreign Entity Representation. Additionally, BARS such former federal Senior employees from representing a foreign entity before the U.S. Government or its employees with intent to influence their decision-making or to aid or advise a foreign entity with intent to influence U.S. Government or its employees decision-making for one year from the date they left their senior federal position.  President Obama’s Ethics Executive Order and Ethics Pledge [POLITICAL APPOINTEE BAN] extends the one year Senior Official cooling off period to TWO YEARS for Political Appointees of the Obama Administration. The Executive Order also has a number of other specific additional post-employment restrictions that apply only for Political Appointees. Post-Government Employment Representational [Senior Official] Bans - 18 U.S.C. § 207 (a), (c) and (f)

44. Presenter’s Name June 17, 2003 Post-Government Employment Representational Bans - 18 U.S.C. § 207 (a), (b), (c), and (f) Dealing With Foreign Entities One-Year Bar on Foreign Entity Representation - 18 U.S.C. § 207 (f)  BARS former federal Senior employees from representing a foreign entity before the U.S. Government or its employees with intent to influence their decision-making or to aid or advise a foreign entity with intent to influence U.S. Government or its employees decision-making for one year from the date they left their senior federal position.  Foreign Trade or Treaty Negotiations One Year Bar prohibits any former federal employee representing, aiding, or providing advice to any non-Federal entity concerning on-going treaty or trade negotiations. (18 U.S.C. § 207 (b)).  The Emoluments Clause, U.S. Constitution, Art. I § 9, cl. 8, prohibits retired U.S. Active/Reserve military members from accepting any compensation or gifts from a foreign state or entity run by a foreign state, except as allowed by Congress.

45. Presenter’s Name June 17, 2003 Post-Government Employment Representational [Manager & Supervisor] Bans - 18 U.S.C. § 207 (a) (2)  2-Year “Official Responsibility” Ban: Bars for TWO YEARS from date of retirement, all former federal managers and supervisors from representing or appearing before any Federal agency or court or their employees regarding particular matters involving specific parties that were under their official responsibility during their last year of Federal employment.  Applies to any manager from the FEMA Administrator on down that supervised people that worked on particular matters such as government contracts, grants, or other FEMA distributions of federal funds to non-federal entities.  Not Just First Line Managers!

46. Presenter’s Name June 17, 2003 Post-Government Employment All Former Employees Representational Lifetime Ban - 18 U.S.C. § 207 (a) (1) Lifetime All Former Federal Employee Ban  Bars ALL FORMER FEDERAL EMPLOYEES from knowingly making with intent to influence  Any communications to or appearance before any Federal agency or court or Federal employee  Regarding any particular matters involving specific parties in which they participated personally and substantially at anytime during Federal service for the lifetime of that particular matter.

47. Presenter’s Name June 17, 2003 Post-Government Employment All Former Employees Representational Lifetime Ban (Continued)  “Particular matter involving specific parties,” includes Federal Government contracts, grants, or other transfer of federal funds by statute, regulation, or other authority, such as Stafford Act Public Assistance or Individual Assistance funds).  What does a “lifetime ban” mean? The ban bars former Federal employees from representing a FEMA vendor, contractor or grantee, or other Federal funding recipient for the life of any Federal contract, purchase order, grant, or other transfer of Federal funding where they were “personally and substantially” involved.  Example: If there is a FEMA five year Independent Delivery Independent Quantity (IDIQ) multi-year contract, with twenty task orders, does the ban only apply to the task order under the IDIQ contract previously worked by the former employee?  The answer is generally yes, but one should consult with Federal ethics officials before representing a contractor on the same IDIQ contract, but a different task order.

48. Presenter’s Name June 17, 2003 Post-Government Employment All Former Employees Representational Lifetime Ban (Continued) What is a “communication or appearance with intent to influence”?  Any sort of personal appearance or communication by the former employee or their agent by email, letter, verbal conversation, Facebook, Twitter, telephone, telegram, etc. That is done by a former federal employee or someone on their behalf to influence the actions of current federal employees to provide their new employer with a federal benefit or action, e.g., A government contract or task order, a grant, or funding pursuant to the Stafford Act for rebuilding roads and hospitals or debris removal, or various forms of individual assistance. When is “intent to influence “ not present? Strictly social interaction between a former federal employee and current federal employees, e.g., Attending a FEMA retirement party or a NEMA convention cocktail party where there are no discussions of business between the former agency and the former employee’s new employer. Seeking factual information from a federal agency or a routine request for documents or the status of an ongoing matter, or exchanging factual information between federal agency personnel and the former employee on non-controversial matters. Making routine communications with federal agency officials as part of a routine visit to the contractor or grantee offices on routine matters involving the evaluation, administration, or performance of a contract between the agency and the and the contractor represented by the former employee.

49. Presenter’s Name June 17, 2003 Procurement Integrity Act - 41 U.S.C. § 423(d)  One year ban on receipt of compensation from $10M+ federal contractor if the former fed employee did any of the following on that contract:  Served as a procuring contract officer, source selection authority, member of a source selection evaluation board, or chief financial or technical evaluation team;  Served as a program manager, deputy program manager, or administrative contracting officer;  Personally made decisions in excess of $10M to award contracts, subcontracts, or modifications of contracts or subcontracts, task or delivery orders; to establish overhead or other rates; to approve contract payment or payments; or to settle claims  This compensation ban does not prevent a former federal employee from working for any separate division or affiliate of a government contractor that does not produce the same or similar services or products as the contractor entity the federal employee is seeking employment. Post-Government Employment: Procurement Integrity Act Restrictions 49

50. Presenter’s Name June 17, 2003 Post-Government Employment: Procurement Integrity Act (PIA) Provisions  Former Federal employees, who had access to sensitive government contract bid, proposal, or source selection information, because of their former Federal duties, including serving as a task monitor or contracting officer representative (COR) may not divulge any such information, before the award of any such government contract to any party.  Federal employees leaving federal service have the right to seek an opinion letter from their servicing Agency Ethics Officials if their proposed post-Federal employment with a Federal contractor could violate the Procurement Integrity Act.  FEMA requires all individuals seeking such a procurement integrity letter to complete a FEMA post-employment questionnaire to enable them to give FEMA employees adequate legal advice.  The FEMA employee post-employment questionnaire, PIA information, and other seeking and post-Federal employment information papers can be found on the FEMA Intranet Website Homepage, under the Ethics Section.

51. Presenter’s Name June 17, 2003 These rules are complicated criminal restrictions – SO – if you:  Plan to start looking for a post-Federal job with a non- Federal entity that is a current FEMA Contractor or Grantee or is likely to seek FEMA contracts or grants, OR  Plan to interact with the Federal government after you leave as an employee or agent or attorney of a FEMA contractor or grantee – PLEASE contact your (free) FEMA Ethics Official or consult private legal counsel familiar with these very complex seeking and post-Federal employment laws for expert legal advice BEFORE starting any post-FEMA non-Federal job negotiations! Post-Government Employment Restrictions: Make Sure You Know the Rules Before You Start Your Job Search!

52. Presenter’s Name June 17, 2003  Generally under current law and regulations FEMA employees may pursue Outside Activities, Business Ownership or provide personal services for pay or seek non-Federal employment unless:  the work or activity would violate a Federal statute, regulation, or policy  the work or activity would violate a DHS or FEMA Directive or Policy, or  the work or activity would require (to avoid a conflict of interest or the appearance thereof) the employee’s disqualification from matters central or critical to the performance of their FEMA job duties. 5 CFR 2635.802.  DHS proposed a Supplemental Ethics Regulation which will:  help prevent appearance of and actual conflict of interest issues  require all DHS and its component employees to obtain prior agency approval for certain outside employment, business activities, and other outside activities involving the employee acting in a fiduciary capacity as an organization officer or board member, with limited exceptions  require all DHS employees to file an Outside Activities form which must be approved by your immediate supervisor and your DHS Component Ethics office, as authorized by 5 CFR 2635.803. Outside Activities and Outside Employment (While a Fed Employee)

53. Presenter’s Name June 17, 2003  FEMA has proposed a further Supplemental Ethics Regulation barring all FEMA employees from working for current FEMA government contractors while employed with the agency, including non-activated FEMA Reservists, with a limited waiver provision regarding certain contractor jobs that would not reasonably create the appearance of a conflict of interest with their FEMA duties, such as working as a janitor, secretary, or file clerk.  Look for more guidance on these proposed Supplemental Ethics regulations this coming year from the FEMA Ethics Office. Outside Activities and Outside Employment (While a Fed Employee) (Continued)

54. Presenter’s Name June 17, 2003  Service as an Expert Witness, with or without compensation, other than on behalf of the U.S. Government before a U.S. Court or Agency, where the U.S. Government is a party or has a direct and substantial interest in the matter, unless authorized by the federal agency employer. If someone is appointed as a Special Government Employee (SGE) by the President, and serves on a Federal commission or board or advisory committee, and is expected to serve for more than 60 days in a period of 365 consecutive days, is also subject to this restriction  Fact witnesses called to testify where subpoenaed by appropriate authority are not subject to this restriction. 5 CFR 2635.805. Outside Activity and Employment and Related Matter Restrictions for ALL Federal Employees

55. Presenter’s Name June 17, 2003  Federal employee owned or controlled businesses seeking federal contracts. Federal contracting policy, to avoid any conflict of interest between the employee’s federal duties and their private business interests, and to avoid the appearance of preferential treatment or favoritism by the Federal Government, discourages federal employee owned businesses from contracting with the federal government, except where “compelling circumstances” exist, such as when the Government’s needs cannot otherwise be reasonably met. Federal Acquisition Regulation (FAR) Subpart 3.6, Contracts with Government Employees or Organizations Owned or Controlled by Them. Outside Activity and Employment and Related Matter Restrictions for ALL Federal Employees (Continued)

56. Presenter’s Name June 17, 2003 Participation in Non-Profit Charitable, Professional, Educational, Public Service or Civic Organizations as an Officer or Board Member with Fiduciary Duties in One’s Official Capacity  In Official Capacity as FEMA Employee On Official Duty – See 5 CFR 2640.203(m), which permits federal employees to participate in particular matters affecting the financial interests of nonprofit organizations in which they serve, or seek to serve or have an arrangement to serve, in their official government capacity as officers, directors, or trustees, notwithstanding the employee’s imputed financial conflict of interest under 18 U.S.C. § 208(a). [New OGE Regulation, final issued on March 6, 2013]  FEMA’s utilization of this new OGE regulatory exemption is currently limited by DHS Management Directive (MD) 2300, Committee Management, which covers participation by FEMA personnel on Non-Government Committees “that may be related to DHS (and FEMA) activities”:  DHS personnel should not participate in the management or control of private or non-governmental groups where a purpose of the group involves “representing entities which… have, or are seeking to obtain contractual or financial relationships with DHS or its components or which conduct activities that are regulated by DHS or its components.”

57. Presenter’s Name June 17, 2003  DHS appointed members of such groups may not receive any pay from such groups for their representation, and “must avoid any real or apparent conflict of interest in connection with such participation.”  Such official participation can only be approved by the FEMA Director, upon written justification by the agency that it is in the best interests of DHS, concurred by the FEMA Chief Counsel (Ethics Office) and Committee Management Officer, along with a memorandum of understanding with the group indicating the limits of the DHS employee’s representation to the group.  FEMA Current Alternative: Serve as FEMA Non-Voting Liaison to such groups. Participation in Non-Profit Charitable, Professional, Educational, Public Service or Civic Organizations as an Officer or Board Member with Fiduciary Duties in One’s Official Capacity (Continued)

58. Presenter’s Name June 17, 2003  Must not do any organization activity that would violate Federal law, ethics or other federal regulations:  Cannot participate in organization requests or applications for FEMA grants, contracts, cooperative agreements, or other agency support, especially if your FEMA duties involve approving such grants, contracts, or cooperative agreements.  Cannot participate in representing the organization in federal court or before federal agencies in matters where the Federal Government is a party or has a substantial interest, whether or not you are compensated.  Cannot accept gifts from the organization if they are a “prohibited source” for conflict of interest purposes, except as allowed by federal ethics gift rules.  Cannot provide “inside information” to the organization to help them win an agency grant, cooperative agreement, or government contract. Participation in Non-Profit Charitable, Religious, Professional, Social, Fraternal, Educational, Recreational, Public Service or Civic Organizations as an Officer or Board Member with Fiduciary Duties in One’s Personal Capacity

59. Presenter’s Name June 17, 2003 Participation in Non-Profit Charitable, Religious, Professional, Social, Fraternal, Educational, Recreational, Public Service or Civic Organizations as an Officer or Board Member with Fiduciary Duties in One’s Personal Capacity (Continued)  Must not do any organization activity that would violate Federal law, ethics or other federal regulations:  May not do any fundraising for any such organization using one’s federal title or position or authority to collect money from federal workplace subordinates or agency contractor employees.

60. Presenter’s Name June 17, 2003  May not use federal time, equipment, or personnel for fundraising or other private organization activities, except as allowed by federal law, regulations, and policy.  Examples: FEMA Community Volunteer Program allows use of Administrative Leave with approval of your supervisor for charitable work in the community and Federal Attorney Pro Bono Legal Assistance Programs allow limited use of agency legal research, computer, and internet for representation of indigent individuals. Participation in Non-Profit Charitable, Religious, Professional, Social, Fraternal, Educational, Recreational, Public Service or Civic Organizations as an Officer or Board Member with Fiduciary Duties in One’s Personal Capacity (Continued)

61. Presenter’s Name June 17, 2003  Conflict of Interest or Appearance thereof with federal government duties  Misuse of Position for Private Gain, and Misuse of Government Time or Equipment  Political Activity Restrictions (Hatch Act)  Representation Before Federal Agencies or Courts whether compensated or non-compensated Outside Employment While a Federal Employee Ethics Issues

62. Presenter’s Name June 17, 2003  Supplementation of Federal Pay  Bribery and Receipt of Illegal Gratuities  Emoluments Clause – Restrictions on Working for Foreign Governments or Receiving Gifts or Other Compensation for Services Outside Employment While a Federal Employee Ethics Issues (Continued)

63. Presenter’s Name June 17, 2003  Federal employees, including Special Government Employees, may NOT receive compensation from any source other than the Government for speaking, teaching, or writing activity that relates to that person’s official duties.  There are additional restrictions on teaching for pay for non-career SES and Schedule C political appointees. Teaching, Speaking, and Writing

64. Presenter’s Name June 17, 2003  Teaching, Speaking, or Writing activity relates to your official duties if:  The activity is taken as part of those official duties  The circumstances of the invitation to engage in the activity indicate the invitation to engage was made primarily because of the employee’s official position, rather than specific expertise in the subject area.  The information conveyed through the activity draws substantially on ideas or official data that is non-public information, OR Teaching, Speaking, and Writing (Continued)

65. Presenter’s Name June 17, 2003  Teaching, Speaking or Writing activity relates to your official duties if the subject of the activity deals in significant part with:  Any matter to which the employee is presently assigned or had been assigned during the previous one-year period  Any ongoing or announced agency policy, program, or operation  For non-career employees making 120% of the basic pay rate for GS-15 ($119,553.60 for 2013), the general subject matter, area, industry, or economic sector affected by the programs and operations of their agency.  Career SES or employees in positions at the GS-15 level or below may accept travel expenses paid by a non-federal source for teaching, speaking or writing, but not compensation except IAW OGE regulatory exceptions. Teaching, Speaking, and Writing (Continued)

66. Presenter’s Name June 17, 2003  Teaching Exception Allowing Non-Federal Entities to Pay Compensation for Teaching Multiple Presentation Courses if the course is offered as part of the regularly established curriculum of:  An institution of higher education as defined at 20 U.S.C. § 1141 (a), e.g., vocational schools, colleges, universities, or professional college such as a law, dental, or medical school, etc., or  An elementary school as defined at 20 U.S.C. § 2891 (8), e.g., a pre-school, public or private or parochial grade school, or  A secondary school as defined at 20 U.S.C. § 28901 (21), e.g., a junior high school, middle school, or high school, whether public, private, or parochial, OR  A program of instruction or education sponsored and funded by the Federal Government or by a state or local government which is NOT OFFERED BY an elementary, secondary school, or institution of higher learning.  Employee engaged in teaching, speaking, or writing as an outside activity or employment may not use or permit others to use their official title or position to identify themselves in connection with said activity or to promote any book, seminar, course, program or similar undertaking. Teaching, Speaking, and Writing (Continued)

67. Presenter’s Name June 17, 2003  Reference to Official Position and Title Exceptions, IAW 5 CFR 2635.807 (b):  An employee may include or permit the inclusion of their title or position as one of several biographical details when such information is given to identify him in connection with their teaching, writing, or speaking, provided that their title or position is given no prominence than other significant biographical details.  An employee may use, or permit the use of, their title or position in connection with an article published in a scientific or professional journal, provided that the title/position is accompanied with a reasonably prominent disclaimer satisfactory to the agency that the views expressed in the article do not necessarily represent the views of the agency or the United States government.  There are also prior agency approval requirements and limits on outside income for political appointees for teaching and other outside activities and employment at 5 CFR 2635.804 and Chapter 2636. Teaching, Speaking, and Writing (Continued)

68. Presenter’s Name June 17, 2003 E-Mail: FEMA-Ethics@fema.dhs.govFEMA-Ethics@fema.dhs.gov Phone: 202-646-4025/4279 See contact sheet for the name, phone number and email address for your Adjunct Ethics Official for your office, division, or directorate at FEMA on the FEMA Website. Resources:  FEMA Ethics Website: http://on.fema.net/components/oocc/Pages/OCCEthics.aspx http://on.fema.net/components/oocc/Pages/OCCEthics.aspx  U.S. Office of Government Ethics Website: www.oge.govwww.oge.gov  Federal Interagency Ethics Council (IEC) Website: www.iecjournal.org www.iecjournal.org Contact FEMA Ethics at:

69. Presenter’s Name June 17, 2003 FEMA Adjunct Ethics Counsel Contact List

70. Presenter’s Name June 17, 2003 FEMA Adjunct Ethics Counsel Contact List (Continued)

71. Presenter’s Name June 17, 2003 FEMA Adjunct Ethics Counsel Contact List (Continued) Adjunct Ethics Counsel list as of 04/13/2013.

72. Presenter’s Name June 17, 2003 KNOW and LIVE THE CODE!