1. Doing Things Right: Ethical Considerations in Government Service
Hale Hawbecker, DOI Ethics Office
Nancy Baumgartner, USGS Ethics Office
DOI Annual Business Conference, May 2006

2. Ethics training goals Raise awareness of ethics issues
Explain criminal ethics statutes and standards of conduct regulations
Discuss subject areas of interest and concern to DOI managers
Questions are welcome!

3. Management of ethics matters
Know about ethics laws, regulations and policies (Federal, DOI and your bureau)
Know when and how to contact an ethics counselor
Don’t accept “that’s how we’ve always done it….”

4. 14 Principles of Ethical Conduct
“To ensure that every citizen can have complete confidence in the integrity of the Federal Government, each Federal employee shall respect and adhere to the fundamental principles of ethical service.”
Presidential Executive Order 12674

5. 5 C.F.R. Part 2635
Standards of Ethical Conduct for Employees of the Executive Branch
Federal employees in all executive agencies and departments must adhere to these
www4.law.cornell.edu/cfr/5p2635.htm

6. Contact an ethics counselor
Before action requiring ethics advice is undertaken (if possible)
ensures that we know what is being asked (and you know what is being answered)
Ethics matters are very fact-specific
Use descriptive subject lines

7. Hale Hawbecker - Alternate DAEO
Shayla Simmons -
Designated Agency Ethics Official (DAEO)
Hale Hawbecker - Alternate DAEO
Matt Costello - Ethics Program Specialist
Pam Miller - Financial Disclosure Specialist
(202) ,

8. DOI Ethics Office webpage

9. Bureau ethics counselors
BIA:
(405)
BLM:
(202)

10. Bureau ethics counselors
BOR: Sheila Venson
(303)
MMS:
(703)
OIG: Jim O’Sullivan
(202)

11. Bureau ethics counselors
NPS:
(202)
FWS:
(703)

12. Bureau ethics counselors
OSM: Jim Bush
(202)
USGS: Nancy Baumgartner
(703)

13. FWS Ethics webpage

14. USGS Ethics Office webpage

15. Ethics discussion topics
Federal ethics statutes
Conflicts of interest
Impartiality concerns
Gift acceptance
Procurement Integrity
Outside employment
Seeking employment
Post-Government employment
Q & A

16. Federal criminal ethics statutes
18 U.S. Code § 201 No bribery
18 U.S. Code § § 203 and 205 No acting as agent for a third party to the Government
18 U.S. Code § 207 Post-Government employment representation restrictions

17. Federal criminal ethics statutes
18 U.S. Code § 208 No financial conflicts of interest
May not participate personally and substantially in a matter which may affect your financial interest or the financial interests of those attributed to you:
spouse, minor child, business partner, organizations in which you are an officer or employee, future non-Federal employer (negotiating/seeking employment)

18. Appearance of lack of impartiality
5 C.F.R
Basic Principle: Unless specifically authorized by an appropriate ethics official, an employee should not participate in a particular matter involving specific parties when:
The employee knows the matter is likely to have a direct and predictable effect
On the financial interests of a member of his/her household

19. Appearance of lack of impartiality
Authorization may be granted by an appropriate ethics official upon written determination that, in light of all relevant circumstances, the Government’s interest in the employee’s participation in the matter outweighs the concern that a reasonable person may question the integrity of the agency.

20. Federal criminal ethics statutes
18 U.S. Code § No supplementation of Federal salary (Is it really “outside employment?)
18 U.S. Code § No acting as agent for foreign principal
Penalties of up to 5 years in jail and $50,000 fine

21. What you can and can’t do…
Gift acceptance
What you can and can’t do…

22. Gifts from outside sources
5 C.F.R (b)
Not everything is a gift
Snacks (coffee, donuts, etc.)
Greeting cards, certificates, trophies
Prizes in contests open to the public
Commercial discounts
If employee pays fair market value
If Federal government pays

23. What you can’t do Federal employees may not
Solicit or accept, directly or indirectly,
A gift
From a “prohibited source”
Or offered due to their official position

24. What is a “prohibited source?”
Any person, company, or organization that:
Does business (or is seeking to do business) with bureaus or DOI (contractors, consultants, concessionaires, etc.);
Is regulated by your DOI or bureaus; or
Can be affected by the performance or nonperformance of your official duties

25. More “prohibited sources”
Any professional, technical, or trade association, the majority of whose members represent prohibited sources; or
An outside organization that seeks to influence the government.

26. Separate components 5 C.F.R. 3501.102
The term "agency" is narrowly defined to mean the organization that employs the individual. An employee who works for a DOI bureau may accept a gift from a person or organization having business dealings with another bureau component.

27. Separate components, cont’d
BUT, Department employees are prohibited from accepting gifts from any person or organization having business dealings with DOI or any DOI bureau, as well as:
Office of Indian Education Programs,
National Indian Gaming Commission and
Office of the Special Trustee for American Indians

28. Gift exceptions
Gifts valued at $20 or less per source per occasion ($50/year)
Gifts based on personal relationships or outside business relationships
Free attendance at widely attended gatherings or where you are participating as a speaker (subject to advance written approval)

29. Gift exceptions Sharing of perishable items in office
Awards (with Ethics Counselor approval)
Some gifts shouldn’t be accepted, even if an exception applies
5 C.F.R
Questions? Consult your Ethics Counselor

30. What if I can’t refuse a gift?
DOI employees may accept gifts offered to them by representatives of Indian Tribes, Alaska Native Organizations, Insular and foreign governments when refusal to accept such gifts would be likely to cause offense or embarrassment or otherwise adversely affect relations with the United States.
Such gifts shall be deposited with their bureau's property officer

31. Gifts to supervisors OK, if voluntary
On occasions when gifts are traditionally given (holidays, birthdays, Bosses’ Day) - items other than cash, $10 limit (NO pooling)
Contributions for food to be shared in office
No coercion of donations

32. Gifts to supervisors
Special, infrequent occasions or those that end supervisor/manager status (retirement, transfer, marriage, birth of child, etc.)
No $ limit, but must be appropriate to the occasion
Between employees
Must have a bona fide personal relationship

33. Gift acceptance by DOI or bureaus
Avoid conflicts of interest
Donation Guidelines regulation
374 DM 6, Dec 13, 2005
The Department and each bureau should designate a senior person to be its donation vetting point of contact
Maintain the integrity and impartiality of DOI and bureau programs and operations

34. Acceptance of travel expenses from non-Federal entities
31 U.S.C. § 1353 permits agencies to accept travel expenses from non-Federal entities
With prior written approval via DI-2000
Or within 7 days of travel, if exigent circumstances
Employee must be in official travel status

35. Acceptance of travel expenses from non-Federal entities
For attendance at meetings, workshops, training, conferences or “similar events”
Not for field work (use agency gift regs)
Employees may never personally accept cash or checks for reimbursement
For international travel annotate authority on the DI-1175 (DI-2000 is still required)

36. Outside Activities
5 C.F.R

37. Limitations on Outside Activities
You generally may not receive pay for teaching, speaking and writing that relates to your official duties
There is an exception that permits you to teach certain courses at accredited educational institutions

38. Limitations on Outside Activities
You may not use your official title or position (except as part of a biography or an article in a professional journal with appropriate disclaimer)
Outside employment with a prohibited source requires approval of your agency

39. Limitations on Outside Activities
USGS requires approval of outside employment that is related to your USGS duties or the USGS mission
No holding state or local office (if partisan)
May not work for agency contractor or grantee

40. “Outside work”
PRIOR approval of outside work by an ethics counselor means that an employee’s receipt of compensation does not violate 18 U.S. Code § 209 (the criminal ethics statute that prohibits supplementation of a Federal employee’s salary)

41. Speaking as “outside work”
Why & how was the request received?
Is the subject matter part of the work of the employee during the previous year?
Is the employee being offered anything more than actual (and reasonable) personal travel expenses?

42. Speaking as “outside work”
Does the employee’s PD include “outreach activities?”
Was the employee on leave or authorized absence during the preparation and delivery of the speech?
No honoraria if not “outside work”

43. Writing a book as “outside work”
No royalties if the book deals in significant part with:
any matter to which the employee is presently assigned or has been assigned during the previous 1-year period, or
any ongoing or announced agency or bureau policy, program or operation

44. Procurement Integrity
41 U.S.C. 423

45. Procurement Integrity
Ban on disclosing information
Contractor bid/proposal info
Source selection info
Ban on obtaining procurement info
Companies can be banned from future procurements
Boeing and Lockheed Martin industrial espionage

46. Procurement Integrity
Employment contact reporting rule
Involving contracts over $100K
Report and reject offer
Report and recuse (disqualify)
One-year ban on accepting compensation from contractor
Applies to contracts over $10 million

47. Procurement - Sensitive Information
If it has not previously been made public, DO NOT DISCLOSE:
Proposal or bid information, including:
Cost or pricing data, including indirect costs and direct labor rates
Proprietary information about manufacturing process, operations, or techniques identified as such by any contractor
Information identified by any contractor as "contractor bid or proposal information”

48. Procurement - Sensitive Information
If it has not previously been made public, DO NOT DISCLOSE:
Source selection information (which is information that is prepared for use by a Federal agency for the purpose of evaluating a bid or proposal)

49. Source selection information
Bid prices
Proposed costs or prices
Source selection plans
Technical evaluation plans
Technical and cost or price evaluations of proposals
Competitive range determinations
Rankings of bids, proposals, or competitors
Reports and evaluations of source selection panels, boards, or advisory councils
Other "source selection information

50. Post-Government employment
Including seeking for employment…

51. Seeking employment restrictions
18 U.S. Code § 208
No actions in official capacity that could affect finances of organizations with whom an employee is seeking employment
Must disqualify (recusal)
Preferably in writing

52. Seeking employment restrictions
You are considered to be “seeking employment” when:
You engage in actual negotiations for employment
A potential employer contacts you and you make a response other than rejection
You contact a prospective employer about possible employment (unless the sole purpose of the contact is to request a job application or send a resume to a person affected by your duties only as a member of a class)

53. Seeking employment restrictions
You are no longer considered to be “seeking employment” when:
You or the prospective employer reject the possibility of employment and all discussions have ended
Two months have elapsed since you sent an unsolicited resume and you have received no expression of interest

54. Post-Government restrictions
Bans of varying durations
Lifetime ban - specific party particular matters (such as contracts) in which employee was involved in any way
Similar 2 year ban – specific party particular matters pending in employee’s official responsibility during final year of Government service

55. Post-Government restrictions
1 year “cooling off” period – PAS, SES employees, anyone paid more than 89.5% of the rate for level II of the Executive Schedule (currently $142,898 or more)
Detailed post-Government employment advice is available from DOI and bureau ethics counselors even after retirement

56. Post-Government restrictions
Limitations on representational acts
Cannot contact DOI or bureau with the intent to influence
OK to work “behind the scenes” in an advisory capacity to post-Government employer

57. Comments, questions, concerns?

58. Don’t take chances, it’s not worth it.