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

Doing Things Right: Ethical Considerations in Government Service

Hale Hawbecker, DOI Ethics Office Nancy Baumgartner, USGS Ethics Office

DOI Annual Business Conference, May 2006

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!

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….”

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 http://www.usoge.gov/pages/

laws_regs_fedreg_stats/lrfs_files/exeorders/eo12674.html

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

Contact an ethics counselor

Before action requiring ethics advice is undertaken (if possible)

E-mail 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

Shayla Simmons - Designated Agency Ethics Official (DAEO)

Hale Hawbecker - Alternate DAEO Matt Costello - Ethics Program Specialist Pam Miller - Financial Disclosure Specialist (202) 208-7960, http://www.doi.gov/ethics

DOI Ethics Office webpage

Bureau ethics counselors

BIA: [email protected] (405) 247-1518

BLM: [email protected] (202) 208-4695


BOR: Sheila Venson ([email protected]) (303)445-2662

MMS: [email protected] (703) 787-1401

OIG: Jim O’Sullivan James_O’[email protected] (202) 208-4356


NPS: [email protected] (202) 354-1981

FWS: [email protected] (703) 358-2230


OSM: Jim Bush [email protected]

(202) 208-2762 USGS: Nancy Baumgartner

[email protected] (703) 648-7474

FWS Ethics webpage

USGS Ethics Office webpage

Ethics discussion topics

Federal ethics statutes Conflicts of interest Impartiality concerns Gift acceptance Procurement Integrity

Outside employment Seeking employment Post-Government

employment Q & A

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


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)

Appearance of lack of impartiality

5 C.F.R. 2635.502 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

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.


18 U.S. Code § 209 No supplementation of Federal salary (Is it really “outside employment?)

18 U.S. Code § 219 No acting as agent for foreign principal

Penalties of up to 5 years in jail and $50,000 fine

Gift acceptance

What you can and can’t do…

Gifts from outside sources

5 C.F.R. 2635.203(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

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

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

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.

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.

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

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)

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. 2635.204

http://a257.g.akamaitech.net/7/257/2422/11feb20051500/edocket.access.gpo.gov/cfr_2005/janqtr/5cfr2635.204.htm

Questions? Consult your Ethics Counselor

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

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

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

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

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

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)

Outside Activities

5 C.F.R. 2635.801-809

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


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


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

“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)

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?

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”

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

Procurement Integrity

41 U.S.C. 423


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


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

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”

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)

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

Post-Government employment

Including seeking for employment…

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


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)


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

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


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


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

Comments, questions, concerns?

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

Documents

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