GSA Expo 2009 Ethics: Know the Rules of the Road Nicole Stein
Desk Officer/Office of Government Ethics
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RULE # 1 WHEN IN DOUBT, CONTACT YOUR ETHICS OFFICE
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Rule #2 STEER CLEAR OF CONFLICTS OF INTEREST
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18 U.S.C. 208 Prohibits Personal and substantial involvement:
in any particular matter in which employee or any person whose
interests are imputed to him has a financial interest if the
particular matter will have a direct and predictable effect on that
interest
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To prevent personal interests from affecting official actions
Purpose
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Scenario #1 Bill was the chief of Plans, Requirements, and
Acquisitions for a Federal agency. He was in charge of the
procurement of data processing equipment for a regional division of
his agency. Bill was also engaged in off-duty employment. He was a
partner in an information technology company, GeoKenn
Technology.
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Particular Matter Includes: Matters involving specific parties
(contracts, grants, litigation, etc.) Matters of general
applicability (regulations, policies, etc. that focus on the
interests of a discrete and identifiable class of persons)
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Personal Participation Directly, either individually or with
others Through direct and active supervision of others
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Substantial Participation Employees involvement is of
significance to the matter does not have to be determinative of the
outcome it involves the substantive merits of a matter even if
employees role may be minor in relation to the overall matter
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Substantial Participation Requires more than: official
responsibility knowledge perfunctory involvement administrative
involvement
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Financial Interest Potential for gain or loss as a result of
governmental action
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Imputed Financial Interests Spouse Minor child General partner
Organization, when employee is an officer, director, trustee,
general partner or employee Person or organization, when employee
is negotiating or has an arrangement for prospective
employment
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Tools for Identifying Conflicts of Interest
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Why File? Help employees avoid conflicts Protect the agencys
operations and reputation Promote public trust in Government
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Examine the disclosed interests in light of the filers duties
and determine whether there are any actual or potential conflicts
Reviewers Role
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Rule # 3 MAINTAIN IMPARTIALITY
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Are you working on a particular matter involving specific
parties that is likely to have an effect on the financial interest
of your household OR is a person whom you have a covered
relationship involved in a Government matter, either as a party or
a representative to the matter?
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IF SO, ask yourself. Would a reasonable person with knowledge
of the relevant facts question your impartiality if you
participated in the matter? If the answer is YES = STOP WORKING ON
THE MATTER
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Who do you have a covered relationship with?
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Covered Relationship Business, contractual or other financial
relationship
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Covered Relationship Member of household Close relative
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Covered Relationship Person whom the employees spouse, parent,
or dependent child serves or seeks to serve as an: Officer Director
Trustee General Partner Agent Attorney Consultant Contractor
Employee
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Covered Relationship Officer Director Trustee General Partner
Agent Attorney Consultant Contractor Employee Person the employee
served within the last year as an:
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Covered Relationship An organization where an employee is an
active participant
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Rule #4 KNOW HOW TO NAVIGATE THE GIFT RULES
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Gifts from prohibited sources or given because of official
position generally may not be accepted Contractors AND Contractor
personnel are prohibited sources May accept if excluded from
definition of gift (5 C.F.R. 2635.203(b)) May accept if exception
applies (5 C.F.R. 2635.204)
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Exclusions Modest food items and light beverage Greeting cards,
plaques, trophies Favorable rates and commercial discounts Market
Value Paid Exceptions $20/$50 rule Personal relationships Outside
business or employment relationship
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Scenario #2 Any employee of Agency X has been given a ticket to
the local production of Macbeth by an agency contractor. The face
value of the ticket is $18.00. May she accept the gift?
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Rule #5 BEWARE OF HOW YOUR USE YOUR OFFICIAL TITLE
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Use of Official Title EXCEPTION: You may use your official
title (and official stationery) only in response to a request for a
reference or recommendation for someone: You have dealt with in
Federal employment; or You are recommending for Federal
employment.
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Contractor Support Letters Not permitted: Endorsement for a
contractor to use as part of public relations or advertising
information Permitted: Factual statements that the contractors work
has satisfied the Governments requirements
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Rule #6 SLOW DOWN ON THE EXIT RAMP
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Seeking Employment 18 U.S.C 208 - Prohibits personal and
substantial participation in a particular matter in which a person
with whom you are negotiating for employment or have an arrangement
for future employment has a financial interest. 5 C.F.R 2635.604 -
Prohibits personal and substantial participation in a particular
matter that will have an effect on the financial interests of a
prospective employer with whom you are seeking employment.
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You are seeking employment when: You send a resume or contact
someone about possible employment A potential employer has
contacted you about possible employment and you do not immediately
and unequivocally reject You are engaged in actual negotiations for
employment
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Seeking Employment Ends After two months have elapsed since you
sent an unsolicited resume and the theres been no expression of
interest from the prospective employer; or Either side rejects the
possibility of employment and all discussions of possible
employment have ended.
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Rule #7 KEEP AN EYE ON THE REAR VIEW MIRROR
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Purpose Prevent switching sides Allow cooling off
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207 Bans Permanent, two years, or one year Length of ban based
on type of matter, employees involvement, and position with the
Government
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Post-Employment Restrictions Lifetime Ban 18 U.S.C. 207(a)(1)
Prohibits you from representing anyone before the government on a
particular matter involving specific parties in which you
participated personally and substantially. Two-Year Ban 18 U.S.C.
207(a)(2) Prohibits you for two years from representing anyone
before the government on a particular matter involving specific
parties which was pending under your official responsibility during
your last year of government service.
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One-Year Ban for Senior Employees Applies to Executive Level
officials and SES officials compensated above 86.5% of the annual
rate of basic pay for level II of the Executive Schedule Prohibits
you from representing anyone on any matters before your agency for
one year 18 U.S.C. 207(c)
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General Steps Proposed post-employment activities Employee
classification Possible prohibitions Analysis of proposed
activities Exception or waiver