ethics laws and regulations for the aga professional development conference

1. Ethics Laws and Regulationsfor the AGA Professional Development Conference Matt Parsons DOI Ethics Office

3. Philosophical foundation for rules @ 5 CFR 2635.101 Shortest & quickest resource Principle #1 Sets the tone: Public service is a public trust, requiring employees to place loyalty to: the Constitution, the laws, and ethical principles above private gain (yours or anyone else). Also covers: Protecting government information No Gifts Conserve government resources No discrimination (EEO) 14 Principles of Ethical Conduct

4. 18 USC 201-209 Collectively they stand for the principle that Federal employees owe a first duty of loyalty to the United States (fiduciary duty) 201 � Bribery 202 � Definitions 203 � Compensation for Outside Representation 204 � Practice before U.S. Courts by Members of Congress 205 � Representation in claims affecting the U.S. Government 206 � Exemption for Retired Military Officers 207 � Post-employment restrictions for Federal employees 208 � Financial Conflicts of Interest 209 � Supplementation of Federal employee�s salaries Ethics Statutes

5. 18 U.S.C. � 203 Compensation for Representational Activities Statute prohibits a Government employee from receiving or soliciting compensation for any representational services rendered before a Government agency in which the United States is a party or has an interest 18 U.S.C. � 205 Representational Activities Statute prohibits a Government employee from representing anyone else before a court or Government agency in a particular matter in which the United States is a party or has an interest. Statutes

6. 18 USC 207 Post-Employment Restrictions (also see 5 CFR 2641) Lifetime Restriction: If you participated personally and substantially in a particular matter involving specific parties you may not communicate on behalf of any entity back to the government on that same particular matter. Two Year Restriction: Any particular matter involving specific parties fell under your official responsibility during your last year of government service, you may not communicate on behalf of any entity back to the government on that same particular matter for two years after leaving government service. Senior Officials (2010 pay of $155,440.50 or above): One year ban on any communication or appearance back to agency or department where the senior employee worked during his last year of service. Very Senior Officials (Executive Schedule Level I): Two year ban on any communication or appearance before a person in an Executive Schedule position and any employee of the agency or department where the very senior employee worked during his last year of service. Statutes

7. 18 USC 208 (Financial) Conflict of Interest: Government employees are prohibited from participating in official Government capacity in any "particular matter" in which any of the following has a financial interest: The employee/The employee�s spouse/The employee�s child* The employee�s general business partner Any organization in which the employee is serving as an officer, trustee, partner or employee; or Any person or organization with whom the employee is negotiating for non-federal employment Also see 5 CFR 2635, Subpart D and 5 CFR 2640 Statutes

8. 5 CFR 2635, Subpart E Impartiality Rules Unless specifically authorized by appropriate officials, 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; or The employee knows that someone with whom the employee has a �covered relationship� is a party or represents a party in the particular matter; and A business partner A member of your household A close personal relation Your child�s employer Your former employer An organization in which you are an active participant The employee believes that a reasonable person with knowledge of all the relevant facts would question his/her impartiality in the matter. Regulations

9. 5 CFR 2635, Subpart B: Gifts from Outside Sources General Rule: You may not solicit or accept, directly or indirectly, a gift from a source outside the Federal government from a �prohibited sources� or when the gift is given because of your official position Prohibited Source: Any person or entity seeking official action by the Agency; Any person or entity who does business or wants to do business with the Agency; Any person or entity who conducts activities regulated by the Agency; Any person or entity who has interests which may be affected by your official duties; OR An organization a majority of whose members are described above. Regulations

10. 5 CFR 2635, Subpart B: Gifts from Outside Sources Gift defined as an item of monetary value, including any gratuity, favor, service, discount, entertainment, or hospitality. Not a gift: loans or discounts available to the general public greeting cards and plaques of little intrinsic value modest food or refreshments (e.g. coffee and donuts, not a meal) Regulations

11. 5 CFR 2635, Subpart B: Gifts from Outside Sources Exceptions: Unsolicited gifts from a prohibited source worth $20 or less per source & occasion ($50 max per year)�never in cash. Gifts based on personal relationship (family/friend) �Widely Attended Gatherings� Discounts and similar benefits Awards and Honorary Degrees Gifts based on outside business relationships Gifts in connection with political activity permitted by Hatch Act Social invitations from persons other than a prohibited source Regulations

12. Department or Agency Specific Regulations: Virtually every department or agency has some supplemental rules that govern ethics (examples): Prohibited Interests � What you can�t own Outside employment - Permission for an outside job How to accept gifts of travel under 31 USC 1353 Implementation of gift exceptions such as WAGs � how to qualify Regulations

13. Hatch Act: 5 USC 7321-7326 + 5 CFR 734 The Hatch Act applies to all executive branch employees (except the President and Vice President) Not all employees are covered by the same restrictions. Both position and agency can impact the rules, so be careful not to assume that because another employee can do something, you can too. Political activity=an activity directed toward the success or failure of a political party, candidate for a political office, partisan political group Political Activities

14. May not use official authority or influence to interfere with or affect the result of an election May not solicit, accept, or received a political contribution May not engage in political activity while on duty, in a Federal office, or while wearing an official uniform Run for nomination or as a candidate for partisan political office Restrictions for All Employees

15. Solicit or discourage participation in political activity by any person who has business pending before a your agency Intimidate, threaten, or command any Federal employee to engage or not engage in political activity Restrictions for All Employees

16. Additional restrictions apply to: Career SES employees and most administrative law judges Employees in selected agencies: Regulation of Elections National Security Law Enforcement Additional Restrictions

17. May not take an active part in partisan political management or partisan political campaigns May not serve as an officer of a political party at the national, state, or local level May not organize a political organization or club May not serve as a delegate or alternate to a political party convention May not address a convention, rally, or caucus for or against a partisan candidate as part of a candidacy, party, or partisan group Additional Restrictions

18. May not solicit votes for a partisan political candidate May endorse or oppose a partisan candidate in a political advertisement, broadcast, or campaign literature May not circulate a candidate nominating petition May not serve as a poll watcher on behalf of a political party May not drive voters to the polls for a partisan candidate or political party May not undertake partisan campaign work Additional Restrictions

19. Register and vote Make financial contributions to parties or candidates (but not on duty or using government equipment) Express opinions on political subjects Wear campaign buttons (but not on duty or in a government building) Display bumper stickers on private vehicles Sign a nominating petition Take active part in support of a candidate in a non-partisan race What Can All Employees Do?

20. Very high level employees such as non-career SES and political appointees are subject to separate rules that allow slightly greater involvement in a few types of partisan political activities In specifically designated localities where the majority of voters are Federal employees some rules are relaxed to facilitate the local electoral process (5 CFR 733) Also beware of agency specific rules Political Activities

21. Questions Matt Parsons DOI Ethics Office 303-231-5353 ext 445