1 / 50

Wendy A. Hocking Chief Counsel, Ethics and Federal Requirements USPS Law Department July 2002 -- Raleigh, NC

Government Ethics Training * for Information Technology - or - * Everything you always wanted to know about government ethics but were afraid to ask because you knew you’d get a very, very long answer beginning with “It depends…”. Wendy A. Hocking Chief Counsel, Ethics and Federal Requirements

jana
Download Presentation

Wendy A. Hocking Chief Counsel, Ethics and Federal Requirements USPS Law Department July 2002 -- Raleigh, NC

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. Government Ethics Training* for Information Technology- or -*Everything you always wanted to know about government ethics but were afraid to ask because you knew you’d get a very, very long answer beginning with “It depends…” Wendy A. Hocking Chief Counsel, Ethics and Federal Requirements USPS Law Department July 2002 -- Raleigh, NC

  2. ETHICS VS. GOVERNMENT ETHICS Personal ethics: • “Gut feelings” • Morals and values Government ethics: • Rules and regulations • Not intuitive • Develop radar for ethics issues • Use available resources

  3. GENERAL PRINCIPLES Employee conduct is governed by: • Standards of Ethical Conduct (www.usoge.gov/pages/laws_regs_fedreg_stats/oge_regs/5cfr2635.html) • Supplemental USPS Conduct Regulation (www.access.gpo.gov/nara/cfr/waisidx_00/5cfr7001_00.html) • Other Statutes, Regulations, Policies, Directives, Management Instructions

  4. GENERAL PRINCIPLES Training objectives: • Help you conduct postal business w/o personal risk • Protect you AND the Postal Service • Help you to identify potential ethics issues in your work • Familiarize you with ethics contacts • Satisfy annual training requirements for financial disclosure report filers

  5. TOPICS TO COVER -- 1st hour • Misuse of Position (Time, Property, Nonpublic Information) • Impartiality and Appearances • Gifts from Outside Sources • Gifts Between Employees • Fundraising

  6. TOPICS TO COVER -- 2nd hour • Financial Conflicts of Interest • Concurrent Outside Employment • Seeking and Negotiating for Employment • Post-Employment Prohibitions

  7. TAKE-AWAYS • Rules promote “public service is a public trust” concept • Private sector business courtesies can create problems for public sector employees • Appearances count; even if it only APPEARS improper, the damage may already be done • Don’t guess. If you have a question or need guidance, ASK AN ETHICS ADVISOR

  8. MISUSE OF POSITION 1. Use of public office for private gain 2. Use of nonpublic information 3. Use of government property 4. Use of official time

  9. MISUSE OF POSITION Underlying principles: • Make proper use of official authority, time and resources • Safeguard information and resources to which you have access because of your postal position • We are accountable to the public and our ratepayers

  10. 1. USE OF PUBLIC OFFICE FOR PRIVATE GAIN Using your postal position to: • Try to get special benefits for yourself or others • Endorse private products, services, individuals, companies • Perform official duties in a way that is advantageous to a private interest -- yours or another’s

  11. 2. USE OF NONPUBLIC INFORMATION Use nonpublic information only in connection with official postal business. • If you don’t know whether information is public, assume it isn’t • Can lead to tipping and insider trading problems • Confidentiality & “need to know”

  12. 3. USE OF GOVERNMENT PROPERTY • Equipment and services are provided for official business purposes • Limited Personal Use of Office Equipment(EL-660-2000-5) • Even under the MI, proper authorization still required by your manager, office policy

  13. 4. USE OF OFFICIAL TIME It’s a misuse of official time to: • Conduct personal business during work hours • Conduct non-postal business during work hours • Ask a subordinate to perform personal or non-postal tasks for you during work hours

  14. “MISUSE” SITUATIONS TO CONSIDER • Playing computer games in the office • Surfing the internet re: vacation plans • Making copies of your income tax forms • Scheduling a doctor’s appointment • A subordinate picks up a sandwich for you • Phoning your child to make sure she got home from school and is doing homework

  15. DEFINITE MISUSE SITUATIONS • Asking for or accepting a special restaurant discount because you work for USPS • Directing staff to make personal travel arrangements for you and your family • Using your office time or equipment to conduct Amway or Avon business • Printing 500 flyers for local Little League team • Writing a recommendation on postal letterhead for a neighbor’s grandchild

  16. IMPARTIALITY AND APPEARANCES • Postal employees must treat customers, contractors, vendors, and others, fairly and impartially • Employees should strive to avoid appearances of impropriety • Think of it as a question of fairness. Ask: “Could a reasonable person legitimately question the fairness of my actions in this matter?”

  17. IMPARTIALITY AND APPEARANCES Treat friends, neighbors, relatives, and former employees who want to do business with us (including becoming employed by us) just as you would any other member of the public: • They must follow established procedure for obtaining postal information, scheduling meetings, submitting proposals. • They are not entitled to (nor may you provide, or request on their behalf) special treatment.

  18. IMPARTIALITY AND APPEARANCES • Stick to standard processes and procedures for dealing with the public, customers, partners, vendors • Use the “News & Observer” test • Think about how you’d feel explaining the situation to your boss, your VP, your colleagues, your mother or child, the PMG, the IG, a congressional committee...

  19. GIFTS FROM OUTSIDE SOURCES General rule: A postal employee may not accept gifts from prohibited sources, or those given because of the employee’s official position. (Some exclusions and exceptions apply in certain situations…)

  20. GIFTS FROM OUTSIDE SOURCES What is a gift? Almost anything of monetary value. • MEALS  EVENT TICKETS • PARTIES, RECEPTIONS  MERCHANDISE • TRANSPORTATION  CASH • LODGING  APPAREL

  21. GIFTS FROM OUTSIDE SOURCES What or who is an outside (“prohibited”) source? Persons or organizations: • Doing business w/USPS • Seeking to do business w/USPS • Seeking official action by USPS • Regulated by USPS • Affected by employee’s duties

  22. GIFTS FROM OUTSIDE SOURCES What things are NOT gifts*? • Modest refreshments (not offered as a meal) • “Presentation” items (mugs, plaques, pens) • Items for which YOU paid market value with personal funds • Prizes in public contests • Frequent Flyer Miles (but some free tickets are POSTAL property...) *(“exclusions”)

  23. GIFTS FROM OUTSIDE SOURCES MORE things that are not gifts: • Items paid for by and received from the Postal Service (conference items, spot awards, departmental apparel, etc.) HOWEVER… merchandise that the Postal Service receives because of a postal contract or purchase is POSTAL PROPERTY; you may not keep it for personal use.

  24. GIFTS FROM OUTSIDE SOURCES EXCEPTIONS to the gifts from outside sources rule: • Personal relationship (almost always) • $20 or less value/$50 per source per year (the “$20 exception”) • Perishable items, if shared with office (fruit baskets, flowers, etc.) • Registration fee, if speaking or presenting at the event Certain awards and honorary degrees • Travel/entertainment for employment talks (beware conflicts!)

  25. GIFTS FROM OUTSIDE SOURCES Exceptions may not be used to accept gifts: • Intended to influence you, or given because of your official position • Too frequently (public office/private gain) • If acceptance would violate a postal policy, instruction or directive • of CASH, in any amount (“$20” d/n apply) • That were solicited/coerced

  26. GIFTS FROM OUTSIDE SOURCES Another exception: WIDELY-ATTENDED GATHERINGS • Special criteria must be met • Requires a written determination of agency interest in your attendance (contact an ethics official)

  27. GIFTS FROM OUTSIDE SOURCES THREE LITTLE WORDS THAT NEVER GOT ANYONE IN TROUBLE: “No, thank you.”

  28. GIFTS BETWEEN EMPLOYEES Generally… • This rule not applicable to “peer” gift-giving • Does not permit accepting gifts from subordinates (some exceptions) • Does not permit accepting gifts from employees who earn less than you do, unless giving is entirely motivated by a personal relationship (some exceptions) GIFT: Almost anything of monetary value.

  29. GIFTS BETWEEN EMPLOYEES EXCEPTIONS In connection with “regularly-occurring occasions,” these gifts are permissible: • items worth $10 or less ($10 limit even if funds are “pooled”) • Food/refreshments shared in office • Hospitality at residence • Host/Hostess gifts • Leave-sharing (see regulations)

  30. GIFTS BETWEEN EMPLOYEES EXCEPTIONS In connection with “special infrequent occasions” such as: • Marriage • Birth or adoption • Serious illness • Termination of superior/subordinate relationship There is no $10 limit, but: • Gift should be “appropriate to the occasion” • Contributions to office party/group gift okay, but: • must be voluntary • may only suggest, not require, an amount

  31. GIFTS BETWEEN EMPLOYEES Also keep in mind that gifts YOU give to subordinates: • May be permissible but inappropriate • Can look like sexual harassment • Can look like favoritism • Can cause morale problems

  32. FUNDRAISING What is fundraising? Soliciting for funds or donations, selling food or other items, and promoting events for charitable causes.

  33. FUNDRAISING Federal regulations prohibit: • Conducting any non-CFC fundraising in the workplace (5 C.F.R. Part 950) • Participating in any non-CFC fundraising in your official capacity, except in accordance with the USPS Community Services Policy (ASM 333.7)

  34. FUNDRAISING • Fundraising unrelated to CFC is not allowed in any postal facility or postal workplace • Collections of “gifts-in-kind” are permissible, if in compliance with POM requirements • Using your official title or the authority of your position in connection with fundraising is impermissible

  35. FUNDRAISING Impermissible activities in the postal workplace: • Taking Girl Scout cookie orders • Soliciting contributions for a church group • Using email and putting up posters to promote a benefit for a friend, relative, co-worker, or neighbor who lost a loved one in the terrorist attacks Check out the Community Services Policy to see if the activity might be appropriate to receive postal resources

  36. COMMUNITY SERVICE ACTIVITIES AND SPONSORSHIP Through the Community Service Activities Policy (CSAP), employees may seek authorization to: • Organize a group of postal employees to participate in an event • Obtain the use of postal resources to further a community activity (ex: payment of entry fees, complimentary use of postal equipment) ONLY A VICE PRESIDENT CAN APPROVE EMPLOYEE REQUESTS UNDER CSAP (ASM 333.7)

  37. CONFLICTING FINANCIAL INTERESTS Criminal statute: 18 U.S.C. § 208 Standards of Ethical Conduct: 5 C.F.R. Part 2635.401 You may not act in your official capacity on anything in which you have a personal financial interest.

  38. OTHERS WHOSE INTERESTS ARE IMPUTED TO YOU You also may not act on postal matters in which: • your spouse • your minor children • your prospective employer(s) • your general partner • a person for whom you are a trustee • an organization you serve as officer, director, or employee has an interest.

  39. EXAMPLES OF POSSIBLE CONFLICTS: • Negotiating for future employment (“seeking employment”) • Stock ownership in vendor or alliance co. (certain OGE exceptions) • Spouse employed by contractors • Supervising your spouse • Outside concurrent employment or activities (whether or not you are paid) • Serving in your official capacity on Board of non-profit, non-federal organization

  40. OPTIONS FOR RESOLUTION OF A CONFLICT: • Disqualification or Recusal • Simple non-participation • Notify supervisor • Should seek written advice • Waiver Must obtain from ethics official • Divestiture Seek advice from ethics official -- tax consequences!

  41. OUTSIDE CONCURRENT EMPLOYMENT & ACTIVITIES Conflicts of interest may arise in situations involving your employment or activities outside of the USPS. That’s why some outside work is prohibited, or requires pre-approval. 5 CFR §7001 blue.usps.gov/uspslaw/Headquarters/Civil/EthicsInfo/advisors.htm

  42. OUTSIDE CONCURRENT EMPLOYMENT & ACTIVITIES Postal employees may not, concurrent with their postal employment, be employed by: • Those who deliver mailable matter OUTSIDE the mails (UPS, FedEx, DHL, Airborne, etc.) • Commercial Mail Receiving Agencies; • Uniform or other manufacturers whose products are required by USPS for use by its employees or customers; • Others specified in 5 C.F.R. § 7001.

  43. OUTSIDE CONCURRENT EMPLOYMENT & ACTIVITIES Postal employees must seek prior approval before engaging in outside employment or activities with or for: • Any person with whom the employee has official dealings on behalf of the USPS • Any person, including oneself, whose interests are substantially dependent upon • (or potentially affected to a significant degree by) postal rates, fees, or classification, or • providing goods or services to or for use in connection with the Postal Service.

  44. SEEKING OTHER EMPLOYMENT In connection with looking for a job to replace your postal position, there is: • No prohibition against job searches • No list of “prohibited companies,” BUT... • If your current official duties involve the prospective employer, beware of a conflict of interest (18 USC § 208) LANDMINES: The most obvious and natural potential employers are the most dangerous

  45. SEEKING EMPLOYMENT WHY? • You have a financial interest in a prospective employer (18 USC § 208) • You may not work on matters in which you have a financial interest SO -- be VERY careful discussing future employment with companies that are affected (directly or indirectly) by your postal duties. The door is open if you say anything other than: “Thanks, but I’m not interested.” Talk to an ethics official about other options.

  46. POST-EMPLOYMENT LAW: 18 U.S.C. § 207 The post-employment law: • DOES NOT prohibit former employees from working for specific companies • DOES NOT prohibit former employees from working behind the scenes on any postal matter • DOES restrict former employees’ “communications with and appearances before” current postal employees on behalf of a third party if intent is to influence postal action

  47. POST-EMPLOYMENT RESTRICTIONS Four types of bars regarding former postal employee’s communications with current postal employees 1. Permanent or Lifetime Bar* • On particular matters involving specific parties • If employee participated personally and substantially • “Lifetime” refers to matter, not to you 2. Two-Year Bar* • On particular matters involving a specific party • If under employee’s responsibility • During last year at USPS *These apply to all postal employees

  48. POST-EMPLOYMENT RESTRICTIONS 3. One-Year “Cooling Off” Bar • Applies only to “Senior” ($130,000 in CY2002) or “Very Senior” employees • Regarding seeking to influence postal action • On behalf of a third party, in ANY matter 4. One-Year VERY SENIOR ONLY Bar • “Very Senior” employees ($166,700 in CY2002) • Regarding seeking to influence USPS, or certain high level officials at other agencies, in official matters • No representation of foreign govts or political parties • Before any U.S. department or agency • With intent to influence a decision • No aiding or advising with intent to influence a decision

  49. OBLIGATION TO REPORT Federal regulations require all government employees -- including postal employees -- to disclose waste, fraud, abuse, and corruption to appropriate authorities. 5 CFR § 2635.101(b)(11) To report a suspected violation, please contact the Postal Inspection Service or USPS Office of Inspector General

  50. CONCLUSION • Compliance with the ethics laws is your personal and professional responsibility, but we are here to help! • Ethics Helpline: 202-268-6346 • Ethics e-mail: “GC ETHICS INQUIRY” or gethics@email.usps.gov

More Related