Transcript Government Ethics Training for Information Technology [07/02]

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
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
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
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
TOPICS TO COVER -- 1st hour
 Misuse
of Position (Time,
Property, Nonpublic
Information)
 Impartiality and Appearances
 Gifts from Outside Sources
 Gifts Between Employees
 Fundraising
TOPICS TO COVER -- 2nd hour
 Financial
Conflicts of Interest
 Concurrent Outside
Employment
 Seeking and Negotiating for
Employment
 Post-Employment
Prohibitions
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

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
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
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
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”
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
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
“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
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
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?”
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.
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...
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…)
GIFTS FROM OUTSIDE SOURCES
What is a gift?
Almost anything of
monetary value.




MEALS
PARTIES, RECEPTIONS
TRANSPORTATION
LODGING

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EVENT TICKETS
MERCHANDISE
CASH
APPAREL
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
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”)
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.
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!)
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
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)
GIFTS FROM OUTSIDE SOURCES
THREE LITTLE WORDS
THAT NEVER GOT ANYONE
IN TROUBLE:
“No, thank you.”
GIFTS BETWEEN EMPLOYEES
Generally…
This rule not applicable to “peer” giftgiving
 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.
GIFTS BETWEEN EMPLOYEES
EXCEPTIONS
In connection with “regularlyoccurring 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)

GIFTS BETWEEN EMPLOYEES
EXCEPTIONS
In connection with “special infrequent
occasions” such as:

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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
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
FUNDRAISING
What is fundraising?
Soliciting for funds or
donations, selling food or
other items, and
promoting events for
charitable causes.
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)
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
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, coworker, 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
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)
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.
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.
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
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!
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 preapproval.
5 CFR §7001
blue.usps.gov/uspslaw/Headquarters/Civil/EthicsInfo/advisors.htm
OUTSIDE CONCURRENT EMPLOYMENT & ACTIVITIES
Postal employees may not,
concurrent with their postal
employment, be employed by:

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
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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.
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.
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
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.
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
POST-EMPLOYMENT RESTRICTIONS
Four types of bars regarding former postal employee’s
communications with current postal employees
1.
Permanent or Lifetime Bar*


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2.
On particular matters involving specific parties
If employee participated personally and
substantially
“Lifetime” refers to matter, not to you
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
POST-EMPLOYMENT RESTRICTIONS
One-Year “Cooling Off” Bar
3.



4.
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
One-Year VERY SENIOR ONLY Bar
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“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
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
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
[email protected]
