Transcript ETHICS FOR Soon-to-be FEDERAL EXECUTIVES

ETHICS FOR Soon-to-be FEDERAL
EXECUTIVES
TRUE TITLE
GOVERNMENT ETHICS IS NOT JUST
ABOUT OXYMORONS.
What’ll We Cover?
• Professional Culture
• Rules
• OE Role
ETHICS as part of a
FEDERAL PROFESSIONAL CULTURE
• Way of performing your job
ETHICS as part of a
FEDERAL PROFESSIONAL CULTURE
• Way of performing your job:
• Legally
ETHICS as part of a
FEDERAL PROFESSIONAL CULTURE
• Way of performing your job:
• Legally
• Efficiently & Effectively
ETHICS as part of a
FEDERAL PROFESSIONAL CULTURE
• Way of performing your job:
• Legally
• Efficiently & Effectively
while
• Avoiding appearances of bias.
What Do We Mean By
Government Ethics?
• Rules
• employee conduct
• Intersection of :
–official duties &
–personal interests.
Assumptions Underlying Government Ethics
1. Temptation to misuse one’s public authority
2. Impact of private interests on public policy
3. Need to use appropriated funds only for
purposes set forth by Congress.
Government Ethics History
1.
2.
3.
4.
5.
6.
7.
8.
9.
Aristotle’s Ethics—Public Virtue Man as a civic being.
Magna Carta & Revolution of 1690. Public/Private Sectors.
South Seas Bubble. New money. Investment/speculation.
U.S. Constitution. Sovereign accountable to the people.
Jacksonian Revolution. Spoils System ends aristocratic code.
Industrial Revolution, Railroads & Emigration. Graft is King.
Civil War Procurement Scandals. Criminal conflict laws.
Pendleton Act of 1883. Competence as insuring integrity.
Woodrow Wilson. Competence & Neutrality in public
service.
10.World War I. Carnegie Trust & “Dollar/year Men.”
11.Hatch Act of 1939.
12.Watergate—Investment Tracking and IG Act.
13.OGE—Regulatory enforcment and ethics program.
WE’RE NOT ALONE OUT THERE.
Personal
Liability
Government
Liability
Appropriations
Laws & Rules
Ethics
Other Statutes &
Regulations:
FGDA , Hatch
FMIA ,DRs
HR/EEO Rules
Procurement
Travel
Gov. Property
Rules
Decisionmaking Considerations
•
•
•
•
•
•
Agency’s Mission
Within Appropriations
Scope of Employment
Lawful
Exposure to Liability
Appear Impartial and Ethical
– To: Public Media Congress
Decisionmaking Considerations II
• Mission: We do what Congress tells us to do.
• Appropriations:
– With the money it gives us to do it
– Under the rules it sets for its use
– Using the employees hired to do that job
• Scope of Employment: Acting :
– Within the limits of their authority
– Efficiently and effectively
• Lawfully:
• Liability: Acting responsibly & Mindful of liabilities
• Appearances:
– Solely focused on the public interest
– In a manner seen as fair and impartial.
SHEEHAN’S SIMPLE RULE OF
THUMB
Worst Media Enemy Test
And NOW [drumroll] . . .
THE RULES
And NOW [drumroll] . . .
THE RULES
But First . . .
A Little Bit About the Rules
• Compliance-based
• Objective Standard
• Emphasis: training & disclosure
ETHICS GUIDELINES
19th Century Criminal Statutes
•Bribery, 18 U.S.C. 201
•Conflict Statutes, 18 U.S.C. 202-209
20th Century Implementing Regulations
•14 Principles
•Standards of Ethical Conduct
•USDA Supplement
14 Principles –The High Ground
1.
Loyalty to Constitution .
8.
Act impartially.
2.
Conflicting financial interests.
9.
Protect/conserve federal property.
3.
Nonpublic information .
10. Outside employment or activities.
4.
Gifts from “prohibited sources.”
11. Waste, fraud, abuse.
5.
Honest effort.
12. Financial obligations.
6.
Unauthorized commitments.
13. Equal opportunity.
7.
Public office for private gain.
14. No appearances.
Criminal Code – Title 18 U.S. Code
§ 201 - Bribery & Illegal Gratuities—Specific Intent
§ 203 & 205 – Representation before Government
§ 207 - Post Employment Restrictions
§ 208 - Financial Conflicts of Interest
§ 209 - Supplementation of Salary
Standards of Ethical Conduct
• Appearance-based
• Non-criminal. Administrative Enforcement
• Covers:
– Gifts
– Conflicting interests/Impartiality
– Negotiating for Employment
– Misuse of Position
– Outside Activities
• Fundraising
• Teaching, Speaking & Writing
• Expert Testimony
USDA Supplement
•5 CFR 8301
•Covers:
–Prior Approval for Outside Employment
–Specific FSA Prohibitions:
How the Laws and Rules Interrelate
14 Ethical
Principles
Bribery
Conflict Laws
Standards & Supplement
Some Excuses That Don’t Work?
•Hey, I’m an ethical guy. Just ask my friends.
•It was a win: win.
•It was a nice thing to do. Good PR for the Agency.
•Hey, I even lost money on the deal.
•We used to do that all the time in the private sector.
•Well, . . . I didn’t know it was illegal.
•I’d NEVER sell out my government.
•I did it last year and didn’t get in trouble.
This is why I became a Fed!!!
“WALLET-PADDING”
The Good Stuff folks give you for being a Fed.
BRIBERY
“Good ol’ Hard Core Graft”
•CORRUPT INTENT.
•Just say “no” to quid pro quo.
Gifts from Outside Sources
•“Prohibited sources”
•Official position
•$20/$50 rule
•Friends & Family
•Group discounts
•Awards/degrees
•Conferences & Gatherings
Gifts Between Employees
• None to a superior
• None from one who makes less than you.
• Exceptions:
– $10 rule
– Food
– Hospitality
– Special, infrequent occasions
• Significant life events
• Terminating superior/subordinate status.
ADDITIONAL STUFF
• Foreign Gifts
• Federal Meat Inspection Act
• Farm Loan Gifts
• GIFTS TO THE GOVERNMENT
– See Travel costs
– Partnering Efforts
SUPPLEMENTING SALARY
• Honoraria for official speeches
• Compensated Leaves of absence
•“Golden parachutes” AFTER appointment.
ETHICAL FILL IN THE BLANKS
Why am I the lucky re_________?
“Nobody gives ya nothin’ fer __________’!!”
If it seems to good to be true , ___________.
That’s why companies have expense ___________!!!!
“Influence-Peddling”
Illegal Representation, Illegal Lobbying
Congress & General Misuse of Position
Representational Activities
18 U.S.C. 203 & 205
205 – Representing another before Federal agency
or Court if US has an interest. Paid or not.
203 – Getting paid to assist representational firm
behind-the-scenes in the above case.
Misusing Public Office
for Private Gain
5 CFR Part 2635, Subpart G
• Leveraging
• Endorsements
• Job References
• Non-public (insider) information.
• Gov’t time, personnel, equipment.
Lobbying Congress
You knew there was a catch.
Lobby on your own time &
dime!
Conduct official lobbying
through official channels.
18 USC 1913.
Expert Testimony
•IF
•Federal court/agency
•U.S. has an interest
YOU CANNOT:
•Only for U.S.
•Agency permission.
•Paid or Unpaid.
•Contact OGC and OE.
. . . In my humble opinion . . .
“Self-Dealing”
“I only practice honest graft.”
Sen. George Washington
Plunkitt of Tammany Hall
(1905)
CONFLICTING FINANCIAL INTERESTS
•Official action
•Particular matters
•Affecting
•Your financial interests
Imputed to you:
•Spouse; minor child; general partners;
•Fiduciary [officer, director, trustee] & employment relationships;
•Negotiating for outside employment.
Impartiality 5 CFR 2635.502
•Official action
•Particular matters involving specific parties.
•Affecting Personal interests of:
•Household members
•Close relatives;
•Fiduciary/employment relationships of:
Spouse, parent, dependent;
•Your employers within the past year (maybe 2);
•Organizations in which you participate actively; or
. . . And did we mention
Using Public Office for Private Gain
5 CFR Part 2635, Subpart G
NO other FAVORITISM.
Just in case we missed someone.
“I only practice honest graft.”
SELF-DEALING GRAPH
Misuse of Position
Appearance of Loss
of Impartiality
Financial Conflict
Of Interest
Political Activity
Political Activity
Hatch Act Reform Amendments Act of 1993
• Liberalized rules
• Partisan Political Activity
• Personal Time & Dime
• For Most Federal employees
BUT NOT YOU!!!
Career SES, ALJs, OIG and CBA Members
• Non-Partisan
ONLY
You’ve been HATCHED!! Yoke’s on you.
OTHERS CAN
Volunteer
Get Involved in
Party Activities
Campaign
Actively
Not You
OTHERS CAN
Serve as:
Party Officer
Endorse &
Influence
Others
Serve as:
Committee
Chair
Act as
Credential
Checker/
Challenger
Not You
You Can
Express Opinions
Join a Party
You Can
Join in Non-partisan
“Get Out The Vote” Drives
Contribute $$$$
You Can
Vote
Simply Attend meetings,
conventions & events
Feel the excitement!!!!
e-political TROUBLE
OUTSIDE ACTIVITIES
Prior Agency Approval of
OUTSIDE EMPLOYMENT
•ALL USDA Filers.
•Compensation
•Unpaid fiduciary service for for-profit entity.
•Unpaid service as consultant, professional,
expert witness or attorney to anyone.
•Added rules for FSA, FSIS, OGC and OIG.
•Added rules for RD in works.
TEACHING, SPEAKING &
WRITING
Compensation
“Speak, Spotless!
Speak!
And don’t forget the
honorarium”
Relates substantially
Nonpublic Information
Fundraising
Official Capacity
–CFC is it!!
Personal Capacity
-Subordinates
-Prohibited sources
-Misuse of title/resources
Appropriated Funds
•
•
•
•
Lobbying Congress. Discussed
Motor Vehicles
Penalty Mail
Office Equipment & “Permissive Use.”
–Not for profit; not for porn.
APPROPRIATED FUNDS
Federal Anti-deficiency Act.
• Payments/commitments
• Not enough money in the “bank“
• Congressional appropriation.
• Sanctions: Administrative and penal.
APPROPRIATED FUNDS
• Improper Augmentation—Gifts to Agency.
–Congress
–No augmentation without authority.
Federal Travel
• Non-federal sources
(31 USC 1353)
• First Class/Business Class
• Frequent Flyer Credits
Going so soon?
• 31 USC 1353: Meetings or conferences out of town.
• DR-5200-3: Operational trips.
• 5 USC 4111: Education & Training.
• Foreign Gifts & Decorations Act.
• Cooperative Agreement/MOU.
Frequent Flyer/Corporate Jets
• FREQUENT FLIER MILES: Can accept.
• CORPORATE JETS & TRAVEL -- NO:
• Corporate jets.
• Paid by regulated entity.
• Charter flights UNLESS:
– NOT provided by Prohibited source;
– Flight from point A-B & no commercial flights; and
– USDA CAN reimburse the provider.
WORKING WITH PARTNERS
• THEY ARE NOT US
• WE ARE NOT THEM
• Mistakes have ramifications.
What Do They Want?
• Putting Us on Boards of Directors:
1.
2.
3.
4.
5.
Inside USDA information
Agency Capture
Deep Pocket for Liability
Use of Taxpayer $$ to Cover their expenses
Cheap labor
• Trade/Business Groups Boards of Advisors:
1. USDA to advise them how to Market ---USDA.
2. Inside USDA information
3. Inside Track to USDA.
What To Do?
• Requests made to employee’s supervisor.
• Agency enters written agreement.
• Employee receives written assignment
setting out authority and limitations [copy
to entity].
POST-EMPLOYMENT REPRESENTATION.
18 U.S.C. § 207
I am soooo outta here.
Seeking Employment –
18 U.S.C. 208 & OGE Standards Subpart F
• Financial interest in the prospective employer.
• Disqualify.
• Notify/memorialize.
• Substantial Conflict – Leave, LWOP, firing.
Post Employment Restrictions
18 U.S.C. 207(c)
1-year “Cooling-Off” Period
•$148,953+
•Represent Another
•Before Anyone in USDA
•Matter of Interest to USDA
Post Employment Restrictions
18 U.S.C. 207(a)(1) & (a)(2)
•
•
•
•
Representing
Federal agency or court.
Particular matter involving specific parties.
If you:
– Personally & substantially participated in it
during career. Lifetime bar on representing.
– Had it under your official responsibility in your
last year. 2-year bar on representing.
You Must Publicly Disclose
FUNZ OVER!!!
NO MORE OGE FORM 450
YOU GET THE BIG ONE
SF 278--$200 fee for late
Filing. May 15.
OE Role
• DAEO
• OE/OGE
Reorganized USDA Ethics Program
USDA Office of Ethics
Headquarters
Serves: Non-career staff, DA, OCFO,FAS, RMA
Science Ethics Branch
Serves: REE & science communities at USFS, NRCS & APHIS
Farm, Conservation & Rural Programs Branch
Serves: FSA, NRCS, RD
Marketing, Regulatory & Nutrition Branch
Serves: FSIS, MRP & FNS
Forestry Programs Branch
Serves: USFS