Transcript Ethics & Management Issues - AZ1-DMAT

FEMA Ethics Guidance For
NDMS Personnel
“Public Service
is a
Public Trust”
Ethics Contacts
Paul Conrad,
Deputy Ethics
Counsel
(202) 646-4025
Alternate Deputy
Ethics Counsel:
Ed Broyles
(202) 646-3961
Leigh Hoburg
(202) 646-7396
Robert Brock,
Associate General
Counsel (General Law)
(202) 646-4025
Field Counsel
NDMS Team Members Are
Special!
• NDMS Team Members are Special (Federal)
Government Employees subject to federal ethics
rules and federal law (with some specific
exceptions), whether activated or not.
• What are “Special Government Employees”?
They are federal employees specified by 18 U.S.
Code Section 202(a), who are retained,
designated, appointed, or employed to perform
temporary duties either on a full-time or
intermittent basis, with or without compensation,
for a period not to exceed 130 days during any
consecutive 365-day period. 5 CFR 1635.102(l).
Financial Conflicts of Interest
• 18 U.S.C. § 208- Criminal conflict of interest
statute.
• You may not participate as a Government official
in a matter that will have a direct and predictable
effect on your financial interests, or the financial
interests of your spouse, minor children, general
partners, outside employers, or prospective
employers.
Examples of a Financial Conflict
• An NDMS employee participates in the
decision to award a contract for medical
equipment storage and awards the contract
to a company owned in part by his wife.
• A FEMA employee initiates postgovernment employment negotiations with
a current FEMA contractor or grantee
Resolving a Financial Conflict
• Disqualification
• Regulatory Exemptions for Publicly-Traded
Securities, Diversified Mutual Funds,
Pensions
• Waiver
• Divestiture – Certificate of Divestiture may
be available.
The Appearance of Bias
• 5 C.F.R. § 2635.502
• You may not participate in a particular matter
involving specific parties if:
1. the outcome will have a direct and predictable
effect on the financial interest of a member of your
household, or
2. if you have a “covered relationship” with one of
the parties, or a representative of one of the
parties,
and a reasonable person would question your
impartiality.
Covered Relationships
• Members of your household
• Close family members
• Someone with whom you seek a business
relationship
• A person with whom your spouse, parent, or
dependent child is serving or seeks to serve as an
officer, director, agent, consultant, or employee
• A non-Federal employer for whom you worked
within the last year
Example of An Appearance of
Loss of Impartiality
• An NDMS employee participates in the decision
to award a contract to a medical equipment
company where his uncle is the regional sales
manager for his area.
• An NDMS employee takes part-time employment
with an FEMA contractor, and the NDMS
employee evaluates the FEMA contractor’s
performance as part of their NDMS duties.
Authorization Standard under
5 C.F.R. § 2635.502
• If the FEMA Deputy Ethics Official
determines that the interest of the
Government outweighs appearance
concerns, an employee may be authorized to
participate in a matter covered by the
impartiality regulations.
Financial Disclosure Reports
• Financial Disclosure reports may be required to determine
potential financial conflicts of interest between a filer’s
official duties and their private interests and affiliations.
• NDMS employees must submit a completed new entrant
OGE Form 450 (confidential financial disclosure report)
within 30 days of their start date, and annually thereafter
upon their reappointment, as designated by their NDMS
supervisor, e.g., individuals who are involved in
contracting, purchasing supplies, and other activities
having a substantial economic effect on non-Federal
entities (e.g., DMAT team leaders).
• .
Representation Before the Government –
18 U.S.C. §§ 203 & 205
• You may not, in your personal capacity,
represent another before DHS or FEMA or
court, with the intent to influence
Government action, on any particular matter
in which the U.S. is a party or has a direct
and substantial interest, either for free or for
compensation ( provided you have served
with the agency for at least 60 days for the
preceding 365 days).
Gifts – 5 C.F.R. § 2635.201
• Generally, you may not accept personally:
– anything of value from any individual who
or entity that:
* has business before FEMA,
* seeks to do business with FEMA,
* is regulated by FEMA; or
– any gift that is offered because of your
FEMA position (e.g., your NDMS team status).
Examples of Prohibited Gifts
• Free meals from NDMS contractor.
• Free Washington Redskins football tickets
given only to FEMA employees
• Discounts offered only to NDMS team
members.
You may accept:
• Items of little intrinsic value (e.g. cards, plaques)
• Gifts of $20 or less (up to $50 per year from the same
source)
• Discounts given to all federal employees
• Invitations to speak or attend “widely attended gatherings”
with free attendance, provided you have obtained prior
agency approval
• Gifts from relatives or friends
• Gifts based on outside business or employment activities not
offered because of your NDMS status
You may accept (cont.):
• Gifts from foreign governments of $285 or less
• Business meals overseas
Gifts Between Employees
• Generally supervisors may not accept gifts from
subordinates, and employees may not accept gifts
from another employee who receives less pay.
Exceptions to the Restriction on
Gifts Between Employees
• A supervisor may accept from a subordinate, and any employee may
accept from another employee receiving less pay:
– Gifts on special infrequent occasions (weddings, birth of child,
retirement)
– Hospitality in one’s home
– Food shared in the office
– Items of $10 or less given occasionally (e.g. birthdays, holidays)
– Gifts offered by another employee receiving less pay but with
whom he does not have a supervisory/ subordinate relationship, and
there is a personal relationship that justifies the giving of the gift
Frequent Flier Miles
• You may keep for personal use any miles
offered by an airline while on official travel.
• You also may keep other frequent traveler
rewards for personal use, when offered by
hotels & rental car companies.
Political Activities
(Hatch Act - 5 U.S.C. § 7321)
• General prohibition of the Hatch Act states that
Federal employees may not:
- Conduct political activities in a government workplace,
while on duty and/or when in uniform.
– Solicit, accept, or receive political contributions
• Hatch Act only applies to intermittent FEMA
employees when activated.
Outside Employment
• 5 C.F.R. § 2635.802
• Outside employment is permissible if it
does not conflict with your official duties.
Outside employment will conflict with your
duties if it will require your disqualification
from significant Government duties or if it
will create an appearance problem.
Examples of Potentially
Conflicting Outside Employment
• Employment providing law enforcement
services for any outside entity.
• Employment with any outside entity with
whom an employee has official dealings on
behalf of FEMA.
• NDMS employees working for FEMA
contractors when not activated.
Membership in Associations
• Employees may form and join associations in their
personal capacities.
• However, such associations are not official FEMA
organizations. Therefore members may not use
FEMA resources, including official time or
employees’ titles, or any FEMA insignias (without
agency approval), in connection with these
activities.
• NDMS 501(c) (3) entities not federal entities!
Funds must be kept separate from NDMS.
Non-Federal Entity Committee
Membership
• DHS Management Directive 3200,
Committee Management
• DHS policy is to encourage FEMA/DHS
employees to not serve on such outside
organization committees in an official
capacity as Directors or Committee
Members, but as Federal Liaisons.
Misuse of Position
• 5 C.F.R. Subpart G
• Use Government resources for official purposes
only
• Resources include: Government time (including
subordinates’), title, supplies, funds, equipment.
– Limited personal use of Email, Internet, and cell phones
– Government purchase cardsofficial expenses only
Examples of Permissible
“Limited Usage”
• A FEMA employee uses her FEMA cell
phone to make a brief personal call, when it
is impractical to use her own phone and the
call does not result in any extra charge to
the Government.
• A FEMA employee uses a FEMA computer
to send a personal email on his own time.
Use of a Subordinate’s Time
• A supervisor may not direct or coerce a
subordinate to help with a personal task during
non-duty hours.
• A supervisor may not ask a subordinate to perform
personal tasks on official time.
Example: A supervisor may not ask a subordinate to
make his vacation reservations during duty hours.
Misuse of Position (cont.)
• An employee may not use his public office
for private gain, or for the endorsement of
any product or service.
• Example: Putting the logo of an NDMS
team corporate sponsor on federal NDMS
vehicles is an improper endorsement
Examples of Misuse of Position
• A FEMA employee attempts to get out of a
speeding ticket by showing his FEMA
identification.
• A FEMA employee writes a letter to the
editor of a newspaper stating his personal
views, and includes his FEMA title under
his signature.
Use of FEMA or DHS Insignias
• FEMA or DHS symbols, including the DHS or
FEMA logo, may not be used in any way that
reflects discredit on the Government, or implies
FEMA or DHS endorsement of a non-official
activity.
• Items bearing FEMA or DHS symbols should be
obtained from vendors and private organizations
designated by the FEMA or DHS Approving
Authority.
Speaking, Writing, and Teaching
• You may NOT accept non-Federal government
compensation for teaching, speaking or writing if:
– Undertaken as part of your official NDMS duties
– Invite to speak or teach was because of your NDMS
official position
– Invite was by someone or some entity whose interests
may be substantially be affected by performance of
your NDMS official duties.
– Information or speech is based substantially on ideas or
data maintained by NDMS/FEMA that are nonpublic
information, or
Speaking, Writing, and Teaching
• You may NOT accept non-Federal government
compensation for teaching, speaking or writing if:
– The subject matter of the speech or teaching deals in
significant part with any matter in which the NDMS
employee is currently assigned or has been assigned in
the previous one-year period.
• Compensation includes travel expenses, lodging,
meals, or honoraria, but not free attendance at the
event where speaking or teaching or gifts meeting
the ethics rules gift exceptions
Speaking, Writing, and Teaching
• You may NOT accept non-Federal government
compensation for teaching, speaking or writing,
EXCEPT :
– Teaching a series of classes as part of an elementary,
secondary or post-secondary educational institution
established course of instruction.
– Teaching a program of education or training sponsored
and funded by the federal government or by a state or
local government which is not offered by an establisehd
educational institution.
Speaking, Writing, and Teaching
• You may NOT accept non-Federal
government compensation for teaching,
speaking or writing, EXCEPT :
– You may teach, write or speak on topics within
your academic discipline or inherent area of
expertise based upon your educational
background or experience, even if that expertise
or experience overlaps with your official duties.
Speaking, Writing, and Teaching
• FEMA may accept non-Federal government entity
payment for your travel and lodging to speak at a
conference, BUT:
– Must get prior permission through your NDMS chain
up through Ethics Attorney and Under Secretary Brown
– DHS Form 1560-1, Authorization for Acceptance of
Travel Payment from Non-Federal Source, download
from NDMS website.
– Entity must offer payment in writing and cover
requirements listed in FEMA Instr. 6200.7, para. 8b.
– Additional approvals are needed for overseas travel
Fundraising in an Official
Capacity
• 5 C.F.R. § 2635.808
• An employee may only participate in
fundraising in an official capacity if
authorized to do so as part of his official
duties.
Fundraising in a Personal
Capacity
• 5 C.F.R. § 2635.808
• An employee may engage in fundraising in his
personal capacity.
• However, an employee may NOT:
- solicit funds or other support from a subordinate
or a “prohibited source,” or
- use or permit the use of his FEMA title or
position to further the fundraising effort [NDMS
501 (c) (3) entities].
Post Employment
18 U.S.C. § 207
• Upon leaving federal service, you are permanently
barred from representing another before any
Federal agency or court with the intent to
influence Government action if you personally and
substantially worked on the same particular matter
involving specific parties while a Government
employee.
Post Employment
• Upon leaving federal service, you may not, for
two years, represent another before any Federal
agency or court with the intent to influence
Government action on particular matters involving
specific parties that were under your official
responsibility during your last year of Government
service.
• Only representation or communication on behalf
of your new employer is prohibited.
Additional Source of Guidance
on Employee Conduct
•
5 CFR Part 2635, Standards of Ethical
Conduct for Employees of the Executive
Branch
• Office of Government Ethics Website:
– www.usoge.gov
• DHS OGC Website-ETHICS Section
– www.dhs.gov/ethics/
For Ethics Questions:
• Check the OGE Website at www.usoge.gov
• Call Deputy Ethics Official at (202) 6464025
• Email Deputy Ethics Official at
[email protected]
The End
Any Questions ???