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ETHICS FOR Soon-to-be FEDERAL EXECUTIVES

ETHICS FOR Soon-to-be FEDERAL EXECUTIVES. TRUE TITLE. GOVERNMENT ETHICS IS NOT JUST ABOUT OXY MORONS. What’ll We Cover?. Professional Culture Rules OE Role. ETHICS as part of a FEDERAL PROFESSIONAL CULTURE. Way of performing your job.

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ETHICS FOR Soon-to-be FEDERAL EXECUTIVES

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  1. ETHICS FOR Soon-to-be FEDERAL EXECUTIVES

  2. TRUE TITLE GOVERNMENT ETHICS IS NOT JUST ABOUT OXYMORONS.

  3. What’ll We Cover? • Professional Culture • Rules • OE Role

  4. ETHICS as part of a FEDERAL PROFESSIONAL CULTURE • Way of performing your job

  5. ETHICS as part of a FEDERAL PROFESSIONAL CULTURE • Way of performing your job: • Legally

  6. ETHICS as part of a FEDERAL PROFESSIONAL CULTURE • Way of performing your job: • Legally • Efficiently & Effectively

  7. ETHICS as part of a FEDERAL PROFESSIONAL CULTURE • Way of performing your job: • Legally • Efficiently & Effectively while • Avoiding appearances of bias.

  8. What Do We Mean By Government Ethics? • Rules • employee conduct • Intersection of : • official duties & • personal interests.

  9. Assumptions Underlying Government Ethics • Temptation to misuse one’s public authority • Impact of private interests on public policy • 3. Need to use appropriated funds only for purposes set forth by Congress.

  10. Government Ethics History • 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. • World War I. Carnegie Trust & “Dollar/year Men.” • Hatch Act of 1939. • Watergate—Investment Tracking and IG Act. • OGE—Regulatory enforcment and ethics program.

  11. WE’RE NOT ALONE OUT THERE. Personal Liability Government Liability Ethics HR/EEO Rules Appropriations Laws & Rules Procurement Travel Gov. Property Rules Other Statutes & Regulations: FGDA , Hatch FMIA ,DRs

  12. Decisionmaking Considerations • Agency’s Mission • Within Appropriations • Scope of Employment • Lawful • Exposure to Liability • Appear Impartial and Ethical • To: Public Media Congress

  13. 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.

  14. SHEEHAN’S SIMPLE RULE OFTHUMB Worst Media Enemy Test

  15. And NOW [drumroll] . . . THE RULES

  16. And NOW [drumroll] . . . THE RULES But First . . .

  17. A Little Bit About the Rules • Compliance-based • Objective Standard • Emphasis: training & disclosure

  18. 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

  19. 14 Principles –The High Ground 1. Loyalty to Constitution . 2. Conflicting financial interests. 3. Nonpublic information . 4. Gifts from “prohibited sources.” 5. Honest effort. 6. Unauthorized commitments. 7. Public office for private gain. 8.Act impartially. 9. Protect/conserve federal property. 10. Outside employment or activities. 11. Waste, fraud, abuse. 12. Financial obligations. 13. Equal opportunity. 14. No appearances.

  20. 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

  21. 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

  22. USDA Supplement • 5 CFR 8301 • Covers: • Prior Approval for Outside Employment • Specific FSA Prohibitions:

  23. How the Laws and Rules Interrelate 14 Ethical Principles Standards & Supplement Conflict Laws Bribery

  24. 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.

  25. “WALLET-PADDING” This is why I became a Fed!!! The Good Stuff folks give you for being a Fed.

  26. BRIBERY “Good ol’ Hard Core Graft” • CORRUPT INTENT. • Just say “no” to quid pro quo.

  27. Gifts from Outside Sources • “Prohibited sources” • Official position • $20/$50 rule • Friends & Family • Group discounts • Awards/degrees • Conferences & Gatherings

  28. 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.

  29. ADDITIONAL STUFF • Foreign Gifts • Federal Meat Inspection Act • Farm Loan Gifts • GIFTS TO THE GOVERNMENT • See Travel costs • Partnering Efforts

  30. SUPPLEMENTING SALARY • Honoraria for official speeches • Compensated Leaves of absence • “Golden parachutes” AFTER appointment.

  31. 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 ___________!!!!

  32. “Influence-Peddling” Illegal Representation, Illegal Lobbying Congress & General Misuse of Position

  33. 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.

  34. Misusing Public Office for Private Gain5 CFR Part 2635, Subpart G • Leveraging • Endorsements • Job References • Non-public (insider) information. • Gov’t time, personnel, equipment.

  35. Lobbying CongressYou knew there was a catch. Lobby on your own time & dime! Conduct official lobbying through official channels. 18 USC 1913.

  36. 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 . . .

  37. “Self-Dealing” “I only practice honest graft.” Sen. George Washington Plunkitt of Tammany Hall (1905)

  38. 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.

  39. 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

  40. . . . And did we mention Using Public Office for Private Gain5 CFR Part 2635, Subpart G NO other FAVORITISM. Just in case we missed someone. “I only practice honest graft.”

  41. SELF-DEALING GRAPH Misuse of Position Appearance of Loss of Impartiality Financial Conflict Of Interest

  42. Political Activity

  43. Political Activity Hatch Act Reform Amendments Act of 1993 • Liberalized rules • Partisan Political Activity • Personal Time & Dime • For Most Federal employees

  44. BUT NOT YOU!!! Career SES, ALJs, OIG and CBA Members • Non-Partisan ONLY You’ve been HATCHED!! Yoke’s on you.

  45. OTHERS CAN Get Involved in Party Activities Campaign Actively Volunteer

  46. Not You

  47. OTHERS CAN Serve as: Party Officer Endorse & Influence Others Serve as: Committee Chair Act as Credential Checker/ Challenger

  48. Not You

  49. You Can Express Opinions Join a Party

  50. You Can Join in Non-partisan Contribute $$$$ “Get Out The Vote” Drives

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