FEMA Ethics Guidance For NDMS Personnel

1. FEMA Ethics Guidance For NDMS Personnel �Public Service is a Public Trust� Welcome. Thank you for coming here today. We are going to discuss the federal ethics statutes, regulations, and FEMA policies that apply to you as a FEMA employee. As you can see from this slide, the governing principle is that �Public Service is a Public Trust.� This principle is important because it conveys the idea that the interests of the government and the public must be placed above your private gain. This is the guiding principle for all the materials that we are presenting to you today. Adherence to these rules enhances your reputation personally, and that of the TSA as a whole. In addition, the ethics rules are not merely suggestions - they are regulations, contained in the federal Standards of Conduct, and criminal statutes that apply to you as a federal employee. However, disciplinary action will not be taken against you for a violation of the regulations if you rely in good faith on the advice of an ethics official, and such reliance would be taken into account by the Department of Justice in deciding whether to prosecute a violation of a conflict of interest statute. We will be covering some of the major regulations and statutes today. We cannot cover all of the ethics rules, but if you have any questions regarding ethics issues you should contact one of the TSA attorneys for more guidance. We are here to teach these rules, so if you have any questions, call in advance. Do not become the subject of an investigation by Internal Affairs or the criminal investigators.Welcome. Thank you for coming here today. We are going to discuss the federal ethics statutes, regulations, and FEMA policies that apply to you as a FEMA employee. As you can see from this slide, the governing principle is that �Public Service is a Public Trust.� This principle is important because it conveys the idea that the interests of the government and the public must be placed above your private gain. This is the guiding principle for all the materials that we are presenting to you today. Adherence to these rules enhances your reputation personally, and that of the TSA as a whole. In addition, the ethics rules are not merely suggestions - they are regulations, contained in the federal Standards of Conduct, and criminal statutes that apply to you as a federal employee. However, disciplinary action will not be taken against you for a violation of the regulations if you rely in good faith on the advice of an ethics official, and such reliance would be taken into account by the Department of Justice in deciding whether to prosecute a violation of a conflict of interest statute. We will be covering some of the major regulations and statutes today. We cannot cover all of the ethics rules, but if you have any questions regarding ethics issues you should contact one of the TSA attorneys for more guidance. We are here to teach these rules, so if you have any questions, call in advance. Do not become the subject of an investigation by Internal Affairs or the criminal investigators.

2. Ethics Contacts Paul Conrad, Deputy Ethics Counsel (202) 646-4025 Robert Brock, Associate General Counsel (General Law) (202) 646-4025 Alternate Deputy Ethics Counsel: Ed Broyles (202) 646-3961 Leigh Hoburg (202) 646-7396 Field Counsel We have listed here some important ethics contacts. Rochelle Granat is the Deputy Ethics Official. Elizabeth Buchanan is the Assistant Chief Counsel for Ethics and General Legal Services, with responsibility for the day to day management of the ethics program. I am also available to answer your questions. My name and phone number are included here, along with TSA Ethics Attorneys at HQ TSA. If you have a question and contact our office, you will get an answer, whether orally or in writing. For complex cases, we generally provide ethics opinions in writing, which protects the employee who relies upon the opinion in good faith. We have listed here some important ethics contacts. Rochelle Granat is the Deputy Ethics Official. Elizabeth Buchanan is the Assistant Chief Counsel for Ethics and General Legal Services, with responsibility for the day to day management of the ethics program. I am also available to answer your questions. My name and phone number are included here, along with TSA Ethics Attorneys at HQ TSA. If you have a question and contact our office, you will get an answer, whether orally or in writing. For complex cases, we generally provide ethics opinions in writing, which protects the employee who relies upon the opinion in good faith.

3. 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).

4. 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. Let�s start on our first substantive topic, financial conflicts of interests. This is a criminal conflict of interest statute found at 18 USC section 208. This statute states that you cannot participate as a Government official in a particular matter that will have a direct and predictable effect on your financial interest or the financial interest of certain persons close to you, including your spouse, minor children, general partners, outside employers or prospective employers. �Direct and predictable� means there is a close causal link between any decision or action to be taken in the matter and any expected effect of the matter on the financial interest. There are a lot of legal terms in this sentence, so let�s go over a simple example on the next slide. Let�s start on our first substantive topic, financial conflicts of interests. This is a criminal conflict of interest statute found at 18 USC section 208. This statute states that you cannot participate as a Government official in a particular matter that will have a direct and predictable effect on your financial interest or the financial interest of certain persons close to you, including your spouse, minor children, general partners, outside employers or prospective employers. �Direct and predictable� means there is a close causal link between any decision or action to be taken in the matter and any expected effect of the matter on the financial interest. There are a lot of legal terms in this sentence, so let�s go over a simple example on the next slide.

5. 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 post-government employment negotiations with a current FEMA contractor or grantee We have an example here in which an FSD participates in the decision to award a contract to a computer company in which his wife owns stock. There is a �particular matter� here- the computer contract. The FSD has a financial interest in the computer company because his spouse owns stock in the company. The contract decision may have a direct and predictable effect on the value of the stock. Therefore, section 208 would prohibit the FSD from participating in this decision. Now suppose that the computer company is a huge company and the wife owns a very small amount of stock. You may ask whether the contract decision would really impact the stock. There are a few exemptions for small amounts of stock that may apply; however, the issue that we are asking you to focus on is that the contract decision potentially could affect the stock interest of the FSD�s wife, and therefore, by imputation, the FSD. Now that we have seen what a financial conflict looks like, the next question is how to avoid or resolve such a conflict. We have an example here in which an FSD participates in the decision to award a contract to a computer company in which his wife owns stock. There is a �particular matter� here- the computer contract. The FSD has a financial interest in the computer company because his spouse owns stock in the company. The contract decision may have a direct and predictable effect on the value of the stock. Therefore, section 208 would prohibit the FSD from participating in this decision. Now suppose that the computer company is a huge company and the wife owns a very small amount of stock. You may ask whether the contract decision would really impact the stock. There are a few exemptions for small amounts of stock that may apply; however, the issue that we are asking you to focus on is that the contract decision potentially could affect the stock interest of the FSD�s wife, and therefore, by imputation, the FSD. Now that we have seen what a financial conflict looks like, the next question is how to avoid or resolve such a conflict.

6. Resolving a Financial Conflict Disqualification Regulatory Exemptions for Publicly-Traded Securities, Diversified Mutual Funds, Pensions Waiver Divestiture � Certificate of Divestiture may be available. One method is disqualification. This means that the employee does not work on the matter. He does not make the contract decision discussed in our previous example. The employee should inform his supervisor regarding his wife�s stock interest in one of the bidders for the computer contract, and have the matter reassigned to another employee. There are also a number of regulatory exemptions that apply to publicly traded securities such as stocks, bonds, and mutual funds. One exemption applies to broadly diversified mutual funds, which do not concentrate their investments in an industry or geographic area. For example, if the FSD in our previous example held an interest in the computer company as part of his interest in a broadly diversified mutual fund such as Fidelity Magellan, the FSD would be able to participate in the contract decision. Another exemption applies to holdings in securities valued at $15,000 or less. This allows employees to work on particular matters involving specific parties, such as the computer contract, where the employee owns less than $15,000 of stock in a party. There are other exemptions that apply to other types of interests. Even if no exemption applies, a waiver may be approved by the employee�s appointing authority and agency Designated Agency Ethics Official based on a determination that the interest is not so substantial as to be likely to affect the integrity of the employee�s services to the government. These waivers are rarely granted. Finally, an employee may resolve a conflict by a divestiture (ie selling) of the interest. The Office of Government Ethics can provide for favorable tax treatment if a request is made before the divestiture.One method is disqualification. This means that the employee does not work on the matter. He does not make the contract decision discussed in our previous example. The employee should inform his supervisor regarding his wife�s stock interest in one of the bidders for the computer contract, and have the matter reassigned to another employee. There are also a number of regulatory exemptions that apply to publicly traded securities such as stocks, bonds, and mutual funds. One exemption applies to broadly diversified mutual funds, which do not concentrate their investments in an industry or geographic area. For example, if the FSD in our previous example held an interest in the computer company as part of his interest in a broadly diversified mutual fund such as Fidelity Magellan, the FSD would be able to participate in the contract decision. Another exemption applies to holdings in securities valued at $15,000 or less. This allows employees to work on particular matters involving specific parties, such as the computer contract, where the employee owns less than $15,000 of stock in a party. There are other exemptions that apply to other types of interests. Even if no exemption applies, a waiver may be approved by the employee�s appointing authority and agency Designated Agency Ethics Official based on a determination that the interest is not so substantial as to be likely to affect the integrity of the employee�s services to the government. These waivers are rarely granted. Finally, an employee may resolve a conflict by a divestiture (ie selling) of the interest. The Office of Government Ethics can provide for favorable tax treatment if a request is made before the divestiture.

7. 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. Now we are going to turn to one of the regulations regarding the appearance of bias, which states that as a government employee you may not participate in a particular matter involving specific parties (such as a contract or investigation) if: (1) the outcome would 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. Now we are going to turn to one of the regulations regarding the appearance of bias, which states that as a government employee you may not participate in a particular matter involving specific parties (such as a contract or investigation) if: (1) the outcome would 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.

8. 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 So who do you have a �covered relationship� with? We have listed here those persons with whom you have a covered relationship: Members of your household, including adult children or friends with whom you live. Close family members � an uncle, for example, that you see frequently. Someone with whom you have or seek a business relationship (ie someone with whom you are applying for a job). A person with whom your spouse, parent, or dependent child is serving or seeks to serve as a officer, director, agent, consultant, or employee. A non-federal employer for whom you worked in the last year.So who do you have a �covered relationship� with? We have listed here those persons with whom you have a covered relationship: Members of your household, including adult children or friends with whom you live. Close family members � an uncle, for example, that you see frequently. Someone with whom you have or seek a business relationship (ie someone with whom you are applying for a job). A person with whom your spouse, parent, or dependent child is serving or seeks to serve as a officer, director, agent, consultant, or employee. A non-federal employer for whom you worked in the last year.

9. 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. So, for example, in our previous example, if the DFSD�s wife worked for the computer company, there would probably not be a criminal conflict of interest if the DFSD were to participate in the matter, unless the wife was getting a bonus from the sale. However, because the DFSD has a �covered relationship� with his spouse�s employer, there may be a regulatory appearance violation because of her employment.So, for example, in our previous example, if the DFSD�s wife worked for the computer company, there would probably not be a criminal conflict of interest if the DFSD were to participate in the matter, unless the wife was getting a bonus from the sale. However, because the DFSD has a �covered relationship� with his spouse�s employer, there may be a regulatory appearance violation because of her employment.

10. 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. You should contact either your field counsel or a headquarters ethics attorney if you would like to discuss receiving authorization to work on a matter despite having such a relationship to one of the parties to the matter. If it is determined that the interest of the government in your participation in the matter outweighs the appearance concerns, you may be issued such a written authorization.You should contact either your field counsel or a headquarters ethics attorney if you would like to discuss receiving authorization to work on a matter despite having such a relationship to one of the parties to the matter. If it is determined that the interest of the government in your participation in the matter outweighs the appearance concerns, you may be issued such a written authorization.

11. 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). . Federal law and regulation requires certain senior employees to file financial disclosure reports. The reports are required when an employee enters into the covered position, on an annual basis thereafter, and, for TSES employees, when the employee leaves the position. All FSDs, DFSDs, and AFSDs must file a financial disclosure report. Non-TSES employees file the OGE Form 450. TSES employees file SF 278 reports. These reports are reviewed by ethics attorneys for possible conflicts of interest. They are designed to prevent conflicts of interest. When a potential conflict of interest is found, it must be resolved as discussed above. Federal law and regulation requires certain senior employees to file financial disclosure reports. The reports are required when an employee enters into the covered position, on an annual basis thereafter, and, for TSES employees, when the employee leaves the position. All FSDs, DFSDs, and AFSDs must file a financial disclosure report. Non-TSES employees file the OGE Form 450. TSES employees file SF 278 reports. These reports are reviewed by ethics attorneys for possible conflicts of interest. They are designed to prevent conflicts of interest. When a potential conflict of interest is found, it must be resolved as discussed above.

12. 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). Here we have another criminal conflict of interest statute, 18 USC section 205, which prohibits you in your personal capacity from representing another before any Federal agency or court, with the intent to influence Government action, on any matter in which the US is a party or has a direct and substantial interest. It does not matter for this statute whether you are being paid for this representation. It does not just apply to your representing another before TSA or DHS. It can apply to any federal agency. For example, if you have a tax preparation business, which is completely unrelated to your TSA duties, this statute would prohibit you from representing another before the IRS or tax court in connection with a tax matter. There are some exceptions to this lobbying restriction, which allow you to represent before the Government: other Federal employees in some personnel disputes; your parents, spouse, or children, or an estate or trust; and professional, recreational, and similar groups, if the majority of the organization�s members are Federal employees, or their spouses or children. However, there are conditions on the use of each of these exceptions, so you should check with a TSA attorney before engaging in any such representation. You can, of course, represent TSA in negotiations with another federal agency because you are doing that in your official capacity.Here we have another criminal conflict of interest statute, 18 USC section 205, which prohibits you in your personal capacity from representing another before any Federal agency or court, with the intent to influence Government action, on any matter in which the US is a party or has a direct and substantial interest. It does not matter for this statute whether you are being paid for this representation. It does not just apply to your representing another before TSA or DHS. It can apply to any federal agency. For example, if you have a tax preparation business, which is completely unrelated to your TSA duties, this statute would prohibit you from representing another before the IRS or tax court in connection with a tax matter. There are some exceptions to this lobbying restriction, which allow you to represent before the Government: other Federal employees in some personnel disputes; your parents, spouse, or children, or an estate or trust; and professional, recreational, and similar groups, if the majority of the organization�s members are Federal employees, or their spouses or children. However, there are conditions on the use of each of these exceptions, so you should check with a TSA attorney before engaging in any such representation. You can, of course, represent TSA in negotiations with another federal agency because you are doing that in your official capacity.

13. 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). Now we come to one of the areas of the ethics regulations that generates the most questions � those concerning gifts. The general rule is that you cannot accept anything of value from a person who has or seeks to do business with TSA, or is regulated by TSA. Airlines or TSA contractors are example of organizations who do business or are regulated by TSA. In addition, you may not accept any gift that is offered because of your position.Now we come to one of the areas of the ethics regulations that generates the most questions � those concerning gifts. The general rule is that you cannot accept anything of value from a person who has or seeks to do business with TSA, or is regulated by TSA. Airlines or TSA contractors are example of organizations who do business or are regulated by TSA. In addition, you may not accept any gift that is offered because of your position.

14. 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. For example, you may not accept free flight passes offered by a flight attendant, buddy passes offered by an airline employee for which no exception to the general gift rule applies, or discounts offered only to law enforcement officers. However, flight privileges earned through retirement from an air carrier would not be considered gifts under the Standards of Conduct, and all TSA employees below the Associate Administrator level may use such privileges. For example, you may not accept free flight passes offered by a flight attendant, buddy passes offered by an airline employee for which no exception to the general gift rule applies, or discounts offered only to law enforcement officers. However, flight privileges earned through retirement from an air carrier would not be considered gifts under the Standards of Conduct, and all TSA employees below the Associate Administrator level may use such privileges.

15. 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 gifts in the following categories, which are exceptions or exclusions to the gift regulations. For example, you may accept items of little intrinsic value, such as certificates or plaques, that are intended solely for presentation. You may accept gifts of $20 or less, up to $50 per year, from the same source. You may accept invitations to �widely attended gatherings.� These are events to which a number of diverse people are invited and it has been determined by an ethics attorney that attendance is in the agency�s interest, often because of the opportunity to interact with a wide variety of people and explain TSA�s position on matters or learn the position of stakeholders. However, you must contact a TSA attorney prior to the event for a determination of agency interest. You may accept gifts from relatives or friends as long as the gift is provided because of the personal relationship and not because of any possible business advantage. In this regard, the personal relationship must be of the kind that gifts of the kind offered are exchanged. Casual work relationships do not fall within this exemption. You may accept gifts in the following categories, which are exceptions or exclusions to the gift regulations. For example, you may accept items of little intrinsic value, such as certificates or plaques, that are intended solely for presentation. You may accept gifts of $20 or less, up to $50 per year, from the same source. You may accept invitations to �widely attended gatherings.� These are events to which a number of diverse people are invited and it has been determined by an ethics attorney that attendance is in the agency�s interest, often because of the opportunity to interact with a wide variety of people and explain TSA�s position on matters or learn the position of stakeholders. However, you must contact a TSA attorney prior to the event for a determination of agency interest. You may accept gifts from relatives or friends as long as the gift is provided because of the personal relationship and not because of any possible business advantage. In this regard, the personal relationship must be of the kind that gifts of the kind offered are exchanged. Casual work relationships do not fall within this exemption.

16. You may accept (cont.): Gifts from foreign governments of $285 or less Business meals overseas You may accept discounts available to a broad range of people, such as discounts available to all government employees. You may personally accept gifts from foreign governments up to $285; a gift over $285 may also be accepted, but becomes the property of the U.S. Government. There is also a reporting requirement, so gifts of this kind must be immediately reported to your TSA field counsel or headquarters ethics counsel. You may accept travel expenses based on outside activities, such as an outside business activity. Finally, you may accept business meals and entertainment overseas, so long as its value does not exceed the per diem rate for that area, there are non-U.S. citizens or representatives of foreign entities present, and your attendance at the event furthers TSA programs or operations. You may accept discounts available to a broad range of people, such as discounts available to all government employees. You may personally accept gifts from foreign governments up to $285; a gift over $285 may also be accepted, but becomes the property of the U.S. Government. There is also a reporting requirement, so gifts of this kind must be immediately reported to your TSA field counsel or headquarters ethics counsel. You may accept travel expenses based on outside activities, such as an outside business activity. Finally, you may accept business meals and entertainment overseas, so long as its value does not exceed the per diem rate for that area, there are non-U.S. citizens or representatives of foreign entities present, and your attendance at the event furthers TSA programs or operations.

17. Gifts Between Employees Generally supervisors may not accept gifts from subordinates, and employees may not accept gifts from another employee who receives less pay. In addition, there are restrictions on gifts given between employees. The general rule is that supervisors may not accept gifts from subordinates, and employees of greater pay may not accept gifts from employees of lesser pay. There are several exceptions to this rule, which we�ll see on the next slide. In addition, there are restrictions on gifts given between employees. The general rule is that supervisors may not accept gifts from subordinates, and employees of greater pay may not accept gifts from employees of lesser pay. There are several exceptions to this rule, which we�ll see on the next slide.

18. 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 For example, a superior may accept gifts on special infrequent occasions such as a wedding or birth of a child. Birthdays and annual holidays are not special occasions for purposes of this exception. A superior may also accept gifts of $10 or less per occasion, on occasions when gifts are traditionally exchanged, such as birthdays or holidays. However, employees may not pool their money on these occasions to buy a gift valued over $10 for their superior. A supervisor may also accept food shared in the office and hospitality in one�s home. A person with greater pay may also accept a gift from a person of lesser pay when there is no supervisory relationship and there is a personal relationship which would otherwise justify the gift. For example, a superior may accept gifts on special infrequent occasions such as a wedding or birth of a child. Birthdays and annual holidays are not special occasions for purposes of this exception. A superior may also accept gifts of $10 or less per occasion, on occasions when gifts are traditionally exchanged, such as birthdays or holidays. However, employees may not pool their money on these occasions to buy a gift valued over $10 for their superior. A supervisor may also accept food shared in the office and hospitality in one�s home. A person with greater pay may also accept a gift from a person of lesser pay when there is no supervisory relationship and there is a personal relationship which would otherwise justify the gift.

19. 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. Government employees may now earn and use frequent flyer mileage earned from tickets paid for by the government for official travel. By way of example, an FSD may earn frequent flyer mileage on tickets purchased by the government, for example, if the FSD were traveling on official business to a conference. FAMS, however, do not earn frequent flyer mileage on tickets that are provided for free by the airlines so that the FAMS can provide security coverage because the government is not paying for the ticket.Government employees may now earn and use frequent flyer mileage earned from tickets paid for by the government for official travel. By way of example, an FSD may earn frequent flyer mileage on tickets purchased by the government, for example, if the FSD were traveling on official business to a conference. FAMS, however, do not earn frequent flyer mileage on tickets that are provided for free by the airlines so that the FAMS can provide security coverage because the government is not paying for the ticket.

20. 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. As a federal employee, you are prohibited from conducting political activities on government time or in government space. You also may not: solicit, accept or receive political contributions; or run as a candidate in a partisan election (except as an independent candidate in certain designated areas, listed in the regulations, in which there is high percentage of government employees); or solicit volunteer services from a subordinate in connection with political activities. There are a number of political activities you may engage in, such as assisting in voter registration drives, signing and circulating nominating petitions, and attending political rallies and meetings. These are the rules for non-TSES employees; there are further restrictions on the political activities of TSES employees. Because the Office of Special Counsel, an independent Federal agency, is responsible for providing guidance on and enforcing the Hatch Act, all political activities questions should be referred to TSA headquarters attorneys, who will consult with OSC or refer questions to that agency when appropriate.As a federal employee, you are prohibited from conducting political activities on government time or in government space. You also may not: solicit, accept or receive political contributions; or run as a candidate in a partisan election (except as an independent candidate in certain designated areas, listed in the regulations, in which there is high percentage of government employees); or solicit volunteer services from a subordinate in connection with political activities. There are a number of political activities you may engage in, such as assisting in voter registration drives, signing and circulating nominating petitions, and attending political rallies and meetings. These are the rules for non-TSES employees; there are further restrictions on the political activities of TSES employees. Because the Office of Special Counsel, an independent Federal agency, is responsible for providing guidance on and enforcing the Hatch Act, all political activities questions should be referred to TSA headquarters attorneys, who will consult with OSC or refer questions to that agency when appropriate.

21. 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. A TSA employee may hold an outside job to the extent that it does not conflict with his official duties. This means that the outside job will not require disqualification from significant government duties or create an appearance of impropriety. TSA does not have prior approval authority, so the agency cannot require employees to obtain permission before engaging in outside employment. TSA may, however, request employees to notify their supervisors before accepting outside employment so that a review of possible conflicts can take place. A TSA employee may hold an outside job to the extent that it does not conflict with his official duties. This means that the outside job will not require disqualification from significant government duties or create an appearance of impropriety. TSA does not have prior approval authority, so the agency cannot require employees to obtain permission before engaging in outside employment. TSA may, however, request employees to notify their supervisors before accepting outside employment so that a review of possible conflicts can take place.

22. 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. Examples of problem areas include those listed above. Employment in these areas is not necessarily precluded, but you should coordinate outside employment in these areas with your supervisor and either TSA field counsel or headquarters ethics attorneys. Examples of problem areas include those listed above. Employment in these areas is not necessarily precluded, but you should coordinate outside employment in these areas with your supervisor and either TSA field counsel or headquarters ethics attorneys.

23. 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. TSA employees may form and join associations in their personal capacities, including groups such as gun clubs, federal air marshals softball teams, and benevolent funds. However, these associations are not official organizations, and official time and resources cannot be used to support these organizations. For example, a DFSD could not ask the office secretary to type an announcement for the airport softball team; although if there is an unofficial bulletin board, the DFSD could post an announcement that he prepared in his own time on the board. Senior officials should be very cautious of any acts that could be interpreted as coercion by subordinate employeesTSA employees may form and join associations in their personal capacities, including groups such as gun clubs, federal air marshals softball teams, and benevolent funds. However, these associations are not official organizations, and official time and resources cannot be used to support these organizations. For example, a DFSD could not ask the office secretary to type an announcement for the airport softball team; although if there is an unofficial bulletin board, the DFSD could post an announcement that he prepared in his own time on the board. Senior officials should be very cautious of any acts that could be interpreted as coercion by subordinate employees

24. 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.

25. 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 cards- official expenses only Federal regulations also prohibit employees from misusing their official position. One of these rules states that government resources may only be used for official purposes. Government resources include not only government supplies and equipment, but also government time and the TSA title and logo. Employees may only use Government-issued purchase cards for official expenses. Employees also may only use Government travel cards for official travel-related expenses, including hotel, food, and rental car charges. TSA has a policy of limited personal use of Government Email, Internet, and cell phones. We�ll take a closer look at these rules over the next few slides. Federal regulations also prohibit employees from misusing their official position. One of these rules states that government resources may only be used for official purposes. Government resources include not only government supplies and equipment, but also government time and the TSA title and logo. Employees may only use Government-issued purchase cards for official expenses. Employees also may only use Government travel cards for official travel-related expenses, including hotel, food, and rental car charges. TSA has a policy of limited personal use of Government Email, Internet, and cell phones. We�ll take a closer look at these rules over the next few slides.

26. 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. So, for example, if an AFSD used her TSA cell phone to make a personal call when it was impracticable to use her own phone and the call does not result in any extra charge to the government, this is acceptable under TSA�s policy. It is also acceptable to use a TSA computer during off-duty time to send a personal email or to make a web search. Incurring long distance charges on a government phone for personal calls or using a government computer for commercial business, partisan political activities, or for purposes that would bring criticism to the government is not acceptable. For example, government computers may never be used to make threats or to view pornography. So, for example, if an AFSD used her TSA cell phone to make a personal call when it was impracticable to use her own phone and the call does not result in any extra charge to the government, this is acceptable under TSA�s policy. It is also acceptable to use a TSA computer during off-duty time to send a personal email or to make a web search. Incurring long distance charges on a government phone for personal calls or using a government computer for commercial business, partisan political activities, or for purposes that would bring criticism to the government is not acceptable. For example, government computers may never be used to make threats or to view pornography.

27. 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. A subordinate�s time is also a government resource, so a supervisor may not ask a subordinate to perform personal tasks on official time. To prevent abuse, government employees may not direct or coerce a subordinate to help with a personal task even during non-duty hours. A subordinate�s time is also a government resource, so a supervisor may not ask a subordinate to perform personal tasks on official time. To prevent abuse, government employees may not direct or coerce a subordinate to help with a personal task even during non-duty hours.

28. 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 Finally, a government employee may not use his personal office for his private gain or the private gain of someone with whom he is affiliated in a non-government capacity, or for the endorsement of any product or service. Finally, a government employee may not use his personal office for his private gain or the private gain of someone with whom he is affiliated in a non-government capacity, or for the endorsement of any product or service.

29. 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. Thus, it would be improper for a DFSD to show his TSA identification to try to avoid receiving a ticket. It is also improper for a TSA employee to write a letter to the editor of a newspaper stating his personal views which includes his TSA title with his signature, although the employee can write a letter to the editor of a newspaper stating his personal views and providing his name and home address. As an exception, a TSA employee may list his government position in a biographical sketch, so long as the position is listed with other biographical details and given no more prominence than other positions. Thus, it would be improper for a DFSD to show his TSA identification to try to avoid receiving a ticket. It is also improper for a TSA employee to write a letter to the editor of a newspaper stating his personal views which includes his TSA title with his signature, although the employee can write a letter to the editor of a newspaper stating his personal views and providing his name and home address. As an exception, a TSA employee may list his government position in a biographical sketch, so long as the position is listed with other biographical details and given no more prominence than other positions.

30. 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. TSA symbols may not be used in any way that reflect discredit on the Government, or implies TSA endorsement of a non-official activity. So, for example, the TSA logo should not be used on an unofficial website, and it should not be used in a way that is derogatory, such as the wearing of a TSA uniform on a singles website. As mentioned previously, the TSA insignias also may not be used in connection with unofficial TSA associations. TSA symbols may not be used in any way that reflect discredit on the Government, or implies TSA endorsement of a non-official activity. So, for example, the TSA logo should not be used on an unofficial website, and it should not be used in a way that is derogatory, such as the wearing of a TSA uniform on a singles website. As mentioned previously, the TSA insignias also may not be used in connection with unofficial TSA associations.

31. 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

32. 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

33. 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.

34. 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.

35. 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

36. 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. Federal employees may only participate in fundraising in an official capacity when authorized to do so. Under the regulations, the Combined Federal Campaign (CFC) is the only authorized solicitation of employees in the Federal workplace on behalf of charitable organizations. However, this fundraising restriction does not apply to the collection of gifts-in-kind, such as food, clothing, and toys, nor to limited fundraising by employee associations fundraising among their own members, if approved by TSA. In addition, OPM may authorize fundraising for victims of disasters. Federal employees may only participate in fundraising in an official capacity when authorized to do so. Under the regulations, the Combined Federal Campaign (CFC) is the only authorized solicitation of employees in the Federal workplace on behalf of charitable organizations. However, this fundraising restriction does not apply to the collection of gifts-in-kind, such as food, clothing, and toys, nor to limited fundraising by employee associations fundraising among their own members, if approved by TSA. In addition, OPM may authorize fundraising for victims of disasters.

37. 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]. An FSD may engage in fundraising for a charity in his personal capacity. However, he may not personally solicit funds or other support from a subordinate or prohibited source, or use or permit the use of his TSA title or any authority associated with his office to further the fundraising effort. An employee also may not use his official time (or that of his subordinates), TSA equipment, or any other Government resources in connection with such fundraising. An FSD may engage in fundraising for a charity in his personal capacity. However, he may not personally solicit funds or other support from a subordinate or prohibited source, or use or permit the use of his TSA title or any authority associated with his office to further the fundraising effort. An employee also may not use his official time (or that of his subordinates), TSA equipment, or any other Government resources in connection with such fundraising.

38. Post Employment18 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. After you leave Federal service there are some ethics rules that will still apply to you. One of these rules prohibits you from ever representing another before any Federal agency or court, with the intent to influence Government action, regarding a particular matter involving specific parties (like a contract) on which you personally and substantially worked while a Government employee. For instance, to continue with our earlier example, the FSD who reviewed and approved a computer contract would not be able to represent the computer company before TSA regarding that contract after leaving the Government. This example also raises possible concerns under the Procurement Integrity Act. You should contact TSA attorneys for further guidance on this Act if you are planning to represent another before a Federal agency on a particular matter, such as a procurement, in which you participated while with the Government, after leaving Federal service.After you leave Federal service there are some ethics rules that will still apply to you. One of these rules prohibits you from ever representing another before any Federal agency or court, with the intent to influence Government action, regarding a particular matter involving specific parties (like a contract) on which you personally and substantially worked while a Government employee. For instance, to continue with our earlier example, the FSD who reviewed and approved a computer contract would not be able to represent the computer company before TSA regarding that contract after leaving the Government. This example also raises possible concerns under the Procurement Integrity Act. You should contact TSA attorneys for further guidance on this Act if you are planning to represent another before a Federal agency on a particular matter, such as a procurement, in which you participated while with the Government, after leaving Federal service.

39. 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. You also may not, for two years after leaving the Government, represent another before a Federal agency or court on a particular matter involving specific parties that was actually pending under your official responsibility during your final year of Federal service. �Official responsibility� here means having the direct administrative or operating authority to approve, disapprove, or otherwise direct Government actions. Keep in mind that only representation is prohibited by this statute. Representation means any communication made on behalf of another to a Federal agency or court with the intent to influence Government action. It includes an appearance, correspondence, or other communications. The prohibition does not include other types of work, including work �behind the scenes� with others who are formally representing a party before the Government. Of course, the separate prohibition on the use of privileged or confidential information obtained during your TSA employment for private purposes will also remain in effect after you leave TSA. You also may not, for two years after leaving the Government, represent another before a Federal agency or court on a particular matter involving specific parties that was actually pending under your official responsibility during your final year of Federal service. �Official responsibility� here means having the direct administrative or operating authority to approve, disapprove, or otherwise direct Government actions. Keep in mind that only representation is prohibited by this statute. Representation means any communication made on behalf of another to a Federal agency or court with the intent to influence Government action. It includes an appearance, correspondence, or other communications. The prohibition does not include other types of work, including work �behind the scenes� with others who are formally representing a party before the Government. Of course, the separate prohibition on the use of privileged or confidential information obtained during your TSA employment for private purposes will also remain in effect after you leave TSA.

40. 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/ There are additional sources of information. These sources are available not only in written format, but also on the TSA webpage. You are also invited to visit the new TSA Chief Counsel�s Webpage, which has a very informative and complete section on ethics rules and regulations. There are additional sources of information. These sources are available not only in written format, but also on the TSA webpage. You are also invited to visit the new TSA Chief Counsel�s Webpage, which has a very informative and complete section on ethics rules and regulations.

41. For Ethics Questions: Check the OGE Website at www.usoge.gov Call Deputy Ethics Official at (202) 646-4025 Email Deputy Ethics Official at paul.conrad1@dhs.gov

42. The End Any Questions ??? Any questions? Keep in mind that you have field counsel and well as TSA headquarters ethics attorneys, to answer your questions as they arise. Please do not hesitate to ask. It could prevent you from being an example on the next list of ethics errors. Any questions? Keep in mind that you have field counsel and well as TSA headquarters ethics attorneys, to answer your questions as they arise. Please do not hesitate to ask. It could prevent you from being an example on the next list of ethics errors.