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Understanding Ethics for Soon-to-Be Federal Executives: A Guide to Government Integrity

This guide provides an in-depth exploration of government ethics tailored for soon-to-be federal executives. It covers essential topics such as the professional culture of ethics, the role of the Office of Ethics, and the critical intersection between official duties and personal interests. Participants will learn about the legislative foundations of ethical conduct, the historical context of government ethics, and practical decision-making considerations. Emphasis will be placed on compliance, appearance of impartiality, and the application of ethical principles in various scenarios to promote integrity in federal service.

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Understanding Ethics for Soon-to-Be Federal Executives: A Guide to Government Integrity

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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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