# Presentation: 285871

## USDA Ethics Issues for Scientists

- Or, “How to Avoid Being Up a Creek Without a Paddle”

## Webster's Dictionary defines ethics as:

- the discipline dealing with what is good and bad and with moral duty and obligation,
- the set of moral principles or values,
- a theory of moral values,
- the principles of conduct governing an individual or group.
*We apply the last definition for our purposes.*

## Ethics for You as an ARS Scientist

- ARS is under the USDA Office of Ethics, Science Division.
- Your main point of contact is your Research Leader.
- The MWA Associate Area Director is the next level of consultation (Designated Area Ethics Adviser).
- A wide array of ethics documents, forms, and guidance can be accessed through the MWA website.

## Draft Ethics Issuance Number 07-1

- “...establishes _guidelines_*** for applying the Standards of Ethical Conduct for Employees of the Executive Branch......” (and other standards and statutes)
- “...the _rules_*** discussed herein are applicable to all employees....”
*To be safe, consider them “rules”.**  *

## “....science is a collaborative profession.”
“Our scientists must interact closely with other members of the scientific community, both inside and outside the Federal Government, in order to attain and maintain their professional standing and reputation as scientists.”
“....agencies seek opportunities to partner with non-Federal entities in order to accomplish Agency scientific projects and goals.”
“Federal scientists clearly have a professional obligation to improve the level of science in their chosen field and, in doing so, bring credit not only upon themselves, but also upon their Agency and upon the Federal Government as a whole.”

- “Our scientists must interact closely with other members of the scientific community, both inside and outside the Federal Government, in order to attain and maintain their professional standing and reputation as scientists.”
- “....agencies seek opportunities to partner with non-Federal entities in order to accomplish Agency scientific projects and goals.”
- “Federal scientists clearly have a professional obligation to improve the level of science in their chosen field and, in doing so, bring credit not only upon themselves, but also upon their Agency and upon the Federal Government as a whole.”

-  *Some important acknowledgements*

## “.... the Federal scientist within a large, multi-mission Federal department such as USDA may face a more restrictive interpretation of these laws and regulations than may be faced by Federal scientists at small, purely science-oriented agencies such as the National Institutes of Health or National Science Foundation.”
		Scientists are only a small part of USDA.
		To avoid problems in ethics issues, it is wise to 	consider yourself a Federal, USDA Employee 	first, and a scientist second.

- 		*Scientists are only a small part of USDA.*
*	**	**To avoid problems in ethics issues, it is wise to **	**consider yourself a Federal, USDA Employee **	**first, and a scientist second.*

## Scientists at Universities must remember what a “faculty appointment” means for them

- “Adjunct Professor” (or other titles conferring academic title on SYs) is a generic title with no universally applicable meaning.
- It depends on what each specific university means by it in terms of rights, duties, responsibilities.
- Whether it creates ethics problems depends on what the university expects in return for bestowing the title.
*In other words, any problems arise from activities, not the title itself.*

## Official Capacity

- “Official Capacity” – activity is:
- Conducted on official time
- Through the expenditure of Agency funds
- Conducted in a manner that indicates you are participating on behalf of the Agency
- Consistent with employee’s position description and Agency’s mission
*	**	**	**If you do it in Official Capacity, you are **	**	**speaking/acting on behalf of the **	**	**	**Government of the United States of **	**	**	**America.*

## Official Capacity in contrast to:

- Outside Employment
*irrespective of compensation*, the providing of personal services as a consultant or professional...
- Personal Capacity
- Not directly related to Agency mission
- On employee’s own time and cost (i.e., evenings, weekends, leave)

## Faculty Appointments:You might be considered a “university employee”:

- If you are doing some service for the University, and they have a right to control and direct you (e.g., teaching a course and evaluating students).
- Even if you are uncompensated in any way.

## Official versus Personal Capacity

- Presumption of Official Capacity
- If you are doing an activity on ARS time, we must presume that you are doing it in your Official Capacity (i.e., you are acting/speaking as an official of the US Government).
- Burden of proof is on YOU to show that the activity is NOT under Official Capacity and/or does not create an ethical problem.

## Official Versus Personal Capacity

- Your Responsibility
- “Where conflict exists between one’s status as a scientist and one’s status as a Federal employee, by statute and regulation, the employee’s obligations as a Federal employee take precedence.”
*Remember who your employer is.*

## Official versus Personal Capacity

- Accepting Compensation From the University
- You may not accept any form of _compensation_ from the University, or from other non-Federal sources, for the performance of official duties related to the University.
*The taxpayers are already paying you for your official duties ! *

## Acceptance of Tenure
Tenure consists of an employer-employee relationship with the University .....creates a conflicting financial interest....
You may not accept tenure from a University that is in any way related to your official duties with the University.

Participation in Tenure Decisions
Presume that this is done under official capacity
Your statement concerning tenure for a university faculty member:
must follow the University’s request to the Agency for such a statement
The Agency must authorize you to provide a statement
Your statement is a factual evaluation of scientific credentials, based only on the your knowledge under official duties as a Federal employee
MAKE NO SPECIFIC RECOMMENDATION
You may NOT participate in any tenure deliberations
You may NOT serve on a tenure committee

- Tenure consists of an employer-employee relationship with the University .....creates a conflicting _financial interest_....
- You may not accept tenure from a University that is in any way related to your official duties with the University.
- Participation in Tenure Decisions
- Presume that this is done under official capacity
- Your statement concerning tenure for a university faculty member:
- must follow the University’s request _to the Agency_* *for such a statement
- The Agency must authorize you to provide a statement
- Your statement is a factual evaluation of scientific credentials, based only on the your knowledge under official duties as a Federal employee
- MAKE NO SPECIFIC RECOMMENDATION
- You may NOT participate in any tenure deliberations
- You may NOT serve on a tenure committee

- Tenure: Don’t Accept It or Judge Others For It

## Teaching
May result in the scientist being deemed a university employee under state law
If it furthers the mission of the Agency
it may be done under Official Capacity
no compensation to you
If NOT in furtherance of Agency mission
must be done under Personal Capacity
you must recuse yourself from official duties that affect financial interests of the University, e.g., ADODR 

- May result in the scientist being deemed a university employee under state law
- If it furthers the mission of the Agency
- it may be done under Official Capacity
- no compensation to you
- If NOT in furtherance of Agency mission
- must be done under Personal Capacity
- you must recuse yourself from official duties that affect financial interests of the University, e.g., ADODR

- Specific Duties and Activities Involving the University

## Serving as a Guest Lecturer
Official Capacity – opportunity to inform the public of relevant research
No compensation
No non-public information
Self-identification as USDA
Personal Capacity
Compensation = outside employment
Recusal from official activities affecting financial interests of the University (e.g., ADODR)

- Official Capacity – opportunity to inform the public of relevant research
- No compensation
- No non-public information
- Self-identification as USDA
- Personal Capacity
- Compensation = outside employment
- Recusal from official activities affecting financial interests of the University (e.g., ADODR)

- Specific Duties and Activities Involving the University

## Bottom Line on Teaching

- Guest lectures and seminars are FINE
- No compensation
- Having responsibility for a whole course is NOT acceptable.

## Service on or with University Committees or Other Bodies
Presume this is related to official duties as ARS personnel
OK for committees that directly affect Agency needs but do NOT deal with university “business”, e.g.:
Space, facilities, equipment
Curriculum
Graduate student thesis/dissertation committees
NOT OK for committees that are responsible primarily for internal University matters, e.g.:
Budget, Finance
Tenure
Faculty/Academic Senate
Employee/Faculty Hiring committees
Government involvement in non-government hiring
Assessment of credentials but no specific recommendation

- Presume this is related to official duties as ARS personnel
- OK for committees that directly affect Agency needs but do NOT deal with university “business”, e.g.:
- Space, facilities, equipment
- Curriculum
- Graduate student thesis/dissertation committees
- NOT OK for committees that are responsible primarily for internal University matters, e.g.:
- Budget, Finance
- Tenure
- Faculty/Academic Senate
- Employee/Faculty Hiring committees
- Government involvement in non-government hiring
- Assessment of credentials but no specific recommendation

- Specific Duties and Activities Involving the University

## Service on or with University Committees or Other Bodies, continued
Official Capacity: Liaison
Attend meetings and provide information on how committee’s decisions could affect Agency
No participation in deliberations or decisions
Personal Capacity
Completely unrelated to official duties
Committee does not deal with university finances, personnel, or administration
Committee’s function has no significant effect on the Agency

- Official Capacity: Liaison
- Attend meetings and provide information on how committee’s decisions could affect Agency
- No participation in deliberations or decisions
- Personal Capacity
- Completely unrelated to official duties
- Committee does not deal with university finances, personnel, or administration
- Committee’s function has no significant effect on the Agency

- Specific Duties and Activities Involving the University

## Activities with Students
Mentoring students in official capacity
Personal capacity – circumstances totally unrelated to official duties  (e.g., ARS Plant Pathologist teaches Underwater Basketweaving on Tuesday nights)

- Mentoring students in official capacity
- Personal capacity – circumstances totally unrelated to official duties  *(e.g., ARS Plant Pathologist teaches Underwater Basketweaving on Tuesday nights)*

- Specific Duties and Activities Involving the University

## Mentoring Graduate Students

- Student should be working on a project that is relevant to, and helps advance, ARS research.
- Have a co-chair who is a tenure-track professor, who will have responsibility for the University’s academic and administrative responsibilities.

## Factors for Agency Consideration
Teaching, speaking, and writing restrictions.
No compensation if related to Official Duties
Outside employment if totally unrelated to Official Duties (underwater basketweaving)
Can Create Conflicting Financial Interests
For example, SY on university committee, even in personal capacity, dealing with university personnel, finances, or administration may not serve as ADODR.

- Teaching, speaking, and writing restrictions.
- No compensation if related to Official Duties
- Outside employment if totally unrelated to Official Duties *(underwater basketweaving)*
- Can Create Conflicting Financial Interests
- For example, SY on university committee, even in personal capacity, dealing with university personnel, finances, or administration may not serve as ADODR.

- Outside Employment with the University

## Gifts and Supplements to Salary Involving University Privileges and Benefits

- Must directly facilitate your performance of OFFICIAL duties.  These are acceptable:
- Library privileges
- Shuttle or parking privileges *(hunting permits?)* available to non-Federal adjunct faculty
- Otherwise, consider questions of dual compensation, conflict of interest, impartiality, etc.

## Gifts and Supplements to Salary Involving University Privileges and Benefits

- DO NOT ACCEPT
- Free or reduced tuition or housing, unless your spouse gets offered these things because the SPOUSE is a university employee
- Gifts worth more than $20, or more than $50 aggregate per year
- Anything not available to the public, e.g., reduced cost tickets to events, membership in the Faculty Club, bookstore discounts, etc.
- (It’s OK to accept these if they are offered not because of the Federal employee’s position, but for some other reason, e.g., they are an alumnus.)

## Being an Editor for a Scientific Journal

- Official capacity is presumed
- Requires prior approval by the Area Office
- No compensation

## Outside employment on personal time
Unrelated to what you do for ARS
If compensated, required employee recusal from any official duties that affect the publisher
No identification of employee as USDA
The International Journal of Underwater Basketweaving

- Unrelated to what you do for ARS
- If compensated, required employee recusal from any official duties that affect the publisher
- No identification of employee as USDA
*The International Journal of Underwater Basketweaving*

- Being a Journal Editor under Personal Capacity?

## Grants to Universities or Other Non-ARS

- Presumption of Official Capacity
- You must be identified as a USDA-ARS employee
- Requires the Area Office’s specific approval on a case-by-case basis.

## Some Other Things that Must Be Approved by the Area Office BEFORE You Agree to It

- Serving as an officer or on the Board for a professional society.
- Acceptance of an award from a non-Federal source.
- Consulting and Expert Testimony

## Official Letters of Recommendation and Endorsements

- Employment *Recommendations*
- Based only on personal knowledge of ability and character with whom the Federal employee dealt in the course of Federal employment
- For whom the employee is recommending for Federal employment
- This is in contrast to your professional assessment of accomplishments.

## Official Endorsements of products, services, etc.

_***NO***_.
*End of discussion.*

## To sum up....

- There are MANY things you can do as an ARS scientist to participate appropriately and effectively in your academic and professional communities.
- Always consult your Research Leader BEFORE you commit to activity other than your ARS research.
- Contact the Area Office to confirm the appropriateness of non-ARS activities.

## FINAL RECOMMENDATION

- Ruthlessly minimize outside distractions until you have been retained and promoted
- And then be very judicious in choosing non-research activities
- Consult your RL and the Area Office.