# Presentation: 132558

## Ethics Satellite BroadcastOctober 18, 2005

**Department of the Interior**
**Departmental Ethics Office**
**Hale Hawbecker****Matt Costello**

## Today’s Topics

**Executive Order 12674**
**Title 18 of the United States Code**
**Financial Disclosure**

## General Principles

**President Bush’s 1989 Executive Order modified in 1990**
**Fourteen General Principles broadly defining the obligations of public service**

**Notes:**
In furthering our legislative efforts, we may ask BLM for factual information to sow how proposed legislation may impact BLM’s programs.  Legislation or congressional inquiries may require that BLM provide certain data.

## Executive Order 12674

**Public service is a public trust**
**Employees shall not hold financial interests that conflict with the conscientious performance of duty**
**Employees shall not engage in financial transactions using nonpublic Government information**

## Executive Order 12674 

**An employee shall not solicit or accept any gift from a prohibited source**
**Employees shall put forth honest effort in the performance of their duties**
**Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government**

## Executive Order 12674

**Employees shall not engage in outside employment or activities that conflict with their official Government duties and responsibilities**
**Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities**

## Executive Order 12674

**Employees shall satisfy in good faith their obligation as citizens, including all just financial obligations, especially those – such as Federal, State, or local taxes – that are imposed by law**
**Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans**

## Executive Order 12674

**Employees shall not use public office for private gain**
**Employees shall act impartially and not give preferential treatment to any private organization or individual**
**Employees shall protect and conserve Federal property and shall not use it for other than authorized activity**

## Executive Order 12674

**Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards promulgated pursuant to this order. **

## Bribery18 U.S.C. § 201

**   ****Prohibits a Federal employee from seeking, accepting, or agreeing to receive or accept anything of value in return for being influenced in the performance of an official act or for being induced to take or omit to take any action in violation of his or her official duty.**

## Gifts from Outside Sources

**Executive Branch employees are subject to restrictions on gifts they may accept from outside sources**
**May not accept gifts given because of your official position**
**May not accept gifts from “prohibited sources”**
**Seeking action by agency**
**Doing or seeking business before agency**
**Having interests affected by performance of  duties**

**Notes:**
BLM HQ pragencyres a growing number of instruction memos.  The BLM HQ efoia page has copies of the more recent IMs.  Be sure to check there for IMs that may pertain to a project you’re working on.  
I know that members of the public are interested in these.  However, they are intended for BLM employees.  They are internal documents that serve a number of purposes as mentioned.  Like the BLM Manual, they are binding on BLM but not on the Dagencyrtment.

## Exceptions to Gift Rules

**Exceptions:**
**Snacks **
**Greeting cards, plaques, items of little intrinsic value**
**Rewards and prizes open to the general public or all government employees**
**Paid for by agency**
**Accepted under agency gift statute**
**Travel expenses for meetings (****DI-2000****)**

**Notes:**
Discuss arbitrary and capricious standard.

Discuss how adjudicators can help us be successful.  Preventative measures described above.

## Representation 18 U.S.C. § 203 & 205

**Prohibited Representational Activities:**
-  **assisting in the prosecution of claims against the Government**
** ****acting as agent or attorney before any agency, or federal court **

**Notes:**
We will be discussing each of these in turn and discussing how you can assist the Solicitor’s Office in their work when it’s related to your work or when we are defending an action taken by your office.

## Post Employment 18 U.S.C. § 207

**Bans of varying durations**
**Lifetime ban – specific party matters in which employee was involved**
**Two year ban –matters pending under employee’s official responsibility during final year of government service**
**One year cooling off period – PAS, SES employees, anyone paid $140,216 or more**

## Conflicting Financial Interests  18 USC § 208 

**     ****You are prohibited by a Federal Criminal statute from participating in “particular matters” that will affect certain financial interests**
**Your own**
**Your spouse’s**
**Your minor child’s**
**Your general partner’s**
**An organization you serve as officer, director, trustee, general partner, or employee**
**A person with whom you are negotiating or have an arrangement regarding future employment**

**Notes:**
Discuss arbitrary and capricious standard.

Discuss how adjudicators can help us be successful.  Preventative measures described above.

## Covered Relationships5 C.F.R. § 2635.502

**A member of your household**
**A close personal relation**
**Your child’s employer**
**Your former employer**
**An organization in which you are an active participant**

**Notes:**
Look at example of Barlow briefing paper.  

## Supplementation of Salary 18 U.S.C. § 209

**You may not be paid by someone other than the U.S. for doing your government job**

**Notes:**
Discuss varying levels of opinions.

DM says M-Opinions binding on Dagencyrtment.  Mention dispute with IBLA.

Calling with questions or for advice.  Need for clear factual description.  

## Outside Activities

**You may not receive compensation for teaching, speaking and writing related to your official duties**
**	****- Any matter to which you are assigned       or have been assigned within the  previous year**
** ****	****- Deals in significant part with any policy, program or operation of your bureau**

## Who Files the OGE-4505 C.F.R. § 2634.904

- Any GS-15 or below employee who participates _*personally*_ and _*substantially*_ in:
- Contracting or Procurement
- Administering or monitoring grants, subsidies, licenses or other federally conferred financial or operational benefits
- Regulating or auditing any non-Federal entity

## Who Files the OGE-450cont’d

**Other activities in which the final decision or action will have a direct and substantial economic effect on the interests of any non-Federal entity**

## Who Files the OGE-450cont’d

**	****Any position which  the agency decides must file a report in order to avoid involvement in a real or apparent conflict of interest**
**	****All Special Government Employee’s (unless required to file a SF-278 or granted a waiver by the DAEO)**

## When to File

**New entrants – within 30 days of assuming the position.  Reporting period is 12 months prior to filing date.**
**Annual reports – Reporting period is the prior fiscal year (October 1 – September 30).  Filing period is October 1- 31****.**

## Slide 23

## Slide 24

## OGE-450 Components

**Filer Information**
**Part I – Assets and Income**
**Part II – Liabilities**
**Part III – Outside Positions**
**Part IV – Agreements or Arrangements**
**Part V – Gifts and Travel Reimbursements**

## Filer Information

**Filer’s name and work address/number**
**Filer’s position**
**Date Received by Agency**
**Other Reviewer**
**Filer’s Signature and Date **
**Reviewer’s Signature and Date**

## Slide 27

## Part I – Assets and Income

**Assets with market value > $1,000**
**Assets that accrue >$200 in income**
**Sources of income when >$200**
**Sources of spouse income when >$1,000**
**	****	****(or >$200 honoraria)**

## Slide 29

## Part II - Liabilities

**Report liabilities over $10,000 owed to any creditor at any time during the reporting period.**
**Liabilities exempt from being reported:**
**Cars, household furniture, or appliances**
**Mortgages on personal residences**
**Loans from relatives**
**Revolving charge accounts if the outstanding balance <$10,000 at the end of the reporting period**

## Slide 31

## Part III – Outside Positions

**Include all outside positions, paid and unpaid.**
**(Name of organization, city and state)**
**Exclude *****membership *****in outside organizations.**
**Exclude fraternal, religious, social or political positions.**
**Exclude positions held in an official capacity.**

## Slide 33

## Part IV – Agreements or Arrangements

**Report future employment, leaves of absence, continuation of payments from former employers, continuing participation in employee benefit plans.**

## Slide 35

## Part V – Gifts and Travel Reimbursements

**Filers report gifts >$305 (aggregate those >$114 from one source)**
**	****Do not report:**
**	****	****Gifts from relatives**
**	****	****Travel accepted under 31 USC 1353**
**	****	****Gifts to spouse/child independent of filer**

## Slide 37

## Slide 38

## Slide 39

## Questions or Comments

**If you have any further questions please contact your servicing Ethics Counselor or the Departmental Ethics Office**
**www.doi.gov/ethics**
**202-208-7960**
**Hale_Hawbecker@ios.doi.gov**
**Matthew_J_Costello@ios.doi.gov**

## Site Coordinators

**Please fax your sign-in sheets to the appropriate Ethics Counselor**
**	**

## Fax Numbers

**BIA  ****(202)  219-2432**
**BLM ****(202) 501-6718**
**BOR ****(303) 445-6348**
**FWS ****(703) 358-2127**
**MMS ****(703) 787-1046**

**NPS ****(202) 371-5659**
**OIG ****(202) 219-1944**
**OSM ****(202) 219-3107**
**OS & SOL **
**     ****(202) 208-5515**
**USGS ****(703) 648-4132**