To 
Serve 
With 
Honor 


A Guide on the Ethics Rules 
That Apply to Advisory Committee 
Members Serving as Special 
Government Employees 
  



U.S. Office of Government Ethics 
www.usoge.gov 
March 2008 



Public Service: 
I dont know 
what your destiny 
will be, but one thing I 
do know: The only ones 
among you who will be 
really happy are those who 
have sought and found how 
to serve. 

Albert Schweitzer 


Agency Ethics Points of Contact 


	Name of Committee Official: 
	Telephone: 


	Name of Ethics Official: 
	Telephone: 


You should obtain this information prior to beginning your committee work or 
shortly thereafter. 


Contents 

      - Government Employee Status 
      - Screening for Conflicts of Interest 
      - Financial Disclosure Reports 
      - Financial Conflicts of Interest 
      - Financial Conflicts of InterestImputed Interests 
      - Resolving Financial Conflicts of Interest 
      - Considering Appearance Issues 
      - Outside Consulting Work 
      - Standards of Ethical Conduct Rules 
      - Other Ethics Rules 
      - Post-Employment Laws 
      - Some Final Thoughts 
      - SGE Game Plan for Peak Ethical Performance 

 
To Serve With Honor 

A Game Plan for Success

A Guide on the Ethics Rules 
That Apply to Advisory Committee 
Members Serving as Special 
Government Employees 

Congratulations on becoming a member of the Governments advisory team! In your 
new committee position, you may be helping to shape public policy or making other 
contributions that impact important issues facing our country. Your service on the 
committee will be a rewarding experience. But, while your membership has it rewards, 
it also has its ethical obligations. Being a member of the Governments team means 
youll have to learn to play by the Governments ethics rules. These ethics rules 
help promote public confidence and trust in our Government and in the 
recommendations that your committee will make to the Government. These rules will 
also help ensure that you serve the Government and your committee honorably. 

In this summary, you will learn more about the ethics laws and rules that apply 
to your service as a member of a Federal advisory committee. We will highlight 
some of the ethics rules that are most likely to affect you during your Government 
service. After youve read this pamphlet, you may want to learn more about 
specific ethics rules. Agency ethics officials and committee management officials 
are there to answer any of your questions or to point you in the right direction. 
They will help you even after your committee has finished its work and your 
Government service is done. 

Whether your time on a committee is short or long, understanding these basic 
ethics rules will make your Government service more rewarding for you and for 
your fellow committee members. 


Government Employee Status 

I will be serving on a committee only for a few days a year. 
Am I a Government employee just because I am a member of an advisory committee? 

Not necessarily. However, if you have been given this pamphlet by the agency 
sponsoring your advisory committee, its likely that you are serving as a 
special Government employee (SGE)[1] and are subject to the Governments ethics 
rules. An agency official should determine your employment status and then 
inform you whether you are serving on an advisory committee in an employee status.
 
In general, your status will depend upon what role you will be expected to have 
on the committee. It is very important for you and every member of your committee 
to understand your role on the committee before you even start your committee 
work. If you have not been told, you should ask a committee official or ethics 
official to explain your status so you will know whether you are subject to any 
of the Governments ethics rules. 

If you are serving in an SGE status, you are considered a Government employee. 
Your role as an employee will be to provide your best judgment in committee 
matters that will be presented to you for discussion. As someone serving on 
a committee in an SGE status, you will be subject to most of the Governments 
ethics rules. Many of these rules will be discussed in this pamphlet. 

Keep in mind that some committee members may be regular Government employees. 
Other members may not be serving as employees at all. These non-employee 
members may be serving as representatives of outside organizations. Representative 
members are not subject to the Governments ethics rules because they are only 
on a committee to provide the views of outside interest groups or stakeholders. 

If you are ever unsure about your role or status on an advisory committee, talk 
to a committee or ethics official. In some cases, your committee appointment 
papers will say what your status is and/or the role you will have on the 
committee. However, dont ever begin your committee work until you know what 
your status is going to be while serving on a committee. 

  
Screening for Conflicts of Interest 

Is there anything that I should be doing to comply with the Government ethics 
rules before I begin my committee service? 

Yes. Youll need to get an ethics checkup before you begin your committees 
work. Weve all read press stories about athletes having to pass a physical 
examination before they can start playing for a sports team. One reason that 
teams require athletes to pass such exams is to make sure they are able to 
perform to the very best of their ability. In much the same way, the Government 
wants to ensure that you will be able to perform to the best of your ability 
when you begin working on one of its advisory committee teams. 
 
Your best service is possible only when you are not affected by conflicts of 
interests or appearances of conflicts of interest. Conflicts of interest can 
arise if you have extensive outside activities and financial holdings or other 
interests that relate to the subject matter of your committee service. An ethics 
checkup or a conflict of interest screening helps the Government ensure that 
your committee work is done in a manner that will uphold the Governments high 
ethical standards. 


Financial Disclosure Reports 

What does an ethics checkup involve? Is this exam a one-time event? How will 
I know if I have passed this ethics checkup? 

As with any physical exam, there is always a little bit of paperwork to fill 
out. In general, one of the first forms you have to complete prior to beginning 
your committee work is a financial disclosure report. This report collects 
information about you, your spouse, and dependent children. You will have to 
fill this report out before you give any advice to the agency and in no event 
later than your first committee meeting. You will have to complete this report 
annually if you are reappointed. 

As you know, no exam is ever complete without some amount of probing by the 
doctor. In much the same way, ethics officials will probe and look closely at 
your report to see if any of your financial interests or affiliations may raise 
any ethical flags. In some cases, they may have to ask you additional questions 
about your finances. Keep in mind that this checkup will ultimately benefit both 
you and your committees work. An ethics checkup will protect you from 
unintentionally violating ethics laws and rules. The ethics laws can sometimes 
carry very serious penalties and fines if you violate them by allowing your conflicts 
to go untreated. This exam will help the Government ensure that your advice is free 
from any actual or perceived conflicts of interest. 

Your agency ethics official can tell you more about the financial disclosure 
report, including the type of report you will be required to fill out. Even 
after you have filed your report, you may want to sit down and talk to your 
ethics official about your report if you believe your committee is going to 
work on a matter that may affect one or more of your financial holdings. In 
some cases, a matter that would raise concerns may not have been apparent during 
your initial ethics checkup. You should immediately consult with an agency 
official about this matter. Remember, an ethics checkup is only as good as the 
information you provide to your agency. 


Financial Conflicts of Interest 

I work for a pharmaceutical company, and over the years have received a fair 
amount of stock in the company. What should I do if the work of my advisory 
committee will affect my employer? 

Generally, you may not work on a committee matter that will affect your own, 
or your employers, financial interest. For example, lets say you were serving 
on an advisory committee that is advising an agency on whether it should continue 
a health program that provides nutrition information and free vitamins to children. 
The Government purchases some of the vitamins it distributes from your company. 
It would be a conflict of  interest for you to participate in committee matters 
relating to the distribution of the vitamins, because you both own stock in, and 
are employed by, a company that has a financial interest in the issue. 

Whether you can be involved in committee matters that relate generally to the 
agencys nutrition program depends on how the program will affect your company. 
The agencys ethics official or committee management official will advise you 
on how to proceed. 


Financial Conflicts of InterestImputed Interests 

Would I still have a conflict of interest if I didnt work for the 
pharmaceutical company or own any stock, but my spouse owned stock in the 
company that she bought through her broker? 

Yes. The ethics laws treat the financial interests of the following as if 
they were your own financial interests: 

    Your spouse; 

    Your minor child; 

    Your employer; 

    Your general partner; 

    An organization in which you 
    serve as officer, director, trustee, 
    or general partner; or 

    A person with whom you are 
    negotiating or have an arrangement 
    for prospective employment. 

So, if your spouse owned stock in the pharmaceutical company described above, 
you would still have the same conflict of interest concern described in the 
previous question. 

Conflicts of interest concerns that are not addressed can penalize you and your 
committees work. Ethics officials or committee officials will work with you to 
make sure that you can continue to do your committee work ethically and honorably. 


Resolving Financial Conflicts of Interests 

What steps should I take to avoid violating the Governments ethics rules if I 
have a conflict of interest? 

There are several ways to avoid a conflict of interest while working on a 
committee matter. The most common way is simply not to work on a particular 
committee matter if it raises a conflict of interest for you. For example, in 
the situations discussed above, to avoid what otherwise would be a conflict of 
interest because of your financial interest in the pharmaceutical company, you 
could simply not participate in those committee matters that would affect the 
financial interests of the company. We call this remedy a recusal. 

If you have a conflict of interest, you should consult an ethics official 
because ethics regulations may resolve some of your conflicts of interests. 
For example, there are some exceptions that apply if the value of your stock 
is below a certain amount. Another exception may permit you to participate in 
matters affecting your non-Federal employer in certain cases. 


Considering Appearance Issues 

Am I required to do anything if I have an outside business relationship that 
is not a financial conflict of interest, but just looks bad for my committee? 

Because you serve the Government, you should always conduct yourself in a 
manner that is above ethical reproach. So, even if there is no financial 
conflict of interest, your outside relationships may at times raise questions 
in the publics mind about how fair you can be while working on a particular 
committee matter. For example, appearance concerns may arise when you are 
asked to work on a committee matter that you know may affect a member of your 
household or your former employer or client. In general, you should be alert 
for situations where 

    a former employer, 

    a client of yours or your spouse, 

    a person or organization with 
    which you have some kind 
    of business or contract relation-
    ship, or 

    your spouses employer 
 
will be specifically affected by your committees activities. In some cases, 
it may be appropriate for you not to work on a certain committee matter 
because of appearance concerns. 

Because you are part of the Governments team, you are never alone in dealing 
with these kinds of appearance concerns. If you are not sure whether a 
potential situation could raise an appearance problem, you should stop your 
work on that committee matter and contact your agencys ethics official or 
committee official to discuss your concerns. These officials can help you 
address possible appearance problems. 


Outside Consulting Work 

I have an outside consulting business that requires me to represent clients 
before the Government. Is this O.K.? 

In general, you may not represent another person, whether or not you are 
compensated for the representation, before a Federal agency or court in 
connection with a matter that you have worked on as an SGE. The types of 
representational services covered include written and oral communications, 
as well as making physical appearances on behalf of someone else with the 
intent to influence or persuade the Government. 

Once you have served more than 60 days as an SGE within the previous 
365 days, you may not represent anyone on any matter pending in the agency 
where you serve. Remember, you should always talk to an agency official if 
you are thinking about representing a client before the Government on a 
matter that involves the subject matter of your committees work or the 
overall programs of the agency that is sponsoring your committee. 


Standards of Ethical Conduct Rules 

Are the conflict of interest laws the only ethics rules that I must know 
before I start my work as a committee member? 

There are a number of other important ethics rules that will guide your 
conduct while you are serving as an SGE. Most of these rules are part of 
The Standards of Ethical Conduct for Employees of the Executive Branch 
(Standards of Conduct). As a committee member, you are expected to be 
aware of and follow these basic ethics rules while in Government service. 
Some of the rules you should know include: 

-  Dont accept improper gifts. 

Dont ask for or accept gifts that are given because of your committee 
position or that come from certain prohibited sources. For example, a 
company that does business with, or is regulated by, the agency that 
sponsors your committee is a prohibited source. There are many exceptions 
to this general rule. Find out more about these gift exceptions by talking 
to a committee or ethics official. 
  

-  Dont use public office for private gain. 

For example, you may not use your committee position, title or any authority 
associated with your advisory committee to coerce or induce a benefit for 
yourself or others. 

-  Dont misuse Government information. 

If you get information that has not been made available to the general public, 
dont use (or allow the improper use of) that nonpublic information to further 
any private interest, either your own or anothers. Contact a committee 
official or agency ethics official if you have any questions about whether 
you may release certain types of information. 

-  Use Government property and time properly. 

Always use Government property only for authorized purposes. Government property 
includes office supplies, telephones, computers, copiers and any other thing 
purchased with Government funds. Also, be sure to use your official time to 
carry out committee work. 

-  Dont accept compensation for teaching, speaking, and 
   writing related to your Government duties. 

This restriction applies in narrow circumstances to SGEs. It does not apply at 
all if the compensation is for teaching university courses. And it applies in 
very limited cases if you are an SGE who is expected to serve less than 60 days. 
If you intend to receive compensation for teaching, speaking, and writing that 
is related to the subject of your committees work, talk to an ethics official 
first so that you are sure the compensation is acceptable. 

-  Abide by expert witness rules. 

In general, you cannot be an expert witness in a judicial or 
administrative proceeding if you participated as a Government employee in the 
matter that is the subject of the proceeding. Moreover, if you are appointed 
by the President, serve on a commission established by statute, or 
have served or are expected to serve more than 60 days in a period of 365 days, 
this bar applies to any proceeding in which your employing agency is a party or 
has a direct and substantial interest. 

The rules that govern service as an expert witness can be very complex, so you 
should always get advice from an agency ethics official before you agree to 
serve as an expert. 


Other Ethics Rules 

Are there any ethics rules that may limit my political activities during my 
service on a committee? 

Yes, a law known as the Hatch Act limits certain political activities of 
Government employees, including SGEs when they are engaged in committee work. 
The law has been substantially amended to allow most Government employees to 
engage in many types of political activities. However, you should check with 
your agency ethics official to ensure your activities comply with these laws. 
You may also want to check the U.S. Office of Special Counsels website (the 
agency responsible for enforcing this law) for more information and guidance 
at www.osc.gov. 


Post-Employment Laws 

Do any ethics rules apply to me after my service on an advisory committee has 
ended? 

Yes. Post-employment laws may limit the types of communications you may make 
back to the Government on behalf of another person. 

For example, you may be permanently barred by a criminal law from representing 
anyone else before a Federal agency or court on certain matters (such as a 
contract, grant or even an investigation) that you worked on while serving on 
an advisory committee. 

There are some other restrictions that could apply to your post-Government 
activities, depending on your agency and the function you served in on a 
committee. Your agencys ethics official can help you to understand these and 
other post-employment rules, either before or after your committee service ends. 


Some Final Thoughts 

The Government is very grateful for your dedicated service. Your commitment in 
upholding the integrity of Government service before and even after your 
committee service ends is important and will help maintain public confidence in 
the Governments decision making and in the quality of your committees work. 
We hope this summary helps you to understand how some of the Federal ethics 
rules may apply to you as a Federal advisory committee member serving as an SGE. 
It is now up to you to ensure that you serve with honor by following this game 
plan for successful participation on the Governments advisory team. 
 
In you need more information, please talk to a committee management official or 
your agency ethics official. Like a good coach, these individuals are there to 
help guide you into becoming the best committee member you can be  one that acts 
ethically and responsibly before and after his or her service ends. In this way, 
you can be proud of your service to the Government and to your advisory committee 
team. 


U.S. Office of Government Ethics 
www.usoge.gov 
March 2008 



SGE Game Plan for Peak Ethical Performance 

	1 Dont ever begin your committee work until you know what your role or
  	  status is on a committee. 

	2 Always get an ethics checkup before you begin your committee work. 

	3 Dont work on a committee matter that will affect your financial interests, 
 	  unless some exception allows you to do so. 

	4 Always check with an ethics official if you have any concerns about an 
	  appearance of a conflict of interest. 

	5 Improve your game by becoming more familiar with Government ethics rules, 
	  especially those that are found in the Standards of Conduct and in the Conflict 
	  of Interest laws. 

	6 Talk to your agency ethics official if you anticipate doing some teaching, 
	  speaking, or writing as an outside activity for compensation or engaging in 
	  representational activity before the Government. 


	7 Understand the postemployment rules either before or after your advisory 
	  committee service ends. 

	8 Remember that learning more about the Governments ethics rules will help 
	  ensure that you serve your committee honorably. 

____________

	[1] An SGE is defined as an officer or employee . . . who is retained, 
designated, appointed, or employed by the Government to perform temporary 
duties, with or without compensation, for not more than 130 days during any 
period of 365 consecutive days. See Title 18, United States Code, Section 
202(a).