Source: http://www.usda-ethics.net/rules/rule38.htm
Timestamp: 2013-05-25 05:52:38
Document Index: 207030585

Matched Legal Cases: ['art 2635', 'art 8301', 'art 2638', 'art 8301', 'art 8301', 'art 2634', 'art 2635', 'art 8301', 'art 2635', 'art 1', 'art 1', 'art 501', 'art 404', 'art 501', 'art 2635', 'art 2640', 'art 2634', 'art 2635', 'art 8301', 'art 2635']

ETHICS ISSUANCE: Number 09-1 - DATE: February 13, 2009	SUBJECT: ETHICS ISSUES RELATED TO USDA SCIENTISTS
4.2 "Authorized Departmental Officer's Designated Representative (ADODR)"
4.3 "Adjunct Professor"
4.4 "Consultant"
4.5 "Official Capacity"
4.6 "Outside Employment"
4.7 "Personal Capacity"
4.8 "Prior Agency Approval for Outside Employment"
4.9 "Professional"
4.10 "Science Ethics Advisor"
4.11 "Science Ethics Division"
4.12 "Scientist"
4.13 "Tenure"
4.14 "University"
4.15 "University Employee"
4.16 "Written Agreement"
GUIDANCE RELATED TO CO-LOCATED SCIENTISTS
5. Official Versus Personal Capacity
5.1 Presumption of Official Capacity
5.2 Agency Discretion
5.3 Employee Responsibility
5.4 Accepting Compensation From the University
6. Specific Duties and Activities Involving the University
6.1 Acceptance of Tenure
6.2 Participation in Tenure Decisions
6.3 Teaching Courses
6.4 Serving as Guest Lecturer
6.5 Service on or with University Committees and Other Bodies
6.6 Activities with Students
6.7 Representing the University at Events
6.8 Participation on University Grants
7. Outside Employment with the University
7.3 Requesting Prior Approval for Outside Employment
7.4 Factors for Agency Consideration
7.5 Specific Application to Teaching and Compensated Lecturing Activities
8. Spousal, Partner, and Other Family Involvement with the University
9. Gifts and Supplements to Salary Involving University Privileges and Benefits
9.2 Gifts, Privileges and Benefits Provided to the Agency
9.3 Dual Compensation Concerns: Free or Reduced-cost Tuitions; Housing
9.4 Other Gifts, Privileges and Benefits Provided to the Scientist
9.5 Gifts as Evidence of University Employment
10. Writing for and Participating in Peer Review of Articles for Publication in Scientific and Professional Journals
10.2 Official Capacity
10.3 Personal Capacity
11. Editing Scientific Journals
11.2 Official Capacity
11.3 Personal Capacity
PARTICIPATION IN GRANTS ON BEHALF OF UNIVERSITIES AND OTHER NON-FEDERAL ENTITIES
12. Official Capacity Participation
12.2 Presumption of Official Capacity
12.3 Official Capacity Participation: Requirements
12.4 Permissible Assistance
12.5 Impermissible Assistance
12.6 Letters of Support
13. Personal Capacity Participation
13.1 All Grant Applications
13.2 Grant Applications Submitted to Non-Federal Entities
PARTICIPATION IN SCIENTIFIC & PROFESSIONAL ASSOCIATIONS
14. Official Capacity Participation
14.1 Service as an Officer, Director, Trustee, or Employee
14.2 Service as an Agency Liaison
14.3 Service on Committees and Other Non-managerial Roles
14.4 Attending Association Conferences
15. Personal Capacity Participation
15.1 Service as an Officer, Director, Trustee, or Employee
15.2 Other Active Participation
16. Waivers & Memorandums of Understanding
16.1 Waivers
16.2 Memorandums of Understanding
ACCEPTANCE OF AWARDS AND FELLOWSHIPS FROM NON-FEDERAL SOURCES
17. Nominations Based on Performance of Official Duties
17.1 Prior Agency Approval Considerations
17.2 Addressing Through Written Agreement
18. Nominations Other Than for the Performance of Official Duties
18.1 Gift Rules
18.2 Pre-Award Conflict/Impartiality Concerns
18.3 Post-Award Conflict/Impartiality Concerns
VI.A. ACCEPTANCE OF A FULBRIGHT AWARD
TESTIMONY AND CONSULTING
20.1 Generally
20.2 Expert Testimony
20.3 Misuse of Official Position
21.1 Outside Employment
21.2 Compensated Services in Support of Representation
21.3 Misuse of Official Position
USE OF OFFICIAL TITLE AND POSITION
22. Official Capacity
23. Personal Capacity
24. Letters of Recommendation and Endorsements
24.1 Employment Recommendations
24.2 Official Endorsements
Back to top	PATENT RIGHTS, ROYALTIES, AND LICENSING AGREEMENTS
25. Inventions Made in Connection with Federal Employment
25.2 Effect of FTTA Royalty Payments
25.3 Conflict with Employee-Owned Foreign Invention Rights
26. Pre-existent Rights
Appendix A: Controlling Statutes and Regulations
Appendix B: Conflict Definitions
Appendix C: Adjunct Professor Questionnaire
Appendix D: Liaison Designation Letter
I. GENERAL	1.	Purpose
Ethics Issuance establishes guidelines for applying the Standards of
Ethical Conduct for Employees of the Executive Branch (5 CFR Part 2635), the Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture (5 CFR Part 8301), and Federal conflict of interest statutes (18 U.S.C.
�� 202-209) to personnel of the Department of Agriculture (Department
or USDA) who are employed as scientists. That said, the rules discussed
herein are applicable to all employees, irrespective of whether they
serve in specific science-based job series', perform managerial duties,
or perform non-scientific duties related to, or in direct support of, USDA scientists. While guidance found in Part II of this issuance is focused upon USDA research scientists co-located at universities, guidance found in Parts III through VIII are applicable to USDA scientists, as a whole. Ethics Issuance 04-2, Adjunct Professors, is hereby abolished and superseded.
II and IV of the Ethics in Government Act of 1978, as amended, direct
Executive branch departments and Federal agencies to administer an
effective ethics program that must include training, counseling,
financial disclosure reporting, and other related responsibilities. The
program requirements for the ethics programs of executive departments
or executive agencies are set out in 5 CFR Part 2638.
is a key component to the overall mission of USDA. The Department
utilizes the services of scientific personnel in the following six of
its seventeen agencies: Agricultural Research Service (ARS), U.S.
Forest Service (FS), Cooperative State Research, Education, and
Extension Service (CSREES), Natural Resources Conservation Service
(NRCS), Food Safety and Inspection Service (FSIS), and Animal and Plant
Health Inspection Service (APHIS). USDA scientists are at the forefront of scientific developments in numerous fields. At
the same time, science is a collaborative profession. Hence, science,
as both a profession of the employee and as a mission of an agency,
often requires close interaction with non-Federal individuals and
entities. 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. At the same time, Federal budgetary
limitations necessitate that agencies seek opportunities to partner
with non-Federal entities in order to accomplish Agency scientific
projects and goals. Often, in this environment, the lines between
public and private interests become blurred. 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. At the same time, their scientific efforts are
not undertaken in a vacuum. Rather, the Federal scientist must
undertake his/her work mindful not only of the dangers that conflicts
of interest and ethical risks pose to him/her personally, but also of
the dangers that the very appearance of conflict and loss of
impartiality pose to the public's perception of the overall integrity
of the Agency's programs.
In this vein, a major area of concern involves USDA
scientists who are co-located at universities and who are assigned to
perform duties at Federal laboratories located on university campuses.
Some Agency programs require employees to be stationed at or near
universities and to perform official duties at those university
locations. Frequently, employees will engage in activities on behalf of
the Agency that affect or involve those universities. On many
occasions, universities will designate Agency employees with "adjunct
professor" or similar titles. Beyond this, numerous other issues affect
most, if not all, USDA
scientists who work in association with academia and industry.
Participation in peer review activities is essential for the
professional growth of scientists. However, whether, and to what
extent, a scientist may participate in such activities as a Federal
employee is affected not only by a variety of Federal ethics
restrictions and appropriations issues not faced by their private
sector counterparts, but also by the very nature of their duties.
Furthermore, whereas close collaboration with non-Federal scientists
may be essential to some USDA
scientists performing research, such close cooperation may well pose an
unacceptable level of ethical risk for other scientists, such as those
who are responsible for the award and administration of Federal grant
4.1.	General. Definitions for the following terms are found in Section 4 of Ethics
Issuance Number 02-2, "Delegations of Authority and Responsibility," dated November 5, 2002.
Alternate DAEO Confidential Filer Deputy Ethics Officials (DEOs) Designated Agency Ethics Official (DAEO) Director, OE Ethics Advisors
Ethics Assistants Office of Ethics (OE)
U.S. Office of Government Ethics (OGE) 4.2. "Authorized Departmental Officer's Designated Representative (ADODR),"
in connection with extramural agreements involving grants and
cooperative agreements entered into by agencies within the Research,
Education & Economics (REE) mission area, the ADODR
is responsible for directing technical performance, providing oversight
of the project, and assuring fiscal accountability for extramural
agreements delegated to his or her authority. As set out in REE
Policies and Procedures 701.1, the authority of the Administrator, ARS
to sign these agreements is delegated to an Authorized Departmental
Officer (ADO). The ADODR
is responsible to the ADO. The titles ADO and ADODR are basically
synonymous with the more commonly known titles "Contracting Officer"
and "Contracting Officer's Technical Representative" which are terms
used in the procurement arena. 4.3. "Adjunct Professor," is a generic title with no specific meaning. What an "adjunct professor" is contextually depends upon the rights, privileges, duties and
obligations conveyed with the title from a given university to a specific employee for an
indeterminable or specified period of time. Some universities may vary their terminology. For example, some universities might use the term "Special Membership
on the Graduate Faculty," "Courtesy Faculty," or simply "Faculty." Whether one's status
as an adjunct professor" creates, or is likely to create, a conflict of interest or other ethical
problem will depend upon the rights, privileges, duties and obligations bestowed
by the University or assumed by the employee. For purposes of this issuance, the term "adjunct professor" will include any term, except "tenure," that a university uses to confer status.
4.4. "Consultant," means one who provides "consultative services," as defined at
5 CFR � 5501.106(b)(2). "Consultative services," under this section, means
"the provision of personal services by an employee, including the rendering of advice or consultation, which requires advanced knowledge
in a field of science or learning customarily acquired by a course of specialize instruction and study in an institution of higher education,
hospital, or other similar facility."
4.5. "Official Capacity,"
means that the employee's activities are deemed by the Agency to be in
furtherance of an Agency mission and can reasonably be considered as
being part of that employee's official duties. "Official Capacity"
generally refers to an activity that is conducted (1) when the employee
is on official time; (2) through the expenditure of Agency funds; or
(3) in a manner that otherwise indicates that the employee is
participating on behalf of the Agency. Simply put, a Federal employee
is required to use official time, official facilities, and official
services, solely for the official work of the Federal Government (see 5
CFR �� 2635.704-705). 4.6. "Outside Employment," under 5 CFR
part 8301, includes: (1) "any form of non- Federal employment or
business relationship or activity involving the provision of personal
services by the employee for direct, indirect, or deferred compensation
other than reimbursement of actual and necessary expenses;" and (2)
irrespective of compensation, the providing of "personal services as a
consultant or professional, including service as an expert witness or
as an attorney[.]"
4.7. "Personal Capacity," means any activity that is not accomplished in the employee's
official capacity (see 4.5, above). To the extent that an activity with a partner or university is not deemed by the Agency to be directly related to the accomplishment of
its mission, the Agency may permit the employee to engage in such activities, where
appropriate, in his or her personal capacity, or, in other words, generally on one's own
time and at one's own cost. One's "own time" is that time in which the employee is not
working for the Government - after hours and on weekends, annual leave, leave without
pay, and administrative leave (i.e., authorized absence without charge to leave). NOTE: Management should use discretion when approving administrative leave and consider circumstances on a case-by-case basis. 4.8. "Prior Agency Approval for Outside Employment," under 5 CFR � 8301.102(a), means that an "employee, other than a special Government employee, who is required
to file either a public or confidential financial disclosure report (SF
278 or OGE Form 450), or an alternative form of reporting approved
by OGE, shall, before engaging in outside employment, obtain written
approval" from his or her Agency to engage in such employment. 4.9. "Professional," in the context of the services provided by an individual, is defined, consistent with 5 CFR
� 2636.305(b)(1), as one who pursues, as a means of livelihood, a
calling requiring specialized knowledge, often requiring long and
intensive preparation, including instruction, in skills and methods, as
well as in the scientific, historical or scholarly principles
underlying such skills and methods. "It is characteristic of a
profession that those in the profession, through force of organization
or concerted opinion, establish and maintain high standards of
achievement and conduct, and commit its practitioners to continued
study of the field." 4.10. "Science Ethics Advisor,"
refers to any ethics advisor within OE with either general or specific
responsibility for providing ethics advice and guidance on ethics
issues related to scientists. The OE Director, Deputy Director, and
Senior Ethics Specialists have a general responsibility for providing
such ethics advice; ethics advisors assigned to the Science Ethics
Branch within OE have the specific responsibility for providing such
advice. 4.11. "Science Ethics Branch,"
refers to a subordinate component of OE charged with providing ethics
services to: All employees of the Research, Education and Economics
mission area; and employees specifically-designated by FS, NRCS, and
APHIS to receive such services from this division.
4.12. "Scientist,"
for purposes of this issuance, is considered a professional, or person
with expert knowledge learned in one or more areas of organized
knowledge and who uses the scientific method to conduct research, or
creates theories, hypotheses, or models to explain observable
phenomena, or who creates processes and procedures by which scientific
knowledge is applied to real-world situations, or establishes protocols
based on natural or physical sciences that evaluate and strengthen
policy and programs. The term includes persons in non-research
capacities whose work is primarily engaged with the management of a
natural or social science discipline within an agency of USDA.
4.13. "Tenure," is a permanent
appointment of a university faculty member. A tenured appointment
normally may not be terminated except for cause, for reasons of
financial emergency, by resignation, or by retirement. It normally is
granted only by specific faculty and administrative action. Tenure at a
university usually implies a commitment by the faculty member to
participate in professional faculty activities, and the commitment
continues for as long as the appointment continues. NOTE:
Because of the professional obligations on tenured faculty, any tenure
appointment - with or without pay -- held by an Agency employee should
be presumed to constitute outside employment with the University and,
hence, a financial interest which can conflict with the employee's
subsequent involvement in official duties with or affecting the
University, including research science accomplished in conjunction with
the University (see sections 6.1 and 7.5). 4.14. "University,"
means an institution of higher learning authorized and generally
recognized by competent crediting authority to issue bachelors or
higher degrees to students after a period of study and after meeting
the requirements for the degree. For purposes of this issuance, a
"college" that grants bachelor or higher degrees is considered the same
as a "university." The term includes all parts of a university or
college, including all institutions in a multi-institution State or
city system. 4.15. "University Employee,"
means generally a relationship recognized in law between the individual
and the University wherein the University has the right to control and
direct the individual in the performance of services for the
University. Whether a USDA
employee is, in fact, an employee of the University is determined under
the governing state statutes and case law. Thus, it is not unusual for
an employment relationship to exist under one statute (e.g., a tort
claims statute), but not for another (e.g., a worker's compensation
statute). Payment or receipt of compensation
for services is an indication of an employment relationship with the
University; however, the fact that services are provided without
compensation does not mean that an employment relationship does not
exist. NOTE: While a Federal
scientist who seeks outside employment with the University, usually
will be required to seek prior Agency approval for outside employment
under 5 CFR � 8301.102,
one can be or become a "University employee" even if not required to
seek prior approval. For example, in situations where an individual
provides uncompensated services to the University, the individual could
be deemed a University employee even where possibly not required to
seek prior Agency approval. 4.16. "Written Agreement,"
as used in this issuance, means an appropriate document authorized by
law between an Agency and a non-Federal entity setting out the terms
and conditions of the relationship between the two entities. This
phrase includes a Cooperative Research and Development Agreement
(CRADA) or other cooperative agreement (CA), or a memorandum of
understanding (MOU), as well as, where appropriate, a contract, loan,
or grant. If an Agency intends to rely upon a written agreement in
order to justify actions taken by its employees that are addressed in
this issuance, the written agreement must: (1) contain specific
language addressing the issue; and (2) the language must either have
been reviewed and approved by the Office of the General Counsel (OGC)
and OE, or be consistent with language previously approved by the
Office of the General Counsel (OGC) and OE.
II. GUIDANCE RELATED TO CO-LOCATED SCIENTISTS	5.	Official Versus Personal Capacity. The
first issue a Government manager or employee must consider in engaging
in activities with the University is whether the activities are
properly undertaken in the employee's official capacity (as part of his or her official duties), or whether those activities are more appropriately undertaken (if at all) in one's personal capacity. 5.1. Presumption of Official Capacity.
Given the high degree of interaction between co-located Agency
scientists and the University, as well as the fact that the Agency
scientist's very presence at the University is the direct result of his
or her Federal employment, Agency managers and supervisors should presume,
in absence of a conclusive showing otherwise, that activities
undertaken by Agency scientists with the University are undertaken in
the employee's official capacity - that the
offer from the University for the employee to participate in the
activity is based either upon his or her official position, or upon
official duties with the University. To the extent that an employee
seeks to justify participation in an activity with the University that
otherwise is properly undertaken in his/her personal capacity, the
employee must prove conclusively to Agency management that the activity
with the University is completely unrelated to the employee's official
duties with the University and that the activity poses no additional
conflict of interest or other ethical concern.
5.2. Agency Discretion.
While Agency management has wide discretion in determining what
activities are in furtherance of the Agency mission, the manager must
be able to describe how authorized activities fall within the intended
purposes of the Agency appropriation from which the employee is paid.
In this context, a Federal employee may be assigned to perform services
in connection with the University if there is a direct tie to the accomplishment of the Agency mission.
Official participation in activities that have little or no direct
relationship to the accomplishment of the Agency mission can place
employees in jeopardy of, amongst other concerns: being outside the
scope of their employment and, thereby, subject to personal liability
for their actions; and violating the Federal Anti-Deficiency Act, 31 U.S.C.
�1341. That said, where an employee's performance of official duties
could present ethical concerns if performed other than properly within
the scope of his or her official duties, the Agency should consider
incorporating the performance of such duties into a written agreement.
5.3. Employee Responsibility.
Where authorized to participate in an official capacity, the employee
should participate in the duty solely to represent the interests of his
or her Agency. In such capacity, an Agency employee owes his or her
first duty as an employee to the Federal Government and is bound, at
all times, by statute, executive order, and regulation of the Federal
Government. 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
5.4. Accepting Compensation From the University. The Agency scientist 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. Acceptance of
compensation from a non-Federal source for the performance of official
duties could violate 18 U.S.C. � 209. [See specific application to teaching and lecturing activities under 6.3 and 6.4, and to compensation discussions in 7.2 and 9.3,
below.] Acceptance of compensation from the University may only be
done, if at all, as Agency-approved outside employment and only where
such outside employment does not conflict with the employee's ability
to lawfully perform his or her official duties [For conflict issues
concerning outside employment, see section 7, below.]. NOTE:
The scientist may not circumvent this prohibition by designating
donation of offered compensation to a nonprofit entity, or other
recipient, in lieu of acceptance.
6.	Specific Duties and Activities Involving the University. 6.1.	Acceptance of Tenure. Given the degree of close interaction between the Agency and the University, Agency managers should presume that an offer of tenure from the University to an Agency scientist who is co-located at that University is related
to the scientist's official duties with the University or based upon his or her Federal
status. Official Capacity. Tenure constitutes an employer-employee relationship with the University. Acceptance of such creates a conflicting financial interest under 18 U.S.C. � 208 with any official duties that the scientist performs in connection with the University. Accordingly, an Agency scientist may not accept tenure from a University that is in any way related to his or her official duties with the University. Personal Capacity.
In very rare cases, where tenured status may be offered wholly
unrelated to official duties or status (e.g., where based upon the
scientist's prior non-Federal faculty service with the University),
acceptance must be treated as a request to engage in outside employment
with the University. However, in approving such a request, Agency
managers must consider the fact that University employment creates a
financial interest in the University and that, as a result, the
scientist must recuse himself or herself from performing official
duties (including scientific research) that affect the financial
interests of the University. See 7.3, below. 6.2.	Participation in Tenure Decisions.
Given that the granting of tenure falls within the internal business of
the University and given the importance which tenure status has upon
the financial interests of the tenure candidate and the University,
Agency managers should presume
that the University, in asking the scientist to participate in its
tenure deliberations, seeks the scientist's involvement in his or her official capacity
and the Agency manager should then ensure that any such involvement be
limited in a manner that best protects the interests of the Federal
Government. Permitted: Tenure Evaluations. Where authorized in advance by the Agency, including where provided for pursuant to a written agreement,
a scientist may provide the University with an appropriate written
statement concerning that scientist's evaluation of the professional
qualifications of a University tenure candidate. Factors to consider in
determining whether an evaluation is appropriate may include (but need
not be limited to) the following: The University submits a request to the Agency for the scientist's statement;
The scientist's statement expresses the scientist's evaluation of the candidate's scientific credentials; The
evaluation will be based upon observations that the Agency scientist
made during performance of his or her official duties as a Federal
The statement avoids making a tenure recommendation.
NOTE: For Letters of Recommendation requested of an Agency scientist other than in connection with tenure, see Section 21, below.
Other than as set forth above, an Agency scientist may not participate
in internal University deliberations or decisions concerning tenure,
including serving as a member of a tenure committee.
6.3.	Teaching Courses.
Official Capacity. Where
authorized by statute and/or required or permitted by the Agency
pursuant to a written agreement between the Agency and the University,
an employee may engage in teaching a full-semester/quarter/term course
where the Agency determines that teaching of the course furthers the
mission of the Agency and the University does not compensate the
scientist or provide any benefits to the scientist based upon the
teaching activity. Personal Capacity. In contrast to guest lecturing activities, below, teaching duties, whether paid or unpaid, may result in the scientist being deemed a university employee under the governing state law. The scientist is providing service as a professional.
Moreover, the teacher is responsible for writing and grading exams,
course preparation, and is subject to University control and student
appraisal. Accordingly, teaching activities that are not deemed to be
part of the scientist's official duties must be treated as outside
employment with the University. To avoid a conflict of interest, the
scientist must then recuse himself or herself from performing official
duties that affect the financial interests of the University. See Section 7, below. Example: An Agency scientist currently serves as a paid, part-time professor
at X University. She has collaborated, in her personal capacity, with scientists
at the University in preparing a research grant application for submission to
USDA as part of a competitive process. As the financial interests of the
University are imputed to her, she risks violating 18 U.S.C. � 208 by
participating in peer review of any applications submitted as part of that
competitive process, serving on any recommendation or selection panels for
awarding funds as part of that process, serving as ADODR, or serving as a
formally-designated university investigator on the grant application. NOTE:
If she is listed as Principal Investigator on the grant application, or
if she defends the grant application before any Federal Agency,then she
could violate 18 U.S.C. � 205 by unlawfully representing the interests of the University before a Federal agency.
6.4.	Serving as Guest Lecturer. Official Capacity.
An employee may be assigned, as part of his or her official duties, to
serve as a guest lecturer discussing matters related to the employee's
official duties. This is merely utilizing an opportunity to inform the
public of relevant Federal Government programs and operations. Where
assigned or performed as part of one's official duties, the following
rules apply: The scientist may not accept any form of compensation
for the lecture. The scientist also may not designate donation of
offered compensation to a non-profit entity in lieu of acceptance;
The scientist must ensure that he or she does not use any non-public USDA information without getting proper Agency clearance to do so; and
Where necessary, the scientist will provide all proper disclaimers.
Personal Capacity. If not assigned as, performed as part of, or directly related to, the employee's official duties, an employee may serve as a guest lecturer in his or her personal capacity subject to the following ethics considerations: Compensated Activity.
This is to be treated as outside employment with the University. The
scientist must then recuse himself or herself from performing any
official duties that affect the financial interests of the University.
See Section 7, below. NOTE: While it may not be
impossible for the scientist to still perform his/her official duties
despite being a University employee, it may be very difficult to do so.
A very careful ethics assessment will have to be made.
Uncompensated Activity.
The only management concern should be whether there is any appearance
of Agency sanction or use of non-public information. To that end: (1)	The scientist must ensure that he or she does not use any non- public USDA information without obtaining in writing proper Agency clearance to do so; (2) The scientist must ensure that his or her official title is not
displayed employed prominently on any materials related to the lecture,
or used prominently in the lecture; (3)	The scientist must not convey or give the impression that USDA endorses or sanctions his or her activities or the contents of his or her lecture; and
(4)	Where necessary, the scientist must provide all proper disclaimers.
1: An Agency scientist is asked to present guest lectures in a course
at the University. The scientist is a recognized expert on the subject
of the course and the subject matter of the course relates to his or
her official duties with the University. The supervisor may determine
that the scientist may present the lectures as an official duty.
Because this is an official duty, the scientist may not accept
compensation for the activity from any source other than his or her pay
from the Federal Government; however, the activity presents no
"employment" relationship requiring either recusal under 18 U.S.C.
� 208, or a request for prior approval before engaging in the activity,
and it does not need to be reported as an Outside Position in the
employee's financial disclosure report.
2: Same facts as in Example 1, except that the subject relates only
generally to his official duties. The supervisor may determine that the
scientist may present the lectures as an official duty [see Example 1,
above], or may decide that the lecture should be performed in the
scientist's personal capacity. If presented in his/her personal
capacity, the employee he may accept compensation,
depending upon prior approval by the Agency based, upon the
determination that the resulting "employment" relationship, and
residual impartiality concerns, do not interfere with his performance
Example 3: An ARS
scientist has been granted an "adjunct professor" title by the
University where he is stationed. The scientist performs no tasks on
behalf of the University. He is not employed by the University. The
scientist is asked to serve as a guest lecturer for a graduate seminar
in his area of expertise. The seminar meets during official duty hours.
He may do so if the Agency determines that the guest lecture is an
appropriate use of official time. There is no conflict. 6.5.	Service on or with University Committees and Other Bodies. Agency
managers should presume that an invitation issued by the University to an Agency scientist co-located at that University is related to the scientist's official duties with the University or based upon his or her Federal status. Official Capacity: Membership Permissible:
Agencies may permit their scientists to serve officially as members of
University committees/bodies that directly affect the needs of the
Agency and the Agency's interest in dissemination of Agency scientific
knowledge at the University, and which do not involve the internal
business of the University. Examples of appropriate committees and
bodies would include those that deal with: (1)	Space, facilities, and equipment;
(2)	Curriculum; and
(3)	Graduate Students' Masters Theses and Doctoral Dissertations.
A University asks a co-located Agency scientist to serve on a committee
that determines the working, office and storage space to be allocated
within University facilities to all persons employed in those
facilities. The space utilized by Department employees may be affected
by decisions or recommendations made by such committees. A supervisor
or manager may authorize the employee's participation as an official
Impermissible. Agencies may not
assign or authorize official service by Agency scientists as members of
committees/bodies that are responsible primarily for internal
University matters. Federal participation in the internal business of
the University is normally not part of the mission of the Agency as
authorized by Congress and could well subject the Federal government
and/or the participating employee to liability. Examples of such
committees/bodies include: (1)	Budget and/or Finance committees;
(2)	Tenure committees;
(3)	Employee/Faculty Search committees; and
(4)	Faculty/Academic Senate.
Official Capacity: Liaison.
Where an Agency scientist may not serve officially on a University
committee or body, he or she may still attend meetings and appear
before any such committee or body of the University in an official
capacity as an Agency liaison in order to obtain or provide information
relative to a committee/body decision that impacts the work of the
Agency. The Agency employee may present the Agency's views on the
matter before the committee or body, but may not otherwise participate
in deliberations or decisionmaking. Example: An Agency scientist has been invited to serve on
the University's Budget Committee. The supervisor should not authorize
participation as a committee member. Active Agency involvement in
internal University finances and administration also may subject the
Agency and/or scientist to liability. However, the Agency scientist
could be authorized to appear before the Finance Committee to provide
information relevant to the Committee deliberations affecting the
Agency and may advocate the Agency's position. Personal Capacity. An Agency scientist may serve as a member of a University committee or body in his or her personal capacity only where:
clearly indicate that the invitation to serve is completely unrelated
to either the scientist's official duties at the University, or his or
her Federal status; The committee or body is not ordinarily involved in University finances, personnel or administration; and The function of the committee or body ordinarily has no other significant impact on the Agency.
An NRCS scientist who graduated from the University where she currently
is co-located, could serve, in her personal capacity, on an Alumni
Committee. However, it is recommended, given the close relationship of
the Agency to the University, that the scientist not be involved in
efforts by the Alumni Committee that involve fundraising, or that
otherwise enter into internal University finances or administration.
6.6.	Activities with Students. Official Capacity.
Where involvement with students directly relates to the Agency's
mission at the University, and with Agency approval, Agency scientists may participate in their official capacities in such activities as mentoring students.
Example 1: An FS scientist has been granted an "adjunct professor" title by
the University where he is stationed. The scientist performs no tasks on behalf
of the University. In the laboratory on the University campus, the scientist
works daily alongside graduate students, one of whom seeks a Ph.D. degree in
the scientific expertise of the FS scientist. The University seeks permission of
the FS to have the scientist serve on the student's graduate committee. If FS
authorizes the use of official time for this purpose as being in furtherance of the
Agency's mission, the scientist may serve on the graduate committee in his
official capacity. There is no conflict.
2: An ARS scientist is recognized for his or her expertise in genetics
of vegetable crops. A University Ph.D. candidate in that same
discipline and studying in the same laboratory asks that the scientist
serve on his or her doctoral committee. The Agency supervisor may
determine, based on all the facts, that the scientist may serve because
the activity promotes the statutorily mandated goal of the Agency to
promote research in that specific scientific field. Personal Capacity. Where the relationship between the scientist's work with students and the Agency mission is less clear, the Agency manager may permit the scientists to participate in his or her personal capacity.
After considering relevant circumstances, a supervisor may determine
that an Agency scientist should not participate as an official duty on
the committee of a Ph.D. or Master's degree candidate. The scientist is
not thereby precluded from participating on the committee, but the
participation must take place on the personal time of the scientist
without cost to the Government. 6.7.	Representing the University at Events.
Given the close relationship between Agency scientists co-located at
Universities and University scientists, roles become blurred. This can
lead to engaging in activities that unwittingly result in conflicts of
interest. Accordingly, Agency scientists co-located at a University may
not represent the University, or represent themselves as University
employees, at professional society meetings/ conventions or at other
activities or occasions. At all times, they are Federal employees whose
first duty it is to represent the United States Government and their
6.8.	Participation on University Grants.
Given that a grant is directly tied to University finances, any
involvement by Agency scientists in such grant applications should be undertaken only in an official capacity (as part of the official duties of the scientist) and in accordance with the guidance set forth in Part IV, below. 7.	Outside Employment with the University. 7.1.	General. If an Agency scientist is performing duties that create an employment relationship with the University, or is negotiating for employment with the University, the employee has a financial interest in the University and has a potential conflict of interest under 18 U.S.C. � 208 in terms of performing his or her official duties. If the interests of the University are imputed
to the Agency scientist, that individual, as well as Agency managers
approving the activity, must be concerned about the possible
implications of any official duty/ action affecting the University that
the employee might take or recommend.
7.2.	Compensation. While the presence or absence of compensation is a major indication that an individual is in the employment of another; it is not the only factor. See 5.4., above. 7.3.	Requesting Prior Approval for Outside Employment.
If an Agency employee is required to file a public or confidential
financial disclosure report, or if the employee is otherwise required
to do so by his or her Agency's Supplemental Agency Ethics Regulation
[see 5 CFR part 8301], the employee must seek prior approval for outside employment from the Agency before engaging in outside employment. Application of the definition of "outside employment" at 5 CFR
� 8301.102(b) determines whether the employee needs to request prior
approval for outside employment. Consult with a Science Ethics Advisor
to ensure compliance with your Agency's specific requirements. The form
provided in Appendix C may be used by employees and management to clarify the nature of the relationship between the employee and the University.
Additional Responsibilities of the Science Ethics Division of OE:
Ensure that managers, supervisors, and employees are aware of the requirements of this issuance;
Document the methods used to make employees aware of these requirements; and
Make the information available, upon request, to the DEO and/or other ethics officials. 7.4.	Factors for Agency Consideration.
Agency managers and supervisors, in determining whether to permit a
scientist to participate in teaching activities as part of outside
employment, must consider the following statutes and regulations:
5 CFR � 2635.807. Teaching, speaking, and writing restrictions. As a
general rule, employees may not receive compensation from a source other than
the Federal Government for teaching, speaking, and writing that relates to their official duties. Managers must determine how close the subject of the lecture relates
to the employee's official duties. 18 U.S.C. � 209. Dual Compensation.
To the extent that the lecturing, teaching, or any other activity with
the University is deemed to be an intrinsic part of the employee's
official duties, receiving compensation for engaging in that activity
could violate this statute.
18 U.S.C. � 208. Conflicting Financial Interests. University employment, even if uncompensated, creates a conflicting financial interest in the University.
An ARS scientist has been granted an "adjunct professor" title by the
University where she is stationed. The scientist, based on her
scientific credentials earned while a professor at the University prior
to accepting USDA
employment, has been invited to serve on the University's tenure
committee. Hence, she will serve on this committee in her personal
capacity. The Agency notifies the scientist that she is to be assigned
as ADODR
to provide financial oversight of a temporary agreement with the
University's School of Agriculture. While there is no pay involved,
there would be a conflict for her to serve as ADODR while still sitting on the tenure committee. The duties would constitute an employment relationship with the University. NOTE:
Since serving on a tenure committee involves solely internal University
interests, the scientist could not undertake them, nor could the Agency
assign them to be performed as part of her official duties. 5 CFR � 2635.502. Loss of Impartiality. [Agency managers take note.]
While the aforementioned term of employment may be very brief, the
decision to approve outside employment with the University may have a
much longer practical affect. The rules against loss of impartiality
generally impose a one-year prohibition following the end of the employment relationship upon an employee participating personally and substantially in any particular matter involving specific parties in which the former employer is or represents a party (e.g., a cooperative agreement of grant application).
5 CFR �� 2635.702 and 703. Misuse of Position.
Particularly where the teaching activity involves subjects related to
the employee's official duties, the employee must ensure that his/her
or her teaching does not violate 5 CFR
� 2635.702(b) by giving the audience the impression that the facts
presented or opinions provided are those of the Agency, or are
otherwise endorsed or sanctioned by the Agency. The employee also must
avoid violating 5 CFR � 2635.703, by improperly utilizing non-public information, as stated above.	5 CFR Part 2634.
If the employee files a financial disclosure report as part of his or
her official duties, the paid teaching activity must be reported.
7.5.	Specific Application to Teaching and Compensated Lecturing Activities.
Immediate Conflict of Interest Concerns. To the
extent that Agency managers approve outside employment in the form of
teaching, or compensated lecturing, managers should be aware that the
conflict status under 18 U.S.C.
� 208 remains in existence from the date on which the employee began
discussions with University officials concerning the possibility of
teaching a course or compensated lecturing through either: (a) the date
on which the teaching or lecturing activity is completed; or (b) the
date on which any compensation to be paid for the teaching or lecturing
activity was received in full, whichever is later.
Example: You are a scientist
assigned to work at University X. You also are a part-time paid
professor at the University. Your agency assigns you to review a grant
proposal from the University and to recommend whether to award the
grant. You may not do so. As a paid professor, you clearly are a university employee. If you participate in any way in reviewing the grant proposal, such as by making a recommendation, you violate 18 U.S.C.
� 208 because the interests of your outside employer are imputed to you
and you have taken an official action affecting those financial
interests. You must disqualify yourself or terminate the employment
relationship with the University. Also see the impact of the
impartiality rules below.
Extended Loss of Impartiality Concerns. As noted
above, when the term of University employment ends, the scientist still
must be recused for a period of one year from participating in matters
in which the University is a party (e.g., a cooperative agreement or
grant application). Example: The same facts as in
the prior example, except that you have just recently finished and have
been fully-paid for teaching the course for the University when the
Agency notifies you that you are being assigned to review the
University's grant proposal. Under 5 CFR
� 2635.502, you still would be unable to participate in such duties for
a period of one year after the end of your employment relationship with
the University unless you receive specific permission to do so from the
Agency under 5 CFR � 2635.502(d). Even as a former employee, you remain, for one year, in a "covered relationship" with the University.
8.	Spousal, Partner, and Other Family Involvement with the University. It
is not unusual for Universities, in an effort to attract certain Agency
scientists to their campuses, to offer employment opportunities for a
spouse, non-spousal partner, or other family member. Depending upon the
circumstances surrounding the involvement that this person has with the
University, an employee who is an Agency scientist co-located at that
University may face either conflict of interest, or loss of
impartiality concerns. Where the official actions of the Agency
scientist can have a direct and predictable effect upon the financial interests of a spouse or minor child, a conflict of interest, under 18 U.S.C. � 208
may result. Where the same situation involves a non-spousal partner, or
an adult child (or other household member, or other close family
member) at the University, the employee does not have a conflicting
financial interest, but still faces potential impartiality concerns
under 5 CFR � 2635.502. NOTE: Examples 1 through 4, below, specifically deal with spouses in order to show the interaction between the criminal statute, 18 U.S.C. � 208, and the regulatory rule regarding impartiality, 5 CFR � 2635.502. Were the following situations to involve significant others, only 5 CFR � 2635.502 would be at issue. Example 1: Spouse as University Trustee.
Louise, an Agency biological scientist, is stationed at a university.
She marries Joe, a Trustee of the University. The Agency notifies
Louise that she is to be assigned as ADODR
University School of Agriculture. Joe, the husband, as a Trustee,
possesses the financial interests of the University as his own; thus,
the full interests of the University are imputed,
in turn, to Louise, the Agency scientist. Louise, faces a conflicting
financial interest. She must notify her supervisor of the conflict of
interest and disqualify herself from the assigned task. Example 2: Spouse as Professor whose professional success may be directly affected by the Agency scientist.
Same facts as in Example 1, above, except that Joe is an Associate
Professor in the University's School of Agriculture. The Agency
notifies Louise that she is to be as ADODR
of the temporary agreement. Her husband directs the project on behalf
of the University. Unlike service as a Trustee, Joe's employment
relationship with the University does not impute the financial
interests of the University to Louise; however, still imputed to Louise
are Joe's financial interests in his position. Thus, where her
performance of official duties as ADODR
may have a direct and predictable effect (impact) upon on whether Joe
will retain his position, level of salary, career prospects (such as
tenure), or continued responsibility for the project, will determine
whether her participation as ADODR constitutes a criminal conflicting financial interest, or a loss of impartiality. In this case, Joe's
interests will be directly and predictably affected by Louise's performance of her duties as ADODR.
She must notify her supervisor of the conflict of interest and
disqualify herself from the assigned task. However, see Example 3,
below, concerning remaining impartiality concerns.
NOTE: If the Agency chooses to still have her perform the ADODR duties, the standard for a determination authorizing participation despite appearance of impartiality [see Example 3, below] in accordance with 5 CFR � 2635.502(d) is not as strict as the standard for a criminal conflict of interest waiver under 18 U.S.C. � 208(b)(1) [see Example 2, above]. Example 3: Spouse as Professor whose professional success won't be directly affected by the Agency scientist.
Same facts as in Example 2, above, except that Joe, the spouse, is a
professor in the University School of Public Administration. Joe's
employment does not impute the financial interests of the University to
Louise and her performance of official duties has no direct and
predictable affect upon Joe's professorial success at the University.
However, an employee is deemed to have a "covered relationship" with, amongst other parties, a spouse's employer under 5 CFR � 2635.502(b)(1)(ii). If Louise participates personally and substantially in a particular matter involving specific parties
(the project with the University would meet that description), she
could create the appearance of a loss of impartiality on her part.
Similar to the foregoing example, Louise should notify her supervisor
of the appearance concern and disqualify herself from the assigned task
unless, after full disclosure to the Agency, authorization is received
in accordance with 5 CFR � 2635.502(d). Example 4: Spouses working together on Same Project.
Same facts as in Example 2, above, except that Joe, as Associate
Professor in the University's School of Agriculture, wants to seek
grant money from a foundation to conduct research that is of mutual
benefit to the University and the Agency. Louise, Joe's spouse and an
Agency scientists employed at an Agency facility located at the
University, knows all about Joe's research, believes that it has
incredible promise, and has even discussed its benefits, at length,
with Agency supervisors. Without any Agency approval, she volunteers to
serve as co-Principal Investigator on the grant application. The grant
application is accepted. None of the money goes to Louise. However, she
begins working with Joe, on Agency time, on his research. Again, as in
Example 2, above, Louise's performance of official duties have had a
direct and predictable effect (impact) upon on whether Joe will get the
grant and whether his research is likely to be successful. These
factors, in turn, relate directly to whether Joe will retain his
position, level of salary, career prospects, etc. Her actions appear
already to have violated 18 U.S.C. � 208 [conflicting financial interest] and the matter must be referred to the Office of the Inspector General.
Example 5: Adult child is degree candidate who may be directly affected by the Agency scientist.
The Agency stations an agricultural scientist at a land-grant
university to work in a laboratory adjacent to the campus. The
scientist's adult child is a teaching assistant who is a Ph.D.
candidate in the University's College of Agriculture. The Agency
assigns ADODR responsibilities to the employee for a project in the
College of Agriculture. The covered relationship with the child will
not permit the employee to fulfill the ADODR responsibility unless he or she makes full disclosure to the Agency and authorization is received in accordance with 5 CFR � 2635.502(d).
9.	Gifts and Supplements to Salary Involving University Privileges and Benefits.
9.1.	General Concerns.
Universities offer a variety of benefits and privileges to Agency
scientists during the course of their service at the University.
Whether the benefits and privileges can be accepted or used by the
scientist depends on several factors. Agency managers, in addressing
acceptance of gifts and benefits offered by the University to Agency
scientists, should consider the following:
Is the benefit or privilege primarily offered in order to directly facilitate the scientist's performance of official duties?
If the answer to this question is "yes," then Agency managers
should consider whether the Agency can accept the privilege or benefit
either: (a) under a written agreement between the University and the
Agency; or (b) under Agency statutory gift acceptance authority; and
If the answer to the opening question is "no," or if the Agency
either cannot or chooses not to accept the privilege or benefit under
available authority, then Agency managers must consider whether the
scientist may accept the benefit or privilege without raising dual
compensation, conflict of interest, impartiality, or other gift
concerns. 9.2. Gifts, Privileges and Benefits Provided to the Agency.
If what is being provided by the University directly and primarily
benefits the scientist's ability to perform his or her official duties,
the Agency may consider the gift, benefit or privilege to be offered to
the Agency, rather than directly to the scientist. In such cases,
Agency managers should consider whether such offerings may be accepted
Departmental Regulation (DR) 5200-003 which implements the USDA Gift Acceptance statute, 7 U.S.C. � 2269;
Other Agency-specific statutory authority; or
In either case, acceptance pursuant to these authorities should be documented in an appropriate written agreement.
To the extent that the Agency and University are properly able to
address the provision of appropriate gifts and benefits in a
cooperative agreement, MOU, or other appropriate document, as
furthering the purposes of the agreement and authorized by law, those
items cease to be an ethics concern for the Agency scientist. 9.3. Dual Compensation Concerns: Free or Reduced-cost Tuition; Housing. Unless properly accepted by the Agency (see 9.2, above), or covered by an exception below, an employee of the Agency may not solicit or accept
free or reduced cost tuition or housing from the University based on
his or her official duties with the institution. He or she is paid by
the Federal Government for those efforts. To accept free or reduced
cost tuition or housing on the basis of the performance of official
duties may constitute supplementation of official salary, which is a
criminal offense (18 U.S.C. � 209). Exceptions. An employee may personally accept or
take advantage of free or reduced-cost tuition or housing offered by
the University only where:
The free or reduced cost tuition or housing is offered either:
(1) To the Agency employee's spouse or child based solely upon an
employment relationship between the spouse or child and the University
which is unrelated to the scientist's official presence at the
(2)	To the Agency scientist pursuant to an Agency-approved outside employment relationship with the University; and The University customarily extends free or reduced cost
tuition or housing to its employees as part of the pay package extended
by the University all other similarly-situated employees.
NOTE: Agency management should always be mindful
of whether such offers signify that the employee's presence at the
University is more for the benefit of the Agency or the University, or
that the spouse's employment relationship with the University was a
result, or related to, the employee's official assignment. Also, as
stated previously, in a co-located environment, there is a strong
likelihood that an Agency scientist's outside employment relationship
with the University will pose at least an impartiality concern, if not
a conflict of interest. Example 1: A FS
research scientist is co-located at a university situated near an
experimental forest. The scientist's official duties will heavily
involve research at that forest. Other than a university housing area,
there is no decent housing in reasonable distance of the forest. Under
those circumstances, the Agency could consider whether to accept the
offer of free housing from the University under DR 5200-003, or other authority. Example 2: An well-renowned ARS
scientist is assigned to serve at an agency research center at the
University. The University, aware that the Agency will not let the
scientist accept free housing, offers the scientist's spouse a teaching
position at the University. The University normally offers such housing
to its professors. The Agency may reasonably conclude that the offer to
the spouse really was aimed at the scientist and simply accomplished
through offering the spouse the teaching position. Under such
circumstances the scientist could be in jeopardy of violating 18 U.S.C. � 209.
9.4.	Other Gifts, Privileges and Benefits Provided to the Scientist.
Where the University provides less substantial privileges and benefits
[benefits that do not indicate dual compensation or a University
employment relationship], either for free or for less than market
value, though unrelated to the performance of any specific official
duty, a Federal employee's acceptance of those privileges could violate
the rules concerning gifts from outside sources, as set forth in 5 CFR Part 2635, Subpart B. A university, as a cooperator or partner with the Agency, is a "prohibited source" as defined by 5 CFR
� 2635.203(d); therefore, Agency employees [not just those who are
co-located at the University] are precluded from accepting gifts from
universities with interests that are affected by the Agency. General Rule. Except where accepted by
the Agency under DR 5200-003 or other statutory authority exercised
primarily in connection with the performance of the scientist's
official duties, or covered by one of the exceptions listed below,
acceptance of the following for less than "market value" [see 5 CFR � 2635.203(b)(9)] would be a gift based either on one's official position, or from a prohibited source:
Library Borrowing Privileges (if borrowing
privileges of members of the public at the library are predicated on
payment of an established fee);
Recreation Facility Cards; and
Exceptions. Acceptance of the above privileges, either for free or for less than market value, would be permitted under 5 CFR 2635.204, where:
value of the gift or benefit is worth no more than $20 and the Agency
employee has accepted no more than $50 in personal [as opposed to
Agency] gifts or benefits during the past calendar year;
The gift or benefit is provided to the Agency employee by a personal friend NOTE: this exception would not cover a gift actually purchased or provided by a prohibited source through the friend;
gift or benefit was provided by the University to the Agency employee's
spouse or child based upon an employment relationship or student
benefit and was provided, in turn, by the spouse or child to the Agency
same or more favorable rates and discounts are available to the general
public or to a class consisting of all Government employees as provided
in 5 CFR � 2635.203(b)(4);
employee has an outside employment relationship with the University and
the fee to be paid for privileges by the employee is the fee
appropriate to his or her employment at the University;
The employee has free access and borrowing privileges solely by virtue of being an alumnus of the University; The fee waiver or reduction was provided to the Agency through a written agreement between the Agency and the University [see Gifts, Privileges and Benefits Provided to the Agency, above]; or
employee holds official capacity "Adjunct Faculty" status and therefore
has borrowing privileges consistent with that afforded other non-tenure
appointments. Parking and Campus Shuttle Services.
Agency employees may utilize these services when charged at the same
"market value" rate charged other faculty or adjunct faculty members. 9.5.	Gifts as Evidence of University Employment.
If a gift, benefit, or privilege is provided by the University to a
scientist that is not related to performance of the scientist's
official duties, but is provided in the context of a relationship
between the scientist and the University (e.g., where the scientist
provides services or engages in activities with the University in his
or her personal capacity), such gift, benefit, or privilege, especially
if of significant monetary value, may signify that the employee is also
as a result of his or her unofficial activities with the University. In
such cases, the Agency manager and employee should be aware of the
potential for the employee, in performing any official duties that
relate to the University, to be engaged in a criminal conflict of
interest under 18 U.S.C. � 208, or at a minimum, a loss of impartiality under 5 CFR � 2635.502.
III.	PEER REVIEW ACTIVITIES
10.	Writing for and Participating in Peer Review of Articles for Publication in Scientific and Professional Journals.
10.1. General. It is expected
in the field of science for scientists to write articles concerning the
results of their scientific work for publication in established
scientific and professional journals. As part of the publication
process, these journals subject the submitted articles to the scrutiny
of other scientists who review and critique the article [peer review
process]. This peer review process is part of the decisionmaking
process used by the journal in determining what to publish. While
scientific and professional journals are non-Federal publications
published by non-Federal entities, a Federal scientist, in seeking to
improve as a scientist and to enhance one's career potential as a
scientist, is expected to write articles for publication and is
expected, as a scientist, to participate in peer review of articles
written by other scientists. 10.2.	Official Capacity. Because
scientists have a professional responsibility to publish findings based
on their scientific work, Agency managers should presume, based on the
above, that a Federal scientist who is engaged in the activity of
writing for a scientific journal, or of participating in peer review of
such articles for a scientific journal, that relate to the type of
science which he or she performs for the Agency does so as part of his
or her official duties. Where authorized by the Agency, an employee
may, as part of his or her official duties, engage in such activity. Where assigned or performed as part of one's official duties, the only ethical restrictions are:
The scientist may not accept any form of compensation
for writing the article. The scientist also may not designate donation
of offered compensation to a non-profit entity in lieu of acceptance;
Where necessary, the scientist must provide all proper disclaimers.
10.3. Personal Capacity. If
not assigned as, performed as part of, or deemed by the Agency as
directly related to, the scientist's official duties, the scientist may
write and submit scientific articles to scientific journals for
publication and may participate in peer review activities subject to
the following ethics considerations:
Compensated Activity. Treat as outside employment
with the society or entity that publishes the journal. The scientist
must then recuse himself or herself from performing official duties
that affect the financial interests of the society or entity. See 7.3, above. Uncompensated Activity. The only management concern should be whether there is any appearance of Agency sanction or use of non-public USDA information. To this end, the scientist must:
Ensure that he or she does not use any non-public USDA information without getting proper Agency clearance to do so; Ensure that his or her official title does not appear prominently in the article [for more information, see Section 11.3, below); Avoid conveying or giving the impression within the article that USDA endorses or sanctions his or her activities or the contents of his or her articles; and
Where necessary, ensure that the article contains all proper disclaimers.
11.	Editing Scientific Journals. 11.1. General. Serving in an
editorial role may involve a more significant relationship with and
investment of time to the scientific journal, compared with manuscript
writing and peer-review activities. Considerations, such as time
expended may be a factor. Agency managers, in considering authorizing
such activities, either as official activities or as personal
activities, should look closely at the nature of the position involved.
11.2. Official Capacity. Agency managers should presume
that a Federal scientist performing editorial duties for a scientific
journal that publishes articles related to the field of science for
which the Agency has hired the scientist does so as part of his or her official duties. Accordingly, Agency managers may assign a Federal scientist to perform editorial duties subject to the following rules:
The scientist may not serve in an official capacity in any
editorial or other established position with an organization's
scientific journal if the scientist also serves, in his or her personal
capacity, as an officer, director, trustee, or employee of that
scientific or professional organization; The scientist may not serve in an official capacity in any
scientific journal if service in such role also makes the scientist an
officer, director, trustee, or employee of the organization (e.g., the
organization's editor-in-chief is an officer of the organization or has
a seat on the organization's Board of Directors) (see 18 U.S.C. � 208); NOTE: Even where service as Editor-in-Chief does
not result in the scientist becoming an officer, director, trustee, or
employee of the organization, the Federal scientist is in a
decision-making role with regard to the publication of a non-Federal
entity. As with serving on a University's tenure or faculty committee,
this is essentially Federal participation in the internal business of
the organization and, as such, is likely not part of the mission of the
Agency as authorized by Congress. This could well subject the Federal
government and/or the participating employee to liability, particularly
where the Federal scientist is in the position to decide on which
articles the journal shall publish.
The scientist, where appropriate under 5 CFR
part 8301, will obtain prior Agency approval, pursuant to the
procedures set forth in that part, for serving in an editorial role;
The Agency and the scientific journal will document the conditions of the editorial service relationship in an appropriate written agreement; and
for performing the editing duties or serving in an editorial role. The
scientist also may not designate donation of offered compensation to a
non-profit entity in lieu of acceptance.
11.3. Personal Capacity. To the
extent that a scientist is authorized to perform editorial duties or
serve in an established position with a scientific journal in his or
her personal capacity, the following rules apply:
with the publishing journal or entity. The scientist must then recuse
himself or herself from performing official duties that affect the financial interests of the society or entity. See 7.3, above. Uncompensated Activity. The only management concern
should be whether there is any appearance of Agency sanction. To this
end, the scientist must ensure that his or her official position or
title does not appear in the scientific journal. Example 1: At the time that a
scientist is being considered for employment by APHIS, she is serving
as an Associate Editor of a scientific journal. She is paid for her
editorial services. Prior to hiring her, the Agency advises her that it
deems her service with the journal to be related to her official duties
with APHIS. Accordingly, she is advised that she can no longer accept
compensation from the journal for her services. However, since she has
been a paid employee of the journal, even after terminating her
employment relationship with the journal, under 5 CFR � 2635.502,
she still would be unable to participate as Associate Editor in an
official capacity for a period of one year after the end of her
employment relationship with the journal unless she gets specific
permission to do so from the Agency under 5 CFR � 2635.502(d). Example 2: An FS
scientist has served on the journal editorial staff for two years in
his official capacity. The Agency considers this service to be
intrinsically related to his official duties. The scientific society
that publishes the journal now wants to appoint him to serve as
Editor-in-Chief of the journal. The society, which is incorporated,
wants to offer him compensation for his services. Moreover, as
Editor-in-Chief, he also becomes a corporate officer. Since that will
involve attending society meetings, several of which are across the
country, the scientist wants to continue to perform these duties as
part of his official duties. He can do neither in his official capacity. First, if he performs editorial services of any sort as part of his official duties, he would violate the dual compensation prohibition (18 U.S.C. � 209),
were he to accept compensation from the society. More importantly,
irrespective of compensation, the scientist may not serve as
Editor-in-Chief since he would be serving as an officer of a
non-Federal entity in his official capacity. Absent explicit statutory
authority to do so, or an agency waiver, his service would violate 18 U.S.C.
� 208. While the scientist could seek Agency approval of such service
as outside employment [he could then accept compensation and serve on
the board, but would do so at his own expense and on his own time],
given the Agency's position concerning the relationship between
editorial services for the journal and the scientist's official duties,
the Agency would be justified in turning down his request.
IV.	PARTICIPATION IN GRANTS ON BEHALF OF UNIVERSITIES AND OTHER NON-FEDERAL ENTITIES
12. Official Capacity Participation. 12.1. General. A Federal
employee who seeks to assist a non-Federal entity, such as a
University, in securing a grant (or other formal relationship, such as
a loan or contract) can encounter several unexpected legal and ethical
issues. First, whether an employee's participation may properly be
undertaken as part of his or her official duties hinges on such
considerations as: (1) whether the Agency may provide such support (i.e.,
whether Congress has authorized the Agency through its appropriation to
engage in seeking funds on behalf of this or any other non-Federal
entity); and (2) whether seeking such funding, even if properly an
Agency activity, is within the scope of employment of the employee
seeking to participate in that activity. At the same time, close
cooperation may well pose an unacceptable level of ethical risk for
those who are responsible for the award and administration of Federal
grant programs. Accordingly, employees seeking to participate in grant
applications on behalf of non-Federal entities, either as part of their
official duties, or on behalf of non-Federal entities that have
interests affected by USDA
or its Agencies, should inform Agency managers before participating.
Agency managers, in turn, should consult with their Agency ethics
advisor or with the Office of the General Counsel where necessary. 12.2. Presumption of Official Capacity.
Where an employee performs official duties in close cooperation with
the non-Federal entity, or where the interests of the non-Federal
entity could be substantially affected by the performance or
nonperformance of the employee's official duties, Agency managers
should presume that the employee's intended participation is in his or her official capacity. 12.3.	Official Capacity Participation: Requirements.
An Agency employee may assist or participate, to the extent provided in
12.4 and 12.5, below, in a grant application on behalf of a non-Federal
entity, such as a University [including a grant application to be
submitted to a Federal agency] under the following circumstances: The Agency specifically permits, or assigns, its employees to perform such duties;
Agency determines that the grant relates to scientific research or
education that furthers the mission of the Agency in relation to the
non-Federal entity;
Provision of assistance in relation to grant applications is explicitly provided for in an appropriate, pre-existing written agreement between the Agency and the University [thus avoiding issues under 18 U.S.C. � 205];
The non-Federal entity does not compensate the employee or provide
any benefits to the employee related to grant assistance [thus avoiding
issues under 18 U.S.C. � 209];
The research or education underlying the grant is within the
official duties and expertise of the Agency scientist providing the
The proposed research or education, if the grant application is successful, will be documented in an appropriate written agreement
(e.g., a cooperative agreement) that meets the legal tests of mutuality
of interest in the research or education to be supported and mutual
contributions between the Agency and the University.
12.4.	Permissible Assistance. Only where properly authorized to assist or participate above, an Agency employee may assist in the following ways:
Preparing the grant application; Where the grant application is a joint effort of the University and USDA
via a cooperative agreement, signing the grant application as
Co-Principal Investigator identifying himself or herself as a Federal
Serving as Program Director.
12.5. Impermissible Assistance. Except as specifically permitted above, an Agency employee MAY NOT: Assist or participate in a grant application in which he or she has a personal financial interest
other than through their Federal employment [e.g., patent rights or
licenses, other than royalties paid through the Federal Technology
Transfer Act, see Part IX, below]. This could violate 18 U.S.C. � 208;
Serve as Principal Investigator (PI), Co-PI, ADODR, or otherwise in a capacity with responsibility for managing the grant funds. This could violate 18 U.S.C. � 205;
Represent himself or herself in any way as an employee or member of the non-Federal entity;
Where the grantor is a Federal Agency, provide any statement in
writing to, engage in any further oral or written defense of or
advocacy in favor of the application, or otherwise engage in representing the non-Federal entity's interests before, the grantor Agency or its employees. This also could violate 18 U.S.C. � 205 [see 12.6 below]; or
Make any decisions concerning the non-Federal entity's assets or
personnel to be utilized in carrying out the research or education
underlying the grant.
12.6.	Official Letters of Support. Federal scientists are often asked by universities,
organizations, and individuals, to write official letters supporting grant applications, including grant applications to Federal Agencies (including USDA).
By agreeing to write letters of support for grant applications, the
Federal scientist can, unwittingly, cause himself/herself and his/her
Agency ethical concerns.
Generally. Letters of Support. A letter provided
by an Agency scientist, using agency letterhead or otherwise giving the
appearance that the scientist is responding in an official capacity,
that endorses, advocates, or otherwise supports the efforts of a
non-Federal source to obtain a grant, can create a host of ethical
problems for the scientist. At a minimum, such a letter can create an
appearance of USDA
sanction or endorsement, either of the activities of a particular
organization, the organization itself, or both. Equally problematic is
the perception of a lack of USDA support where the scientist fails to provide a letter to another applicant. This appearance becomes even more complex where USDA
sponsors joint programs with other Federal agencies. So that granting
agencies are neither influenced nor confused by these types of letters,
employees generally should not write letters to support a grant
application without prior approval by Agency managers. The same holds
true with regard to writing a letter agreeing to work with an applicant
if they receive the grant: By writing such a letter, again there is a
strong perception that USDA
is endorsing the grant. Moreover, issuing such a letter places Agency
managers (and perhaps the scientist, as well) in the difficult position
of potentially having to justify a subsequent refusal to provide such a
letter to another grant applicant.
NOTE: The above guidance does not preclude a
scientist from writing what is strictly a Letter of Collaboration where
we offer to provide the same data that the Agency would provide to any
member of the public. The simple purpose of the letter is to confirm to
reviewers that the data is available and will be provided. Such a
letter also confirms that USDA is not considering duplicating the effort.
Letters in Support of Grant Applications Submitted to Federal Agencies. Unless all of the conditions set forth in 12.3
are present, a scientist issuing a letter of support on behalf of a
non-Federal entity seeking a grant from a Federal Agency could violate
18 U.S.C. � 205 if he or she knows, or reasonably should know, that the letter of support will be provided to the Federal Agency.
13.	Personal Capacity Participation. To the extent that a Federal employee seeks to participate in a
non-Federal entity's grant application in a capacity other than in the
proper performance of his or her official duties, ethical issues can
arise where there is any relationship between the grantee and the
employee's official duties. Where an employee participates in such
activity in a personal capacity, either intentionally, or because such
participation is not authorized as part of their official duties, the
involvement could trigger concerns under 18 U.S.C. �� 205 and 208, and, if participation results in their receiving compensation, possibly 18 U.S.C. �� 203 and 209. Moreover, to the extent that the employee's services fall within the definition of "consultant," as defined at 4.4, above, if the employee is a financial disclosure report filer, he or she must request prior approval for outside employment in accordance with 7.4, above.
13.1. All Grant Applications.
Where a Federal employee performs official duties that involve or
directly affect a non-Federal entity, then the following ethical issues
can arise should he or she participate in a personal capacity when preparing a grant application for the non-Federal entity, irrespective of the recipient of the application. 18 U.S.C. � 208. Conflicting Financial Interests.
Where the employee performs, in support of a grant application of a
non-Federal entity, either: (1) compensated services in support of the
application; or (2) uncompensated services as a professional or consultant, the employee should be deemed to have an employment relationship with the non-Federal entity. Employment constitutes a financial interest
in the non-Federal entity and to the extent that the Federal employee
performs official duties that directly and predictably affect the
financial interests of the non-Federal entity, even if those duties
have no relationship to the purpose of the grant application, the
employee could violate this statute. 5 CFR � 2635.502. Loss of Impartiality. There are two ways in which the impartiality provisions can apply:
Active Relationship. Where the Federal employee
provides uncompensated assistance in support of a non-Federal entity's
grant application that does not involve professional or consultative
services, the employee's participation in the grant application
constitutes "active participation" in the entity. Accordingly, the
employee has a covered relationship
with the non-Federal entity that is subject to the rules against loss
of impartiality. The employee would violate these rules by
participating in a particular matter involving specific parties in which the non-Federal entity is a party or represents a party. Recent Prior Relationship.
Absent Agency authorization, where the employee, within one year of
having an employment relationship with the non-Federal entity,
participates in a particular matter in which the non-Federal entity is
or represents a party, he or she would also violate the impartiality
13.2. Grant Applications Submitted to Federal Entities.
In addition to the foregoing concerns, where the application is to be
submitted to a Federal entity, the following additional concerns apply:
18 U.S.C. � 205. Representation.
This statute would apply to a Federal employee who, other than in the
proper performance of official duties (see above), signs the grant
application, meets with Federal officials, writes a Letter of Support,
or otherwise contacts Federal officials on behalf of the non-Federal
entity. 18 U.S.C. � 203. Compensated Representational Activities.
proper performance of official duties (see above), is compensated for
performance of any other services in support of the grant application
(e.g., drafting the application). Back to top
V.	PARTICIPATION IN PROFESSIONAL AND SCIENTIFIC ASSOCIATIONS [For further guidance see Office of Ethics Issuance 00-1, Participation In Non-Federal Organizations]
14.	Official Capacity Participation.
14.1.	Service as an Officer, Director, Trustee, or Employee. Federal employees generally may not serve in official capacity as officers, directors, trustees, (i.e., as "fiduciaries") with, or employees of, a non-Federal entity unless: (1) the service is specifically
authorized by statute; (2) the role involves assumption of no legal
duties to the non-Federal entity, such as fiduciary duties, or
employer-employee obligations; or (3) the employee receives an
individual waiver under 18 U.S.C. � 208(b)(1) (see 16, below). 14.2.	Service as an Agency Liaison.
Where a scientific or professional association (association) is closely
aligned with a departmental program, it may be in the Department's
interest to have an employee participate in a liaison capacity with the
governing board of the association. In such capacity, the employee is
present solely as a representative of his or her agency. As an Agency
Liaison, the employee's participation must be ex officio (in an advisory/consultative role); and he or she may not:
Vote on matters before the Association Board of Directors;
Participate in issues related solely to the business or internal
interests of the Association (e.g., finances, fundraising, membership,
Engage in lobbying efforts or representation of the Association's interests before the Federal Government; or
Actively participate in Association activities in a personal capacity during tenure as an Agency Liaison. See Appendix D: Agency Liaison Designation Letter.
14.3.	Service on Committees and in Other Non-managerial Roles.
As with Agency Liaison designation, where an association is closely
aligned with a departmental program, Agency managers have broad
discretion to assign or approve official capacity participation by a
Federal scientist in activities of the association, including service
on and chairing association committees related to the scientist's field
of expertise, or that further the Agency's mission. The rules
applicable to Agency Liaisons, above, should be followed.
14.4.	Attending Association Conferences. Simply Attending in Official Capacity. Even where
a scientist serves as a fiduciary or employee of the association, he or
she may attend, in official capacity, a conference held by the
association for the purpose of professional development. If the
scientist performs no other duties other than to attend the conference,
there is no conflict of interest. However, where the scientist is
sought by the association to be more actively involved in the
conference, such as by being a featured speaker or presenter, see the
discussions in 15.1 and 15.2, below.
Participating in Internal Association Meetings During the Conference.
Where an association schedules a conference in connection with an
internal business or administrative meeting of the association, an
agency may still permit an agency scientist, who is approved to attend
the conference for training on official travel and who is also active
in the association, either as a simple member of the association, or as
a fiduciary, to also participate in some administrative
functions of the association. The Agency, in permitting such
participation, should consider such factors as the type of function and
the amount of time to be spent on association administrative functions.
While USDA
may pay for the travel costs for the performance of the employee's
official attendance at the conference, attendance and participation in
such adjunct meetings must be done: (1) on personal or administrative
leave; and (2) at no additional cost to USDA. Moreover, the Agency, as
it is providing funding to accomplish the official travel to the
conference, may place reasonable restrictions upon what association
administrative functions the scientist may perform. Permissible functions would include functions related either to: (1) the successful organization and management of the meeting or conference (e.g.,
picking up a guest speaker at the airport; helping at the registration
desk; copying materials for general distribution); or (2) the planning
of future meetings or conferences to which the Agency is likely to send
Impermissible functions would include fundraising,
representing and lobbying efforts before the Federal Government, and,
at the option of the Agency, working on position papers or organization
policy statements that relate to USDA policies, or that concern matters pending before or involving USDA.
(The latter restriction could be placed on the employee as a condition
for approval of travel costs and official time to attend, rather than
through ethics laws and regulations).
15.	Personal Capacity Participation.
15.1. Service as an Officer, Director, Trustee, or Employee. In personal capacity,
an employee may serve in any capacity with an association, including as
an officer, director, trustee, or employee. That said, the scientist,
even in serving in a personal capacity, must avoid actions that would
violate the provisions of 18 U.S.C.
�� 203 and 205 should his or her participation in the association
involve interaction with a Federal agency or court. Moreover, where a
scientist serves in such a capacity with an association, for purposes
of 18 U.S.C. � 208, he or she has a financial interest
in the association. Accordingly, the scientist who serves in such roles
may be subject to criminal penalties should he or she take official
action on any particular matters (including broad policy issues)
affecting or involving the association. Examples of official actions
affecting the association include, among others, the following:
Recommending to Agency superiors that the Agency enter a memorandum
of understanding with the association to jointly-sponsor a conference;
Making an official speech before the association, or requesting
that Agency managers send a speaker to make a presentation to the
Requesting approval of acceptance of travel funds for official travel offered by the association to the Agency under 31 U.S.C. � 1353. 15.2.	Other Active Participation. Agency scientists who are not fiduciaries or employees, but who are otherwise active participants in the association, could violate the rules concerning loss of impartiality under 5 CFR 2635.502, where they participate officially in a particular matter involving specific parties
in which the association is, or represents, a party. While this
prohibition does not prohibit the scientist from being involved in
broad policy matters affecting the association, it would still preclude
involvement in grants, loans, contracts, cooperative agreements,
memorandums of understanding, lawsuits, and other specific dealings
between the Agency and the association. 16. Waivers and Memorandums of Understanding.
16.1. Waivers. The conflict of interest statute places stringent requirements on
qualifying for an individual waiver under 18 U.S.C. � 208(b)(1). Under the statute, an Agency may determine in an individual case that a disqualifying financial interest in a particular matter
or matters is not so substantial as to be deemed likely to affect the
integrity of the employee's services to the Government. Upon making
that determination, the Agency may then waive the employee's
disqualification notwithstanding the financial interest, and permit the
employee to participate in the particular matter. In reference to
serving in a capacity described in 14.1, above, the peculiar
circumstances of official capacity service cause individual waivers to
be looked upon with disfavor. Before considering this option,
the Agency MUST be able to articulate a NEED for the Agency to be
managing a non-Federal entity that overrides such ethics and legal
concerns. [Normally, if Congress wants the Federal Government to run a
non-Federal entity, it will authorize such through statute.] At a
minimum, the Agency should confer with OGC concerning liability
exposure to the Agency and to its employees, personally; and must
consult with the Office of Government Ethics. In doing the latter, the
Agency shall confer with this Office.
16.2. Memorandums of Understanding.
To the extent that an Agency deems it beneficial to assign its
scientists to perform official duties on behalf of an association, and
especially should the Agency choose to issue a waiver for a scientist
to serve officially as a fiduciary or employee of the association, the
Agency should entering a memorandum of understanding with the
VI. ACCEPTANCE OF AWARDS AND FELLOWSHIPS FROM NON-FEDERAL SOURCES.
17. Nominations Based on Performance of Official Duties.
Federal scientists are often recognized by the scientific community
for the performance of their official duties, including for research
and other contributions to science. This recognition often comes in the
form of a nomination for an award (this term will include fellowships)
aimed at assisting the scientist in continuing their official work. The
ethical rules that impact whether the award can be accepted and under
what conditions it may be accepted are determined primarily based on
whether the work for which the award is offered furthers the Agency
mission (i.e., official research). 17.1. Prior Agency Approval Considerations.
While the Agency scientist may be recognized in name for his or her
research, contributions to science, or other notable activities, the
Agency also is truly a party where the award is based upon performance
of official duties. The Agency, accordingly should consider the
following factors in determining whether to permit acceptance:
The nature of the donor. Agency managers should consult with ethics advisors whenever the donor is one of the following:
Awards from for-profit entities are always subject to greater scrutiny,
particularly where they have interests affected by USDA; Foreign Governments and Foreign Government-owned Corporations and Universities.
Any time that a Federal employee receives an award or honor from a
foreign government, it must be determined whether acceptance is proper
in light of the Emoluments Clause of the U.S. Constitution; and
Domestic research or educational institutions tied to Agency.
If the award or fellowship is from an domestic research or educational
institution whose interests may be directly affected by the performance
or non-performance of official duties [e.g., a university where the Agency scientist is co-located].
Authority for Acceptance. As the monetary award is offered based upon the scientist's performance of official duties, the funds may be accepted: By the Scientist on his or her own behalf only where in accordance with the rules set forth in Section 18.1,
below. (Other than as provided in Section 18.1, funds awarded to
compensate the Agency scientist for performance of his or her official
work could constitute dual compensation in violation of 18 U.S.C. � 209); or
the Agency (or the Agency scientist on behalf of the Agency) only if
the Agency has statutory authority to accept the funds (See Section 9.2, above).
By the Agency (or the Agency scientist on behalf of the Agency) on behalf of a university or other third party only where:
o	The Agency has statutory authority to accept the funds;
o	The Agency has authority to provide those funds to or for the use of the University or other third party; and
o	Acceptance and transfer of the funds are provided for through an appropriate written agreement.
Basis for Nomination. The Agency scientist must be
nominated solely in his or her capacity as an Agency employee. In no
way may the nomination indicate or infer that the Agency scientist is
seeking or accepting the award either in his or her own personal
capacity, or as a representative of a non-Federal entity, such as a
university. To that end, where an Agency scientist is nominated for an
award by a non-Federal entity, the Agency scientist must obtain Agency
approval based upon a determination that the nomination presents no
conflict of interest or appearance concerns before he or she may accept
the award. See above
17.2 Addressing Through Written Agreement.
Where it is reasonable for the Agency to anticipate that a university,
or other partnering entity, would nominate Agency scientists for awards
in order to further mutually beneficial projects, the Agency should
consider whether provisions for handling such awards should be
contained in a written agreement with the University.
18. Nominations Other Than for the Performance of Official Duties. Where an Agency scientist either seeks an award, or is nominated by
a non-Federal party, and where the basis for the award is work or
activities that has no clear connection to his or her official duties,
the Agency scientist must consider gift and conflict of interest rules
in determining whether he or she may accept the award.
18.1. Gift Rules. Where the
award is offered in order to recognize work conducted in the past, the
receipt of the award from a non-Federal party is apt to qualify as a
gift under subpart B of 5 CFR part 2635 and generally may not be accepted if either: The donor or nominating party are considered prohibited sources under 5 CFR � 2635.203(d); or The award being offered, or the nomination by a third party, is based upon the scientist's official position. If either situation exists, the award cannot be accepted by the
scientist unless permitted under an exception to the gift rules. If the
award is worth more than $20, the award must be viewed under the awards
and degrees exception in 5 CFR �2635.204(d). Factors determining whether the award should/may be accepted under this exception include the following:
Award Worth More Than $200: Where the award is worth more than $200, or is comprised of cash or investment interests, the Agency scientist may only accept the award upon a written determination by the Agency ethics official that the award is made as part of an established program of recognition under which:
Awards have been made on a regular basis or
which is funded, wholly or in part, to ensure its continuation on a
Selection is made pursuant to written standards.
Award Worth $200 or Less. Where the award is worth no more than $200 and not comprised of cash or investment interests, it may be accepted if:
It is a bona fide award given for meritorious public service; and
the donor nor nominating party has interests that may be substantially
affected by the performance or nonperformance of the scientist's
official duties. 18.2. Pre-Award Conflict/Impartiality Concerns. General. During the award process [the period
commencing at the point where the Agency scientist either applies for,
or learns that he or she has been nominated for, an award and
terminating at the point of full receipt of the award, or notice that
he or she did not receive the award], it is conceivable that the Agency
scientist has a conflicting financial interest in, or impartiality
concern involving, both the donor and possibly the nominating party. In
any case, a reasonable person possessing all of the facts could
reasonably conclude that the Agency scientist could misuse his or her
official position to the benefit of the donor or nominating party.
During the award process, and particularly where the award is
substantial, Agency managers should consider whether the scientist
should have to recuse himself or herself from official duties affecting
these parties, or be reassigned. Agency Considerations. Significant factors to consider in this determination include:
The nature of the relationship between the donor and the Agency;
The likelihood that matters affecting the donor will come before the nominated scientist for official action;
The perceived frequency of such matters coming before that scientist;
The level of discretion that the nominated scientist must exercise in the matters;
Whether such matters can be reassigned; The sensitivity or monetary value of the matters; and Level of supervision normally exercised in connection with the nominated scientist. 18.3. Post-Award Conflict/Impartiality Concerns.
Outside Employment. To the extent that the award
is tied to the prospective performance of official duties by the Agency
scientist, Agency managers should presume, absent a clear showing to
the contrary, that the Agency scientist has entered into an employment
relationship with the donor. To the extent that a nominating third
party is specifically to receive the benefit of the scientist's
official duties (e.g., funded research), and employment relationship
with that entity may exist, as well. Where prospective official work,
such as research, is anticipated following an award, the Agency
scientist should:
Request prior Agency approval for outside employment pursuant to 5 CFR � 8301.103;
Absent an Agency waiver under 18 U.S.C. � 208(b)(1), immediately recuse himself or herself from official duties on any particular matter, including general policies, programs and regulation, that directly and predictably affect
the interests of the employing party until such time as the official
duties (e.g., funded research) and all required work for the employing
party has been completed; and
Absent authorization under 5 CFR � 2635.502(d), upon completion of the required work for the employing party and for a period of one year afterwards, recuse himself or herself from official duties on any particular matters involving specific parties in which the former employer is a party, or represents a party. Misuse of Official Position, Title or Authority.
The Agency scientist must not use his or her official title, position,
or authority in any way in support of their nomination for an award
that is unrelated to their official duties.
The Fulbright Program is a statutorily authorized Federal government-run program under 22 U.S.C. � 2451, et seq. Federal employees are statutorily authorized to participate in the program and to accept grants and other forms of assistance provided by a foreign government for this purpose. Thus, Federal employee participants are both authorized to be Fulbright Specialists and to accept the grant that accompanies such participation, which consists of the travel expenses paid by the State Department directly, and the in kind expenses, such as lodging, food, and in country travel, provided for by the host university. Participants, enter into grant agreements with State, which detail these arrangements and the program requirements. Accordingly, no additional written agreement need be entered by the employee or his or her Agency. There are certain ethical caveats:
Agencies MUST make a determination as to whether the fellowship is related to the employee's official duties and/or whether participation can be reasonably considered to be in their official capacity; and
If participating in official capacity, the Federal employee is unable to accept the daily nominal honorarium typically provided by State to participants. This is due to the government prohibition on dual compensation.
NOTE: This would likely also apply to other statutorily authorized fellowship programs, though we are aware of no others. VII. TESTIMONY AND CONSULTING
19. Preliminary Considerations Non-Federal parties often seek Federal scientists and other experts
to provide expert testimony (opinion testimony; not factual testimony)
and consulting services for compensation.
Underlying these offers often are two factors: (1) the Federal
scientist either currently is engaged officially in performing the
relevant scientific work or research, or was so engaged in the recent
past; and (2) the scientific work or research for which the scientist's
expertise is being sought also involves the Federal Government. Initial
issues that must be addressed are whether the Federal scientist may
testify/consult at all and, if so, whether such testimony/consultation
will be in the scientist's official capacity. 20. Testimony 20.1 General.
Agency Administrative Clearance Procedures for Testimony.
If the Federal employee's testimony (whether factual or expert) or
appearance on behalf of a non-Federal party involves or relates to the
employee's performance of official duties or is related to the
employee's official duties at USDA, or seeks Agency documents, the
non-Federal party seeking the employee's testimony or appearance must
request Agency approval under 7 CFR part 1, subpart K. No USDA
employee may provide testimony or produce documents in a judicial or
administrative proceeding unless authorized under this regulation. Ethics Implications for Testimony in One's Official Capacity.
Where a non-Federal entity is offering to compensate an Agency
scientist for providing testimony that relates to the scientist's
official duties, the scientist could violate the dual compensation
prohibition under 18 U.S.C. � 209.
In order to be able to address this issue before the activity has
occurred, Agency managers should presume that all testimony to be
provided by Agency scientists that relates to their official duties
constitutes official duties. With regard to testimony (fact or expert),
Agencies should follow the procedures set forth in 7 CFR
part 1, subpart K. See above. If the Agency determines that testimony
does not relate to the scientist's official duties, such services
should be treated as outside employment. Irrespective of whether the testimony is provided for compensation, under 5 CFR � 8301.102(b)(1),
the Agency scientist must seek prior approval to engage in the
activity. Upon receiving the scientist's request to participate in such
activities, the Agency manager can then determine whether (1) the
activity, if done at all, should be done in official capacity; and, if
not part of the scientist's official duties, then (2) whether the
activity should be approved as outside employment.
20.2. Expert Testimony. Normally, when a non-Federal entity seeks to employ an Agency
scientist or expert to provide expert testimony, it is either in
connection with litigation between two non-Federal parties: (1)
concerning research, work, or area of expertise in which a Federal
agency was engaged (e.g., a patent dispute involving an agricultural
product); or (2) in which the United States is a named party. In either
case, the United States usually has an interest in either the
litigation or the information that a party seeks through the expert
testimony of a USDA scientist or expert. In any case, in addition to 7 CFR 1.216, the following ethical rules must be considered when such a request is made. Under 5 CFR � 2635.805(a),
the general rule is that a Federal employee shall not, other than on
behalf of the United States, serve as an expert witness, irrespective
of compensation, in any proceeding before any court or agency of the
United States in which the United States is a party or has a direct and
substantial interest. Exceptions to this rule are as follows: Special Government Employees (SGEs). An SGE
generally may serve as an expert witness in such cases except where the
SGE has participated as an employee or SGE in the particular proceeding
or in the particular matter that is the subject of that proceeding; or
DAEO Authorization. The DAEO may authorize an employee to provide expert testimony in such cases if:
After consultation with: either (1) the agency representing the
Government in the proceeding; or (2) where no agency represents the
Government, with the Department of Justice and the Federal agency with
the most direct and substantial interest, the DAEO determines that the employee's service as an expert witness is in the interest of the Government; or
The DAEO determines that the subject matter of the testimony does not relate to the employee's official duties.
20.3. Misuse of Official Position. Under 5 CFR � 2635.702,
even if there is no other Federal interest in the litigation, a Federal
employee is not permitted to use his or her public office (including
authority and information) for private benefit. To the extent that the
basis of the scientist's testimony comes from his or her Federal
performance of official duties, or to the extent that the scientist's
official position would tend to give their testimony added credence, he
or she would likely violate this provision.
21. Consulting Non-Federal parties also seek USDA
scientists to provide behind-the-scenes scientific expertise in their
personal capacity. Often, the non-Federal entity seeks the expertise of
Dr. A, who was head of a research project, to counter unfavorable
results achieved by Dr. B, who is now in charge of that research.
Sometimes this will lead to Dr. A also serving as an expert witness
(see above). In either case, this activity implicates a number of
21.1. Outside Employment. As
stated above, Agency managers should first determine whether the
proposed consulting activities actually are more appropriately
performed, if at all, as part of the scientist's official duties. Any
compensation received or accepted by the Agency scientist from a
non-Federal entity for the performance of official duties could violate
18 U.S.C. � 209. In making the
determination as to whether to permit an Agency scientist to engage in
outside employment as a consultant, Agency managers should consider
whether the proposed consulting:
Involves matters currently under the official responsibility of the
Agency scientist, or which was under his or her responsibility within
Is otherwise likely to have been offered based solely upon the scientist's official duties and position;
Is likely to involve the non-public Agency information; and
Is likely to involve compensation offered to, or received by, the Agency scientist in return for his or her services.
21.2. Compensated Services in Support of Representation. Under 18 U.S.C. � 203,
a current Federal employee who is acting other than in the proper
performance of his or her official duties would violate Federal
criminal law by receiving compensation from a non-Federal entity in
return for performing services in direct support
of a representation by a non-Federal entity before an officer or
employee of a Federal Agency or court in connection with any particular
substantial interest. This would mean that an Agency scientist who is
paid by a company in return for consulting services related to an
effort by the company to obtain action by a Federal agency or Federal
court could violate this statute. 21.3. Misuse of Official Position. See 20.3, above and Part VIII, below. Back to top
VIII. USE OF OFFICIAL TITLE AND POSITION.
22. Official Capacity. If an Agency scientist is approved to participate in any of the
activities discussed in this Issuance in his or her official capacity,
then the scientist may use his or her official title or position in
connection with his or her name. For example, if the Forest Service
approves Dr. Smith to serve as an associate editor of a scientific
journal in her official capacity, then the Forest Service has
determined that it (the Agency) has an official interest in the
publication of that journal. Hence, Dr. Smith may be listed as Dr. Jane
Smith, Deputy Chief for Research, U.S. Forest Service. 23. Personal Capacity. Where an Agency scientist participates in any of these activities
not as part of his or her official duties, he or she generally may not
use their official title or authority. However, as Federal scientists
are expected, as part of their career development, to participate in
peer review, scientific writing, and scientific associations, it is
appropriate for an Agency scientist to use his or her official title
and name of Agency in situations where other Federal or non-Federal
participants are also described by title and employer. For example, if
a journal lists all contributing writers and associate editors and most
of those listed are also identified in connection with their titles
and/or employers, Dr. Smith could be listed as "Dr. Jane Smith,
Botanist, U.S. Forest Service." She should not, however, use title as
"Deputy Chief for Research," or list a specific duty location such as
"Headquarters," or "Region 5." 24. Official Letters of Recommendation and Endorsements. 24.1 Employment Recommendations. In accordance with 5 CFR
� 2635.702(b), an employee may write a recommendation using official
title and/or official letterhead only in response to a request for an
employment recommendation or character reference which is either:
Based upon personal knowledge of the ability and character of an
individual with whom the employee has dealt in the course of Federal
For an individual whom the employee is recommending for Federal employment.
1: Prior to coming to USDA, Bill taught at State University. A former
student has just graduated and is seeking a job with the University.
The former student asks for a letter of recommendation from Bill. Bill
may NOT write such a letter on official stationery or use his official
title. The former student is not seeking Federal employment nor has
Bill dealt with the former student in the course of Federal employment.
Bill will have to use his own stationary and may not use his official
title. He may, however, use his prior status as professor.
Example 2: Same facts as
in Example 1, above, except that after Bill became a Federal employee,
the former student came to work for him as a Federal summer intern. In
this case, Bill may write a letter recommending the student and may use
official stationery and the USDA employee's official title because the USDA employee has dealt with the student during the course of Federal employment.
24.2 Official Endorsements. In addition to grant applicants (see Part IV,
above), other non-Federal persons and entities seek the official
endorsement of their products, services, and purposes. Pursuant to 5 CFR � 2635.702(c), employees may not use their official title or authority to endorse any product, service or enterprise, except: In furtherance of statutory authority to promote products, services or enterprises; or As a result of documentation of compliance with agency requirements
or standards or as the result of recognition for achievement given
under an agency program of recognition for accomplishment in support of
Example 1: Harriet, an Agency
manager, is asked by Good Deed Doers (GDD), a non-Federal organization
seeking grant money from a Foundation, for a letter recommending the
grant. Harriet oversaw a successful project with GDD last year. Harriet should not issue the letter as it would be an endorsement of GDD. However, as Harriet was in a position of responsibility with respect to the project with GDD, she could issue a factual letter that simply verifies that the project involving GDD and the Agency had been completed successfully. Note: In order to
avoid accusations of favoritism, Agencies choosing to issue these types
of letters must be prepared to either issue such letters in response to
every request, or justify their decisions in issuing some letters and
Example 2: Mary, an Agency contracting officer, attends a course on procurement integrity. USDA
contracted for the course with Management Concepts, Inc. Mary enjoyed
the course and wants to write a letter recommending the course. She can
do so only on personal stationery. She may only refer to her USDA
position as one of several biographical details in the body of her
personal letter and make it clear that she is writing in her personal
capacity. For example, she may say "As a government contracting
officer, I found the course very accurate and presented in a useable
manner." This gives Mary Smith the credibility to make the
recommendation without endorsing the course officially.
IX.	PATENT RIGHTS, ROYALTIES AND LICENSING AGREEMENTS.
25.	Inventions Made in Connection with Federal Employment.
25.1.	Background. Under the
invention rights regulations, the Government is entitled to own any
invention made by a Government employee, either as part of the
employee's official duties, or with the use of Government resources. 37
CFR part 501. Pursuant
to the Bayh-Dole Act (Act), Federal Agencies are authorized to obtain
patents for such inventions and to license such inventions for
royalties. 35 U.S.C. �� 207-209; 37 CFR
part 404. Under section 7 of the Federal Technology Transfer Act of
1986 (FTTA), as amended, a Federal Agency must "pay each year the first
$2,000, and thereafter at least 15 percent, of the royalties or other
payments . . . to the inventor . . . if the inventor's . . . rights are
assigned to the United States." 15 U.S.C.
� 3710c(a)(1)(A)(i). While payments are being made to a Federal
employee-inventor, the employee may continue to work on the development
and improvement of the invention in his or her official capacity as
part of Federal research and development efforts. These continuing
efforts, for example, may be in the context of a cooperative research
and development agreement (CRADA) with a university or other private
sector entity aimed at refining and commercializing an invention. 15 U.S.C. � 3710a.
Whenever USDA
wishes to promote commercialization of its inventions, it typically
does so either by applying for a patent or by other commercialization
means, such as publishing the research results. On those occasions
where a Federal Agency does not intend to file a patent application or
otherwise promote commercialization of an invention, the Agency is
required to allow an employee-inventor to obtain or retain title to the
invention subject to a license to the Government. 15 U.S.C. � 3710d; 37 CFR part 501. At USDA, the determination of rights is delegated to the Office of the General Counsel (OGC). 7 CFR
� 2.31. Inventors should direct their requests directly to OGC. An
Agency may choose to file a patent application only in the United
States and may optionally elect not to file in foreign countries. An
employee-inventor may request rights in those foreign countries where
the Government does not have an interest. 37 CFR � 501.9(d). 25.2.	Effect of FTTA Royalty Payments.
Amounts paid to Federal employees under section 7 of the FTTA
constitute compensation from the Federal Government. As a result, a
Federal scientist-inventor who assigns his or her rights in an
invention to the United States and accepts the government's payment of
amounts from the resulting royalties and other licensing payments, as
provided in the FTTA, may continue to work on the invention without
violating either 18 U.S.C. � 208, by taking part in matters in which he or she has a conflicting financial interest, or 18 U.S.C. � 209,
the statute forbidding supplementation of Federal salaries. The same
principle holds true concerning both domestic and foreign invention
rights owned and licensed by the Government that, thus, do not
constitute a conflicting financial interest for the Federal
employee-inventor.
25.3.	Conflict with Employee-Owned Foreign Invention Rights.
Under the FTTA and the invention rights regulations, the Agency may
decide to file a patent application in the United States and may
optionally elect not to file in foreign countries. As a result, foreign
rights may be obtained or retained by the Federal employee-inventor. If
this occurs, the Federal employee has a financial interest in foreign
invention rights. As a result, 18 U.S.C.
� 208 would preclude the Federal employee-inventor from taking any
official action that would directly and predictably affect those
foreign invention rights. For example, if the employee has contracted
with a company to exploit his or her invention abroad, the employee
could not take official actions with respect to an agreement between
the United States and that company for development of the invention.
Example: A Federal Agency, while
obtaining a patent for an invention in this country, permits a Federal
employee-inventor to retain the rights to obtain certain foreign
patents. The employee-inventor has obtained some foreign patents and
has entered into an exclusive license agreement with a private firm,
granting it the right to exploit the invention overseas in exchange for
royalties. At the same time, the Agency employing the inventor has
awarded an exclusive license to develop and exploit the invention
domestically to the same firm. Moreover, the Agency intends to enter
into a cooperative research and development agreement (CRADA) with the
firm under which the firm would handle the clinical research trials
necessary to test and evaluate the invention for the marketplace. This
gives the private firm exclusive licenses in both the Government's
domestic patent rights and the employee-inventor's foreign patent
rights, plus a CRADA with the Government to develop and test the invention. The employee-inventor, through the CRADA,
will be directly involved, as part of his official duties, with work
related to the invention. The Federal employee-inventor has a financial
interest in his invention because he has licensed foreign patent rights
from which he receives royalties. He also has a financial interest in
the license agreement. Therefore, he cannot take official action on any
matter involving the private firm to which he has licensed his foreign
patent rights. This prohibition would include work by the
employee-inventor on the research and development agreement with the
26.	Pre-existing Rights. Agencies
generally seek to hire scientists based upon demonstrated expertise in
a subject area critical to the Agency mission. Often these newly-hired
scientists come from universities or private sector research
laboratories and often have existing inventions, either licensed or
unlicensed. Sometimes, the inventions are retained by the scientist who
seeks to license the rights to a private firm; sometimes the rights
have been retained by the University/laboratory which has executed a
license with royalties payable to the scientist through the university.
Where a scientist retains the invention rights for prospective
licensing, personally licenses a patent, or is receiving royalties from
a non-Federal source (i.e., the University), the scientist has a financial interest in the invention and a covered relationship
with the non-Federal entity licensee who pays the scientist royalties.
Accordingly, should the scientist, upon becoming a Federal employee,
take official action that directly and predictably affects the value of
his or her invention, he or she could violate 18 U.S.C. � 208. At the same time, the employee has a financial relationship with the University covered under 5 CFR � 2635.502(b)(1).
Should the employee take official action that does not directly and
predictably affect the value of his or her invention, but that does
involve a particular matter involving specific parties in which the University is a party or represents a party, he or she could violate the impartiality rules. See 5 CFR � 2635.502(a). NOTE: In practice, at USDA,
these pre-existing rights should be identified by research leaders, or
other line management, during the hiring process. Where the Agency
expects to produce complementary technologies in the same field,
conflicts may be resolved through means such as divestiture by the
scientist of rights in the invention. Example 1: ARS hires a scientist
from a University. While a university employee, the University licensed
a patent based on the scientist's research and, based upon that
license, the scientist now receives royalties from the University. ARS
hires the person to work at one of its laboratories. He or she is
assigned to serve as project manager under a cooperative agreement with
the University which relates directly to the research connected with
the University patent and to his royalties from it. As his performance
of official duties directly and predictably affects the commercial
value of the invention that is the source of his patent payments, the
scientist could violate 18 U.S.C. � 208 by performing official duties as project manager.
Example 2: Same facts as in Example
1, except that the scientist is project manager under a cooperative
agreement which does not relate directly to the research he performed
for the University and upon which his royalties are based. The royalty
payments do not constitute an employment relationship or other
financial interest in the University; however, the scientist has a
covered financial relationship with the University. If he takes
official action on a University grant application, he would likely
violate rules concerning loss of impartiality under 5 CFR � 2635.502(a). Back to top
APPENDIX A:	CONTROLLING STATUTES AND REGULATIONS
18 U.S.C. � 203 - Compensation to Members of Congress, officers, and others in matters affecting the Government. Under this statute, a current Federal employee is prohibited from receiving compensation in return for providing services in support of another who is representing a party (other than the United States) before any officer or employee of a Federal executive agency or court. Also see 18 U.S.C. � 205, below. Full Text 18 U.S.C. � 205 - Activities of officers and employees in claims against and other matters affecting the Government.
Under this statute, a current Federal employee is prohibited,
irrespective of compensation, from serving as agent or attorney for a
party (other than the United States) before any officer or employee of
a Federal executive agency or court. Also see 18 U.S.C. � 203, above. Full Text
18 U.S.C. � 208 - Acts affecting a personal financial interest. A Federal employee is prohibited from participating personally and substantially in a particular matter in which the employee knows he or she has a financial interest if participation is likely to have a direct and predictable effect upon that financial interest. See also, 5 C.F.R. part 2635, subpart D, and 5 C.F.R. part 2640. Full Text
18 U.S.C. � 209 - Salary of Government officials and employees payable only by United States.
A Federal employee may not receive from a non-Federal source a "salary,
or any contribution to or supplementation of salary, as compensation
for" performing official duties. Full Text
5 CFR Part 2634 - Executive Branch Financial Disclosure, Qualified Trusts, and Certificates of Divestiture.
Officers and employees who are required to file either a public or
confidential financial disclosure report (SF 278 or OGE Form 450), are
required to disclose outside employment and positions. "Adjunct Professor" status should be reported in Schedule D, Part I of the SF 278 and Part III of the OGE Form 450, only where the status and/or duties are NOT related to the performance of one's official duties. Full Text
-- 5 CFR
Part 2635, Subpart B - Gifts from Outside Sources. Generally, Agency
employees may not solicit or accept gifts either (1) given based upon
their official position; or (2) from a "prohibited source." Full Text
5 C.F.R. � 2635.502 - Loss of Impartiality. Even where a conflicting
financial interest does not exist, a Federal employee also should not
work on a matter if a reasonable person who is aware of the
circumstances would question the employee's ability to be impartial in
the matter. A loss of impartiality is presumed to exist where an
1.	participates personally and substantially in a particular matter involving specific parties and knows: That is likely to have a direct and predictable effect on the financial interest of a member of his or her household; or That a person with whom he or she has a covered relationship is or represents a party to such matter, and 2. determines that the circumstances would cause a reasonable person
with knowledge of the relevant facts to question his or her
impartiality in the matter. Note: This is not a criminal prohibition, but
violation can result in disciplinary action up to, and including,
removal. Subpart E - Impartiality in Performing Official Duties. See 7.2 (Outside Employment) and paragraph 8 (Conflicting Financial Interests and Impartiality). -- 5.1.3. 5 CFR
� 2635.702 - Use of Public Office for Private Gain. An employee also
may not use his or her public office for his or her own private gain,
or for the private gain of friends, relatives, or persons with whom the
employee is affiliated in a nongovernmental capacity, including
nonprofit organizations of which the employee is an officer or member.
Thus, to the extent that the foregoing restrictions do not apply, this
prohibition could (e.g., friends). Unlike the above restrictions,
however, you are not prohibited from working on matters involving these
parties so long as you do not participate in a manner that clearly is
designed to benefit them. As with Loss of Impartiality (above) this is
not a criminal prohibition, but could result in disciplinary action up
to, and including, removal. Full Text
-- 5 CFR � 2635.807 - Teaching, Speaking and Writing. (See 7.2 and 5.4).
As a general rule, employees may not receive compensation from a source
other than the Federal Government for teaching, speaking, and writing
that relates to their official duties. Full Text 5 CFR Part 8301 - Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture and specifically 5 CFR � 8301.102 -Prior approval for outside employment. Full Text Back to top
APPENDIX B:	CONFLICT DEFINITIONS
"Compensation," in
addition to salary or wages, compensation could include such non-cash benefits
normally provided in lieu of salary or wages, or in addition to salary
or wages, such as: housing; tuition benefits for family; and spousal
employment. "Covered relationships" - Under 5 CFR � 2635.502, an appearance that an employee has lost impartiality in participating in a particular matter involving specific parties would likely arise if parties identified to the matter included any of the following persons: other than a prospective employer, anyone with whom the employee
has or seeks a business, contractual or other financial relationship
(e.g., an outside employer) that involves other than a routine consumer
transaction; members of the employee's household, or relatives with whom the employee has a close personal relationship; anyone for whom the employee's spouse, parent or dependent child
is, to the employee's knowledge, serving or seeking to serve as an
officer, director, trustee, general partner, agent, attorney,
consultant, contractor or employee; anyone for whom the employee has, within the last year, served as
consultant, contractor or employee; or An organization (other than a political party) in which the
employee is an active participant. Active participation would include,
for example, service as an official, committee or subcommittee
chairperson, spokesperson, participation in directing the organization,
devotion of significant time to promoting specific programs of the
organization (e.g., fundraising). "Direct and predictable effect" means a close causal link between official participation in a "particular matter" and any expected effect of the matter on the employee's financial interests.
The effect need not be immediate, but the chain of causation must be
direct, not attenuated or contingent upon the occurrence of events that
are speculative, or independent of, and unrelated to, the matter.
means interests such as stocks, bonds, partnership interests, fee and
leasehold interests, mineral and other property rights, deeds of trust,
and liens, and rights to purchase interests such as stock options or
commodity futures. "Imputed," in terms of financial interests,
includes not only the employee's own personal financial holdings, but
also the financial interests of the following persons:
The employee's spouse, minor child, or general partner; An organization or entity in which the employee serves as an officer, director, trustee, general partner, or employee; and A person with whom the employee is negotiating for or has an arrangement concerning prospective employment. "Market value" under 5 CFR 2635.203(c),
means the retail cost the employee would incur to purchase a gift. An
employee who cannot ascertain the market value of a gift may estimate
its market value by reference to the retail cost of similar items of
like quality. The market value of a gift of a ticket entitling the
holder to food, refreshments, entertainment, or any other benefit shall
be the face value of the ticket.
"Negotiating" for non-Federal employment includes
seeking employment by sending an unsolicited resume to bidders or
offerors, making unsolicited communications concerning possible
employment, and failing to decline unsolicited offers to discuss
employment by bidders and offerors, and deferring employment
"Participating personally and substantially" means
involvement anywhere in the decision-making process (e.g., through
recommendation, the rendering of advice, investigation, etc., not just
through decision, approval, and disapproval. "Participating personally" means involvement that is "direct" or the "direct and active" supervision of a subordinate's participation. "Participating substantially"
means significant involvement. It is more than having official
responsibility, or involvement on an administrative or peripheral
issue. It is the quality of the involvement, not the quantity that is
"Particular matter" includes a broad array of identifiable matters and programmatic initiatives pending before an agency. It would include
not only such matters as specific contracts and bids on contracts, but
also rulemaking issues, such as an agency's determination to undertake
a particular project or to open such a project to competitive bidding.
"Particular matter involving specific parties" is more narrow than "particular matter."
For purposes of determining an appearance of a loss of impartiality,
this would cover matters that involve specific contracts and bids on
contracts, but would not include rulemaking issues, or an agency's
determination to undertake a particular project or to open such a
project to competitive bidding.
Prohibited source," means any person who:
(5) Is an organization a majority of whose members are described in (1) through
"Representing" means
acting as an agent or attorney for, or otherwise making, with intent to
influence, any communication to or appearance before any officer or
employee of the Executive or Judicial Branches of the United States
Government on behalf of any other person in connection with a
particular matter in which the United States Government is a party or
has a direct and substantial interest.
APPENDIX C:	ADJUNCT PROFESSOR QUESTIONNAIRE
This appendix may be used by an Agency employee, or by Agency
managers, as an aid in determining whether an employee's activities
with the University constitutes outside employment or official duties.
If the employee is required to request prior approval for outside
employment, he/she should forward the completed appendix with his/her
request for approval. All questions on the form should be addressed.
6. University/College:_____________________________________________
7. Position Title (i.e., "adjunct professor," or other):___________________________________________________________
the following with regard to the position described in lines 6-8,
above. If you answer "yes" or "unsure" to any question, please add a
sheet of paper giving an explanation for your answer. Please answer
QUESTION:	Yes	No	Unsure
NATURE OF UNIVERSITY ACTIVITY:	Was this activity assigned by your Federal supervisor?
COMPENSATION FOR UNIVERSITY ACTIVITY:
Educational benefits for you, spouse or close family member? Travel costs and subsistence?
Will you receive any perquisites due to your position (e.g.,
reduced tickets to events, or seating reserved for faculty).
Apply for Federal grants on behalf of the University?
Serve as Principal Investigator on Federal grant applications on
behalf of the University?
APPENDIX D:	AGENCY LIAISON DESIGNATION LETTER
FROM:	Senior Official
TO:	Subordinate Official
SUBJECT:	Appointment as Agency Liaison with ________________ Association By this memorandum, you are hereby designated to serve as Agency
Liaison with the ______________________ Association (Association). Your
designation as Agency Liaison is for the purpose(s) of
During your service as Agency Liaison, you are, at all times, to act
as a representative solely of the interests of the Agency and the
United States; you shall not (1) serve as an officer, board member, or
employee, or (2) act as agent or representative, of the Association.
Your service as Agency Liaison is to conform to the requirements of 18 U.S.C. 201-209 and to the Standards of Ethical Conduct for Employees of the Executive Branch, 5 C.F.R. part 2635. Specifically, during your tenure as Agency Liaison with the Association, you shall not:
Serve on committees or task groups unrelated to the above-stated purpose for your service as Agency Liaison;
Engage in lobbying efforts or representation of the Association's
interests before the Federal Government [NOTE: This does not preclude
you from presenting to the Agency the positions or views of the
Association on matters directly related to the interests of the Agency
being served through your service as Agency Liaison]; or
Actively participate in Association activities in your personal
capacity unless you receive written clearance from me to do so [NOTE:
If you are a member, you may retain your membership; you must, however,
refrain from active participation (e.g., fundraising, holding office or
board membership, employment, committee activities, lobbying, etc.)].
I, _________________________, certify that I have read and understand
the foregoing and that I agree to abide by the aforementioned
Date	Signature Back to Top
URL: Last Updated: August 12, 2009