FEMA Ethics Guidance For NDMS Personnel

“Public Service

is a

Public Trust”

Ethics Contacts

Paul Conrad,Deputy Ethics Counsel(202) 646-4025

Robert Brock,Associate General Counsel (General Law)(202) 646-4025

Alternate Deputy Ethics Counsel:Ed Broyles(202) 646-3961Leigh Hoburg(202) 646-7396

Field Counsel

NDMS Team Members Are Special!

• NDMS Team Members are Special (Federal) Government Employees subject to federal ethics rules and federal law (with some specific exceptions), whether activated or not.

• What are “Special Government Employees”? They are federal employees specified by 18 U.S. Code Section 202(a), who are retained, designated, appointed, or employed to perform temporary duties either on a full-time or intermittent basis, with or without compensation, for a period not to exceed 130 days during any consecutive 365-day period. 5 CFR 1635.102(l).

Financial Conflicts of Interest

• 18 U.S.C. § 208- Criminal conflict of interest statute.

• You may not participate as a Government official in a matter that will have a direct and predictable effect on your financial interests, or the financial interests of your spouse, minor children, general partners, outside employers, or prospective employers.

Examples of a Financial Conflict

• An NDMS employee participates in the decision to award a contract for medical equipment storage and awards the contract to a company owned in part by his wife.

• A FEMA employee initiates post-government employment negotiations with a current FEMA contractor or grantee

Resolving a Financial Conflict

• Disqualification

• Regulatory Exemptions for Publicly-Traded Securities, Diversified Mutual Funds, Pensions

• Waiver

• Divestiture – Certificate of Divestiture may be available.

The Appearance of Bias

• 5 C.F.R. § 2635.502• You may not participate in a particular matter

involving specific parties if: 1. the outcome will have a direct and predictable effect on the financial interest of a member of your household, or 2. if you have a “covered relationship” with one of the parties, or a representative of one of the parties, and a reasonable person would question your impartiality.

Covered Relationships• Members of your household• Close family members• Someone with whom you seek a business

relationship• A person with whom your spouse, parent, or

dependent child is serving or seeks to serve as an officer, director, agent, consultant, or employee

• A non-Federal employer for whom you worked within the last year

Example of An Appearance of Loss of Impartiality

• An NDMS employee participates in the decision to award a contract to a medical equipment company where his uncle is the regional sales manager for his area.

• An NDMS employee takes part-time employment with an FEMA contractor, and the NDMS employee evaluates the FEMA contractor’s performance as part of their NDMS duties.

Authorization Standard under 5 C.F.R. § 2635.502

• If the FEMA Deputy Ethics Official determines that the interest of the Government outweighs appearance concerns, an employee may be authorized to participate in a matter covered by the impartiality regulations.

Financial Disclosure Reports

• Financial Disclosure reports may be required to determine potential financial conflicts of interest between a filer’s official duties and their private interests and affiliations.

• NDMS employees must submit a completed new entrant OGE Form 450 (confidential financial disclosure report) within 30 days of their start date, and annually thereafter upon their reappointment, as designated by their NDMS supervisor, e.g., individuals who are involved in contracting, purchasing supplies, and other activities having a substantial economic effect on non-Federal entities (e.g., DMAT team leaders).

• .

Representation Before the Government – 18 U.S.C. §§ 203 & 205

• You may not, in your personal capacity, represent another before DHS or FEMA or court, with the intent to influence Government action, on any particular matter in which the U.S. is a party or has a direct and substantial interest, either for free or for compensation ( provided you have served with the agency for at least 60 days for the preceding 365 days).

Gifts – 5 C.F.R. § 2635.201

• Generally, you may not accept personally:

– anything of value from any individual who or entity that:

* has business before FEMA,

* seeks to do business with FEMA,

* is regulated by FEMA; or

– any gift that is offered because of your FEMA position (e.g., your NDMS team status).

Examples of Prohibited Gifts

• Free meals from NDMS contractor.

• Free Washington Redskins football tickets given only to FEMA employees

• Discounts offered only to NDMS team members.

You may accept:

• Items of little intrinsic value (e.g. cards, plaques)• Gifts of $20 or less (up to $50 per year from the same source)• Discounts given to all federal employees• Invitations to speak or attend “widely attended gatherings” with free

attendance, provided you have obtained prior agency approval• Gifts from relatives or friends• Gifts based on outside business or employment activities not offered

because of your NDMS status

You may accept (cont.):

• Gifts from foreign governments of $285 or less

• Business meals overseas

Gifts Between Employees

• Generally supervisors may not accept gifts from subordinates, and employees may not accept gifts from another employee who receives less pay.

Exceptions to the Restriction on Gifts Between Employees

• A supervisor may accept from a subordinate, and any employee may accept from another employee receiving less pay:

– Gifts on special infrequent occasions (weddings, birth of child, retirement)

– Hospitality in one’s home

– Food shared in the office

– Items of $10 or less given occasionally (e.g. birthdays, holidays)– Gifts offered by another employee receiving less pay but with

whom he does not have a supervisory/ subordinate relationship, and there is a personal relationship that justifies the giving of the gift

Frequent Flier Miles

• You may keep for personal use any miles offered by an airline while on official travel.

• You also may keep other frequent traveler rewards for personal use, when offered by hotels & rental car companies.

Political Activities (Hatch Act - 5 U.S.C. § 7321)

• General prohibition of the Hatch Act states that Federal employees may not:- Conduct political activities in a government workplace, while on duty and/or when in uniform.– Solicit, accept, or receive political contributions

• Hatch Act only applies to intermittent FEMA employees when activated.

Outside Employment

• 5 C.F.R. § 2635.802

• Outside employment is permissible if it does not conflict with your official duties. Outside employment will conflict with your duties if it will require your disqualification from significant Government duties or if it will create an appearance problem.

Examples of Potentially Conflicting Outside Employment

• Employment providing law enforcement services for any outside entity.

• Employment with any outside entity with whom an employee has official dealings on behalf of FEMA.

• NDMS employees working for FEMA contractors when not activated.

Membership in Associations

• Employees may form and join associations in their personal capacities.

• However, such associations are not official FEMA organizations. Therefore members may not use FEMA resources, including official time or employees’ titles, or any FEMA insignias (without agency approval), in connection with these activities.

• NDMS 501(c) (3) entities not federal entities! Funds must be kept separate from NDMS.

Non-Federal Entity Committee Membership

• DHS Management Directive 3200, Committee Management

• DHS policy is to encourage FEMA/DHS employees to not serve on such outside organization committees in an official capacity as Directors or Committee Members, but as Federal Liaisons.

Misuse of Position

• 5 C.F.R. Subpart G • Use Government resources for official purposes

only• Resources include: Government time (including

subordinates’), title, supplies, funds, equipment.– Limited personal use of Email, Internet, and cell

phones

– Government purchase cards-

official expenses only

Examples of Permissible “Limited Usage”

• A FEMA employee uses her FEMA cell phone to make a brief personal call, when it is impractical to use her own phone and the call does not result in any extra charge to the Government.

• A FEMA employee uses a FEMA computer to send a personal email on his own time.

Use of a Subordinate’s Time

• A supervisor may not direct or coerce a subordinate to help with a personal task during non-duty hours.

• A supervisor may not ask a subordinate to perform personal tasks on official time.

Example: A supervisor may not ask a subordinate to make his vacation reservations during duty hours.

Misuse of Position (cont.)

• An employee may not use his public office for private gain, or for the endorsement of any product or service.

• Example: Putting the logo of an NDMS team corporate sponsor on federal NDMS vehicles is an improper endorsement

Examples of Misuse of Position

• A FEMA employee attempts to get out of a speeding ticket by showing his FEMA identification.

• A FEMA employee writes a letter to the editor of a newspaper stating his personal views, and includes his FEMA title under his signature.

Use of FEMA or DHS Insignias

• FEMA or DHS symbols, including the DHS or FEMA logo, may not be used in any way that reflects discredit on the Government, or implies FEMA or DHS endorsement of a non-official activity.

• Items bearing FEMA or DHS symbols should be obtained from vendors and private organizations designated by the FEMA or DHS Approving Authority.

Speaking, Writing, and Teaching

• You may NOT accept non-Federal government compensation for teaching, speaking or writing if:– Undertaken as part of your official NDMS duties– Invite to speak or teach was because of your NDMS

official position– Invite was by someone or some entity whose interests

may be substantially be affected by performance of your NDMS official duties.

– Information or speech is based substantially on ideas or data maintained by NDMS/FEMA that are nonpublic information, or

Speaking, Writing, and Teaching

• You may NOT accept non-Federal government compensation for teaching, speaking or writing if:– The subject matter of the speech or teaching deals in

significant part with any matter in which the NDMS employee is currently assigned or has been assigned in the previous one-year period.

• Compensation includes travel expenses, lodging, meals, or honoraria, but not free attendance at the event where speaking or teaching or gifts meeting the ethics rules gift exceptions

Speaking, Writing, and Teaching

• You may NOT accept non-Federal government compensation for teaching, speaking or writing, EXCEPT :– Teaching a series of classes as part of an elementary,

secondary or post-secondary educational institution established course of instruction.

– Teaching a program of education or training sponsored and funded by the federal government or by a state or local government which is not offered by an establisehd educational institution.

Speaking, Writing, and Teaching

• You may NOT accept non-Federal government compensation for teaching, speaking or writing, EXCEPT :– You may teach, write or speak on topics within

your academic discipline or inherent area of expertise based upon your educational background or experience, even if that expertise or experience overlaps with your official duties.

Speaking, Writing, and Teaching

• FEMA may accept non-Federal government entity payment for your travel and lodging to speak at a conference, BUT:– Must get prior permission through your NDMS chain

up through Ethics Attorney and Under Secretary Brown– DHS Form 1560-1, Authorization for Acceptance of

Travel Payment from Non-Federal Source, download from NDMS website.

– Entity must offer payment in writing and cover requirements listed in FEMA Instr. 6200.7, para. 8b.

– Additional approvals are needed for overseas travel

Fundraising in an Official Capacity

• 5 C.F.R. § 2635.808

• An employee may only participate in fundraising in an official capacity if authorized to do so as part of his official duties.

Fundraising in a Personal Capacity

• 5 C.F.R. § 2635.808• An employee may engage in fundraising in his

personal capacity.• However, an employee may NOT:

- solicit funds or other support from a subordinate or a “prohibited source,” or- use or permit the use of his FEMA title or position to further the fundraising effort [NDMS 501 (c) (3) entities].

Post Employment18 U.S.C. § 207

• Upon leaving federal service, you are permanently barred from representing another before any Federal agency or court with the intent to influence Government action if you personally and substantially worked on the same particular matter involving specific parties while a Government employee.

Post Employment

• Upon leaving federal service, you may not, for two years, represent another before any Federal agency or court with the intent to influence Government action on particular matters involving specific parties that were under your official responsibility during your last year of Government service.

• Only representation or communication on behalf of your new employer is prohibited.

Additional Source of Guidance on Employee Conduct

• 5 CFR Part 2635, Standards of Ethical Conduct for Employees of the Executive Branch

• Office of Government Ethics Website:– www.usoge.gov

• DHS OGC Website-ETHICS Section– www.dhs.gov/ethics/

For Ethics Questions:

• Check the OGE Website at www.usoge.gov

• Call Deputy Ethics Official at (202) 646-4025

• Email Deputy Ethics Official at paul.conrad1@dhs.gov

The End

Any Questions ???