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					                      2010 USGS Annual
                        Ethics Training

U.S. Department of the Interior
U.S. Geological Survey
                                     November 23, 2010

2010 annual training requirement
   Annual ethics training is required for all
    financial disclosure report filers
     USGS ethics training is NOT provided via DOI Learn
     Sent via e-mail to all employees requiring training
     We track completion in our Ethics Office database
   Will be posted to the Ethics Office webpage (and this
    presentation may be forwarded)
   All USGS employees are encouraged to review annual
    ethics training (but completion is not tracked by the
    Ethics Office)

2010 annual ethics training
 Consists     of:
     These 42 presentation slides and
     The USGS Ethics Office contact and
     specialization information chart
   Due date is Dec 31, 2010

2010 USGS ethics training
   To receive credit for completing required training
    (if you are a financial disclosure report filer), you
    must review these slides and the USGS Ethics
    Office contact and specialization chart
   Then - send an e-mail to
    certifying you have reviewed these slides and
    the USGS Ethics Office contact and
    specialization chart
   If you have any questions, include them in your
    certification e-mail OR you may contact an ethics
    counselor directly (see next slide for contact info)

The USGS Ethics Office
   Nancy Baumgartner, Deputy Ethics Counselor
   Ken Belongia, Assistant Ethics Counselor
   Sharon Bonney, Ethics Program Specialist
   Kathy Haumann, Ethics Program Assistant
 (office e-mailbox)
   FAX # 703-648-4132

Training overview
   In accordance with Office of Government Ethics (OGE)
    regulations, the following information must be included in all
    annual ethics training (and is summarized in slides 11 through 27)
   Criminal ethics statutes
   Standards of Ethical Conduct for Employees of the Executive
    Branch, 5 C.F.R. 2635
   Principles of Ethical Conduct (Executive Order)
   Supplemental DOI ethics regulations
   How to contact an ethics counselor

Training overview, continued
 Why and how to seek ethics advice
 Restrictions on seeking employment
 Misuse of official position
 Acceptance of travel expenses from non-Federal entities
 Donations to the USGS
 Collaborative Agreements
 CRADAs and Technical Assistance Agreements
 Gifts from outside sources
 Selling or soliciting on Government Property

Why seek ethics advice?
   Consistent and fair application of ethics rules will
    enhance the ethical culture at USGS
   Actions taken after providing relevant facts and
    receiving advice from one of the three ethics
    counselors at USGS are deemed proper

How to seek ethics advice
   Refer to the Ethics Guide for DOI employees

   Check the Ethics Office website

   Send an e-mail to (or call) one of the three
    USGS ethics counselors
     See Ethics Office contact and specialization chart
   Send an e-mail to

    Secretary Salazar’s memo on Ethical
    Responsibilities (Jan 26, 2009)

   “I expect all employees–both
    career and political–to adhere to
    all ethics laws, regulations, and
    guidelines applicable to
    employees of the Department of
    the Interior, including the 14
    general principles of ethical
    conduct specifically applicable to
    Executive Branch employees.”

Criminal ethics statutes

18 U.S.C. § 201
        of public officials and witnesses
 Bribery
 Example of violation:
   Contracting Officer responsible for
   evaluating proposals receives monetary
   compensation (or an all-expense paid
   vacation) for providing preferential treatment

18 U.S.C. § 203
 Compensation    to Members of Congress,
  officers, and others in matters affecting
  the Government
 Example of violation:
   Government employee with a part-time
   business preparing tax returns receives
   income derived from his/her company’s
   representation of a client before the IRS

18 U.S.C. § 205
 Activities of officers and employees in
  claims against and other matters
  affecting the Government
 Example of violation:
   Government employee represents his/her
    neighborhood homeowners association in
    attempting to persuade the Department of
    Transportation to not build a highway

18 U.S.C. § 207
 Post-Government   restrictions on former
  officers, employees, and elected officials
  of the executive and legislative branches
 Example of violation:
   Government employee responsible for
   purchasing laboratory equipment retires and
   subsequently contacts his/her former agency
   with the intent to influence a contract dispute
   regarding the laboratory equipment

18 U.S.C. § 208
 Actsaffecting a personal financial interest
 No conflicts of interest permitted
 Example of violation:
   USGS employee serves as an officer of a
   professional scientific organization in his/her
   official capacity without obtaining a conflict of
   interest waiver from the Director
    ○ Financial interests of an organization are imputed to
      officers and board members
    ○ Retroactive waivers are not permitted

18 U.S.C. § 208, continued
   Second example of violation:
     USGS employee working on developing a
     cooperative agreement with a University is
     offered a post-Government position with the
     University and continues to provide advice and
     recommendations concerning the agreement
     ○ Government employees may not be officially
       involved in particular matters that will have a direct
       and predictable effect on entities with whom they
       have a financial interest

18 U.S.C. § 209
 Salaryof Government officials and
  employees payable only by United States
 No non-Federal compensation for doing your
 Example of violation:
   Government employee accepts a check for
   giving a presentation on official time
   ○ Note: a check made out to the USGS may be accepted
     via Form 9-3089 as a donation if it is not solicited

Standards of Ethical Conduct for
Employees of the Executive Branch
 Numerous subject areas - - an excellent resource
 Gifts from Outside Sources
 Gifts Between Employees
 Impartiality in Performing Official Duties
 Seeking Other Employment
 Misuse of Position
 Outside Activities
 5 C.F.R. 2635

Principles of Ethical Conduct
   Executive Order

1. Public service is a public trust, requiring employees to
   place loyalty to the Constitution, the laws, and ethical
   principles above private gain.

2. Employees shall not hold financial interests that conflict
   with the conscientious performance of duty.

3. Employees shall not engage in financial transactions
   using nonpublic Government information or allow the
   improper use of such information to further any private

Principles of Ethical Conduct
4. An employee shall not, except pursuant to such
   reasonable exceptions as are provided by
   regulation, solicit or accept any gift or other item of
   monetary value from any person or entity seeking
   official action from, doing business with, or
   conducting activities regulated by the employee's
   agency, or whose interests may be substantially
   affected by the performance or nonperformance of
   the employee's duties.

5. Employees shall put forth honest effort in the
   performance of their duties.

Principles of Ethical Conduct
6. Employees shall make no unauthorized
   commitments or promises of any kind purporting to
   bind the Government.

7. Employees shall not use public office for private

8. Employees shall act impartially and not give
   preferential treatment to any private organization
   or individual.

9. Employees shall protect and conserve Federal
   property and shall not use it for other than
   authorized activities.

Principles of Ethical Conduct
10. Employees shall not engage in outside
   employment or activities, including seeking or
   negotiating for employment, that conflict with
   official Government duties and responsibilities.

11. Employees shall disclose waste, fraud, abuse,
   and corruption to appropriate authorities.

12. Employees shall satisfy in good faith their
   obligations as citizens, including all just financial
   obligations, especially those -- such as Federal,
   State, or local taxes -- that are imposed by law.

Principles of Ethical Conduct
13. Employees shall adhere to all laws and
   regulations that provide equal opportunity for all
   Americans regardless of race, color, religion, sex,
   national origin, age, or handicap.

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

Supplemental DOI ethics regulations
   Outside work or activity related to USGS duties or
    mission requires Ethics Office approval
     Use Form 9-1510 (Jan 2008)
   Outside consulting not permitted
   USGS employees may not perform "surveys or
    examinations" for private parties or corporations
    (paid or unpaid)
   Such work could have a negative impact on the
    integrity and neutrality of USGS science

Supplemental DOI ethics regulations,
   USGS employees are prohibited from having a
    direct interest in the mineral wealth of the Federal
    lands, either directly through a leasehold, or
    indirectly through ownership of financial interest
    (securities, stocks, limited partnerships, etc.) with
    companies that have substantial Federal
    oil/gas/mining leases.
   Financial Guide for USGS employees
     Lists financial interests that are prohibited or that may only
      held in limited amounts

Supplemental DOI ethics regulations,
    Prohibited interests in mining in the United States
      No direct or indirect financial interests permitted
      Except if:
       ○ the interest doesn’t exceed $10K (or $20K aggregate of similar
       ○ the interest doesn’t create an appearance of misuse of
         position/loss of impartiality
       ○ the interest doesn’t negatively impact confidence in the
         impartiality and objectivity with which Department and USGS
         programs are administered
       ○ Publicly traded mutual fund

    Mineral royalties of less than $600 per year are permitted

Ethics resources and information
   USGS Ethics Office webpage
   Ethics Guide for DOI Employees
   Departmental Ethics Office webpage
   Office of Government Ethics (OGE) webpage
   Financial Guide for USGS Employees

Ethics Guide for DOI Employees

Ethics Guide for DOI Employees
   November 2008 version does not supersede the
    October 2007 version
   Glossy, tabbed, pocket-sized copies of the Ethics Guide
    are available upon request
     Send e-mail with mailing address to Kathy Haumann,
     Or stop by the Ethics Office, Room 2B121, National

Restrictions on seeking employment
   You may not take any official actions that could
    affect the financial interest of an entity with whom
    you are seeking employment
     Doing so violates the criminal conflict of interest
       statute, 18 U.S.C. 208
   You must recuse (i.e., disqualify yourself) from
    taking any actions, even providing “advice”
   If possible, your recusal should be in writing to
    your supervisor and shared with colleagues
     Recusal memo template

    Misuse of official position
   Public office may not be used for private gain
    -- of self, spouse, minor children, relatives,
    friends, business associates or persons with
    whom a Federal employee is affiliated in a
    non-Governmental capacity
       INCLUDING non-profit organizations of which the
        employee is a member
       5 C.F.R. 2635.702 and Principle of Ethical Conduct # 7
        (see slide # 22)

Acceptance of travel expenses
from non-Federal entities
   31 U.S.C. § 1353 permits Federal agencies to accept
    travel expenses from non-Federal entities
   For attendance at meetings, workshops, training,
    conferences or “similar events”
   Contact Sharon Bonney at 703-648-7439 or if you have travel questions

 Acceptance of travel expenses from
 non-Federal entities, continued
1) Prior written approval via Form DI-2000 is required
   (or within 7 days of travel, if exigent circumstances)
2) Employee must be in official travel status
3) Employee may accept “in kind” travel expenses
4) Voucher must reflect what has been received
5) Employees may never personally accept cash or
   checks for reimbursement
6) For international travel annotate authority on the Form
   DI-1175 (Form DI-2000 is still required)

    Donation acceptance by USGS
   Must maintain the integrity and impartiality of DOI and
    bureau programs and operations and avoid conflicts of
   Donation Guidelines regulation, 374 DM 6
   SM chapter pending
   USGS Form 9-3089
     Send to or fax to 703-648-
       4132 to obtain technical concurrence from Ethics
     Required for all donations valued over $50,000
   Associate Director approval required for donations
    valued over $50,000

Donations to conduct field work
or engage in joint research
    Collaborative agreements, 43 U.S.C. 36c,
     Cooperative Research and Development
     Agreements (CRADAs) and Technical
     Assistance Agreements, 15 U.S.C. 3710(a)
     can be drafted to include USGS receipt of
     funding to cover employees’ salaries and
     travel expenses
      Contact your Administrative Officer for assistance in
       preparing these agreements
      Consultation with the Office of Policy Analysis, AEI
       (Sharon Borland or Neil Mark) may be necessary

Gifts from outside sources

 The rule:
 Federal employees may not solicit or
  accept, directly or indirectly, a gift from a
  “prohibited source” or offered due to their
  official position

What is a “prohibited source?”
   A person, company, or organization that:
     Does business (or is seeking to do business) with
      USGS; is regulated by USGS; or can be affected
      by the performance or nonperformance of official

   Any professional, technical, or trade association, the
    majority of whose members represent prohibited
    sources; or
   Outside organizations that seek
    to influence the government

Gifts from outside sources
   Not everything is a gift
     Snacks (coffee, donuts, etc., not part of a meal)
     Greeting cards, certificates, trophies
     Prizes in contests open to the public (with no registration fee)
     Commercial discounts
     If employee pays fair market value
     If Federal government pays
   Some gifts shouldn’t be accepted, even if an exception applies
   Consider appearances

Gift exceptions
 Gifts valued at $20 or less per source per occasion
 Gifts based on personal relationships
   developed outside of and independent from work
 Free attendance at conferences where you are
  participating as a speaker
 Sharing perishable items within office
 Awards for meritorious public service
   with Ethics Office approval
 Exceptions are explained at 5 C.F.R. 2635.204

Selling and soliciting on Gov’t property
 Government resources may only be used for authorized
  purposes. DOI policy regarding employees' limited personal
  use of a government e-mail system prohibits any commercial
  gain activity, which is defined as any activity involving or
  relating to buying, selling, advertising, leasing, or exchanging
  products or services for any person or entity's personal profit
  or gain.
 Selling and soliciting is prohibited in any DOI building by 43
  C.F.R. 20.504 (unless authority has been granted by the
  Interior Department Recreation Association or is at the Indian
  Arts and Crafts store, or for cafeteria, newsstand, snack bar
  and vending machine operations which are authorized by the
  Department for the benefit of employees or the public).

To obtain ethics training credit
   All financial disclosure report filers (SF 278 and OGE
    Form 450) must send a certification e-mail to
   Your e-mail must certify that you have reviewed these
    slides as well as the USGS Ethics Office contact and
    specialization information chart
   Due date is December 31, 2010
   Feedback (positive or negative) is welcomed
   Thank you very much for your time and attention


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