An advocacy group dedicated to improving treatments for severe pain asks the National Institutes of Health (NIH) to provide a conference speaker who can discuss recent advances in the agency's research on pain. The code is not exhaustive in defining standards of conduct. The recommendation may be to continue the Clients current course of action. (m) The provisions governing receipt and disposition of foreign gifts and decorations (5 U.S.C. Once she has properly disqualified herself from further work on the regulations as required by subpart F of this part, she may enter into employment discussions with the company and may accept the company's offer to pay for her airfare, hotel, and meals in connection with an interview trip. Because of the sensitivity of the investigation, the agency designee may be unable to conclude that the Government's interest in the employee's participation in the investigation outweighs the concern that a reasonable person may question the integrity of the investigation, even though the employee has severed all financial ties with the company. Exceptions to the prohibition for acceptance of certain gifts. An agency ethics official is required by 28 U.S.C. Learn more. Similarly, the disposition of a protest against the award of a contract to a particular company may also have a direct and predictable effect on an employee's financial interest in another company listed as a subcontractor in the proposal of one of the competing offerors. An Assistant Attorney General may not use his official title or refer to his Government position in a book jacket endorsement of a novel about organized crime written by an author whose work he admires. The following general principles apply to every employee and may form the basis for the standards contained in this part. (5) Cost provided by person other than the sponsor of the event. A Felony or Relevant Misdemeanor conviction, or admission into a program that defers or with holds the entry of a judgment of conviction for a Felony or Relevant Misdemeanor; A Finding in a Regulatory Action or a Civil Action that the CFP, A personal bankruptcy or business bankruptcy filing or adjudication where the CFP, A federal tax lien on property owned by the CFP, A non-federal tax lien, judgment lien, or civil judgment that has not been satisfied within a reasonable amount of time unless the CFP. (iii) Offered by a person who is not a prohibited source to any group or class that is not defined in a manner that specifically discriminates among Government employees on the basis of type of official responsibility or on a basis that favors those of higher rank or rate of pay. It includes but is not limited to personal services as an officer, director, employee, agent, attorney, consultant, contractor, general partner, or trustee. Upon the occasion of the supervisor's retirement from Federal service, an employee of the Fish and Wildlife Service may give her supervisor a book of wildlife photographs which she purchased for $19. There is no statute of Governmentwide applicability prohibiting employees from holding or acquiring any financial interest. Statutory restrictions, if any, are contained in agency statutes which, in some cases, may be implemented by agency regulations issued independent of this part. The award program is wholly funded to ensure its continuation on a regular basis for the next twenty years and selection of award recipients is made pursuant to written standards. (ii) If the aggregate market value of all informational materials from the same person exceeds $100 in a calendar year, an agency designee has made a written determination after finding that acceptance by the employee would not be inconsistent with the standard set forth in 2635.201(b). An employee at the Department of the Army is offered an encyclopedia on cyberwarfare from a prohibited source. An employee is a member of a source selection team assigned to review the proposals submitted by several companies in response to an Army solicitation for spare parts. (ii) Participation in the conduct of an event by an employee where any portion of the cost of attendance or participation may be taken as a charitable tax deduction by a person incurring that cost. An employee of the National Library of Medicine at the National Institutes of Health has just been asked to serve on the technical evaluation panel to review proposals for a new library computer search system. (6) Accompanying spouse or other guest. She begins discussing possible employment with a pharmaceutical company. Had conduct mentioned adversely in a Civil Action alleging fraud, theft, misrepresentation, or other dishonest conduct; Been the subject of a Finding of fraud, theft, misrepresentation, or other dishonest conduct in a Regulatory Action or Civil Action; Become aware of an adverse arbitration award or civil judgment, or a settlement agreement in a Civil Action alleging fraud, theft, misrepresentation, or other dishonest conduct, where the conduct of the CFP. A regulatory agency has concluded that ownership by its employees of stock in entities regulated by the agency would significantly diminish public confidence in the agency's performance of its regulatory functions and thereby interfere with the accomplishment of its mission. 208(b)(1), she may not take official action on a complaint filed by a competitor alleging that the grower has shipped oranges in violation of applicable quotas. (a) Prohibition on soliciting gifts. The College recognizes the value and importance of a safe and orderly learning environment that encourages honesty, integrity, and ethical conduct. 643). A letter merely acknowledging receipt of the resume is not an indication of interest in employment discussions. The code is not exhaustive in defining standards of conduct. (2) The term financial interest includes service, with or without compensation, as an officer, director, trustee, general partner or employee of any person, including a nonprofit entity, whose financial interests are imputed to the employee under 2635.402(b)(2) (iii) or (iv). Notwithstanding any exception provided in this subpart, other than 2635.204(j), an employee may not: (a) Accept a gift in return for being influenced in the performance of an official act; (b) Use, or permit the use of, the employee's Government position, or any authority associated with public office, to solicit or coerce the offering of a gift; (c) Accept gifts from the same or different sources on a basis so frequent that a reasonable person would be led to believe the employee is using the employee's public office for private gain; A purchasing agent for a Department of Veterans Affairs medical center routinely deals with representatives of pharmaceutical manufacturers who provide information about new company products. The agency can require the employee to sell his stock as a condition of being selected for the position rather than allowing him to disqualify himself in particular matters. This reading presents cases to illustrate how the CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards) can be applied in situations requiring professional and ethical judgement. 7311 and 18 U.S.C. The former employer traditionally invites both its current and former employees to the holiday dinner regardless of their current employment activities. 1905 and 41 U.S.C. They do not discuss salary. 107(a) for which the rate of basic pay is less than that for GS9, step 1 of the General Schedule; (ii) A position, within a White House operating unit, that is designated as not normally subject to change as a result of a Presidential transition; (iii) A position within the uniformed services; or. A new employee of the Securities and Exchange Commission is assigned to an investigation of insider trading by the brokerage house where she had recently been employed. This notification statement must be in writing, must be signed by the public filer, and must include the name of the non-Federal entity involved in such negotiation or agreement and the date on which the negotiation or agreement commenced. At a department-level staff meeting, the employee raised as a matter for official inquiry the delay in approval of the particular license and asked that the particular license be expedited. Standards of conduct and performance are reasonably related to the orderly, efficient, or safe operation of work at . In addition to the standards of ethical conduct set forth in this part, there are conflict of interest statutes that prohibit certain conduct. (1) Except as provided in paragraph (a)(2) of this section or where the employee's participation has been authorized in accordance with 2635.605, the employee may not participate personally and substantially in a particular matter that, to the employee's knowledge, has a direct and predictable effect on the financial interests of a prospective employer with whom the employee is seeking employment within the meaning of 2635.603(b). Except as provided in this subpart, an employee may not, directly or indirectly: (1) Accept a gift from a prohibited source; or. (cc) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. (bb) The prohibitions on disclosing and obtaining certain procurement information (41 U.S.C. With the clients consent, so long as the client has not withdrawn the consent; As necessary to provide information to the CFP. 1353 in connection with an employee's attendance at a meeting or similar function relating to the employee's official duties which take place away from the employee's duty station, provided that the agency's acceptance is in accordance with the implementing regulations at 41 CFR chapter 304; and, (ii) Other gifts provided in-kind which have been accepted by an agency under its agency gift acceptance statute; and. Failed to satisfy a non-federal tax lien, judgment lien, or civil judgment within one year of its date of entry, unless payment arrangements have been agreed upon by all parties. (dd) The prohibition against certain personnel practices (5 U.S.C. The travel expenses to San Francisco, on the other hand, not incurred in connection with the speaking activity, are a prohibited form of compensation. An employee of the Defense Logistics Agency who has responsibilities for testing avionics being produced by an Air Force contractor has just learned that his sister-in-law has accepted employment as an engineer with the contractor's parent corporation. (hh) The prohibition against solicitation or acceptance of anything of value to obtain public office for another (18 U.S.C. A well-known university located in the United States wishes to give an honorary degree to the Secretary of Labor. Student Title IX Investigator/Conduct Officer: Lisa Anzicek. (d) Official superior means any other employee, other than the President and the Vice President, including but not limited to an immediate supervisor, whose official responsibilities include directing or evaluating the performance of the employee's official duties or those of any other official superior of the employee. The General Counsel of the National Endowment for the Arts may not collect contributions for a Christmas gift for the Chairman. Christmas occurs annually and is not an occasion of personal significance. An employee of the Army Corps of Engineers is actively involved in the activities of an organization whose goals relate to protection of the environment. Where the agency determines that the employee's action in seeking employment with a particular person will require the employee's recusal from matters so central or critical to the performance of the employee's official duties that the employee's ability to perform the duties of the employee's position would be materially impaired, the agency may allow the employee to take annual leave or leave without pay while seeking employment, or may take other appropriate action. The term includes, among other things, an arrangement to compensate for teaching, speaking, or writing that will commence after the termination of Government service. The Deputy Director of Personnel for the Department of the Treasury and an attorney with the Department's Office of General Counsel are general partners in a real estate partnership. (a) Standard. Nothing in this section prohibits an employee who is ordinarily addressed using a general term of address, such as The Honorable, or a rank, such as a military or ambassadorial rank, from using that term of address or rank in connection with a personal activity. Where the market value of a gift or the aggregate market value of gifts offered on any single occasion exceeds $20, the employee may not pay the excess value over $20 in order to accept that portion of the gift or those gifts worth $20. Enhanced content is provided to the user to provide additional context. It is also based upon the key principles of public life recommended by the Committee on Standards in Public Life (The Nolan Committee). Compliance with the Code and Standards is a requirement of CFP certification that is critical to the integrity of the CFP marks. Outside earned income limitations applicable to certain Presidential appointees and other noncareer employees. Examples of qualitative or subjective information include the Clients health, life expectancy, family circumstances, values, attitudes, expectations, earnings potential, risk tolerance, goals, needs, priorities, and current course of action. Ethical norms also serve the aims or goals of research and apply to people who conduct scientific research or other scholarly or creative activities. The employee may, however, write a book about the advantages of investing in various types of securities as long as the book contains only an incidental discussion of any program or operation of the SEC. 423(c)). An employee of the National Geospatial-Intelligence Agency has been invited by an association of cartographers to speak about her agency's role in the evolution of missile technology. Contact us. The employee may not, other than as permitted by agency procedures, give the organization or a newspaper reporter nonpublic information about long-range plans to build a particular dam. 423. (3) Gifts of intangibles. 201(b). A charitable organization is sponsoring a two-day tennis tournament at a country club in the Washington, DC area to raise funds for recreational programs for learning disabled children. Neither employee could receive compensation for writing a book that focuses on specific EPA regulations or otherwise on its programs and operations. A career Department of Justice employee who is detailed to a policy-making position in the White House Office that is ordinarily filled by a noncareer employee is not a Presidential appointee to a full-time noncareer position. A letter merely acknowledging receipt of the proposal is not an indication of interest in employment discussions. 7321 through 7326, which govern the political activities of executive branch employees; and. An employee who divests before obtaining a certificate of divestiture will not be eligible for this special tax treatment. To participate substantially means that the employee's involvement is of significance to the matter. 203). (1) If the agency designee determines that the employee's impartiality is likely to be questioned, he shall then determine, in accordance with paragraph (d) of this section, whether the employee should be authorized to participate in the matter. During off-duty time, an employee of the Department of Defense (DoD) attends a trade show involving companies that are DoD contractors. This subpart contains standards that prohibit an employee from soliciting or accepting any gift from a prohibited source or any gift given because of the employee's official position, unless the item is excluded from the definition of a gift or falls within one of the exceptions set forth in this subpart. For purposes of this section: (1) Outside earned income has the meaning set forth in 2636.303(b) of this chapter, except that 2636.303(b)(7) shall not apply. She began seeking employment with each company upon learning from the online service that Software Company A and Software Company B had been given her resume by the intermediary. (c) Documentation. (Conflict of Interest Disclosure); The information required under Section A.9.d. Pressing enter in the search box An employee shall not use or permit the use of his Government position or title or any authority associated with his public office in a manner that is intended to coerce or induce another person, including a subordinate, to provide any benefit, financial or otherwise, to himself or to friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity. A Department of Commerce employee received a $25 T-shirt from a prohibited source after providing training at a conference. All Rights Reserved. Where it is determined to be necessary or desirable for the purpose of administering its ethics program, an agency shall, by supplemental regulation, require employees or any category of employees to obtain prior approval before engaging in specific types of outside activities, including outside employment. Published 2:30 PM PDT, July 11, 2023. Have a question about government services? (1) Notification. 7313). The particular matters covered by this subpart include a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation or arrest. 1719). 208(a) and 2635.603(b)(1)(i) with an orange grower. Under the authority of 31 U.S.C. The employee has begun seeking employment. She is discussing possible employment with a university that received an NSF grant several years ago to study the effect of fluorocarbons but has no current grant applications pending before NSF. The title, Standards of Conduct for the International Civil Service, remains as self-explanatory now as it was in 1954. As mentioned above, feelings, laws, and social norms can deviate from what is ethical. (b) General principles. (d) Agreement of future employment or compensation for the purposes of 2635.607 means any arrangement concerning employment that will commence after the termination of Government service. The statute contains several exceptions that limit its applicability; (6) The Emoluments Clause of the United States Constitution, article I, section 9, clause 8, which prohibits anyone holding an office of profit or trust under the United States from accepting any gift, office, title or emolument, including salary or compensation, from any foreign government except as authorized by Congress. An inspector at the Mine Safety and Health Administration receives a popular novel with a market value of $25 from a mine operator. A contribution is not voluntary unless it is made in an amount determined by the contributing employee, except that where an amount for a gift is included in the cost for a luncheon, reception or similar event, an employee who freely chooses to pay a proportionate share of the total cost in order to attend will be deemed to have made a voluntary contribution. During a holiday party, an employee of the Department of State is given a $15 store gift card to a national coffee chain by an agency contractor. 1 CFR 1.1 Email: lcc-osc@lcc.edu. (8) Employees shall act impartially and not give preferential treatment to any private organization or individual. During the period that he remains with the Government, the officer may not participate personally and substantially in the administration of a contract with that particular defense contractor unless he has received a written waiver under the authority of 18 U.S.C. 654). A covered noncareer employee of the EPA, however, could not receive compensation for writing the same book because it deals with the general subject matter area affected by EPA programs and operations. Recently, an employee of the Department of Education submitted her resume to the University of Delaware for a job opening that she heard about through a friend. In addition to those opportunities and benefits excluded from the definition of a gift by 2635.203(b)(4), an employee may accept: (1) A reduction or waiver of the fees for membership or other fees for participation in organization activities offered to all Government employees or all uniformed military personnel by professional organizations if the only restrictions on membership relate to professional qualifications; and. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306. (b) Fundraising in an official capacity. An employee at the Department of Energy volunteers without compensation to serve dinners at a homeless shelter each month. However, an employee may elect to create a record of his actions by providing written notice to a supervisor or other appropriate official. The vice president of a small corporation is nominated to be an ambassador. The cost of the encyclopedia is far in excess of $100. (c) Authorization to serve as an expert witness. The CFP professional shall describe to the Client any requested Professional Services that the CFP professional will not be providing. Because the legislation is not a particular matter involving specific parties, the employee may continue to work on the legislation and need not be concerned that his wife's employment with an affected corporation would raise a question concerning his impartiality. (ii) A particular matter will have a predictable effect if there is a real, as opposed to a speculative possibility that the matter will affect the financial interest. U.S. Customs and Border Protection Directive 51735-013B Standards of Conduct. An accountant has just been offered a job with the Office of the Comptroller of the Currency (OCC) which involves a two-year limited appointment. See also part 2640 of this chapter, for additional guidance amplifying 2635.402. (x) The prohibition against counterfeiting or forging transportation requests (18 U.S.C. An expert on international banking transactions has been given a one-year appointment as a special Government employee to assist in analyzing evidence in the Government's fraud prosecution of owners of a failed savings and loan association. However, for purposes of this subpart, an executive department, as defined in 5 U.S.C. (f) The prohibition on certain former agency officials' acceptance of compensation from a contractor (41 U.S.C. An employee of the Federal Labor Relations Authority who is a public filer began negotiating for future employment with a law firm. Examination of a member bank could have no effect on an employee's fixed obligation to repay a loan from that bank and, thus, would not affect an employee's financial interests so as to require disqualification under 2635.402. (c) A violation of this part or of supplemental agency regulations, as such, does not create any right or benefit, substantive or procedural, enforceable at law by any person against the United States, its agencies, its officers or employees, or any other person. However, if she withdraws her application or is notified within the two-month period that her resume has been rejected, she will no longer be seeking employment with the oil company as of the date she makes such withdrawal or receives such notification. Waiver authority may be delegated by agency heads to any person who has been delegated authority to issue individual waivers under 18 U.S.C. FILE - Senate Judiciary Oversight Committee Chair Sen. Dick Durbin, D-Ill . (3) Loans from banks and other financial institutions on terms generally available to the public; (4) Opportunities and benefits, including favorable rates and commercial discounts, available to the public or to a class consisting of all Government employees or all uniformed military personnel, whether or not restricted on the basis of geographic considerations; (5) Rewards and prizes given to competitors in contests or events, including random drawings, open to the public unless the employee's entry into the contest or event is required as part of the employee's official duties; A Government employee is attending a free trade show on official time. The regular severance payment is not an extraordinary payment. (4) Determination of agency interest. 207, is contained in part 2641 of this chapter. A chemist employed by the Food and Drug Administration has been invited to the wedding of the lab director who is his official superior. These commitments apply to relationships with patients, physicians, contractors, vendors, third party payers, consultants, and each other. An employee may participate in fundraising in an official capacity if, in accordance with a statute, Executive order, regulation or otherwise as determined by the agency, he is authorized to engage in the fundraising activity as part of his official duties. The search firm has just reported to the FAA employee that it has given her resume to and had promising discussions with two airport authorities, which the search firm identifies to the employee. A prohibited source has offered a Government employee a ticket to a charitable event consisting of a cocktail reception to be followed by an evening of chamber music. In addition to the standards of ethical conduct set forth in subparts A through H of this part, there are a number of statutes that establish standards to which an employee's conduct must conform. Applicability and related considerations. A computer company offers a discount on the purchase of computer equipment to all public and private sector computer procurement officials who work in organizations with over 300 employees. (iv) Acceptance of the gift would provide the donor with significantly disproportionate access. Any provision that requires a determination, approval, or other action by the agency designee shall, where the conduct in issue is that of the agency head, be deemed to require that such determination, approval or action be made or taken by the agency head in consultation with the designated agency ethics official.

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